Section 407-305-3 - SANCTIONS AND ENFORCEMENTA.SanctionsCompetitive electricity providers and third-party sales agents are subject to sanctions for violations of applicable provisions of Chapter 32 of Title 35-A, and Commission rules or orders. Sanctions may be imposed following a hearing before the Commission in conformance with 5 M.R.S. Chapter 375, subchapter IV (Maine Administrative Procedures Act) and Chapter 110 of the Commission's rules. The following sanctions may be imposed:
1.Penaltiesa. In an adjudicatory proceeding, the Commission may impose administrative penalties on competitive electricity providers and third-party sales agents as authorized by 35-A M.R.S. § 1508-A and § 3203(7). Penalties collected by the Commission under this provision must be deposited in the Public Utilities Commission Reimbursement Fund or refunded to customers as directed by the Commission.b. A letter from the Commission's General Counsel providing the notice articulated in 35-A M.R.S. §1508-A(1)(B) and (B-1)(2) and issued in the docket designated for the competitive electricity provider using the Commission's electronic case management system constitutes an example of that competitive electricity provider or its third-party sales agent having been explicitly notified by the Commission for the purpose of imposing a penalty or terminating a third-party sales agent registration.2.Cease and Desist Ordersa.Hearing. The Commission may issue a cease and desist order following an adjudicatory hearing, if the Commission finds that any competitive electricity provider or third-party sales agent has engaged or is engaging in any act or practice in violation of any law or rule administered or enforced by the Commission or any lawful order issued by the Commission. A cease and desist order is effective when issued unless the order specifies a later effective date or is stayed pursuant to Title 5, section 11004; orb. Emergency. The Commission may issue a cease and desist order in an emergency, without hearing or notice, if the Commission receives a written, verified complaint or affidavit showing that either a third-party sales agent is conducting or arranging to conduct sales without being registered or showing that a competitive electricity provider is selling electricity to retail consumers or providing aggregator or broker services without being duly licensed, or that either is engaging in conduct that creates an immediate danger to the public safety or is reasonably expected to cause significant, imminent and irreparable public injury. An emergency cease and desist order is effective immediately and continues in force and effect until further order of the Commission or until stayed by a court of competent jurisdiction. Following a subsequent hearing, the Commission will issue a final order, affirming, modifying, or setting aside the emergency cease and desist order and may employ simultaneously or separately any other enforcement or penalty provisions available to the Commission.3.RestitutionThe Commission may order restitution for any party injured by a violation for which a penalty may be assessed pursuant to this subsection.
4.Revocation; SuspensionThe Commission may revoke or suspend the license of a competitive electricity provider as stated below. At its option, the Commission may suspend only a competitive electricity provider's authority to enroll new customers.
a. For any cause for which issuance of the license could have been denied had it then existed or been known to the Commission;b. For a violation or material noncompliance with any applicable provision of any law or rule administered or enforced by the Commission or any lawful order issued by the Commission;c. For obtaining or attempting to obtain a license through misrepresentation, failure to disclose a material fact required to be disclosed in the application, or fraud; or d. For the use of fraudulent, coercive, or deceptive practices, or misuse of customer funds with respect to the provision of generation service or aggregator or broker service.5.Termination of RegistrationIn an adjudicatory proceeding, the Commission may terminate the registration of a third-party sales agent if the third-party sales agent was explicitly notified by the Commission that it was not in compliance with Title 35-A, a Commission rule, or a Commission order and that failure to comply could result in the termination of the third-party sales agent's registration.
6.OtherThe Commission may impose any other sanction authorized by law that it determines appropriate taking into account the facts and circumstances that resulted in the violation.
7.WaiverThe Commission may waive the imposition of sanctions upon a showing that the violation was immaterial, unintentional, or that the competitive electricity provider or third-party sales agent acted in good faith to comply with all applicable statutory and regulatory requirements.
B.Enforcement1.Court actionThe Commission through its own counsel or through the Attorney General may apply to the Superior Court of any county of the State to enforce any lawful order made or action taken by the Commission pursuant to this Chapter.
2.Notice to Attorney GeneralIf the Commission has reason to believe that any competitive electricity provider or third-party sales agent has violated any provision of law for which criminal prosecution is provided or any antitrust law of this State or the United States, the Commission will notify the Attorney General.
65-407 C.M.R. ch. 305, § 3