PROPOSED RULEMAKING
[52 PA. CODE CHS. 3 AND 54]
[28 Pa.B. 508] [L-970129]
Licensing Requirements for Electric Generation Suppliers The Pennsylvania Public Utility Commission (Commission) on November 21, 1997, adopted a proposed rulemaking to provide for an orderly transition of the Pennsylvania electric industry from a vertically integrated monopoly to a structure which would support the development of a competitive retail market. The Commission believes that through application of the proposed licensing regulations the nature and quantity of financial and technical fitness documentation required to be submitted in applying for a license, and the reporting, bonding and other administrative requirements for maintaining a license, are directly related to the scope of activities proposed to be licensed. The contact persons are Patricia Krise Burket (717) 787-3464 (legal) and Robert Bennett (717) 787-5553 (technical).
Executive Summary
On December 3, 1996, Governor Tom Ridge signed into law, 66 Pa.C.S. §§ 2801--2812 (relating to Electricity Generation Customer Choice and Competition Act) (act). The act revised 66 Pa.C.S. (relating to Public Utility Code), by adding Chapter 28 relating to restructuring of the electric utility industry. The purpose of the act is to permit customers their choice of electricity generation suppliers while maintaining reliable and safe electric service.
Sections 2806(g)(3) and 2809 of the act (relating to implementation, pilot programs and performance-based rates; and requirements for electric generation suppliers) require the licensing of electric generation suppliers including brokers, aggregators and marketers. The purpose of this proposed rulemaking is to institute a process for licensing electric generation suppliers, and to establish reporting and bonding requirements for the maintenance of a license.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on January 16, 1998, the Commission submitted a copy of this proposed rulemaking to the Independent Regulatory Review Commission (IRRC) and to the Chairpersons of the House Committee on Consumer Affairs and the Senate Committee on Consumer Protection and Professional Licensure. In addition to submitting the proposed rulemaking, the Commission has provided IRRC and the Committees with a copy of a detailed Regulatory Analysis Form prepared by the agency in compliance with Executive Order 1996-1. A copy of this material is available to the public upon request.
If the Legislative Committees have objections to any portion of this proposed rulemaking, they will notify the Commission within 20 days of the close of the public comment period. If IRRC has objections to any portion of the proposed rulemaking, it will notify the Commission within 10 days of the close of the Legislative comment period. The notification shall specify the regulatory review criteria which have not been met by that portion. The Regulatory Review Act specifies detailed procedures for review, prior to final publication of the proposed rulemaking, by the Commission, the General Assembly and the Governor of objections raised.
Public meeting held
November 21, 1997Commissioners present: John M. Quain, Chairperson; Robert K. Bloom, Vice Chairperson, Concurring in result; John Hanger, Statement follows; David W. Rolka
Proposed Rulemaking Order The purpose of Chapter 28 of the act is to provide for an orderly transition of the Pennsylvania electric industry from a vertically integrated monopoly to a structure which would support the development of a competitive retail electric generation market. The ultimate goal is to permit all Pennsylvania retail electricity customers to have direct access to a competitive generation market while at the same time enjoying the continued reliability, and safety of existing transmission and distribution services.
Two initial tasks that needed to be accomplished under the act by the Commission were the initiation of retail access pilot programs, section 2806(g) of the act, and the licensing of electric generation suppliers to participate in the pilot programs, sections 2806(g)(3) and 2809 of the act. Section 2809 of the act provides in pertinent part that:
[n]o person or corporation, including municipal corporations which choose to provide service outside their municipal limits except to the extent provided prior to the effective date of this chapter, brokers and marketers, aggregators and other entities, shall engage in the business of an electric generation supplier in this Commonwealth unless the person or corporation holds a license issued by the Commission. 66 Pa. C.S. § 2809.An electric generation supplier is defined as:
[a] person or corporation, including municipal corporations which choose to provide service outside their municipal limits except to the extent provided prior to the effective date of this chapter, brokers and marketers, aggregators or any other entities, that sells to end-use customers electricity or related services utilizing the jurisdictional transmission and distribution facilities of an electric distribution company, or that purchases, brokers, arranges or markets electricity or related services for sale to end-use customers utilizing the jurisdictional transmission and distribution facilities of an electric distribution company. 66 Pa. C.S. § 2803.Moreover, an ''aggregator'' or ''market aggregator'' is defined as ''[a]n entity, licensed by the commission, that purchases electric energy and takes title to electric energy as an intermediary for sale to retail customers.'' 66 Pa. C.S. § 2803. A ''broker'' or ''marketer'' is defined as ''[a]n entity, licensed by the commission, that acts as an agent or intermediary in the sale and purchase of electric energy but that does not take title to electric energy.'' 66 Pa.C.S. § 2803.
