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Update from ERCOT Retail Market Services to RMS January 14, 2004

Update from ERCOT Retail Market Services to RMS January 14, 2004. Agenda / Presenters. Texas Market Link (PRP phase 1) Update – Matt Mereness Commercial Application Systems Upgrade Project - Dave Odle Data Variance / SCR 727 Extract Update – Betty Day 

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Update from ERCOT Retail Market Services to RMS January 14, 2004

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  1. Update from ERCOT Retail Market Services to RMS January 14, 2004

  2. Agenda / Presenters • Texas Market Link (PRP phase 1) Update – Matt Mereness • Commercial Application Systems Upgrade Project- Dave Odle • Data Variance / SCR 727 Extract Update – Betty Day  • EDIM Progress Reports – James Cohea • Fast Trak Day to Day Issues Progress Report • Fast Trak DEV Issues Progress Report • Pre-Texas SET 1.5 Data Clean Up Progress Report • On-Going Data Clean Up Update • Customer Protection 814_08 Issue Update • 867s received on Canceled Service Orders • NAESB 1.6 Migration Update - John Kassel • MIMO Stacking Solution Update – Glen Wingerd • Load Research Project Update - Raj Chudgar • Flight Test Update (0104) – Karen Bergman • Market Participant Survey - Scott Egger • CR Data Extract Variance Reporting- Karen Bergman

  3. Texas Market Link(PRP Phase 1)

  4. IT Update – Texas Market Link(Portal Replacement Project Phase 1) • The new Portal/TML was launched 12/3/2003 after successful completion of market testing and stress/load testing, however, technical issues were encountered and the old Portal was reinstated. • Post-mortem analysis has revealed a technical issue in the platform integration. • Next steps are being discussed to resolve technical issues and to assess re-launch approach. • In the interim, any https://tml.ercot.com requests are being redirected to https://portal.ercot.com.

  5. Retail API Update

  6. IT Update(API Issue and Redevelopment Efforts) • API became corrupt/unrecoverable on 10/3/03 • ERCOT Development team developed new API program to replace old functionality • Released in three phases: • Download of Report Functions- released 11/11/03 • Find ESI Id and Find Transactions- released 12/8/03 • Find Market Participant Data & Winzip fix- released 12/16/03 • Continue providing Weekly Updates on Retail Conference Call • Reminder that the website URL for the API changed: • https://pi.ercot.com/servlet/piController

  7. Commercial Application Systems Upgrade Project (CASUP) PR# 30082_02

  8. CASUP Purpose Project Purpose: • ERCOT Commercial Systems must be upgraded for software version support and compatibility. ERCOT considers this an opportunity to review current application performance, reliability, and extensibility. • ERCOT will be evaluating if there are existing applications that better meet our functional needs and cost of ownership requirements. Desired Result: • To improve ERCOT’s ability to provide reliable, scalable, highly available, and extensible commercial systems that enable timely and accurate responses to changing demands of the Texas Electric Market while over time reducing the total cost of ownership and operation.

  9. CASUP Approach ? ? 10/16/03 3/31/04 Requirements Phase Business Requirements Technical Requirements RFQ Recommendation Vendor Shortlist RFP Phase RFP (if necessary) Vendor Selection (if replacement option is decided) Build Phase Either: Upgrade or Replace Current Phase

  10. CASUP Requirements Approach Requirements Phase Project Approach: • Three deliverables: • Business Requirements Delivery • Technical Requirements Delivery • Recommendation (Upgrade/Replace) and Vendor Shortlist Delivery • All three deliverables running in parallel • Requirements phase to conclude 3/31/04

  11. CASUP Next Steps • Vendor Demonstrations during January & February • ERCOT evaluations of demos • Cost/Benefit/Risk Analysis • Decision of Replace or Upgrade • Vendor Shortlist Creation • Requirements • Business detailed requirements complete • Technical detailed requirements complete

  12. Data Variance / SCR 727 Extract Status

  13. SCR 727 Extract Status • ERCOT provided all extract files by the scheduled date of 12/19/03 • Daily extract file posting began on 12/19/03 • Two minor issues resolved: • Daily files for 12/7/03 and 12/8/03 posted out of order • MPs processing according to the dates of the files were not impacted • MPs processing according to the posting date were provided instructions on how to correct • Decimal precision on LSCHANNELCUTDATA records • New extracts are provided with higher level of precision • ERCOT recommends rounding of data by MPs to avoid any issue in comparing extract data to MP source data • Incremental 2 LSCHANNELCUTDATA files formatted incorrectly (no decimal precision) – new data files provided

