SMT Update To AMWG

1. SMT Update To AMWG May 22, 2014

2. Status Update of AMWG Change Requests Approved by Retail Market Subcommittee (RMS)

3. Status of AMWG Change Requests • 17 Total AMWG Change Requests • 3 AMWG Change Requests in Delivery for Q4 2014 with Third Party • AMWG CR 2013 012, AMWG CR 2013 013, and AMWG CR 2013 014 • The SMT Usability Study Conducted in 2013 Identified Enhancements Approved for Implementation to SMT • These 3 AMWG Change Requests are Covered by the Approved Enhancements from the Usability Study and Were Already Targeted to be Delivered with Third Party • 2 AMWG Change Requests Targeted for Delivery Q2 2014 • AMWG CR 2013 016 and AMWG CR 2013 017 • These 2 AMWG Change Requests were Already Covered by Efforts in Progress by SMT to Relieve Market Requests Causing Significant Challenges to SMT Help Desk Ticket Volume, SMT Maintenance Backlog, and Infrastructure Resource Utilization

4. Status of AMWG Change Requests • 5 AMWG Change Requests Targeted for Delivery in Q2 2014 • AMWG CR 2013 002, AMWG CR 2013 005, AMWG CR 2013 006, AMWG CR 2013 007, and AMWG CR 2013 009 • These 5 AMWG Change Requests are Covered by Reports Already Existing in Place Internally to the SMT Joint TDSPs. • These Require Minimal Effort to Repurpose to the Market and are Zero Dollar Estimates • Minor Contract Revisions are Required with SMT Vendor to Publish These Existing Reports Externally to the Market. These Revisions will be Complete in Q2 2014 • 7 AMWG Change Requests in Process for SMT Joint TDSP Estimation Process Step • AMWG CR 2013 001, AMWG CR 2013 003, AMWG CR 2013 004, AMWG CR 2013 008, AMWG CR 2013 010, AMWG CR 2013 011, and AMWG CR 2013 015 • These 7 AMWG Change Requests are all New Requirements requiring New Development and will be in Process of Estimation with the SMT Joint TDSPs as Resources are Available in 2014

5. AMWG / RMS Change Requests

6. AMWG / RMS Change Requests (Cont.)

7. Report FormatsAMWG CR 2013 002, AMWG CR 2013 005, AMWG CR 2013 006, AMWG CR 2013 007, AMWG CR 2013 009

8. Monthly SMT Data Timeliness AMWG CR 2013 002End to End File Processing Completeness – Nov 2012 % Timely Market Delivery - # of files posted to market (FTPS) by 11:00pm out of # of files received by SMT by 11:00pm. % Portal Data Availability - # of files loaded to the database for data availability on portal by 6:00am next day for the files received by 11:00pm * A LSE file includes usage data for upto 50,000 ESIIDs. The master files are also considered for above metrics. (Note: the above times are observed times and there is no associated SLA obligation) Observed Anomalies: • 11/04 - Received 118 files from CNP after 11 PM CST • 11/12 - Received 77 files from TNMP after 11 PM CST • 11/23,24,25 & 30 – Data loading issues at SMT 8

9. Monthly SMT Help Desk Tickets AMWG CR 2013 005

10. Availability of SMT API AMWG CR 2013 006

11. Availability of SMT FTPS AMWG CR 2013 007

12. SMT Number of Accounts by Type AMWG CR 2013 009

13. Update on Approved AMWG Change Requests Under Development AMWG CR017 Interim Processes for Historical Backfill Requests and Subscription for New Customer History

14. AMWG Change Request 2013-17 • Requirements outlined in Change Request approved by RMS • Backfill of Historical Usage Data for Existing Customers - Ability for the REP of Record to request a one-time retrieval of historical interval usage data (up to 12 months) for some or all of its existing customer base (backfill requests) • Delivered December 18, 2013 • Fulfilled Multiple Requests to Date • Plan to Re-Announce to Market with Subscription Functionality in May • Subscription for New Customer Enrollment Historical Usage -Ability for the REP of Record to subscribe to automatically receive a one-time report of historical interval usage data (up to 12 months) for customers/ESIIDs that are newly served by them (new enrollments) • Solution is Fully Tested and Deployed to Production • In Process of Developing Instructions and Request Form • Target Rollout and Market Announcement in May

