With Limited Exemptions, New York PSC Adopts Broad Definition Of Broker & Consultant In Written Order; ESCOs May Be Required To Register As Brokers/Consultants

"Referral Fees" Prohibited

PSC Sets Acceptable Financial Security Instrument

June 22, 2023

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Copyright 2010-23 EnergyChoiceMatters.com
Reporting by Paul Ring • ring@energychoicematters.com

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The New York PSC has issued a written order concerning the registration of retail energy brokers and consultants, the required disclosure of compensation, and financial requirements

Aside from limited exemptions noted in our story yesterday and discussed further below, the PSC adopted Staff's broad reading of the broker and consultant definition under the broker statute (PSL §66-t)

Under the statute (PSL §66-t), the term "energy broker" is defined to mean, "an entity that assumes the contractual and legal responsibility for the sale of electric supply service, transmission or other services to end-use retail customers, but does not take title to any of the electricity sold, or an entity that assumes the contractual and legal obligation to provide for the sale of natural gas supply service, transportation or other services to end-use retail customers, but does not take title to any of the natural gas sold."

Under the statute, the term "energy consultant" is defined to mean, "any person, firm, association or corporation who acts as broker in soliciting, negotiating or advising any electric or natural gas contract, or acts as an agent in accepting any electric or natural gas contract on behalf of an ESCO."

The PSC adopted the following definitions, as recommended by Staff:

"Energy broker – A non-utility entity that performs energy management or procurement functions on behalf of customers or ESCOs, and (1) that assumes the contractual and legal responsibility for the sale of electric supply service, transmission or other services to end-use retail customers, but does not take title to any of the electricity sold, and does not make retail energy sales to customers, or (2) that assumes the contractual and legal obligation to provide for the sale of natural gas supply service, transportation or other services to end-use retail customers, but does not take title to any of the natural gas sold, and does not make retail energy sales to customers."

"Energy consultant – any person, firm, association or corporation who acts as broker in soliciting, negotiating or advising any electric or natural gas contract, or acts as an agent in accepting any electric or natural gas contract on behalf of an ESCO."

While the PSC agrees with a broad reading of the statute, the PSC narrowed the interpretation of the term "other services" as used in both the statutory and regulatory definition of "energy broker".

Specifically, the Commission found that the term "other services" applies to, "energy-related, value-added services bundled with electric and/or gas commodity supply services provided by ESCOs."

The Commission also clarified the definition of "energy consultant."

The Commission limited the applicability of the term "energy consultant" so that it applies to, "(1) those entities that receive valuable consideration for acting as agents of a third party or an end-use retail customer, or as intermediaries between an end-use retail customer and a third party, in the soliciting, negotiating, or advising of energy contracts, with the purpose of facilitating such contracts, or (2) those acting as an agent in accepting an energy contract on behalf of an ESCO or DER Provider."

ESCOs, DER Suppliers May Be Required To Register As Brokers / Consultants

As more fully discussed below, the PSC adopted Staff's interpretation that the term energy broker applies to any ESCOs that perform actions that would otherwise fall under the definition of energy broker.

"In particular, the Commission finds the proposal’s reading of the statutory terms to apply to ESCOs, DER suppliers, and third-party vendors working on behalf of ESCOs follows logically from the broad terms used in those definitions," the PSC said

The PSC further said that an ESCO may operate as an "energy consultant" when it performs marketing activities for other ESCOs or DER suppliers because, "it would be acting as a broker in soliciting, negotiating, or advising energy contracts."

"Similarly, third party vendors for ESCOs undertake marketing activity designed to enroll customers with that ESCO through soliciting, negotiating, and advising on the ESCOs energy contracts," the PSC said

The Commission disagrees with those commenters that requested that ESCOs and/or DER suppliers be exempted from the provisions of PSL §66-t or the requirement to register if their actions fall under those described in the definitions of 'energy broker' or 'energy consultant' in the UBP and UBP-DERS.

