AMS Data Workshop ERCOT Overview of AMS Data Processes June 27, 2014 ERCOT June 27, 2014

1. AMS Data Workshop ERCOT Overview of AMS Data Processes June 27, 2014 ERCOT June 27, 2014

2. Focal Points • AMS data: loading to settlement • Estimation Process for ESI IDs with AMS meters • Reports / Extracts applicable to AMS data • ERCOT functions that use AMS data

3. Basic “do’s and don’ts” • ERCOT Do’s: • Receive AMS data from TDSPs in “LSE files” • Apply appropriate validations to the LSE files • Load AMS data into the settlement system, thereby making it available for ERCOT processes • Publish AMS data • Monitor/report on AMS data submission status • ERCOT Don’ts: • Change TDSP submitted AMS data • Perform VEE on AMS data • Provide premise level usage data to entities other than the TDSP or the REP of Record

4. AMS Data: Loading to Settlement • Please see posted materials “ERCOTOverview_AMSDataProcesses_Usage&SettlementTimeline.xlsx” • Simple illustrative example: • AMS data activities relative to ERCOT RTM Settlement Timeline for an Operating Day

5. AMS Data Loading – Key Points • Data loaded hourly throughout the day (Sun-Sat) • Timing and batching of data varies between TDSPs • Validationscan result in rejection at the file level or the ESI ID/Operating Day level • Usage loading is placed on hold from 4p until completion of the data aggregation process that evening • As a general rule, data received by ERCOT by 3:00 pm is available for use in settlement as early as that night

6. ERCOT AMS Data Estimation – Key Points • ERCOT ONLY estimates usage for ESI IDs with AMS meters if NO data was received from the TDSP for that ESI ID for the Operating Day being settled • “No data” means… no interval data available in ERCOT’s settlement system as of the time of executing Data Aggregation. • ERCOT will have all of it or none of it for an Operating Day - partial interval data for a day is NOT a possibility.

7. General Rules for AMS & IDR Meter Data Estimation • Estimation process is the same for AMS & IDR Meters • Estimation performed at ESI ID level (not aggregate) • Meters are classified as weather sensitive (WS) or non-weather sensitive (NWS) • All AMS meters are WS • IDR meters may be WS or NWS • WS use 1 of 3 WS proxy days if available, else use NWS method • NWS use most recent, same day of week for estimate • If no data within 12 months of Operating Day, backcast profile used • Special rules apply when transitioning from NIDR

8. WS Meter Data Estimation • Eligible days are created for each weather zone using the criteria below: • Target day must be same season & weekday/weekend day type as operating date • Target day must be within 365 days of operating date • Target day max temp must be within 5 degrees of operating date max temp • Target day max temp hour must be within two hours of operating date max temp hour • Eligible days are ranked as per Protocol 11.4.3.2 and top three are retained as WS proxy days • ESI ID is then estimated with highest ranked proxy day • If no WS proxy day data available, ESI ID will be estimated as per NWS ESI ID

9. NWS Meter Data Estimation • For each ESI ID, the most recent occurrence of the appropriate day of the week corresponding to the day of the week of the operating day will be used as an estimate provided it is within 12 months of the operating date • If no data is available per above, backcast profile will be used • Special Rule – Transition from NIDR • If no data available per above, backcast profile will be scaled as per NIDR estimation if ESI ID was profiled as NIDR within 90 days of operating date and an NIDR meter read exists within 12 months of the operating date • Holidays are treated as Sundays

10. Backcast Profile Review • Backcast profiles are created for each ProfileType & WeatherZone combination • ProfileType Examples (31 Total) • BUSHIDG, BUSHILF, BUSIDRRQ, NMFLAT, NMLIGHT, RESHIPV, RESLOWR • WeatherZones (8 Total) • COAST, EAST, FWEST, NCENT, NORTH, SCENT, SOUTH, WEST • Backcast Profile Examples (248 Total) • BUSHIDG_COAST, BUSHILF_EAST, NMFLAT_FWEST, RESHIPV_NCENT, RESLOWR_NORTH

11. ERCOT Reports & Extracts for AMS Processing Reports for TDSPs: • Missing Consumption Report • Includes ESI IDs for NIDR, IDR & AMS • AMS LSE file based reports • Interval Data LSE Activity Report • AMS Missing Report • AMS Interval Threshold Report Data Extracts: • Supplemental AMS Interval Data Extract • MP must schedule to receive Market Data Transparency Retail User Guides: http://www.ercot.com/services/mdt/userguides/index

12. Missing Consumption Report • Identifies ESIIDs (IDR/NIDR/AMS) for which ERCOT has not received consumption data for thirty-eight (38) days ago. • Posts to MIS (Certified area) • Report is generated daily and is delivered to any MRE with data missing 38 days ago • Supports protocols NP10.3.3.3.1, NP11.2.2(3)(c)

13. Interval Data LSE Activity Report • Responses to ERCOT data loading attempt for AMS interval data transactions into the Lodestar Database • Includes both errors and successful loading responses • Posts to MIS (Certified area) • Reports are generated as files are submitted • Supports protocols NP11.2.2(3)(b), NP11.2.2(3)(a), NP10.12.3(b)

14. AMS Missing Report • Informs TDSPs of AMS interval data missing 40-57 days past the operating date, by ESI ID • Encourages AMS data submission for operating dates still missing in preparation of final settlement • Provides information on operating dates, by ESI ID, where data is still missing after final settlements • Data aggregation runs on day 53 after the operating day for final settlements • Report is generated twice weekly and delivered to TDSP via email • This report is not required by protocol

15. Supplemental AMS Interval Data Extract • MP must request this extract before it will be generated • Serves to help ensure that ERCOT systems are in synch with Market Participant systems • Provides MP with AMS interval usage data for all ESIIDs owned by a MP three days after the data is loaded in ERCOT systems • If data is not loaded for a given day for a MP, there would be no extract for the MP • Recipients of this extract include TDSP and LSE that is the Rep of Record on an ESIID

16. AMS Data Threshold Checks – 1% Total Energy • Catalyst – Proactively identify potential AMS data issues prior to running initial settlements to prevent RTM Resettlements • SAS program initiated automatically at approx. 8:00 am every morning • Looks back four days • Example - June 27, 2014 – program looks at data loaded in ERCOT systems for June 23rd – 26th at the time the report is run • Identify any ESI ID where data exceeds 1.25 MWH/5 MW in an interval • Sums total usage for identified ESI IDs for a given operating day • Compares total usage, by Operating Day, for identified ESI IDs to total ERCOT load for the same Operating Day • If, for the identified Operating Day, the total AMS usage for these ESI IDs exceeds 1% of the total ERCOT load: • Generate report with identified ESI IDs • Create MarkeTrak issue and reach out to the TDSP to inform them of the MT issue and request investigation and data corrections as needed, prior to initial settlements

17. AMS Data Threshold Checks – High Threshold Check • Catalyst – Proactively identify potential AMS data issues prior to running final settlements to enhance the accuracy of market settlements • SAS program initiated manually approximately 8 days into a month • Looks back at the prior month • Example - June report looks at data loaded for May as of that point in time • Identify any ESI ID where data for any interval exceeds defined threshold for RES and BUS profile types • RES profile type threshold set at  62.5 kWh/250 kW in an interval • BUS profile type threshold set at  250 kWh/1 MW in an interval • If, for the identified Operating Days, AMS interval usage for these ESI IDs exceeds the defined threshold: • Generate report with identified ESI IDs • Create MarkeTrak issue to inform the TDSP of the issue and request investigation and data corrections as needed, prior to final settlements

18. What ERCOT functions use AMS data?