  14. Board Resolution on True-Ups All true-ups for 2003 shall be delayed until market participants have a reasonable amount of time to load complete data extracts and analyze the data, and sufficient time to process any alleged variances as follows: • 2003 True-Up Settlement Statements will begin no earlier than 120 days from the date that ERCOT provides the first complete SCR 727 data extracts related to 2003 to market participants, as determined by ERCOT, and • alleged data variances indicated in the extracts affecting 2003 True-Up Settlement Statements must be submitted to ERCOT in chronological order beginning 90 days from the date that ERCOT provides the first extract related to 2003. ERCOT has determined that complete data was provided to the Market by 1/1/04. True-Up Settlement Statements for 2003 will begin on May 1, 2003. A Settlement Calendar will be published to the ERCOT website.

  15. RMS Vote on DEV Timelines (10/16/03) A motion was made by Rob Bevill and seconded by Shannon Bowling to establish a 75 calendar day deadline for completion of each issue and each MP (including ERCOT) will complete the Data Extract Variance (DEV) Process in accordance with the timelines and other requirements of the DEV Manual. The motion was approved.

  16. FasTrak Issue Status • Day-to-Day • Data Extract Variances (DEV) • ERCOT Initiated Issues

  17. FasTrak 2003 “Day to Day”Issue Stats (as of 01-07-04) • Of the 276 In Progress, 91 are resolved and awaiting other party resolution check off • Total ESI IDs worked in 2003 = 324,587 • Of the 3,749 New and In Progress Non- ERCOT issues, 13 are for the year 2002 • Number of ESI IDs not tracked

  18. FasTrak 2004 “Day to Day”Issue Stats (as of 01-07-04) • Of the 130 In Progress, 62 are resolved and awaiting other party resolution check off • Total ESI IDs worked to date since January 1, 2004 = 5,661 • Number of ESI IDs not tracked

  19. FasTrak Data Extract VarianceIssue Stats (as of 01-07-04) • Of the 149 In Progress, 2 are resolved and awaiting other party resolution check off • 2,123 issues classified as resolved or rejected in 2003 are excluded from the report per RMS direction • 2,421 issues classified as resolved or rejected in 2003 are excluded from the report per RMS direction

  20. FasTrak ERCOT Initiated Issues Issue Stats (as of 01-07-04) • These are issue initiated by ERCOT to the TDSP or CR as a result of one of the following projects: • Customer Protection Period and 814.08 • 867 Received on Canceled Service orders

  21. Pre TX Set 1.5 Data Clean Up • RMS Directive • Pre TX SET 1.5 Status Report

  22. Pre-TX Set 1.5 Data Clean Up Background: ERCOT identified “In Review”, “Scheduled” and “Canceled with Exception with Meter Reads” that were not completed from early 2002 to April 11, 2003. RMS Vote, July 17th, 2003: Recommend RMS direct ERCOT to completely clean-up by August 13th, 2003 the Pre-Tx Set 1.5 In Review, Scheduled and Cancel With Exception that have been identified and sent to the market participants which should include cancels with CR approvals. ERCOT will provide at August RMS full statistics involving market participants broken down per issue type. ERCOT is directed that if the TDSP provides file names, ERCOT will locate and re-process if it is a valid transaction. RMS directs the TDSPs and CRs to provide transactions or information necessary to achieve the completion of the data clean-up.

  23. Pre-TX Set 1.5 Data Clean Up

  24. Ongoing Transaction Data Clean Up • Clean-up Process Steps • Completed Items – Next Steps • Status Report

  25. Ongoing Transaction Data Clean Up Clean-up Process Steps: • ERCOT runs the query and defines the Action Items needed • In-Review with Meter Read: Notify TDSP and request 814_04/25 then transaction will complete. (Date Range equals or greater than 07/01/01.) • Scheduled No Meter Read: Notify TDSP and request 867 completing transaction. (Date Range equals or greater then 07/01/01.) • Cancel With Exception (CWE) with Meter Read: Notify CR and TDSP and find out if they thought the transaction had completed. If so – take corrective action. (Date Range is 04/12/03 to 08/31/03.) • Cancelled Permit Not Received with Meter Read: Notify CR and TDSP and find out if they thought the transaction had completed. If so – take corrective action. (Date Range is 04/12/03 to 08/31/03.) • ERCOT distributes the lists to MP who owe the follow-up action. • MP Responds and ERCOT coordinates the clean-up activities. • ERCOT to report Monthly to RMS.

