NOTICE DATE:  August 29, 2014
NOTICE TYPE:  M-B082914-01 Legal
SHORT DESCRIPTION:  2014 Digital Certificate Audit Attestation
INTENDED AUDIENCE:  Market Participant USAs
DAY AFFECTED:  October 1, 2014
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 on an individual's assigned computer used to authenticate that the individual is authorized for secure electronic messaging with ERCOT's computer systems. Digital Certificates expire after a period of one (1) year. The MP's User Security Administrator (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 Market Notice because you are the USA for a MP. As the USA, you are responsible for registering all Digital Certificate Holders of the MP through ERCOT's computer systems and administering the use of Digital Certificates for access to ERCOT's computer systems on behalf of the MP. A guide, titled "Digital Certificate User Guide" can be found in the MPIM Application, which is located on the Applications landing page on the ERCOT Market Information System (MIS) under "ERCOT Applications." This guide contains the Digital Certificate procedures and describes how to use the MPIM Application. If you have not already done so, you should also familiarize yourself with ERCOT Protocol Section 16.12, User Security Administrator and Digital Certificates, which sets forth responsibilities of the USA and qualifications for Digital Certificate Holders .

ERCOT Protocol Section 16.12.3, Market Participant Audits of User Security Administrators and Digital Certificates, requires MPs to:
·         During September of each year, generate a list of its registered USA and Digital Certificate Holders for each DUNS number registered with ERCOT, including four-digit identifiers (i.e., CP, CRRAH, QSE, Sub-QSE, LSE, RE, TDSP, IMRE, etc.), and perform an audit of the list to ensure compliance with Protocol requirements. (See Protocol Section 16.2.3(1))
o   The list is to be generated through the MPIM Application on the ERCOT MIS. Each MP must review and audit the list and the manner in which the MP handles Digital Certificates. If discrepancies are identified (e.g. errors, Digital Certificate Holders  whose names should be removed/added, etc.), the MP must use the process for managing Digital Certificates as included in the guide "" Digital Certificate User Guide to correct the discrepancies.
·         By October 1st of each year, submit to ERCOT an attestation of compliance with the DCAA Audit. (See Protocol Section 16.2.3(2))
o   At a minimum, each MP must confirm (for each registration type by DUNS number, including four-digit identifiers) that:
§  The MP's USA and all Digital Certificate Holders meet the applicable requirements of ERCOT Protocol Section 16.12.1;
§  The MP's USA and all Digital Certificate Holders are actively employed by Market Participant, or qualify as authorized agents contracted with the MP;
§  The USA meets USA the qualification requirements under the ERCOT Protocols, and is authorized to be the USA;
§  The USA and all Digital Certificate Holders are authorized to retain and use their assigned Digital Certificates; and
§  The USA and all Digital Certificate Holders require their assigned Digital Certificates to perform their job functions with the MP, and in accordance with the ERCOT Protocols.

Please use the attached Digital Certificate Audit Attestation (DCAA) form for verifying compliance with USA and Digital Certificate audit requirements under the ERCOT Protocols.

If a MP is unable to comply with the October 1, 2014 submission deadline, it must request an extension by providing ERCOT a written explanation of why it cannot meet the deadline. The explanation must include a plan and timeline for compliance not to exceed six months from the original deadline. ERCOT shall review that extension request and notify the MP if the request is approved or denied. ERCOT may approve no more than one extension request per MP. (See Protocol Section 16.12.3(3)).

Pursuant to Section 39.151(j) of the Public Utility Regulatory Act (PURA), all MPs are required to comply with the ERCOT Protocols.

On or about December 15 of each year, ERCOT must report to the PUCT all MPs that have failed to properly perform Digital Certificate audits or comply with Protocol Section 16.12.3. (See Protocol Section 16.12.4(2)). Subject to Protocol Section 16.12.4(4)), after providing notice to the noncompliant MP and the PUCT, ERCOT may disqualify the MP's USA and/or revoke any/all Digital Certificates assigned by that USA. (See Protocol Section 16.12.4(3)).

ACTION REQUIRED: Each MP must generate a list of its registered USA and Digital Certificate Holders for each registration type (i.e., each DUNS number registered with ERCOT, including four-digit identifiers), and perform an audit of the list to ensure compliance with ERCOT Protocols.

Once all corrections/changes have been made to the list, the MP is responsible for submitting a signed DCAA form to ERCOT. Please use the attached DCAA form for verifying compliance with USA and Digital Certificate audit requirements under the ERCOT Protocols.

A separate DCAA form must be submitted for each registration type by DUNS number (i.e., one DCAA form for each of the following registrations:  CP, CRRAH, IMRE, LSE, QSE, Sub-QSE, RE and TDSP), and executed by an officer or an executive with authority to bind the MP, as listed in ERCOT's records. The DCAA form MUST be submitted to ERCOT no later than October 1, 2014 (See ERCOT Protocol Section 16.12.3(2)). If a MP is unable to comply with the October 1, 2014 submission deadline, it must request an extension by providing ERCOT a written explanation of why it cannot meet the deadline.
Please send DCAA forms and extension requests to: (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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