How to Register as a Core Transport Agent (CTA)

Public Utilities Code Chapter 4.7 requires each CTA to register with the CPUC and sets forth the requirements.  If you wish to conduct business as a CTA in the State of California, as defined by P.U. Code Section 980(b), please follow the instructions below to do so.

1. Execute a UDC-CTA Service Agreement (with approved credit application) with each Utility Distribution Company in whose service territory you plan to offer service and submit copies of each executed Service Agreement with your CTA application.
2. Complete and return CTA Registration Application Form including separate signed Section 981(a)(11) statement as described in the Notice section.
3. Background checks (fingerprints) are required for key personnel (sole proprietors, partners, corporate officers, members/managers/officers of an LLC) for a criminal history record check through the Department of Justice. If a new key personnel is added, they are also required to go through a background check. Please refer to the Department of Justice website for all questions regarding background checks. The below information may change over time, please always refer to the DOJ website for updated information.
   For personnel in the State of California, please visit the Department of Justice website for a live scan site. After this is complete, please email CTARegistration@cpuc.ca.gov to inform us of the progress of this background check.
   For personnel residing outside the State of California, you must bring two copies of a fingerprint card hard (FD-258) to your local law enforcement agency to request fingerprint services (they typically charge a fee). If this facility does not have fingerprint hard cards, please email CTAregistration@cpuc.ca.gov to request fingerprint hard cards to get mailed to you. Take the hard cards to your local law enforcement agency to get fingerprints on them. After the your fingerprints are completed, please make sure you enter all the information as referenced on this FD-258 template. After both fingerprint hard cards are completely filled out, please mail both copies to CPUC Energy Division, 505 Van Ness Avenue, 4th Floor, San Francisco CA 94102. Each fingerprint applicant is requested to submit two fingerprint hard cards. Failure to complete these steps may delay your background check.
4. Submit a copy of your Section 986 Notice of Terms and Conditions as described in the CTA Registration Application Form. Refer to Appendix C of D.18-02-002 for the adopted uniform notice. This format may be altered as long as the requirements of Public Utilities Code 986, and rules adopted in that decision, are met.
5. US mail a cashier's check for $100 to the address listed on the Registration Application Form.  Check should be made out to "State of California Public Utilities Commission".

Post a minimum security deposit of $25,000 in the form of either a cashier's check or a financial guarantee Bond with the CPUC at the time of registration. If submitting a cashier's check, please fill out and submit the Information Accompanying CTA Cash Deposit form at the time of registration.

CTA Bond Sample

This language is provided in response to questions from CTAs and bond issuers. Other forms are acceptable provided they include the substantive language from this sample. 

Sample Bond

KNOW ALL BY THESE PRESENTS that we [INSERT NAME OF CTA], as principal, and [INSERT NAME OF SURETY], a corporation organized and existing under the laws of the State of _________ and authorized to transact business in the State of California, as surety, are held and firmly bound unto the Public Utilities Commission of the State of California, as Obligee, in the penal sum of $25,000, good and lawful money of the United States of America, for the payment of which well and truly to be made we bind ourselves, our heirs, administrators, executors, successors and assigns, jointly and severally, firmly by these presents.

WHEREAS the principal has made application to the Obligee for Registration as a Core Transport Agent (CTA) under the provisions of the Public Utilities Code and applicable Public Utilities Commission decisions; and

WHEREAS the principal is required to post security in accordance with the provisions of the Public Utilities Code and applicable Public Utilities Commission decisions for claims/damages resulting from the principal's nonperformance, fraud, or other violations of the laws, decisions and orders applicable to Core Transport Agents.

NOW, THEREFORE, if the principal shall faithfully conform to, abide by, and/or perform all obligations under any applicable laws, decisions, and orders administered or issued by said Obligee, or any other applicable laws, decisions, and orders, including, without limitation, paying to the Obligee, or to any other person(s) or entity(s) as required by law, all monies due, or which shall become due, pursuant to such laws, decisions, and orders referenced herein then the above obligation shall be void, otherwise to be and remain in full force and effect.

The bond issuer reserves the right to cancel this bond by giving ninety (90) days written notice to the Obligee, and on the effective date of such ninety-day cancellation notice, the bond issuer is discharged and relieved of any liability, except the bond issuer shall remain liable for amounts not paid to the utility by the CTA where the CTA's obligation to pay arises out of an involuntary return of the CTA's customers to the utility (as provided in Public Utilities Code Sections 981(a)(9) and 983.5(d) and implemented by Commission Decisions 14-08-043 and 18-02-002) and where the involuntary return occurs, or was noticed to the utility, before the termination of the bond. It is understood and agreed that the bond issuer will in no event be liable for an amount in excess of the stated coverage amount of this bond. Any termination notice must be sent to State of California Public Utilities Commission - 505 Van Ness Avenue, San Francisco, CA 94102, Attention: Energy Division - - Core Transport Agent Registration, by certified mail.