"An ESCO’s potential qualification as an 'energy broker' is not tied to its purchase of energy for the purpose of resale to end-use customers or its taking title to the electricity or natural gas sold or to entities that make retail sales of energy commodity to end-use customers, but instead arises out of other potential activities conducted by the ESCO. For example, many ESCOs may conduct marketing activities on behalf of third parties, essentially taking on a role that would require registration as an 'energy consultant.' It is these types of activities, which would be scrutinized in the business model test enunciated above, that would qualify ESCOs as an entity covered under PSL §66-t," the PSC said

"The Commission acknowledges that ESCOs and DER suppliers are already regulated through specifically provided registration/eligibility requirements under the UBP and UBP-DERS. However, these regulatory constructs do not comprehensively regulate ESCOs or DER suppliers that broker deals between a customer and a third-party supplier of the energy commodity or DER product for compensation. Such actions are more akin to the definition and business practices of an energy broker and require additional oversight not previously provided by the UBP or UBP-DERS, and therefore ESCOs and DERS carrying out such business models shall be subject to regulation as energy brokers," the PSC said

Regarding an ESCO’s in-house sales team, the PSC said that these individuals would not be 'energy brokers' as they are employees of the ESCO that are exempt for the same reasons as the ESCO itself.

"That said, these individuals would fall under the definition of 'energy consultant' as they act as a broker in soliciting, negotiating, or advising electric or natural gas contracts. However, the Commission declines at this time to apply this definition to an ESCO’s in-house sales team, since these individuals are an ESCO’s employees and would be covered under the ESCO’s Retail Access Eligibility Application," the PSC said

The PSC said, "The term 'DER supplier' encompasses a broad array of entities that may provide stand-alone DER products and services and also those that bundle such products and services with energy commodity ... [R]egistration requirements will apply to DER suppliers that perform actions that fall under the definitions of 'energy broker' or 'energy consultant.' The definition of 'energy consultant' applies to actions taken in relation to an 'electric or natural gas contract.' The Commission will thus apply this requirement only to contracts for commodity service."

"Consequently, CDG [community distributed generation] sponsors would not fit within the definition of 'energy consultant' as CDG sponsors provide bill credits to customers and do not provide commodity service," the PSC said

"Nevertheless, the provisions of PSL §66-t provide that registration requirements are logically applicable to CDG providers and DER suppliers that broker commodity transactions between a customer and an energy commodity supplier. In other words, while a CDG provider would not be subject to these registration requirements based on their CDG activities alone, it might engage in additional activities that would necessitate registration under PSL §66-t," the PSC said

"The Commission does not agree with Logical Buildings’ contention that the inclusion of the word 'broker' in the definition of 'energy consultant' means that only an entity that qualifies as an 'energy broker' under PSL §66-t(1)(c) or that acts as an agent for an ESCO would qualify as an 'energy consultant.' If the legislature intended the statute to be interpreted as Logical Buildings suggests, then it would have included the full term 'energy broker' within the definition of 'energy consultant,'" the PSC said

"The Commission interprets the inclusion of the word 'broker' in the definition of 'energy consultant' to mean that an entity qualifies as an 'energy consultant' when it is acting as an agent or intermediary, for consideration, with the purpose of facilitating an electric or natural gas contract through soliciting, negotiating, or advising the contract. This interpretation is echoed in the second part of the definition of 'energy consultant,' which applies the definition to an entity that acts as an agent of an ESCO in accepting an electric or natural gas contract.9 The characteristics that define an entity as an energy consultant are that it acts as an agent to facilitate an energy contract. Using Logical Buildings’ example, this interpretation would not require an attorney advising a client on an energy contract to register as an 'energy consultant' as an attorney’s advice would not be for the purpose of facilitating, or moving forward, the agreement, but would, presumably, be limited to advising the client on what is in their best interests," the PSC said

Certain parties had argued that that energy brokers and consultants typically work on behalf of a customer, but the PSC said that the definitions provided in PSL §66-t do not make any such distinction, and declined to adopt such a test

"The applicability of energy broker and energy consultant registration requirements ultimately depend on whether an entity’s actions meet the definition of 'energy broker' and 'energy consultant' provided in PSL §66-t. The Commission will not at this time make a blanket judgement on whether certain types of actors in the retail energy market need to register because one type of actor may take on various roles. The test for the applicability of the registration requirement will examine the business model or models followed by the energy broker and energy consultant, whether such models provide greater transparency and accountability for the marketplace, and whether such entities have direct contact with customers," the PSC said

"While the Commission agrees with Staff’s proposal that individual employees of a registered broker or consultant need not register because these entities will be covered under their employer’s registration, the Commission does not adopt Staff’s proposal that contractors, vendors, and agents of an ESCO do not need to register. The Commission must ensure that it has direct regulatory authority over any contractors and agents of an ESCO if the contractor or agent’s business activities fit the definitions of 'energy broker' or 'energy consultant,'" the PSC said