On January 16, 1997, the Commission issued a tentative order and draft licensing application for interim licensing of electric generation suppliers pending the promulgation of regulations. The tentative order established a comment period ending January 31, 1997, and was served on well over 200 persons including the Office of Consumer Advocate, the Office of Small Business Advocate, Pennsylvania jurisdictional electric utilities and members of the Electric Stakeholders Group. The Commission order was also posted on the Commission's electronic bulletin board. Comments were received from numerous parties. On February 13, 1997, the Commission issued a final order which adopted interim licensing procedures and a license application.
In its February 13, 1997, order, the Commission recognized that the interim licensing procedures were to be temporary in nature, and that they would be replaced by regulations. As the first step in promulgating these regulations, the Commission has revised its interim licensing procedures and has redrafted them as proposed regulations.
The Commission seeks general comments on the proposed regulations. Persons submitting comments are requested to provide supporting justification for requested revisions, and propose suggested regulatory language for incorporation into the final-form regulations.
The Commission also seeks comment on the proposed licensing procedure and the bonding, reporting and other licensing requirements as applied to community-based organizations, civic, fraternal or business associations, fraternal, common interest groups and other entities that work with a licensed supplier to ''market'' aggregated services to their members or constituents. The definition of ''electric generation supplier'' of the act is very broad, and our interpretation of this definition is that every entity that engages in an activity listed as that undertaken by an electric generation supplier must be licensed. However, the Commission recognizes that some of these activities may be undertaken by ''nontraditional marketers'' who will not have any direct physical or financial responsibility for the customer's electricity. Under these circumstances, the general licensing requirements may be unnecessary and exclusionary.
Inherent in the proposed licensing regulations is the concept that the licensing requirements, that is the nature and quantity of financial and technical fitness documentation required to be submitted in applying for a license, and the reporting, bonding and other administrative requirements for maintaining a license, are directly related to the scope of activities proposed to be licensed. The Commission believes that through application of this concept the proposed licensing regulations will not impose unreasonable burdens on ''non-traditional marketers'' in applying or maintaining a license. Accordingly, the Commission requests comments on how best to apply the proposed licensing requirements to nontraditional marketers. Comments should particularly address whether the Commission should adopt specific guidelines for nontraditional marketers, or whether these matters should be addressed through less formal interaction between the applicant and Commission staff. Comments regarding the approach proposed herein and more specific proposals addressing the licensing of nontraditional marketers are encouraged.
Accordingly, under section 501 of the Public Utility Code, 66 Pa.C.S. § 501, the act 66 Pa.C.S. § 2801 et seq., and the Commonwealth Documents Law (45 P. S. § 1201 et seq.) and regulations promulgated thereunder at 1 Pa. Code §§ 7.1--7.4, we propose to amend our regulations by adding §§ 54.31--54.43, and amending § 3.551 to read as set forth in Annex A;
Therefore,
It is Ordered that:
1. A rulemaking docket shall be opened to promulgate regulations for the licensing of electric generation suppliers as set forth in Annex A of this order.
2. The Secretary shall submit this order and Annex A to the Office of the Attorney General for preliminary review as to form and legality.
3. The Secretary shall submit a copy of this order, together with Annex A, to the Governor's Budget Office for review of fiscal impact.
4. The Secretary shall submit this order and Annex A for review and comments by the designated standing committees of both Houses of the General Assembly, and for informal review and comments by IRRC.