  26. Ongoing Transaction Data Clean Up Completed Items : • October 20, 2003: ERCOT sends out new lists to CRs and TDSPs • October 29, 2003: TDSPs send analysis to CR • November 4, 2003: CRs respond to TDSPs and coordinate final response to ERCOT • RMS approved a target deadline of December 12 for completing this activity • ERCOT provide updates and reminders to the TDSPs on an ad hoc basis when requested by the TDSP and each week prior to RMS Next Steps: • ERCOT to coordinate corrective actions to TDSP • ERCOT will continue to report progress at each RMS meting

  27. Ongoing Transaction Data Clean Up

  28. Customer Protection and 814_08 Issue(Phase 1 – Potentially Missing 08s) • Background and Completed Items • Matrix and Progress Report • Other Status Items and Next Steps

  29. Customer Protection Period and 814.08(Phase 1 – Potentially Missing 08s) Background ERCOT has determined that there was an issue with the 814_08 manual-processing tool related to the cancel by customer objection process. While ERCOT systems were updated appropriately, 972 ESI IDs (spanning the August 2002 through July 2003 time frame) were identified where ERCOT has been unable to confirm that the TDSP was sent the 814_08 cancel. Completed Items • Scenario 1 instances: ERCOT still has approximately 35 either in progress or needing further clarification from TDSPs • 41 FasTrak issues: • 27 Resolved (spanning 40 switches) • 13 In Progress (some dialog has occurred) • 1 Not Started (no feedback)

  30. Customer Protection Period and 814.08(Phase 1 – Potentially Missing 08s) January 7, 2004 Status

  31. Customer Protection Period and 814.08(Phase 1 – Potentially Missing 08s)

  32. Customer Protection Period and 814.08(Phase 1 – Potentially Missing 08s) Other Status Items • Matrix of FasTrak issues not yet resolved provided to RMS Chair/Vice Chair on Nov 6th, Dec 4th and Jan 6th- included CR names • ERCOT has “processed” all email exchanges related to FT issues as of 01/06/04 • Concern that ERCOT is not being informed of “resolution” in some cases. Next Steps • ERCOT to continue to escalate missing responses • ERCOT to complete manual corrections related to Scenario 1 • CRs and TDSPs make decisions on outstanding FasTrak issues and provide response to ERCOT via FasTrak and Email

  33. Customer Protection and 814_08 Issue(Phase 2 – Potentially Late 08s) • Background and Completed Items • Matrix and Progress Report • Other Status Items and Next Steps

  34. Customer Protection Period and 814.08(Phase 2 – Potentially Late 08s) Background Upon inception of Phase 1 of the ‘Potentially Missing 08s’, MPs requested an analysis of potentially late 08’s on Cancel by Customer Objection (CCO). ERCOT identified 264 instances of 08’s on CCOs that were sent to the TDSP at least two days after the end of the customer objection period where the TDSP rejected the cancel. These switch transactions span the August 2002 through November 2003 time frame. Upon direction from RMS at the December 2003 meeting, ERCOT sent list to each CR and TDSP involved in an attempt to quantify the true scope of out-of-sync conditions. Completed Items • ERCOT sent lists to 4 TDSPs and 12 CRs on 12/23-24/2003 requesting responses by COB 1-6-04 • ERCOT received responses from all MPs except CPL Retail, Direct Energy, Entergy Solutions and WTU Retail • ERCOT compiled the following matrix from the responses received

  35. Customer Protection Period and 814.08(Phase 2 – Potentially Late 08s) January 7, 2004 Status

  36. Customer Protection Period and 814.08(Phase 2 – Potentially Late 08s) Next Steps • CRs to provide outstanding responses to ERCOT • ERCOT to initiate FasTrak issues for out-of-sync (scenarios 2-7) • CRs to determine which CR should ‘own’ the ESI ID and coordinate corrections with TDSP and Other CR via the FasTrak mechanism and Email • ERCOT to begin manual corrections by related to Scenario 1 – this will require input from the TDSP on their REP of record history • ERCOT to request RMS provide a completion date expectation for this project

