NOTICE DATE:  December 29, 2010
NOTICE TYPE:  M-A122910-01 Legal
SHORT DESCRIPTION:  Non-Compliance with 2010 Digital Certificate Audit
INTENDED AUDIENCE:  Market Participant (MP) User Security Administrators (USAs)
DAY AFFECTED:  February 1, 2011
LONG DESCRIPTION:  Pursuant to ERCOT Protocol § 16.12.4(2), ERCOT filed a report with the Public Utility Commission of Texas (PUCT) in Docket No. 27706 and posted the report to ERCOT's website (http://www.ercot.com/content/about/governance/legal/notices/ERCOT_Report_MP_Non-Compliance_Digital_Certificate_Annual_Au.pdf) listing all MPs who did not perform the annual audit of USAs and Digital Certificates. Before disqualifying an MP's USAs or revoking an MP's Digital Certificate(s), ERCOT submits this Notice to allow non-compliant MPs an opportunity to resolve the issue in a timely manner.
Attached is the Digital Certificate Audit Attestation (DCAA) form. ERCOT Protocol § 16.12.3(1) requires 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 Counter-Party (CP), Congestion Revenue Rights Account Holder (CRRAH), Load Serving Entity (LSE), Qualified Scheduling Entity (QSE), Subordinate 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 Texas Market Link (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 February 1, 2011. After this date, ERCOT may disqualify an MP's USA or revoke an MP's Digital Certificate(s).

Please send your completed DCAA form(s) 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.




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