5. The Secretary shall certify this order and Annex A and deposit them with the Legislative Reference Bureau for publication in the Pennsylvania Bulletin.
6. Within 30 days of this order's publication in the Pennsylvania Bulletin, an original and 15 copies of any comments concerning this order shall be submitted to the Commission. One copy of a diskette containing the comments in electronic format should also be submitted. Alternate formats of this document are available to persons with disabilities and may be obtained by contacting Shirley M. Leming, Regulatory Coordinator, Law Bureau at (717) 772-4597.
7. A copy of this order and Annex A be served on the Office of Consumer Advocate, the Office of Small Business Advocate, the Department of Revenue, the Department of State and all licensed electric generation suppliers.
JAMES J. MCNULTY,
Secretary
Statement of Commissioner John Hanger These proposed permanent licensing regulations attempt to balance two considerations based on our experience with the Interim Licensing Requirements that they will replace. On the one hand, the Commission must ensure that only technically and financially fit suppliers receive licenses and that the Commission has the ability to enforce compliance with all applicable requirements. On the other hand, the licensing requirements must not unnecessarily create barriers to market entry by a wide variety of potential competitive suppliers.
I encourage comments from interested parties, especially on the following issues:
1. Section 54.35 continues the practice required under the Interim Licensing Requirements to advertise notice of an Application in newspapers covering every county in which the Applicant proposes to serve and to provide proof of publication. This requirement appears to have been an administrative burden both for applicants and the Commission. To my knowledge, not a single protest was filed concerning any Interim License Application. Is there an easier and more effective way to let the public know of an Application?
2. Section 54.37(b) provides that fully documented, unprotested Applications will be deemed approved if not processed within 45 days. I support the concept of prompt Commission response, but I am concerned that failure of the Commission to respond as required, or disagreements over whether an Application has been fully documented, could result in market activity by suppliers not found to be financially and technically fit. Should the ''deemed approved'' language be deleted?
3. The NOPR expressly requests comments concerning licensing nontraditional marketers such as community based organizations. For example, such an organization working with a licensed supplier might only provide marketing and educational materials to its constituency. Should a license be granted upon demonstration of working knowledge of generation products and services to be offered and the skills to communicate them effectively to the target audience?
Fiscal Note: 57-91. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 52. PUBLIC UTILITIES
PART I. PUBLIC UTILITY COMMISSION
Subpart A. GENERAL PROVISIONS
CHAPTER 3. SPECIAL PROVISIONS
Subchapter H. FORMS § 3.551. Official forms.
The following is a list of forms which can be obtained from the Office of the Secretary of the Commission:
* * * * * (15) Application for electricity or electric generation supplier license.
* * * * *
Subpart C. FIXED SERVICE UTILITIES
CHAPTER 54. ELECTRICITY GENERATION CUSTOMER CHOICE AND COMPETITION
Subchapter B. ELECTRICITY GENERATION SUPPLIER LICENSING Sec.
54.31. Definitions. 54.32. Application process. 54.33. Application form. 54.34. Change in organizational structure or operational status. 54.35. Publication of notice of filing. 54.36. Protests to applications. 54.37. Approval. 54.38. Regulatory assessments. 54.34. Reporting requirements. 54.40. Bonds or other security. 54.41. Transfer or abandonment of license. 54.42. License suspension; license revocation. 54.43. Standards of conduct and disclosure for licensees. § 54.31. Definitions.
The following words and terms, when used in this subchapter, have the following meanings, unless the context clearly indicate otherwise:
Applicant--A person or entity seeking to obtain a license to supply retail electricity or electric generation service.
Code--The Public Utility Code, 66 Pa.C.S. §§ 101--3316.
Commission--The Pennsylvania Public Utility Commission.
Default supplier--A supplier approved by the Commission under section 2807(e)(3) of the code (relating to duties of electric distribution companies) to provide generation service to customers who contracted for electricity that was not delivered, or who did not select an alternative electric generation supplier.
Department--The Department of Revenue of the Commonwealth.
Electric generation supplier--An electricity or electric generation supplier, as defined in section 2803 of the code (relating to definitions).