  37. Pro-Active Transaction Resolution Measures 867s Received on Canceled Service Orders

  38. 867s received on Canceled Service Orders Situation ERCOT periodically receives 867_03 Finals and 867_04s for service orders that are Canceled in ERCOT systems. The Service Order Statuses that are considered Canceled are: Canceled (manually or concurrent processing), Canceled by Customer Request, Canceled by Customer Objection, Canceled Permit Not Received, Canceled with Exception, Unexecutable and Rejected by TDSP. This can indicate an out-of-sync condition between the TDSP and ERCOT. Volume:

  39. 867s received on Canceled Service Orders

  40. 867s received on Canceled Service Orders Proactive Measure: • ERCOT will compile transaction data related to the situation described above and on a weekly basis submit an ERCOT initiated FasTrak issue with the TDSP identified as the Resolving Party. • The TDSP is to provide a response for each FasTrak line item within the issue spreadsheet: • The service orders are Canceled in the TDSPs system - the TDSP should update the FasTrak issue spreadsheet accordingly. No further action is necessary. • The service orders are Complete in the TDSPs system - identifying an out-of-sync condition with ERCOT. The TDSP would then initiate an effort to clear the out-of-sync condition. (see ERCOT proposal for resolving out-of-sync conditions) Timing and Implementation: • ERCOT initiated this process on November 7, 2003 • Each Friday thereafter, ERCOT has provided a list to the TDSPs via FasTrak containing data for 867s received against Canceled Service Orders for the previous seven days • ERCOT is awaiting RMS direction for process completion

  41. 867s received on Canceled Service Orders Considerations for clean-up of Out-of-Sync Situations : • CRs receive both completing and cancellation information on service orders and should initiate an inquiry to the TDSP any time they see both on the same service order (they should not wait for this process) • Additionally, CRs who submit an enrollment transaction receive a Service Order extract identifying the ERCOT Siebel status of the transaction • Use of a “modified” Inadvertent issue process has not been a great success in the missing 08 clean-up effort • Precise rules allow for definitive understanding of how each Market Player will respond but does not circumvent the ability for ad-hoc corrections

  42. 867s received on Canceled Service Orders ERCOT Proposal for Handling Out-of-Sync Conditions : For: ▪ Canceled • Canceled by Customer Request • Canceled by Customer Objection • Unexecutable • Rejected by the TDSP Process: The TDSP will cancel the service order in their system. For: ▪ Canceled Permit Not Received • Canceled with Exception Process: When TDSP indicates service order should be completed, ERCOT will locate and reprocess transactions identified as sent by the TDSP to complete a service order. (May require TDSP to re-send transaction) NOTE: FasTrak is the mechanism to handle exceptions to the above policy

  43. 867s received on Canceled Service Orders Completed Items • ERCOT continues sending weekly FasTrak issues to TDSPs • ERCOT modified process to omit 867 Cancels from reporting beginning with 2004 Next Steps • ERCOT to discuss outstanding issue with TDSPs and determine resolution

  44. NAESB EDM v1.6Migration Update

  45. NAESB EDM v1.6 ERCOT Testing Status Current Progress: • Phase 1 - ERCOT and TDSP – Testing is complete • Phase 2 - ERCOT and CR – Scheduled to run from January 5th through January 22nd (Week of January 26th reserved for any necessary rework…) • Issue on MIME Content-type – sent to TDTWG for resolution Future: • Phase 3 - TDSP and CR - Scheduled to begin February 16th Note: Flight 0104 New CRs will be handled by existing third party service providersalready certified on NAESB v1.6

  46. NAESB EDM v1.6 ERCOT Testing Status - CRs

  47. NAESB EDM v1.6 ERCOT Testing Status – CRs cont.

  48. NAESB EDM v1.6 ERCOT Testing Status – CRs cont.

  49. NAESB EDM v1.6ERCOT Testing Status - TDSPs

  50. Move-In/Move-Out Market Solution to Stacking (Texas Set V.2.0)

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