LAW WITHOUT
GOVERNOR'S CHAPTER
SIGNATURE
318
JUNE 22, 2021 PUBLIC LAW
STATE OF MAINE
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IN THE YEAR OF OUR LORD
TWO THOUSAND TWENTY-ONE
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H.P. 172 - L.D. 251
An Act Regarding Public Utility Assessments, Fees and Penalties
Be it enacted by the People of the State of Maine as follows:
Sec. 1. 35-A MRSA §116, sub-§1, as amended by PL 2013, c. 600, §1, is further
amended to read:
1. Entities subject to assessments. Every transmission and distribution, gas,
telephone and water utility and ferry subject to regulation by the commission and every
qualified telecommunications provider is subject to an assessment on its intrastate gross
operating revenues to produce sufficient revenue for expenditures allocated by the
Legislature for the Public Utilities Commission Regulatory Fund established pursuant to
this section. The budget for the Public Utilities Commission Regulatory Fund is subject to
legislative review and approval in accordance with subsection 2. The portion of the total
assessment applicable to each category of public utility or qualified telecommunications
provider is based on an accounting by the commission of the portion of the commission's
resources devoted to matters related to each category. The commission shall develop a
reasonable and practicable method of accounting for resources devoted by the commission
to matters related to each category of public utility or qualified telecommunications
provider. Assessments on each public utility or qualified telecommunications provider
within each category must be based on the utility's or qualified telecommunications
provider's gross intrastate operating revenues. Within each category of public utility, the
assessment must be apportioned and applied separately to investor-owned utilities and
consumer-owned utilities. The portion of the assessment applicable to investor-owned
utilities and consumer-owned utilities within each category must be determined based on
an accounting by the commission of the portion of the commission's resources devoted to
matters related to investor-owned utilities and the portion devoted to matters related to
consumer-owned utilities. The commission shall determine the assessments annually prior
to May 1st and assess each utility or qualified telecommunications provider for its pro rata
share for expenditure during the fiscal year beginning July 1st. Each utility or qualified
telecommunications provider shall pay the assessment charged to the utility or qualified
telecommunications provider on or before July 1st of each year. Any increase in the
assessment that becomes effective subsequent to May 1st may be billed on the effective
date of the act authorizing the increase.
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 A. The assessments charged to utilities and qualified telecommunications providers
under this section are just and reasonable operating costs for rate-making purposes.
B. For the purposes of this section, "intrastate gross operating revenues" means:
(1) In the case of all utilities except telephone utilities, revenues derived from filed
rates except revenues derived from sales for resale;
(2) In the case of a telephone utility, all intrastate revenues, except revenues
derived from sales for resale, whether or not the rates from which those revenues
are derived are required to be filed pursuant to this Title; and
(3) In the case of a qualified telecommunications provider, all intrastate revenues
except revenues derived from sales for resale.
C. Gas utilities subject to the jurisdiction of the commission solely with respect to
safety are not subject to any assessment.
D. The commission may correct any errors in the assessments by means of a credit or
debit to the following year's assessment rather than reassessing all utilities or qualified
telecommunications providers in the current year.
E. The commission may exempt utilities or qualified telecommunications providers
with annual intrastate gross operating revenues under $50,000 from assessments under
this section.
F. The portion of the assessment applicable to investor-owned utilities and consumer-
owned utilities within each category of public utility, as determined by the commission
under this subsection, must be allocated to each utility based on a 3-year rolling average
of revenue reported by the utility.
For purposes of this section, "qualified telecommunications provider" means a provider of
interconnected voice over Internet protocol service that paid any assessment under this
subsection, whether voluntarily, by agreement with the commission or otherwise, prior to
March 1, 2012.
Sec. 2. 35-A MRSA §116, sub-§8, as amended by PL 2019, c. 226, §1, is further
amended to read:
8. Public Advocate assessment. Every utility or qualified telecommunications
provider subject to assessment under this section is subject to an additional annual
assessment on its intrastate gross operating revenues to produce sufficient revenue for
expenditures allocated by the Legislature for operating the Office of the Public Advocate.
The portion of this assessment applicable to each category of public utility or qualified
telecommunications provider is based on an accounting by the Public Advocate of
resources devoted to matters related to each category. The Public Advocate shall develop
a reasonable and practicable method of accounting for resources devoted by the Public
Advocate to matters related to each category of public utility or qualified
telecommunications provider. Assessments on each public utility or qualified
telecommunications provider within each category must be based on the utility's or
qualified telecommunications provider's gross intrastate operating revenues. Within each
category of public utility, the assessment must be apportioned and applied separately to
investor-owned utilities and consumer-owned utilities. The portion of the assessment
applicable to investor-owned utilities and to consumer-owned utilities within each category
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must be determined based on an accounting by the Public Advocate of the portion of the
resources of the Office of the Public Advocate devoted to matters related to investor-owned
utilities and the portion devoted to matters related to consumer-owned utilities. The
revenues produced from this assessment are transferred to the Public Advocate Regulatory
Fund and may only be used only to fulfill the duties specified in chapter 17. The
assessments charged to utilities and qualified telecommunications providers under this
subsection are considered just and reasonable operating costs for rate-making purposes.