Interim license--A temporary license granted to an electric generation supplier under interim standards adopted by Commission order.
License--A license granted to an electric generation supplier under this subchapter.
Licensee--A person or entity which has obtained a license to provide retail electricity or electric generation service.
Marketing--The publication, dissemination or distribution of informational and advertising materials regarding the electric generation supplier's services and products to the public by print, broadcast, electronic media, direct mail or by telecommunication.
Offer to provide service--The extension of an offer to provide services or products communicated orally, or in writing to a customer.
Renewable resource--Renewable resource as defined in section 2803 of the code.
§ 54.32. Application process.
(a) An electric generation supplier may not engage in marketing, or may not offer to provide, or provide retail electricity or electric generation service until it is granted a license by the Commission.
(b) An application for a license shall be made on the form provided by the Commission. A copy of the application may be obtained from the Commission's Secretary. An application shall be verified by an oath or affirmation as required in § 1.36 (relating to verification). See section 2809(b) of the code (relating to requirements for electric generation suppliers).
(c) An original and eight copies of the completed application and supporting attachments shall be filed. An application for a license shall be accompanied by the application fee as established in § 1.43 (relating to schedule of fees payable to the Commission).
(d) Copies of the completed application with supporting documentation shall be served on the following offices: the Office of Consumer Advocate, the Office of Small Business Advocate, the Department and the Office of the Attorney General.
(e) Incomplete applications and those without supporting attachments, when needed, will be rejected without prejudice. The license application, with supporting attachments, shall be completed in its entirety.
(f) An applicant may request that information contained in the application be kept confidential by filing a petition under § 5.423 (relating to orders to limit availability of proprietary information).
(g) An electric generation supplier who has been granted an interim license shall apply for a license under this subchapter by amending its prior license application to include additional and updated information as required by § 54.33 (relating to application form). An amended application shall be submitted by _____ . (Editors Note: The blank refers to a date 120 days after the effective date of adoption of this proposal.)
§ 54.33. Application form.
(a) The application form includes information that will be used in the evaluation of the financial fitness and technical fitness to render service. Information includes the following:
(1) Identification of the geographic area that the applicant proposes to serve.
(2) Identification of the type of service that the applicant proposes to furnish.
(3) Identification of the class of customers to which the applicant proposes to provide these services.
(4) The identification of the applicant's utility affiliates.
(5) Designation of the applicant's business structure.
(6) Financial information regarding credit ratings and history, and insurance pertinent to the conduct of the applicant's business as an electric generation supplier.
(7) Evidence of the applicant's membership in the East Central Area Reliability Coordination Agreement (ECAR), the Mid Atlantic Area Council (MAAC) or other regional reliability councils.
(8) Evidence of the applicant's ability to comply with Commission's requirements concerning customer billing, customer education, billing and terms of service, and customer information.
(b) The application also directs under sections 2806(g)(3)(i), 2809(c)(1) and 2810(c)(6) of the code (relating to implementation, pilot programs and performance-based rates; requirements for electric generation suppliers; and revenue-neutral reconciliation), that the applicant provide tax information. This tax information includes:
(1) The name, address, telephone number, electronic numbers and addresses used to transmit tax and related information of the person responsible for preparing and filing the applicant's Pennsylvania tax returns.
(2) Trade names or fictitious names used by the applicant.
(3) The type of business association (for example, sole proprietor, partnership, corporation).
(4) The names of the owners, general partners, or corporate officers and their Social Security numbers.
(5) The number of the applicant's current and anticipated employes working in this Commonwealth.
(6) Identification of the applicant's assets in this Commonwealth.
(7) The location or address of the principal office in this Commonwealth or of its registered agent.
(8) The applicant's Department tax identification numbers including Sales Tax license number, employer identification number and corporate box number. If tax numbers have not yet been obtained, an applicant shall provide the filing date of its application for these numbers.
(c) Tax information provided under subsection (b) shall be filed with the Secretary of the Department at the time that application is made with the Commission.
§ 54.34. Change in organizational structure or operational status.