15. Subscription For Automated New Enrollment Customer Historical Data ROR contacts the SMT Help-Desk by phone 1-888-616-5859 or via email Support@Smartmetertexas.com to create a ticket to subscribe for automated new customer enrollment historical usage Day 0 Create the SMT change ticket to initiate the Subscription for the New Customer Enrollment report and attach proper authorization. ROR activity START Day 0 SMT activity Create the change ticket for bulk report and attach that authorization email as a reference Create the change ticket for bulk report and attach that authorization email as a reference Create the change ticket for bulk report and attach that authorization email as a reference Create the change ticket for bulk report and attach that authorization email as a reference 1-2 days Business days from previous milestone x days The SMT help desk sends the subscription request form to the ROR. The form will also be available for retrieval from the ERCOT AMWG website location. The ROR fills in the request form and returns to the SMT Help Desk Day 0 Enable Enrollment Report Job for ROR requested DUNs END 1-3 days SMT Help desk creates a ticket and assigns it to SMT Maintenance team 1 day Close the ticket if no response within 10 days after 2 reminders END SMT performs validation of requested information Send email notification to ROR to confirm subscription for new customer enrollment history is ready to be enabled After confirmation receipt back from ROR new customer enrollment history files will flow to the ROR FTP site daily. 1 day 1-10 days NO Close the Help Desk tickets SMT validates proper authorization of the request 1st Reminder communication (after 5 business days) 2ndReminder follow up communication (after 5 business days) Authorized? . YES No Authorization Received or Requested Information Missing

16. 6 months 12 months ROR REQUEST FORM SUBSCRIPTION FOR NEW CUSTOMER HISTORICAL DATA

17. FTPS Access – ROR Customer New Enrollment History • The new customer enrollment historical information will be placed in a separate file under each DUNS number. • The files will be held for 10 days prior to deletion • There can be up to 100 records in a file • File naming conventions: • EnrollmentReport_MonthlyMeterUsage_DATETIME.CSV.FileNUM.REPDUNSNumber • EnrollmentReport_DailyMeterUsage_DATETIME.CSV.FILENUM.REPDUNSNUMBER • EnrollmentReport_IntervalMeterUsage_DATETIME.LSE.FILENUM.REPDUSNNUMBER

18. Update on Approved AMWG Change Requests Under Development AMWG CR016 Capability for RORs to Grant Access to SMT APIs and SMT FTPS to Vendors on Their Behalf

19. API & FTP Access to Multiple Entities - Requirements • Ability for the RORs to allow API access for unlimited multiple entities in addition to retaining their own access, with appropriate approval mechanism. • Ability for the RORs to allow FTP access for multiple entities in addition to retaining their own access, with appropriate approval mechanism. • Background - • These multiple entities are typically Billing, EDI or Demand Response partners working on behalf of the REPs. • Currently only one entity can have access to API and FTP of one DUNS entity

20. Solution Approach • API Access • Each entity uses its own security certificate • ROR creates a portal user (non-admin) for the new entity • SMT shares ROR’s API account access details to the new entity • SMT works with the new entity to configure and accomplish integration • FTPS Access • Each entity uses its own security certificate • SMT enables additional FTP access for the new entity on the existing FTPS account and shares the details • SMT works with the new entity to configure and accomplish integration • ROR has to share their PGP decryption key to new entity • This is the least effort and less resource consuming alternative. The other option is to create a new FTP account for new entity with their own PGP key, however it will require the files to be processed twice and a duplicate copy of the files with separate encryption to be stored at FTPS which requires processing power as well as space. • SMT restricts DELETE permission to all FTP accounts, to avoid deletion of files by one entity while the other has not downloaded it. The deletion will be performed by SMT as per the 10 days retention rule. There will be minor storage impact to retain more files as the immediate deletion that some entities are doing currently will be stopped.

21. Pre-Requisites from RORs / New Entities • API Access – Certification Authority (CA) signed security certificate – ROR to create a non-admin portal user under them • FTP Access – Certification Authority (CA) signed security certificate – ROR to share their PGP decryption key to new entity – SMT will restrict DELETE permissions on FTPS server, this may cause a few ROR’s FTPS scripts to fail/throw errors if they try to delete files after downloading. Those scripts need to be modified to avoid such errors.