"Any third parties that market on behalf of ESCOs, including telemarketers, door-to-door marketers, kiosk marketers, and any other vendors, fall under PSL §66-t’s definition of an 'energy consultant.' These third-party vendors meet both parts of the energy consultant definition by (1) receiving valuable consideration for acting as agents or intermediaries to solicit, negotiate, or advise energy contracts for the purpose of facilitating the contract and (2) by accepting energy contracts on behalf of ESCOs," the PSC said

"By contrast to the ESCO in-house marketers discussed above, these entities are not employees of the ESCO and are not otherwise required to register/apply with the Commission in order to do business in New York. Thus, ESCO third-party marketers will be required to register with the Commission pursuant to PSL §66-t," the PSC said

Exempt Entities

As more fully discussed below, attorneys (meeting the standard noted below), CCA Administrators, and rate consultants which do not advise on purchasing decisions would be exempt from the broker / consultant requirements

The Commission specifically exempted, "attorneys providing legal services pursuant to an existing attorney-client relationship", from the requirements of PSL §66-t, even if those legal services may fall within the definitions of energy broker or consultant.

"The fiduciary duty attorneys have towards their clients mitigates concerns regarding the need for consumer protections in these energy transactions. Additionally, attorneys are licensed by the Appellate Division of the New York State Supreme Court, which retains authority over attorney licensing, conduct, and disciplinary actions," the PSC said

Although the PSC agreed that, "CCA administrators fit within the statutory definition of 'energy broker' because they assume the contractual and legal responsibility for the sale of electric supply service to the communities they serve," the PSC nonetheless exempted CCA administrators

"While CCA Administrators technically may fall under the broad definition of 'energy broker' because they assume the contractual and legal responsibility for the sale of electric supply service for the communities they serve, without taking title to the electricity sold, applying these registration requirements under PSL §66-t to CCA Administrators would create administrative inefficiencies and impose requirements that are unnecessary in light of the more robust application process undertaken by CCA Administrators currently," the PSC said

As stated above, an entity is considered an 'energy consultant' when it acts as a broker in soliciting, negotiating, or advising an energy contract, meaning that the entity is acting as an agent or intermediary.

"Those providing legal advice or guidance on energy options would not be required to register as energy consultants. Only those entities that accept consideration for directly facilitating an energy contract by advising a customer on whether to accept a contract or advocating for any particular entity as an energy source would be required to register as an energy consultant," the PSC said

"The legislative intent of PSL §66-t is to create greater transparency of and accountability for entities that do not have a fiduciary duty to the energy commodity customer, and where certain business models and forms of payment could create a misalignment of interests between an energy broker or consultant and an energy commodity customer. For civil legal services entities like PULP or legal services firms, for non-profit government funded entities like the regional energy hubs funded by NYSERDA, and for for-profit law firms, each of these entities has a strong and mandated fiduciary duty to the customer, and to the public interest in the case of the regional energy hubs. Such entities will thus not be regulated by the Commission as energy consultants or energy brokers," the PSC said

"The Commission also agrees with Logical Buildings’ comments that the Legislature did not intend to include all utility rate consultants in the definition of 'energy consultants.' As noted above, an energy consultant in an entity who 'acts as a broker in soliciting, negotiating or advising any electric or natural gas contract,' and the Commission is interpreting this phrase to apply to an energy consultant when acting as an agent or as an intermediary in relation to an energy contract. Utility rate consultants represent customers in disputes with utilities and advise customers on their rights under utility tariffs. A utility rate consultant is not acting as an agent or intermediary in an attempt to influence the customer’s purchasing decisions on energy supply, transmission, transportation, or other services," the PSC said

"Likewise, entities that represent customers in renegotiating supply rates, or terms and conditions between customers and ESCOs, or entities that submit complaints to DPS on behalf of customers against ESCOs, will not be considered 'energy consultants' as such entities are not acting as agents or brokers in negotiating or advising on energy contracts," the PSC said

"[A] company will not be required to register with the Commission if it receives a fee, as part of a fee-splitting arrangement, from an energy broker or consultant when such company does not provide brokering or consulting services itself. However, such fee splitting arrangements must be disclosed to the customer by the energy broker or energy consultant as discussed elsewhere in this Order," the PSC said. Disclosure requirements are discussed further below

Compensation Disclosure

Energy Brokers and Energy Consultants shall disclose to customers the form and amount of compensation via a conspicuous statement on any contract or agreement between the energy agent, consultant, broker, or intermediary and its customer

"All such disclosures shall include any dollar amount paid, the form in which the compensation was given to the Energy Broker or Energy Consultant, the entity which made the payment, and any broker fee or margin which was added to the energy product or service the customer enrolled in. This disclosure must include anything of value that was given as compensation to the Energy Broker or Energy Consultant for their work, including commissions, bonuses, and any non-financial compensation," the modified UBPs [uniform business practices] provide

In instances where the Energy Broker or Energy Consultant has a direct contractual relationship with the customer, this disclosure shall be included on the first page of the customer agreement, must be in plain language, and appear in 12-point font size or larger.