(a) The applicant shall inform the Commission of a change in the information provided in the application during the pendency of the application, or while the licensee is operating in this Commonwealth.
(b) A change in the organizational structure or operation that affects an applicant's or a licensee's operation in this Commonwealth shall be reported to the Commission within 30 days of the date of the change. Specifically, notification shall be given to the Commission of a change in the following:
(1) Ownership of generation or transmission facilities or other inputs to electric power production.
(2) Affiliation with an electric distribution company, or an entity which owns generation or transmission facilities or other inputs to electric power production.
(3) Affiliation with an entity that has a franchised service area.
§ 54.35. Publication of notice of filing.
(a) Notice of filing an application shall be published in newspapers of general circulation covering each county in which the applicant intends to provide service as required by § 5.14(a)(2) (relating to applications requiring notice). Applicants may contact the Commission's press secretary to confirm the identity of the newspapers of general circulation in which notice shall be published.
(b) The notice shall be written in plain language and include the name, address and telephone number of the applicant, a description of the proposed service to be provided and the geographic area to be served. The notice shall include the application docket number and a statement that protests related to the technical or financial fitness of the applicant shall be filed within 15 days of the publication date of the notice with the Commission's Secretary, Public Utility Commission, Post Office Box 3265, Harrisburg, Pennsylvania 17105-3265. The notice in an acceptable electronic format shall be submitted to the Commission's Secretary for posting on the Commission's electronic bulletin board.
(c) Proof of publication of the notice shall be filed with the Commission's Secretary. An application will not be considered complete for Commission review without the proof of publication.
§ 54.36. Protests to applications.
(a) Consistent with § 5.14(b) (relating to applications requiring notice), a 15-day protest period commences on the date notice of the application filing is published in newspapers as set forth in § 54.35 (relating to publication of notice of filing). An interested party may file a protest to an application in compliance with § 5.52(a) (relating to content of a protest to an application) and shall set out clearly and concisely the facts of the challenge to the fitness of the applicant is based. An applicant may file an answer to the protest within 10 days of when the protest is filed. Protests which do not fully comply with § 5.52(a) will be rejected.
(b) Protests may challenge only the applicant's financial and technical fitness to provide the service for which a license is requested. Competitive protests or protests opposing other aspects of the applicant's provision of service may not be filed and, if submitted, will be rejected by the Commission. Sanctions may be imposed on parties who intentionally misuse the protest process.
(c) A protest to the applicant's technical or financial fitness to provide service will be assigned to Commission staff for review. Staff will determine if the protest fully complies with § 5.52(a) and sets out clearly and concisely the facts upon which the challenge to the fitness of the applicant is based. Staff will determine if the protest is sufficiently documented. If a protest is not sufficiently documented, Commission staff will prepare a recommendation for Commission consideration dismissing the protest and granting the application. If a protest is sufficiently documented, the application will be transferred to the Office of Administrative Law Judge for hearings or mediation as deemed appropriate.
§ 54.37. Approval.
(a) A license will be issued, authorizing the whole or any part of service requested, if the Commission finds that:
(1) The applicant is fit, willing and able to properly perform the service proposed in conformance with applicable provisions of code and the lawful Commission orders and regulations, specifically including Chapter 56 (relating to standards and billing practices for residential utility service).
(2) The proposed service is consistent with the public interest and the policy declared in Chapter 28 of the code (relating to Electricity Generation Customer Choice and Competition Act). See section 2809(b) of the code (relating to requirements for electric generation suppliers).
(b) Completed applications, with all supporting documentation, including documentation or clarifying information requested by Commission staff, if unprotested, will be processed within 45 days after acceptance by the Commission. If the application is not processed within the time period, the application will be deemed approved. The review period may be extended for a reasonable period of time by Secretarial Letter.
§ 54.38. Regulatory assessments.
(a) A licensee shall be required to pay assessments to be used to defray regulatory costs. See section 510 of the code (relating to assessment for regulatory expenses upon public utilities). Assessments will be based upon the administrative costs incurred by the Commission related to generation suppliers. These costs include: maintaining records related to licensees, and administering other provisions of the code related to maintenance of adequate reserve margins, compliance with Chapter 56 (relating to standards and billing practices for residential utility service), and fulfilling consumer information and education obligations.
