Digital Certificates Renewal Process

Agenda Understand the requirements of the current Digital Certificate Renewal process Identify process improvement opportunities Discussion

Current Process – Pre-requisits BACKGROUND CHECK

Current Process--Steps

Current Process—Steps cont’d

Current Process—Steps cont’d

Current Process—Facts Each new or certificate renewal takes over 75 steps The process is currently carried out within the pre- determined parameters, including, but not limited to: - Request form and a background checks are required for all ERCOT digital certificate requestors - Requests are submitted for each DUNS separately. Many Market Participants work with multiple DUNS and therefore require multiple certificates that expire at various times - Certificates are issued for one year only

Process Improvement Opportunities - Request form and a background checks are required for all ERCOT digital certificate requestors Are background checks really needed? Where is the requirement coming from? - Requests are submitted for each Retail DUNS separately Can the process be streamlined for MP’s with multiple duns numbers? - Each certificate has a one-year lifespan.  This means the certificate must be renewed by the anniversary of its issuance to remain valid Could the life span be expanded to two or more years? Can the required annual audit be used to determine if user access is maintained? Can the renewal notification process be expanded? Is there functionality to support maybe displaying the notification within the MarkeTrak GUI screen?

Discussion