NOTICE DATE:  September 10, 2010
NOTICE TYPE:  M-B080510-02 Legal
SHORT DESCRIPTION:  REMINDER - 2010 Digital Certificate Audit Attestation (DCAA) due October 1, 2010
INTENDED AUDIENCE:  Market Participant User Security Administrators (USAs)
DAY AFFECTED:  October 1, 2010
**Please note that if you have not already complied, the DCAA is due on October 1, 2010, and should include a submission for the Counter Party (CP), if applicable.**
LONG DESCRIPTION:  Each Market Participant (MP) in the ERCOT Region is allowed access to ERCOT's computer systems through the use of Digital Certificates. A Digital Certificate is an electronic file installed on a programmatic interface or an individual's assigned computer used to authenticate that the interface or individual is authorized for secure electronic messaging with ERCOT's computer systems. Digital Certificates expire after a period of one (1) year. A USA is responsible for managing the MP's access to ERCOT's computer systems through Digital Certificates and each MP must, as part of the application for registration with ERCOT, designate an individual employee or authorized agent as its USA (and optionally a Backup USA).
You are receiving this Notice because you are the USA for your organization. As the USA, you are responsible for registering all Digital Certificate holders of your organization through ERCOT's computer systems and administering the use of Digital Certificates for access to ERCOT's computer systems on behalf of your organization. ERCOT has sent a copy of the guide called "Introduction and Use of Market Participant Identity Management (MPIM) and Digital Certificates" to your organization. The guide may also be found in Identity Management under Support Documentation on the Texas Market Link (TML). The document contains the Digital Certificate procedures, as well as describing how to use the MPIM application. If you have not already done so, you should also familiarize yourself with ERCOT Protocol §16.11 because that section contains many details of your obligations as a USA. Pursuant to §39.151(j) of the Public Utility Regulatory Act (PURA), your organization must comply with the ERCOT Protocols.
Additionally, pursuant to ERCOT Protocol §16.11.3 and PUCT Subst. R. §25.361(g), ERCOT is providing your organization with a DCAA form. The ERCOT Protocols require that each MP generate a list of its registered USA and Certificate Holders (the List) for each Data Universal Numbering System Number (DUNS #), including DUNS #s for each CP, Congestion Revenue Rights Account Holder (CRRAH), Load Serving Entity (LSE), Qualified Scheduling Entity (QSE), Sub-ordinate QSE (Sub-QSE), Resource Entity (RE) and Transmission and/or Distribution Service Provider (TDSP). The List is to be generated through the MPIM application on the TML website through the reporting function. Each MP must review and audit the List and the manner in which your organization handles Digital Certificates. If you identify discrepancies in the List (e.g. errors, Digital Certificate holders whose names should be removed from the List or people whose names should be added to the List), you must use the process for managing Digital Certificates as included in the guide "Introduction and Use of MPIM and Digital Certificates" to correct the discrepancies.
At a minimum, you must confirm that:
1.   Your organization, each listed USA and each Digital Certificate holder meet the applicable requirements of ERCOT Protocol §16.11.1(1) and (2);
2.   Each listed USA and Digital Certificate holder is currently employed by or is an authorized agent of your organization;
3.   You have verified that the listed USA is authorized to be the USA;
4.   Each Digital Certificate holder is authorized to retain and use the Digital Certificate; and
5.   Each listed Digital Certificate holder needs the Digital Certificate to perform his or her job functions.
ACTION REQUIRED:  Once all corrections/changes have been made to the List, you are responsible for submitting a signed DCAA form from an officer or an executive with authority to bind your organization. A separate DCAA form should be submitted for each DUNS #. For example, one DCAA should be submitted for each of the following registrations: CP, CRRAH, LSE, QSE, Sub-QSE, RE and TDSP. This form MUST be submitted to ERCOT no later than October 1, 2010. (See ERCOT Protocol §16.11.3.) If your organization cannot comply with the October 1, 2010, deadline, you must contact ERCOT's External Relations Specialist at [log in to unmask]<mailto:[log in to unmask]> to request an extension.
Please send your DCAA form(s) and/or requests for extension by: (i) email to [log in to unmask]<mailto:[log in to unmask]>; (ii) fax to 512-225-7079; or (iii) regular mail to ERCOT, Market Participant Registration, 7620 Metro Center Drive, Austin, Texas 78744.
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]<mailto:[log in to unmask]>.
If you are receiving email from an ERCOT distribution list that you no longer wish to receive, please follow this link in order to unsubscribe from this list: http://lists.ercot.com<http://lists.ercot.com/>.

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