NOTICE DATE:  October 30, 2009
NOTICE TYPE:  M-A103009-01 Legal Notification
SHORT DESCRIPTION:  Disclosure of CSA of record DUNS Number in the Find ESI ID Summary Screen Download
INTENDED AUDIENCE:  Retail Electric Providers
LONG DESCRIPTION:  On October 26, 2009, ERCOT received a MarkeTrak issue from a Market Participant that indicated the possible disclosure of a Competitive Retailer's (CR) DUNS Number with Continuous Service Agreement (CSA) relationship.  ERCOT discovered that the "Find ESI ID" functionality used in Texas Market Link (TML) provided the CR's DUNS Number of the CSA on each of the ESI IDs entered without regard to who is submitting the request when the file was downloaded by the Market Participant.  A DUNS Number may be used to identify the specific Load Serving Entity assigned to the ESI ID and the CSA relationship which is considered Protected Information under Section 1.3.1.1 of the ERCOT Protocols.
The system would query the registration system for the details of that ESI ID which included a check for the existence of a CR's DUNS Number for CSA relationship.  The user interface displays 'yes' or 'no' for that data; however, if a Market Participant selected the 'Download Summaries' button, the detail file would include the CR's DUNS Number for the CSA relationship.  At this time, ERCOT does not know how long this problem has existed nor how many times a CR's DUNS Number for the CSA relationship was revealed to another Market Participant.
On October 27, 2009, ERCOT corrected the defect in the production system with the implementation of an Emergency System Investigation Request (SIR).  Therefore, going forward, if a Market Participant selects the 'Download Summaries' button, the detail file will only provide a 'true' or 'false' value and not the CR's DUNS Number of the CSA relationship.  ERCOT will file a Notice of Protocol Violation with the Public Utility Commission of Texas (PUCT) in Docket No. 27706.
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 e-mail at [log in to unmask]<mailto:[log in to unmask]>.
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DP/DG