(b) Yearly assessments shall be paid by the licensee within 30 days of receipt of notice of the amount lawfully charged against it as a condition of maintaining a license to supply electricity or electric generation. See section 510(c) of the code.
§ 54.39. Reporting requirements
(a) A licensee shall report its level of gross receipts to the Commission on a quarterly basis. Gross receipt information shall be filed with the Commission no later than 30 days following the end of the first full quarter, and of each subsequent quarter that the license is in effect.
(b) A licensee shall file an annual report on or before April 30 of each year, for the previous calendar year. The annual report shall contain the following information (See section 2810(c)(6)) of the code (relating to revenue--neutral reconciliation):
(1) Updates to the tax information requested in the application in § 54.33(b) (relating to application form).
(2) The total amount of gross receipts from the sales of electricity for the preceding calendar year.
(3) The total amount of electricity sold, stated in kilowatt hours, during the preceding calendar year.
(4) The percentage of total electricity supplied by each energy source, including a detailed breakdown of renewable resources as defined in section 2803 of the code (relating to definitions).
(c) A licensee shall be required to meet periodic reporting requirements as may be issued by the Commission to fulfill the Commission's duty under Chapter 28 of the code (relating to the Electricity Generation Customer Choice and Competition Act) pertaining to reliability and to inform the Governor and Legislature of the progress of the transition to a fully competitive electric market.
(d) Information requested under this section will be made available for public review upon request to the Commission subject to any rulings on confidentiality made by the Commission.
§ 54.40. Bonds or other security.
(a) A license will not be issued or remain in force until the licensee furnishes a bond or other security approved by the Commission. See section 2809(c) of the code (relating to requirements for electric generation suppliers).
(b) The purpose of the security requirement is to ensure the licensee's financial responsibility, the payment of Gross Receipts tax as required by section 2810 of the code (relating to revenue--neutral reconciliation), other taxes and the supply of electricity at retail in accordance with contracts, agreements or arrangement. See section 2809(c) of the code.
(c) The initial security level required from each applicant is $250,000. Modifications of this amount commensurate with the amount of business anticipated to be conducted in this Commonwealth will be granted when substantial evidence is submitted in support of the modification. A request for modification of this initial security level may be made in conjunction with the filing of the application. The license will be issued contingent on the submission of proof that the applicant has obtained a bond, or other approved security in the amount directed by the Commission.
(d) After the first year that the license is in effect, the security level for each licensee will be reviewed annually and modified based on the licensee's reported quarterly gross receipts information. The security level will be 10% of the licensee's reported gross receipts. See section 2809 (c)(1)(i) of the code. Maintenance of a license will be contingent on the licensee providing proof to the Commission that a bond or other approved security in the amount directed by the Commission has been obtained.
(e) Payments under the security may result from the licensee's failure to pay the full amount of taxes or assessments due, or failure to supply electricity or other services in accordance with contracts, agreements or arrangements. Language shall be incorporated in the security that prioritizes the claims for payment of the Commonwealth over claims filed by private persons.
(f) The Commission may approve the use of a security other than a bond. See section 2809 (c)(1)(i) of the code. Approval of use of other security instruments will be made by the Commission on an ad hoc basis.
(g) Licensee liability for unreasonable service, or for violations of the code and Commission orders and regulations is not limited by these security requirements.
§ 54.41. Transfer or abandonment of license.
(a) A license may not be transferred without prior Commission approval. See section 2809(d) of the code (relating to requirements for electric generation suppliers). Approval for transfer shall be obtained by petition to the Commission. The granting of the petition will not eliminate the need for the transferee to complete and file with the Commission an application that demonstrates the transferee's financial and technical fitness to render service under the transferred license.