The Public Advocate shall develop a method of accounting for staff time within the Office
of the Public Advocate. All professional and support staff shall account for their time in
such a way as to identify the percentage of time devoted to public utility and qualified
telecommunications provider regulation and the percentage of time devoted to other duties
that may be required by law.
A. The Public Advocate shall submit its budget recommendations, using a zero-based
budgeting process or other process or method directed by the State Budget Officer, as
part of the unified current services budget legislation in accordance with Title 5,
sections 1663 to 1666. The assessments and expenditures provided in this section are
subject to legislative approval. The Public Advocate shall make an annual report of its
planned expenditures for the year and on its use of funds in the previous year. The
Public Advocate may also receive other funds as appropriated by the Legislature.
B. The Public Advocate may use the revenues provided in accordance with this section
to fund the Public Advocate and 10 employees and to defray the costs incurred by the
Public Advocate pursuant to this Title, including administrative expenses, general
expenses, consulting fees and all other reasonable costs incurred to administer this
Title.
C-1. Funds that are not expended at the end of a fiscal year do not lapse but must be
carried forward to be expended for the purposes specified in this section in succeeding
fiscal years.
E. The portion of the assessment applicable to investor-owned utilities and consumer-
owned utilities within each category of public utility, as determined by the Public
Advocate under this subsection, must be allocated to each utility based on a 3-year
rolling average of revenue reported by the utility.
Sec. 3. 35-A MRSA §120, sub-§2-A is enacted to read:
2-A. Filing fees and penalties; legislation. Any filing fees or penalties collected in
the previous year under this Title that have not been adjusted in the previous 5 years. For
filing fees or penalties reported pursuant to this subsection, the commission shall submit,
along with the annual report, information regarding the dollar value of the filing fee or
penalty adjusted for inflation based on the Consumer Price Index, as defined in Title 5,
section 17001, subsection 9. After receiving the annual report, the committee may report
out a bill to adjust for inflation any filing fee or penalty provided in the report;
Sec. 4. 35-A MRSA §120, sub-§2-B is enacted to read:
2-B. Commission expenses; investor-owned and consumer-owned utilities.
Beginning in 2022, for each category of public utility listed in section 116, subsection 1:
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 A. The portion of commission resources devoted to matters related to investor-owned
utilities and the portion of commission resources devoted to matters related to
consumer-owned utilities; and
B. The commission's expenses per dollar of intrastate gross operating revenue for
investor-owned utilities and for consumer-owned utilities;
Sec. 5. 35-A MRSA §708, sub-§4, as enacted by PL 1987, c. 141, Pt. A, §6, is
amended to read:
4. Filing fee. Within 30 days after the application for approval of a reorganization is
filed pursuant to subsection 2, the commission may order the applicant to pay a filing fee
not to exceed $50,000, 5/100 of 1% of the transaction value as determined by the
commission if the commission determines that the application may involve issues which
will that would necessitate significant additional costs to the commission, except that, if a
reorganization would result in the transfer of ownership and control of a public utility or
the parent company of a public utility, the commission shall order the applicant to pay to
the commission a filing fee in an amount equal to 5/100 of 1% of the transaction value as
determined by the commission. The applicant may request the commission to waive all or
a portion of the filing fee. The commission shall rule on the request for waiver within 30
days. Notwithstanding any other provision of law, filing fees paid as required in this
subsection shall must be segregated, apportioned and expended by the commission for the
purposes of processing the application. Any portion of the filing fee that is received from
an applicant and is not expended by the commission to process the application shall must
be returned to the applicant.
Sec. 6. 35-A MRSA §759, first ¶, as enacted by PL 1995, c. 348, §1, is amended
to read:
The provisions of this chapter are considered safety and health standards of the State.
A person who causes, permits or allows work or other activity in violation of the provisions
of this chapter may be assessed a civil penalty not exceeding $1,000 $1,700 for each day
the violation continues.
Sec. 7. 35-A MRSA §1508-A, sub-§1, as amended by PL 2011, c. 623, Pt. B, §5,
is further amended to read:
1. Penalty. Unless otherwise specified in law, the commission may, in an adjudicatory
proceeding, impose an administrative penalty as specified in this section.
