NOTICE DATE: October 26, 2023

NOTICE TYPE: M-A102623-01 Legal

SHORT DESCRIPTION: NPRR1175 regarding Background Checks Effective November 1, 2023; TruView BSI, LLC will Conduct Background Checks on Behalf of ERCOT

INTENDED AUDIENCE: All Market Participants

DAYS AFFECTED: November 1, 2023

LONG DESCRIPTION: Nodal Protocol Revision Request (NPRR) 1175, Revisions to Market Entry Financial Qualifications and Continued Participation Requirements, resulted in changes to ERCOT Protocols Sections 16.2.1.1, QSE Background Check Process, and 16.8.1.1, CRR Account Holder Background Check Process. The changes, effective November 1, 2023, require that Qualified Scheduling Entity (QSE) and Congestion Revenue Rights Account Holder (CRRAH) applicants must satisfy a background check as a part of the ERCOT registration and qualification process. In addition, upon ERCOT’s request, an existing QSE or CRRAH may be required to satisfy a background check as a condition of maintaining its ERCOT registration.

QSE and CRRAH applicants should inform their Principals that beginning on November 1, 2023, they should expect emails from TruView BSI, LLC (TrueView), the third-party vendor that ERCOT contracted with to conduct background checks. Existing QSEs and CRRAHs should inform their Principals that they are subject to background checks as of the same date. In the event of a background check, TrueView will directly contact each Principal and provide them with instructions on how to securely submit information necessary for TrueView to perform the background check, including Principals’ Social Security numbers, birth dates, and home addresses for the last ten years. ERCOT will not collect or possess this information at any point in the background check process.

ACTION REQUIRED: QSE and CRRAH applicants should inform their Principals that beginning November 1, 2023, TrueView will contact them for information necessary to complete background checks. Existing QSEs and CRRAHs should inform their Principals that they are subject to background checks as of the same date. In the event of a background check, TrueView will contact Principals via email from [log in to unmask].

CONTACT: If you have any questions, please contact your ERCOT Account Manager. You may also call the general ERCOT Client Services phone number at (512) 248-3900 or contact ERCOT Client Services via email at [log in to unmask].

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