Pre and Post Certification Requirements

The following information has been prepared by the Department of Public Service (Department) to assist applicants in applying for a Certificate of Public Convenience and Necessity (CPCN). Although it is intended to be self-explanatory, Department staff is available to answer any questions that might arise. For inquiries, please call the Office of Telecommunications at 518-473-5245.

What is a Certificate of Public Convenience and Necessity?

Pursuant to Section 99 of the New York State Public Service Law (PSL §99), companies seeking to offer regulated telephone services in New York State for profit must apply for and obtain the appropriate authority from the Public Service Commission (Commission) before constructing facilities and/or offering telecommunications services to the public.

The applicant may not begin to offer telephone service until such authority has been granted and its tariff(s)and/or Customer Service Guide, as applicable, have been approved to become effective. At that point, the applicant is subject to and must comply with all pertinent statutes and Commission rules and regulations governing telephone corporations.

What Types of Providers Must Obtain a CPCN?

A CPCN is required for any retail and wholesale provider of local exchange (dial tone), long distance, alternative operator, and other types of telephone services, whether it utilizes its own facilities, leased facilities, or resells the services of other telephone companies.

A CPCN is not required for any provider of wireless (cellular) telephone services, Voice-over-Internet-Protocol (VoIP) services, broadband/internet services, or telephone service by means of customer-owned or leased, currency or credit card operated telephones (COCOT), and motels, hotels or hospitals.

Types of Authorities Granted by the Commission

A company may apply for a CPCN that authorizes it to operate as a local exchange provider, reseller, facilities-based provider, or facilities-based non-intrastate provider.

A local exchange service provider is a carrier of telephone calls (dial tone) and other communication services carried by telephone lines. A local exchange provider normally offers package deals that include local, long distance and local toll calls. A call that is neither local nor long-distance is called a local toll call.

A reseller subscribes to telecommunications services and/or facilities of another regulated telephone corporation and reoffers those services to the public for hire. Companies certified as resellers are only authorized to provide services through resale.

A facilities-based company is authorized to provide telephone service via their own facilities, via a mix of their own facilities and resale, or through resale only.

A facilities-based non-intrastate provider constructs and/or leases facilities with the purpose of transmitting broadband signals or constructing dark fiber without the intention of providing traditional telephone service. This level of provider typically requires this type of CPCN in order to gain access to poles and facilities to construct their system.

Depending on the authority granted by the Commission, certificated providers are subject to varying degrees of regulation. The higher the level of authority granted will increase a provider’s level of compliance required in the PSL and Commission’s rules and regulations.

Submitting a Petition for Certificate of Public Convenience and Necessity

All required information for a CPCN application can be found within the CPCN petition form.

Notably, an applicant seeking to provide Basic Retail services and/or Switched Access/Wholesale services is required to maintain tariffs with the Commission pursuant to PSL §92 and therefore must submit proposed tariff(s) with the CPCN petition, among other things. The proposed tariff(s) filed with the application should include a watermark on the leaves noting that it is a draft or unofficial copy. A draft copy is ultimately considered an official copy once Department staff completes its review and approves the tariff.

As an aid to companies seeking certification, the Department has provided a Model Retail Tariff, Model Access Tariff, and a Model Basic Service Tariff to help an applicant organize and structure its tariff. The models are not intended to specify or limit what services are offered.

An applicant seeking to provide non-basic retail services is permitted to post a Customer Service Guide (CSG) on its website in lieu of filing a tariff with the Commission pursuant to PSL §92-g. In such cases, a proposed draft copy of the CSG must be submitted with the CPCN petition and should include a watermark on the leaves noting that it is a draft or unofficial. A draft copy is ultimately considered an official copy once Department staff completes its review and approves the CSG. View CSG requirements as well as an outline of information required in a CSG.

The proposed tariff(s) or CSG will be reviewed by Department staff for completeness and conformance with formatting and regulatory standards and may be returned to the applicant with any missing or incorrect formatting or information noted. If the provisions in the proposed tariff(s)/CSG do not conform with the PSL and/or Commission requirements, revisions will be required before the tariff(s)/CSG can be approved.

A CPCN application cannot be processed, and may be returned, if a draft tariff and/or CSG is not submitted.

There is a 90-day operation-of-law time frame to process CPCN applications pursuant to PSL §99. The applicant will be notified in writing when the CPCN is granted. Notification will also be given of the approval and effective date of the initial tariff(s) and/or CSG, as applicable.

If the application cannot be approved within the 90-day time frame, the applicant may be asked to withdraw and refile the application, allowing a new 90-day period for the applicant to complete a new petition; or, the application may be rejected without prejudice, leaving opportunity for the applicant to refile a CPCN petition.

Applicants must also submit a Telecommunications Carrier Critical Information Form (TCCI), among other things. This form is used to collect company information that is utilized in a number of Department applications and may be used in emergency situations to correspond quickly with companies. For these reasons, it is essential that these records be kept accurate and complete.

When Official Copies of Tariffs and/or Customer Service Guides are Ready for Submission

Applicants who need to submit a Basic Retail services tariff and/or a Switched Access/Wholesale services tariff must do so using the Department’s Electronic Tariff System (ETS).

An applicant’s final, official copy of its tariff cannot be filed in ETS until Department staff has reviewed and approved the draft tariff(s) and signaled to the applicant to proceed with the ETS submission.

To file a tariff in ETS, a submitter will need a login ID, a password and a unique company code. View the submitter section on Help with the DPS Electronic Tariff System for details on how to file tariffs using ETS. Additional ETS questions can be directed to Timothy Kitchner at 518-473-5245 or [email protected].

When an initial tariff is filed, there must be an interval of at least 90 days between the issue date of the tariff and its effective date. The issue date of the tariff is the date it is received by the Commission. 

An applicant’s final, official copy of its CSG will not be submitted in ETS. Instead, it will be filed in a matter to be specified by Department staff once it has been reviewed and approved. Additional CSG questions can be directed to Grace Richardson at 518-486-6532 or [email protected].

Post Certification Process

Once the CPCN petition is approved, telephone corporations are required to file various reports and annual filings with the Commission, which vary depending on the type of authority granted. Please refer to Report Filing Requirements for assistance.  

Surrendering a Certificate of Public Convenience and Necessity

To surrender a CPCN and relinquish authority to provide telecommunications services in New York State, a company should email a cover letter to the Secretary at [email protected], stating that the company no longer provides telephone services, has no customers, would like to surrender its CPCN and relinquish all rights associated therewith. The cover letter should be accompanied by a tariff Cancellation Supplement for each tariff in effect, canceling them in their entirety. The filing will also need to include a notarized attestation that the company no longer has any regulated telecommunication customers in New York State.

If the effective tariffs are in electronic format (ETS), the tariff Cancellation Supplement(s) should be filed in ETS.

If the tariffs are filed in paper format, the cover letter and tariff Cancellation Supplement(s) should be emailed to the Secretary at [email protected].

If the company does not know in which format its tariffs are filed, or for any general questions about surrendering a CPCN and relinquishing authority to provide telecommunications services, please contact Timothy Kitchner at 518-473-5245 or [email protected].

Tariffs

Telecommunications Procedures and Forms

Procedures

Transfer of Assets, Mergers and Stock Transactions - Procedures for Applicants


Forms

Telecommunications Company Critical Information (TCCI) Form