In instances where the Energy Broker or Energy Consultant does not have a direct contractual relationship with the customer, an Energy Broker or Energy Consultant shall disclose to the customer in a separate, written communication any fee splitting arrangement, including the third party receiving the fee and the amount or percentage of fee that the third party will receive.

If a third party, such as an ESCO or DERS, collects compensation on behalf of the Energy Broker or Energy Consultant, such compensation shall be added to the Customer Disclosure Statement in the third party’s customer agreement and reflect the amount and method. In this instance, the Energy Broker or Energy Consultant shall still disclose this information at the time of marketing to the customer.

The PSC did not adopt a standard method of or procedure for disclosing compensation of brokers and consultants

"The Commission finds that disclosing the broker or consultant compensation as a fee-per-unit of energy, a recurring fee, or a flat fee are all adequate methods of disclosing compensation. Because of the wide range of business models that may be impacted by the provisions of PSL §66-t, the Commission declines to adopt one standard method of or procedure for disclosing compensation," the PSC said

"The energy broker or consultant shall disclose their method of compensation as it is known at the time of contracting, whether it be a flat fee, a recurring fee, or a fee per unit of energy, provided however that delaying compensation until after the time of contracting will not vacate the requirement for disclosure of method(s) of compensation," the PSC said

"Regarding NRG’s comment highlighting that additional fees may be charged in some arrangements after hedges are locked in, the Commission will not require additional disclosures to be sent, although the original contract must state that additional fees may be applied," the PSC said

Any other compensation given for brokering or consulting services, including any commissions, bonuses, or non-financial compensation, must be disclosed to the customer, the PSC said

"However, if the details of such compensation are unknown at the time of contracting it is sufficient to include a statement that the broker or consultant may receive additional compensation, bonuses, commissions, or incentives in addition to the fee listed. Disclosures must also name the source of such compensation," the PSC said

"[M]andated disclosures are not limited to the compensation paid by a particular customer or in connection with a particular contract," the PSC said

The PSC rejected NRG's proposal that incentives provided to energy brokers and consultants that are not tied to enrolling a specific customer, such as taking a broker to a sporting event or dinner to discuss future business prospects or show appreciation for a prior deal, or special bonuses or prizes not tied to a particular customer, should not be reportable to customers because such incentives are not billed to a particular customer.

"The purpose of compensation disclosure is not only to make customers aware of what they are paying for, such as the brokering or consulting service, but to disclose any third parties that may be influencing the broker or consultant’s decisions, or otherwise influencing the marketplace," the PSC said

"Therefore, any compensation, including but not limited to, prizes, bonuses, or tickets to events, that is given for brokering or consulting services must be disclosed to customers, regardless of whether such compensation is provided directly by customer payments. As noted above, such compensation may be disclosed in a general manner but must include the source of such compensation," the PSC said

The Commission will require ESCOs and DER suppliers to include on the Customer Disclosure Statement any other compensation that the ESCO or DER supplier provides to the broker or consultant, including direct payments, commissions, bonuses, and non-financial compensation, as discussed further below.

The PSC modified the voice-recorded enrollment verification requirements to include, if the sale was facilitated by an Energy Broker or Energy Consultant, a question asking: "Did the Energy Broker or Energy Consultant disclose their compensation?"

