NOTICE DATE: November 4, 2021

NOTICE TYPE: M-A110421-01 Legal

SHORT DESCRIPTION: Counter Party One-time Reporting of Principals – Related to Implementation of NPRR1073

INTENDED AUDIENCE: All Qualified Scheduling Entities and Congestion Revenue Right Account Holders, i.e. Counter Parties

DAYS AFFECTED: December 15, 2021

LONG DESCRIPTION: ERCOT Protocol Section requires a Qualified Scheduling Entity (QSE) to promptly respond to any reasonable request by ERCOT for updated information regarding the QSE.  The same requirement applies to a Congestion Revenue Right Account Holder (CRRAH) under ERCOT Protocol Section 

Under these Protocol provisions, ERCOT is requiring each QSE or CRRAH, i.e. each Counter Party, to identify their Principals and provide related information using a One-Time Notice of Report of Principals form; this form is available at the ERCOT website at the webpage providing Registration and Qualification resources:  Completed forms shall be submitted electronically (attaching additional pages as necessary) via email to [log in to unmask] by December 15, 2021.

ERCOT is requiring each QSE or CRRAH to submit a One-Time Notice of Report of Principals in preparation for implementation of the Protocol revisions approved under Nodal Protocol Revision Request (NPRR) 1073, Market Entry/Participation by Principals of Counter-Parties with Financial Obligations.  The NPRR 1073 revisions include that a QSE or CRRAH must be able to demonstrate to ERCOT’s reasonable satisfaction that none of its Principals were or are Principals of any entity with an outstanding payment obligation that remains owing to ERCOT under any Agreement or the ERCOT Protocols.  See ERCOT Protocol Section 16.2.1(3) for a QSE and Protocol Section 16.8.1(2) for a CRRAH.

The NPRR 1073 revisions are anticipated to be effective January 1, 2022, and ERCOT will provide a separate Market Notice providing additional information and confirming the effective date at least 10 days before the effective date.  

ACTION REQUIRED: On or before December 15, 2021, each QSE or CRRAH should identify and provide information regarding its Principals, using the One-Time Notice of Report of Principals form available at ERCOT’s website at

ADDITIONAL INFORMATION: This one-time report and additional information regarding implementation of NPRR 1073 were discussed at the 11/03/21 WMS meeting.

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].

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