(b) A licensee that wishes to abandon service shall notify the Commission, the licensee's customers, the affected distribution utilities and default suppliers prior to the abandonment of service. Notice shall be provided at intervals of 3, 2, 1 billing cycles preceding the affected date of the proposed abandonment in accordance with § 54.5(i) (relating to customer notification). (Editor's Note: See 28 Pa.B. 501 (January 31, 1998) for the proposed version of § 54.5).
§ 54.42. License suspension; license revocation.
(a) A licensee shall comply with all applicable requirements of Code and Commission regulations and orders. Consistent with due process, a license may be suspended or revoked, and fines may be imposed against the licensee for:
(1) Failure to pay the yearly assessment.
(2) Failure to furnish and maintain a bond or other security approved by the Commission in the amount directed by the Commission.
(3) Nonpayment of taxes under section 201 of the Tax Reform Code of 1971 (72 P. S. § 7201), relating to tax for education, and Article XI of the Tax Reform Code of 1971 (72 P. S. §§ 8101--8104), relating to utilities gross receipts tax), and taxes imposed by Chapter 28 of the code (relating to Electricity Generation Customer Choice and Competition Act). See sections 2806(g)(3) and 2809(c)(1) of the code (relating to implementation, pilot program and performance based rates; and requirements for electric generation suppliers).
(4) Failure to waive confidentiality with respect to tax information in the possession of the Department. See section 2810(c)(6)(iv) of the code (relating to revenue-neutral reconciliation).
(5) Failure to provide the address of its principal office in this Commonwealth or of its registered agent.
(6) Failure to follow the principles in § 54.43 (relating to standards of conduct and disclosure for licensees).
(7) Violation of applicable provisions of the code, this title and lawful Commission orders. See section 2809(b) of the code.
(b) The unauthorized transfer by an electric distribution company, or its affiliate, of a customer's electric generation supplier without the consumer's express consent will result in a fine, or the suspension, or the revocation of the license of that electric distribution company's affiliated electric generation supplier. See section 2807(d)(1) of the code (relating to duties of electric distribution companies).
(c) The unauthorized transfer by an electric generation supplier, or its affiliate, of a customer's electric supplier without the consumer's express consent will result in a fine, or the suspension, or the revocation of the license of that electric generation supplier. Section 57.171 (relating to standards for changing a customer's electric supplier). See section 2807(d)(1) of the code.
§ 54.43. Standards of conduct and disclosure for licensees.
To protect Pennsylvania consumers, licensees shall adhere to the following principles in the provision of electric generation service:
(1) A licensee shall provide accurate information about its electric generation services using plain language and common terms in communications with consumers. When new terms are used, the terms shall be defined again using plain language. Information shall be provided in a format that enables customers to compare the various electric generation services offered and the prices charged for each type of service.
(2) A licensee shall provide, upon the request of a customer or the Commission, information regarding energy sources by percentage, including a breakdown of renewable resources, and environmental characteristics of its electric generation purchases.
(3) A licensee shall provide notification of change in conditions of service, intent to cease operation as an electric generation supplier, explanation of denial of service, proper handling of deposits and proper handling of complaints in accordance with this title.
(4) A licensee shall maintain the confidentiality of a consumer's personal information, including name, address and telephone number, and historic payment information, and the right of access by the consumer to his own load and billing information.
(5) A licensee may not discriminate in the provision of electricity as to availability and terms of service based on race, color, religion, national origin, sex, marital status, age, receipt of public assistance income and exercise of rights under the Consumer Credit Protection Act (15 U.S.C.A. §§ 1601--1693r) relating to Equal Credit Opportunity. See 15 U.S.C.A. §§ 1691--1691f (relating to equal credit opportunity); 12 CFR Part 202 (relating to equal credit opportunity (Regulation B)).
(6) A licensee is responsible for fraudulent, deceptive or other unlawful marketing or billing acts performed by its agents or representatives. A licensee shall inform consumers of State consumer protection laws that govern the cancellation or rescission of electric generation supply contracts. See 73 P. S. § 201-7.
(7) A licensee shall comply with the relevant Commission regulations, orders and directives that may be adopted
[Pa.B. Doc. No. 98-172. Filed for public inspection January 30, 1998, 9:00 a.m.]
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