Financial requirements for brokers and consultants are discussed further below. However, stakeholders raised a situation where a broker/consultant may receive assistance from an ESCO in obtaining a letter of credit, and the PSC said that such assistance presumptively qualifies as compensation that must be disclosed to the customer

"[T]he Commission finds no reason for prohibiting other businesses from assisting a broker or consultant in obtaining a letter of credit, provided however that such assistance shall not impede the Department’s ability to draw on a letter of credit to address harms occasioned by an energy broker’s or energy consultant’s violation of the UBP, UBP-DERS, or PSL §66-t generally. Additionally, any financial or professional assistance provided to a broker or consultant to obtain a letter of credit presumptively qualifies as compensation that must be disclosed to the customer. PSL §66-t defines 'broker compensation' as 'any payment made to an energy broker or energy consultant for the purposes of securing or procuring of energy for the end-use customer or advising on the securing or procuring of energy for the end-use consumer.' Because such assistance is being provided to the broker or consultant in exchange for the performance of brokering or consulting services such an arrangement between an ESCO and a broker or consultant must be disclosed," the PSC said

Further concerning fee splitting arrangements, the PSC said, "this Order requires disclosure of fee splitting arrangements where an entity acting as an energy broker or consultant splits the fee received for brokering or consulting services with any other entity. It should be noted that such a disclosure will not be required on the Customer Disclosure Statement as ESCOs and DER suppliers are unlikely to be aware of fee splitting arrangements. A fee splitting arrangement must be disclosed by the energy broker or consultant to the customer on the first page of any contract or agreement with the customer if the broker or consultant has a direct contract or agreement with the customer. In situations where there is no direct contract or agreement with the customer, a separate, written communication must be sent to the customer by the energy broker or energy consultant for the express purpose of disclosing such fee splitting arrangement."

"The Commission is retaining Staff’s proposal that all compensation paid to brokers and consultants, including commissions, bonuses, and non-financial compensation, be disclosed. However, as noted above, if the specific details of any such compensation are unknown at the time of contracting, a general statement including the types of compensation the broker or consultant may receive is sufficient. ESCOs and DER suppliers are required to disclose compensation that they collect on behalf of the broker or consultant on the Customer Disclosure Statement and also any other compensation the ESCO or DER supplier pays to the broker or consultant directly. There is no obligation for ESCOs or DER suppliers to disclose broker or consultant compensation when the compensation is being paid by a third party. ESCOs and DER suppliers will be required to disclose any flat fees, commissions, bonuses, or non-financial compensation, including but not limited to prizes or event tickets, on the Customer Disclosure Statement when such compensation is being paid by the ESCO or DER supplier to the broker or consultant. Again, general terms will suffice if the specific details of such compensation are unknown at the time of contracting," the PSC said

ESCOs and DER suppliers are required to update the Customer Disclosure Statement in all future agreements with customers to include a field titled 'Third Party Compensation Disclosure' which includes the required disclosure discussed above or indicates that such field is inapplicable to the present agreement.

"ESCOs and DER suppliers must immediately update the contract furnished to customers as of the effective date of these new registration requirements," the PSC said

Financial Requirements

The PSC will require an irrevocable standby letter of credit issued by a "reputable financial institution" in the amount of $100,000 for registering Energy Brokers; and $50,000 for registering Energy Consultants

The PSC declined to allow the use of surety bonds to satisfy the financial accountability requirement of PSL §66-t.

Registration Deadline

The Commission will require all energy brokers and consultants to submit a registration package by August 31, 2023 to continue operating in New York State.

"Staff will be required to complete review of registration packages and issue letters notifying applicants of approval or denial by December 1, 2023. During the Staff review period, any entity that has submitted a registration package shall be treated as in compliance with Commission registration requirements, unless they receive a letter rejecting their application," the PSC said

Brokers and consultant will need to annually re-register, with a $500 registration fee annually

Concerning the registration filing, among other things, the broker or consultant must provide a sample standard agreement between the Energy Broker or Energy Consultant and the customer (not between the ESCO and the customer, i.e. not a sample ESCO contract)

ESCO Verification Of Brokers, Customer Contract Status

ESCOs and DER suppliers must verify that any energy broker or consultant they are doing business with has submitted a registration package to the PSC package by August 31, 2023.

"While Staff will post a list of registered energy brokers and energy consultants on the Department website, such a list will not be available prior to Staff completing its review of the initial application received later this year," the PSC said

"However, ESCOs and DER Suppliers will be able to view the submitted registration packages in Matter 23-01227 - In the Matter of Registration for Energy Brokers and Energy Consultants," the PSC said

If a broker or consultant is no longer registered with the PSC, an ESCO shall no longer compensate such broker / consultant, even under previously entered contracts

"ESCOs and DER suppliers shall not provide payments to unregistered energy brokers or consultants, even if the broker or consultant was registered at the time the contract was signed," the PSC said

"ESCOs and DER suppliers should establish their own internal review process to ensure that they are doing business only with energy brokers and consultants registered with the Commission," the PSC said