22. Request for Vendor API Access Contact SMT Help Desk by sending the request form* to support@smartmetertexas.com to create a ticket Day 0 ROR activity Create non-admin portal user for the new entity under ROR account START SMT activity The SMT help desk can send the request form to the Requestor. The form will also be available for retrieval from the ERCOT AMWG website location. Business days from previous milestone x days Perform request information completeness validation 1-5 days Share portal user information and new entity’s SSL security certificate to SMT 1-10 days SMT validates proper authorization. Send access authorization e-mail request to ROR admin, CC to SMT Operations Manager SMT shares ROR’s API account access details to new entity END Authorized? YES No Authorization email Received or Missing Request Form Data Close the ticket if no response received within 10 days after 2 reminders 5-10 days SMT conducts initial configuration and troubleshooting session to complete integration Authorization Received 1st Reminder e-mail (after 5 business days) 2nd follow up by phone call / Operations Manager intervention END After 10 days After 10 days After 10 days No Valid Authorization or Missing Request Data

23. Request for Vendor FTP Access Contact SMT Help Desk by sending the request form* to support@smartmetertexas.com to create a ticket Day 0 ROR activity Share PGP decryption key with new entity START SMT activity The SMT help desk can send the request form to the Requestor. The form will also be available for retrieval from the ERCOT AMWG website location. Business days from previous milestone x days Perform request information completeness validation New entity shares SSL Security Certificate 1-5 days 1-10 days SMT validates proper authorization. Send access authorization e-mail request to ROR admin, CC to SMT Operations Manager Add restrict DELETE permissions for existing FTPS of ROR files END Authorized? YES Enable additional access for new entity to existing FTPS of ROR No Authorization email Received or Missing Request Form Data Close the ticket if no response within 10 days after 2 reminders 5-10 days 1st Reminder e-mail (after 5 business days) 2nd follow up by phone call / Operations Manager intervention Authorization Received SMT conducts initial configuration and troubleshooting session to complete integration END After 10 days No Valid Authorization or Missing Request Data

24. ROR REQUEST FORM FOR Vendor API & FTP Access

25. FTPS Access - Multiple DUNS Scenario The access can be restricted at DUNS/folder level and content level. e.g. If a ROR want its partner to have access to only a subset of folders or only for specific type of content (i.e. interval usage LSE, adhoc reports, enrollment reports etc.) it can be provisioned accordingly.

26. SMT Security Authorization Validation Surrounding New Ad Hoc Processes Including:1. Historical Backfill2. Subscription for New Customer Enrollment3. Vendor Access on Behalf of ROR to FTPs and API4. ROR Acquisitions and Mergers 5. ROR Administrator Registration when No Authorized Administrators Exist

27. Historical Backfill and Subscription for New Customer Enrollment • Security Validation Includes: • Validated request form information • DUNS match valid DUNS for requesting ROR on SMT FTPS folder SMT Security Authorization Validation Surrounding New Ad Hoc Processes

28. Vendor Access on Behalf of ROR to FTPS and / or API • Security Validation Includes: • Validated help desk ticket request information • Acquire written approval from ROR • Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations) • Acquire written approval from vendor • Acquire credentials from ROR IT department SMT Security Authorization Validation Surrounding New Ad Hoc Processes

29. ROR Acquisitions and Mergers • Security Validation Includes: • Validated help desk ticket request information • Verify Acquisition / Merger information from independent source (business announcement via web and TDSP Rep Relations • Acquire written approval from Acquiring / First Merging ROR • Acquire written approval from Acquisitioned / Second Merging ROR • Verify authors of Acquiring / Acquisitioned or Merging RORs written approvals are in good standing employment with ROR (human resources and TDSP Rep Relations) • Acquire credentials from ROR IT department SMT Security Authorization Validation Surrounding New Ad Hoc Processes

30. ROR Administrator Access Registration when No Authorized Administrators Exist • Security Validation Includes: • Validated help desk ticket request information • Acquire written approval from ROR (resource other than the one requesting administrator access) • Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations) • Verify ROR Administrator is in good standing employment with ROR (human resources and TDSP Rep Relations) SMT Security Authorization Validation Surrounding New Ad Hoc Processes

31. Update on SMT’s 3rd Party Access System Development

32. Project Schedule 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter 2014 2013 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter Third-Party Design AMIT / SMT DO Security Validation Third-Party Security Independent Review SMT Design Assessment Security Validation Third-Party Customer Experience Review Additional Solution Requirements SMT Customer Experience Changes Third-Party Technical Design & Development Third-Party Volunteer Testers Technical Integration Sessions and Testing Third-Party Market Integration / Instruction Webinars Legend Third-Party Solution SIT and UAT Testing Future Task In Process Completed Third-Party Implementation

33. SMTDO – Third Party Updates SMTDO Webinar Schedule May 23rd – 10:00 – 11:00 a.m. June 20th – 10:00 – 11:00 a.m.