It is highly recommended that all prospective and current ESCOs be familiar with the Uniform Business Practices (UBP) which govern the business transactions between ESCOs and utilities, NYS Public Service Commission compliance requirements and enforcement mechanisms, and the treatment of consumer protections and marketing standards.
Contact Robin Taylor at [email protected], for general questions or additional information requests regarding the ESCO eligibility application process. The applicant’s completed retail access application package should be filed electronically through the Department’s Document Matter Management System (DMM) in matter number 15-00555. Visit the DMM Help page to register to e-file and find help using DMM.
Energy Brokers and/or Aggregators
Governor Hochul signed into law on December 23, 2022, Chapter 787 of the Laws of 2022 which adds a new section to the Public Service Law (PSL) that will require energy brokers and consultants to register with the Public Service Commission. DPS staff are working on a proposal to implement the provisions of PSL section 66 to allow brokers and consultants to register with the PSC.
Before making a decision to provide energy broker services in New York, you should review our Uniform Business Practices. If you are marketing on behalf of one marketer or a dozen marketers, you are considered an independent contractor of an ESCO and therefore must comply with the UBP Marketing Standards.
Application Filing Requirements
Before applying to be an ESCO, you must register your company with the NYS Department of State.
If you plan to sell electricity, you must register your company with the New York State Independent System Operator (NYISO).
Please review the rules governing New York’s competitive energy market - Uniform Business Practices (UBP) and ESCO Consumer Bill of Rights, which can be found on the UBP page.
In order to become an eligible ESCO in New York State to supply electricity and/or natural gas to residential or non-residential consumers, the applicant is required to file a retail access application.
E-Filing the Application
The retail access application package (RAAF) should be e-filed through the Department’s document matter management system (DMM) in matter number 15-00555. Visit the DMM Help page to register to e-file and find help using DMM.
Several documents are required to be submitted with the RAAF:
- Completed RAAF (including listing of entities with ownership interests; sanctions; contact info)
- NYS Department of State proof of registration (if DBA: Assumed Name Certificate required)
- Sales agreements with terms and conditions and customer disclosure statement
- Notice of Assignment, Discontinuance and Transfer
- Dual ESCO Bill/Invoice (UBP Section 9)
- Procedures to authorize access to customer historical information (UBP Section 4)
- Copies of mass marketing materials (if available at time of submission, otherwise please indicate not available)
- Procedures for prevention of slamming and cramming (UBP Definitions)
- A list of entities, including contracts and sub contractors, that will market to customers on behalf of your ESCO
- Trade secret request (if applicable)
- Quality Assurance Program (must contain description of training program, TPV script (UBP Section 5, Attachment 1-3), code of conduct, marketing ID badge, monitoring program and quality assurance procedures, and internal dispute resolution process.
- OCS Service Provider form
- Attestation to comply with the Environmental Disclosure Program – required for electric only
- HEFPA Forms – required for residential only
- Complaint data from each state in which your company has served within the last 24 months. If your company operates under multiple trade names, you must identify each name used separately and the state in which it was used.
- List and describe any security/data breaches associated with customer proprietary information that occurred in any jurisdiction in which it operates, under any trade name, within the 24 months prior to the application, and actions taken by the applicant in response to the incident. ESCOs also shall provide specific policies and procedures addressing how the intend to secure customer data.
- Disclose any history of bankruptcy, dissolution, merger, or acquisition activities during the 24 months prior to this application for each trade name used, as well as affiliates of the ESCO, including upstream owners and subsidiaries.
- Provide an officer certification, in which a high-level officer affirms that the ESCO is willing and able to comply with all applicable laws and regulations.
If any of the above listed items are not included with the application package, please explain in your letter why the items have been excluded.
Electronic Data Interchange
Before the Department can deem you eligible, you must contact a utility listed in the link below for an EDI Phase I Application. You will need to complete the Phase I testing and the utility must notify the department of your success before the eligibility process is complete. Visit the EDI Testing and Certification section for the list of utility contacts and approved EDI Vendors.