"Regarding any contract between a customer and an ESCO or DER supplier that was facilitated by an energy broker or consultant and entered into prior to the effective date of these energy broker and consultant registration requirements, such contract shall not be impacted by an energy broker or consultant’s subsequent failure to register or loss of registered status. In such a situation, the ESCO or DER supplier will no longer be able to utilize the services of the energy broker or consultant and would no longer be able to compensate them for their services, but the underlying contract between the customer and the ESCO or DER supplier would continue pursuant to the terms of that agreement," the PSC said

"However, following the effective date of these new registration requirements, agreements entered into between the customer and the ESCO or DER supplier that are facilitated by an energy broker or consultant that is unregistered at the time of enrollment shall be invalid," the PSC said

Rebates, Prohibited Referral Fees

The modified UBPs provide that, "No Energy Broker, Energy Consultant or any other person acting for or on behalf of the Energy Broker or Energy Consultant shall offer or make, directly or indirectly, any rebate of any portion of the fee, premium or charge made, or pay or give to any applicant, or to any person, firm, or corporation acting as agent, representative, attorney, or employee of the energy ratepayer or any interest therein, either directly or indirectly, any commission, any part of its fees or charges, or any other consideration or valuable thing, as an inducement for, or as compensation for, any energy supply or energy-related business."

The modified UBPs provide that:

i. An applicant; any person, firm, or corporation acting as agent, representative, attorney, or employee of the energy ratepayer or of the prospective energy ratepayer; or anyone having any interest in the real property shall not knowingly receive, directly or indirectly, any such rebate or other consideration or valuable thing.

ii. Any person or entity who violates these prohibitions is subject to a penalty equal to the greater of $5,000 or up to ten times the amount of compensation or rebate received or paid

§66-t(5)(b) states that nothing, "shall prohibit any energy supplier corporation, energy broker, or energy consultant, or any other person acting for or on behalf of the energy service company, energy broker or energy consultant from undertaking any usual and customary marketing activity aimed at acquainting present and prospective customers with the advantages of using a particular energy supplier, energy broker, or energy consultant that are not intended for the purpose of a reward for the future placement of, or the past placement of, a particular piece of energy supply business."

"The Commission will apply [the rebate] prohibition to any incentives, sign-up bonuses, prizes, or gifts given by the energy broker or consultant to induce a customer or the customer’s representative to sign an energy supply contract," the PSC said

"Referral fees paid to any agent, representative, attorney, or employee of the energy ratepayer would also be prohibited," the PSC said

"A landlord that receives a rebate from a broker or consultant for signing an energy supply agreement for all the units in the landlord’s building would be in violation of this prohibition," the PSC said

"However, introductory rates for new customers that are fully disclosed as such, and authorized energy-related value-added services fall under the exemption for usual and customary marketing activity aimed at acquainting present and prospective customers with the advantages of using a particular energy supplier," the PSC said

Data Security

Energy brokers and consultants that obtain customer information from the distribution utility will be required to comply with the Commission’s data security requirements, including entering into a DSA [date security agreement] and completing self-attestations, before being granted access to customer data, the PSC said

Technical Conference, Staff Directed To Propose Further Changes

"[T]o ensure that the regulatory requirements adopted here are fully understood," the Commission directed Staff to, within 60 days, convene a technical conference to provide a forum for stakeholders to raise any questions regarding the nature and extent of the requirements.

"Furthermore, in keeping with the purposes of the modifications made to the UBP and UBP-DERS in this Order, which are to increase transparency of fees and accountability of energy brokers and energy consultants," the Commission directed Staff to consider additional modifications to the uniform business practices, including to the changes adopted in the order, "with the goal of identifying improvements to the UBP and UBP-DERS’ overall consistency and clarity, promoting transparency and accountability for customers, and creating more streamlined and less burdensome enforcement processes," the PSC said

"Such modifications shall consider removal of superfluous or outdated language, streamlining of required processes, strengthening of consumer protections, clarification of any ambiguous language, as well as feedback received during the technical conference discussed above," the PSC said

"Staff shall file a proposal for Commission consideration, including such proposed modifications, within 120 days of the effective date of this Order," the PSC said

Broker / Consultant Marketing Rules

The PSC generally subjected brokers and consultant to the marketing rules applicable to ESCOs in the uniform business practices

Specifics can be found in the modified UBPs (part of the PSC's order), which is available here

Case 23-M-0106

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