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@example.com, 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. Applicants can register to e-file here.
Energy Brokers and/or Aggregators
The New York State Department of Public Service does not require licensing of Energy Brokers or Aggregators. 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. Please visit their website at: http://www.dos.ny.gov/corps/buscorp.html#certinc
If you plan to sell electricity, you must register your company with the New York State Independent System Operator (NYISO). Please visit their website at:
Please review the Rules governing New York’s competitive energy market - Uniform Business Practices (UBP) and ESCO Consumer Bill of Rights:
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 package:
RAAF 2021.pdfRAAF Instructions 2021.pdf
The retail access application package (RAAF) should be e-filed through the Department’s document matter management system (DMM) in matter number 15-00555. Applicants can register to e-file here.
Several documents are required to be submitted with the RAAF:
1. Completed RAAF (including listing of entities with ownership interests; sanctions; contact info)
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. The application and list of utility contacts and approved EDI Vendors can be found on our website here: http://www3.dps.ny.gov/W/PSCWeb.nsf/ArticlesByTitle/90172D773887F5A385257687006F391D?OpenDocument
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.
Utility Contacts: http://www3.dps.ny.gov/W/PSCWeb.nsf/All/CEE7BE2F6FCCF11785257687006F39DD?OpenDocument
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.
2. NYS Dept of State proof of registration (if DBA: Assumed Name Certificate required)
3. Sales agreements with terms and conditions and customer disclosure statement
2. Notice of Assignment, Discontinuance and Transfer
3. Dual ESCO Bill/Invoice (UBP Section 9)
4. Procedures to authorize access to customer historical information (UBP Section 4)
5. Copies of mass marketing materials (if available at time of submission, otherwise please indicate not available)
6. Procedures for prevention of slamming and cramming (UBP Definitions)
7. A list of entities, including contracts and sub contractors, that will market to customers on behalf of your ESCO
7. Trade secret request (if applicable)
8. 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.
9. OCS Service Provider form (located on our website here: http://www3.dps.ny.gov//W/PSCWeb.nsf/All/753D3D35C877963485257687006F39DB?OpenDocument
10. Attestation to comply with the Environmental Disclosure Program – required for electric only
11. HEFPA Forms – required for residential only samples available here: http://www3.dps.ny.gov/W/PSCWeb.nsf/All/BFBBC5F20C80A1C685257687006F3A5C?OpenDocument
12. 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.
13. 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.
14. 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.
15. 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.
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 –
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 UBP Section 2, Eligibility Requirements.
- 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. Annual Compliance Instructions
- 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.
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