Once the retail access application package has been completed and reviewed, including compliance requirements for EDI Phase l testing, environmental disclosure statements and HEFPA criteria for residential customers, a letter of eligibility will be issued to an ESCO from the NYS Department of Public Service (DPS).
The letter must be presented to the utility by the applicant prior to initiating contact with the utility to fulfill the requirements in its retail access program, which includes a financial creditworthiness review, completion of the EDI Phase III testing and execution of any operating and billing agreements.
The applicant may not actively market to or enroll customers in a utility service territory until both the DPS and utility filing requirements have been completed.
If the application package contains information that is considered trade secret or sensitive for competitive market security reasons, the applicant may request the NYS DPS to withhold disclosure of the information, pursuant to the Freedom of Information Law (Public Officers Law, Article 6) and NYS Public Service Commission regulations (16 NYCRR §6-1.3). To file with trade secret status, you are required to submit a trade secret letter addressed to the Records Access Officer, the entire application and a redacted application in DMM matter number 15-00555.
Maintaining ESCO Eligibility
There are reporting and compliance requirements in the UBP which are required in order to maintain eligibility as an ESCO in New York State. Failure to provide advance notice of any changes to the Retail Access Application Form (RAAF) and application package; or, failure to adhere to the procedures and policies provided may result in, among other things, suspension or revocation of ESCO eligibility status.
An ESCO must:
- Notify the DPS of any major changes of information in the RAAF and application package that had been previously submitted for its compliance review process.
- Submit to the DPS, by January 31 every year a statement that the information in the RAAF and application package is current. If, this is not the case, then the ESCO must provide any revisions to this information to the DPS. See Annual Compliance Instructions below.
- Update all the information submitted in its original RAAF and application package to the DPS every three years, from the starting date of the DPS eligibility letter. Triennial Compliance Instructions
- If the provision of commodity service has not started within two years of the date of the DPS eligibility letter, it may be required to conduct additional EDI Phase I testing prior to processing customer enrollments.
Additional information on other requirements for maintaining ESCO eligibility status in New York State, and consequences for failure to do so, may be found in Uniform Business Practices Section 2, Eligibility Requirements.
Annual Compliance Instructions
Uniform Business Practices (UBP) Section 2.D requires that each eligible ESCO, whether actively marketing or not, currently serving customers or not, must file annual update information. All ESCOs must inform the Department annually by January 31 that their existing Retail Access Application Package (RAAF) is current, OR provide a description of the revised portions identifying the changes or provide the actual revisions.
In addition, ESCOs must notify the Department if there have been any updates to the Third Party Vendor Information provided to us as required in the February 25, 2014 Order. Please identify if vendors have been removed and the new replacement vendor(s), if any.
If there are no contact or business changes, you must file an attestation letter affirming all information on file is still current and valid.
Please note: All substantive changes/updates or attestation letter should be filed using our Document Matter Management (DMM) system. No hard copies or emails will be accepted.
Public and Trade Secret Filings
Please note: If you are filing with Trade Secret Protection, you are required to submit a trade secret letter addressed to the Records Access Officer, a cover letter addressed to the Secretary, the original document and a redacted document. You may contact the records access office with questions at [email protected]. For help using DMM please contact the DMM Help Desk at 518-474-3204.
Utility Retail Access Contacts
After an applicant has been issued a letter of eligibility by the Department of Public Service to serve customers as an ESCO in New York State, the next step will be to apply in a utility’s retail access program. To become an eligible participant in a specific utility service territory, the applicant will need to satisfy the utility’s creditworthiness requirements, EDI Phase III interactive testing, and billing and/or operating agreements.
Niagara Mohawk Gas and Electric: Josh Pasquariello, [email protected]
KEDLI: Michelle Rapp, [email protected]
KEDNY: Blanca Romano, [email protected]
Central Hudson: Stacy Powers, [email protected]
Orange & Rockland: Beetchin Joseph, [email protected]
National Fuel: Dan Czechowicz, [email protected]