NOTICE DATE: September 3, 2019
NOTICE TYPE: M-A090319-01 Legal
SHORT DESCRIPTION: 2019 Digital Certificate Audit Attestations (DCAAs) Due by October 1, 2019
INTENDED AUDIENCE: Market Participant (MP) User Security Administrators (USAs)
DAY AFFECTED: October 1, 2019
LONG DESCRIPTION: In September 2019, each MP must generate a list of its registered USAs 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 an 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 three separate DCAA forms—i.e., one for each registration type. Completed DCAA forms must be submitted to ERCOT by October 1, 2019. See ERCOT Protocol Section 16.12.3 and the Market Participant Identity Management (MPIM) Digital Certificate User Guide.
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 ERCOT Protocol Section 23 Form L: Digital Certificate Audit Attestation, to verify compliance with USA and Digital Certificate audit requirements under the ERCOT Protocols.
If an MP cannot comply with the October 1, 2019 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 an 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).
On September 1, 2019, NPRR899, Digital Certificate and User Security Administrator Clarifications and Opt Out Procedure, was implemented. In order to request exemption from the 2020 Digital Certificate audit, eligible MPs must submit an opt-out request form to ERCOT before October 1, 2019. The opt-out request form is available on the ERCOT website on the Registration and Qualification page under Key Documents, and should be submitted to [log in to unmask] All opt-out requests are subject to ERCOT’s review and approval. Only Municipally Owned Utilities (MOUs) and Electric Cooperatives (ECs) that are also registered with ERCOT as a Distribution Service Provider (DSP) and/or a Load Serving Entity (LSE) may be eligible to opt-out. See ERCOT Protocol Sections 16.12(3)-(6).
ACTION REQUIRED: In September 2019, 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, 2019.
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, 2019. Please use ERCOT Protocol Section 23 Form L: Digital Certificate Audit Attestation 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]; (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].
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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