A. For willful violations of this Title, a commission rule or a commission order by a
public utility, voice service provider, dark fiber provider, wholesale competitive local
exchange carrier or a competitive electricity provider, the commission may impose an
administrative penalty for each violation in an amount that does not exceed $5,000
$5,800 or .25% of the annual gross revenue that the public utility, voice service
provider, dark fiber provider, wholesale competitive local exchange carrier or the
competitive electricity provider received from sales in the State, whichever amount is
lower. Each day a violation continues constitutes a separate offense. The maximum
administrative penalty for any related series of violations may not exceed $500,000
$575,000 or 5% of the annual gross revenue that the public utility, voice service
provider, dark fiber provider, wholesale competitive local exchange carrier or the
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 competitive electricity provider received from sales in the State, whichever amount is
lower.
B. For a violation in which a public utility, voice service provider, dark fiber provider,
wholesale competitive local exchange carrier or a competitive electricity provider was
explicitly notified by the commission that it was not in compliance with the
requirements of this Title, a commission rule or a commission order and that failure to
comply could result in the imposition of administrative penalties, the commission may
impose an administrative penalty that does not exceed $500,000 $575,000.
C. The commission may impose an administrative penalty in an amount that does not
exceed $1,000 $1,200 on any person that is not a public utility, voice service provider,
dark fiber provider, wholesale competitive local exchange carrier or a competitive
electricity provider and that violates this Title, a commission rule or a commission
order. Each day a violation continues constitutes a separate offense. The
administrative penalty may not exceed $25,000 $29,000 for any related series of
violations.
D. In addition to the administrative penalties authorized by this subsection, the
commission may require disgorgement of profits or revenues realized as a result of a
violation of this Title, a commission rule or a commission order.
Sec. 8. 35-A MRSA §1702, sub-§6, ¶A is enacted to read:
A. Beginning in 2022, the annual report must include, for each category of public
utility listed in section 116, subsection 1, an accounting of:
(1) The portion of the Public Advocate's resources devoted to matters related to
investor-owned utilities and the portion of resources devoted to matters related to
consumer-owned utilities; and
(2) The Public Advocate's expenses per dollar of intrastate gross operating revenue
for investor-owned utilities and for consumer-owned utilities.
Sec. 9. 35-A MRSA §2706, sub-§3, as enacted by PL 2007, c. 553, §2, is amended
to read:
3. Civil penalty. A civil penalty not to exceed $2,500 $3,000 due and payable to the
utility for each violation of this section.
Sec. 10. 35-A MRSA §2707, sub-§3, as enacted by PL 2007, c. 553, §3, is amended
to read:
3. Civil penalty. A civil penalty not to exceed $2,500 $3,000 due and payable to the
utility for each violation of this section.
Sec. 11. 35-A MRSA §2708, sub-§3, as enacted by PL 2007, c. 553, §4, is amended
to read:
3. Civil penalty. A civil penalty not to exceed $2,500 $3,000 due and payable to the
utility for each violation of this section.
Sec. 12. 35-A MRSA §3206-A, sub-§1, as amended by PL 2003, c. 505, §30, is
further amended by amending the first blocked paragraph to read:
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The commission may impose administrative penalties of up to $100,000 $143,000 for a
violation of section 3205 or section 3206 or any rule adopted by the commission pursuant
to those sections. Each day of a violation constitutes a separate offense. In addition, the
commission may require disgorgement of profits or revenues realized as a result of a
violation of section 3205 or section 3206 or any rule adopted by the commission pursuant
to those sections.
Sec. 13. 35-A MRSA §3306, sub-§6, as amended by PL 1999, c. 398, Pt. A, §80
and affected by §§104 and 105, is further amended to read:
6. Filing fee. The petitioner or petitioners requesting commission intercession shall
pay to the commission an amount equal to $1,000 $1,600 per megawatt of capacity of the
facility in issue. The petitioner or petitioners may request the commission to waive all or
part of the filing fee. The commission shall rule on the request for waiver within 30 days.
Filing fees paid as required in this subsection must be segregated, apportioned and
expended by the commission for the purposes of this section. Any portion of the filing fee
that is received from any petitioner or petitioners and is not expended by the commission
to process the request for intercession must be returned to the petitioner or petitioners.
Sec. 14. 35-A MRSA §4358, as enacted by PL 1987, c. 141, Pt. A, §6, is amended
to read:
§4358. Cost of review
The licensee shall submit to the commission, with the initial filing or upon a subsequent
formal review of a decommissioning financing plan under this subchapter, a filing fee as
determined by the commission, but not to exceed $50,000 $115,000, in order to assist in
covering the cost of review by the commission. Within one year after establishment of a
decommissioning fund under this subchapter, the licensee may recover the licensing fee
from the fund. Money received from the filing fee shall must be segregated, apportioned
and