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NOTICE DATE:  September 17, 2018

NOTICE TYPE:  M-B083118-02 Legal

SHORT DESCRIPTION:  Reminder - 2018 Digital Certificate Audit Attestation (DCAA) Due by October 1, 2018

INTENDED AUDIENCE:  Market Participant (MP) User Security Administrators (USAs)

DAY AFFECTED:  October 1, 2018

LONG DESCRIPTION:  In September 2018, each MP must generate a list of its registered USA and Digital Certificate Holders for each registration type, by DUNS number, and perform an audit of thereof to ensure compliance with the ERCOT Protocols. For example, if a MP is registered with ERCOT as a Qualified Scheduling Entity (QSE), Congestion Revenue Rights Account Holder (CRRAH) and a Load Serving Entity (LSE), then that MP must submit separate DCAA forms for each registration type. Completed DCAA forms must be submitted to ERCOT by October 1, 2018. See ERCOT Protocol Section 16.12.3 and the Market Participant Identity Management (MPIM) Digital Certificate User Guide<http://www.ercot.com/content/wcm/lists/89531/MPIM_Digital_Certificate_User_Guide_06152016.docx>.

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. Please use the attached DCAA form to verify compliance with USA and Digital Certificate audit requirements under the ERCOT Protocols.



If a MP cannot comply with the October 1, 2018 deadline at the time the audit first applies to the MP, then the MP 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).



On or about December 15 of each year, ERCOT must report to the Public Utility Commission of Texas (PUCT), all MPs that have failed to (a) properly perform the requisite Digital Certificate audit/s, and/or (b) comply with Protocol Section 16.12.3. See Protocol Section 16.12.4(2). Should a MP fail to properly perform the requisite Digital Certificate audit/s and/or comply with Protocol Section 16.12.3, after providing notice to the noncompliant MP and the PUCT, and subject to Protocol Section 16.12.4(4), ERCOT can 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:  In September 2018, each MP must generate a list of its registered USA and Digital Certificate Holders for each registration type, by DUNS number, and perform an audit of thereof. Completed DCAA forms must be submitted to ERCOT by October 1, 2018.



Once all corrections/changes have been made to the list, the MP is responsible for submitting to ERCOT signed DCAA forms for each MP registration no later than October 1, 2018. Please use the attached DCAA form for verifying compliance with USA and Digital Certificate audit requirements under the ERCOT Protocols.



Please send DCAA forms to (i) email to [log in to unmask]<mailto:[log in to unmask]>; (ii) fax to 512-225-7079; or 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 a public 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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