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Update from ERCOT Market Services to Board Of Directors November 19, 2002

Update from ERCOT Market Services to Board Of Directors November 19, 2002. Retail Market Update. Topics ERCOT’s Master Project Plan GISB 1.4 Update Texas Set Version 1.5 Data Transparency and ETS Move-In/Move-Out Issues/Initiatives Quick Recovery Team Update

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Update from ERCOT Market Services to Board Of Directors November 19, 2002

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  1. Update from ERCOT Market Services to Board Of Directors November 19, 2002

  2. Retail Market Update Topics • ERCOT’s Master Project Plan • GISB 1.4 Update • Texas Set Version 1.5 • Data Transparency and ETS • Move-In/Move-Out Issues/Initiatives • Quick Recovery Team Update • Market Synchronization Activities • IDR Meter Usage Report • Non-IDR Meter Usage • Resettlement Update

  3. Master Project Plan Update

  4. Master Project Plan • 2002 Planned Projects • 46 Projects in progress • 27 Projects completed between August 1st and November 1st • 5 Projects continuing on into 2003 for completion • 5 Projects removed from the 2002 plan (require reprioritization for 2003) • 2002 Project Continuing into 2003 for completion include: • PR-20153 Amended POLR Process • PR-20117 Internal Map Testing and Verification • PR-20111 ERCOT Transaction Processing Hardening Initiative • PR-20079 Change Deployment Instructions_PRR281 • PR-20067 Simultaneous Procurement of Ancillary Services

  5. Master Project Plan (cont.) • Next Steps… • Conduct Project Management Office Procedures Training in the month of November • Available ERCOT resources aligned and scheduled against Q1 2003 projects by December 6th 2002 • Start High priority projects identified in master priority list resources as resources are available • Monthly project prioritization adjustments and recommendations: • ERCOT Executive Steering Committee • Market Committees and Subcommittees • ERCOT IT and Business Support Teams • Finalize and distribute documentation on the project request/prioritization process

  6. Bus.Align/ Scope Risk Financial Risk Staffing Risk Technical Risk Schedule Risk Overall PR-20134 GISB 1.4 Executive Summary of Status • Development of code is complete • Server build out is complete • Database configuration is complete • Working on application configuration • Working on network configuration Project Scope/Deliverables • Provide a GISB 1.4 implementation to replace FTP • Provide a migration path toward NAESB 1.6, which is a secure data transport • Deliverables - Support for HTTPS and GISB 1.4 - Roll-out to production - Migration of Market Participants to HTTPS or GISB 1.4 Financial Milestones Timeline 10/15 10/25 10/28 11/1 2/15 3/17 4/1 BudgetYTDForecastVar. Capital$0.70M $0.103M $0.140M [$0.070M] Expense $0.0M $0.00M $0M $0.0 Development Configuration Testing Sign off by ERCOT Migration of Market Participants Completed In Progress Scheduled Upcoming Milestones/Market Impacts Issues/Actions • Outbound network configuration is not complete. Working with Network group to get the port opened to proxy server. • End of Sept Labor Recorded 492hrs (Original SOW states 400hrs) • Sign off by ERCOT • Migration of Market Participants • All of these could be affected by any delays experienced in network configuration/setup.

  7. GISB 1.4 Update

  8. GISB 1.4 Update • RMS agreed at August meeting to move forward with implementing GISB 1.4 at ERCOT • Internal testing and implementation of a GISB 1.4 interface is underway at ERCOT, • Production Sign-off scheduled delayed to 11/18 • All production components are in place as of 10/11 • Testing uncovered errors in outbound transmission requiring a vendor software patch; will be testing the week of 11/4 • Acceptance Testing and Market Participant Testing – 10/15-11/8 • TDTWG is surveyed market participants to finalize migration readiness dates • Preliminary migration schedule reviewed at 10-4-02 TDTWG • Market Participant migration will begin week of 11-25-02; ERCOT will work individually with participants in any change of date for testing and migration. • Goal is to complete migration by April 1, 2003

  9. Texas Set V.1.5

  10. V1.5 Coordination Team Accomplishments/Goals • Established Timeline for V1.5 Project as a Market. Completed • Established Project Phases • Established the Solid date of 2/24/03 as Flight Test Begin Date • Established April as month of Production Implementation • Established clear understanding of V1.5 Requirements. Completed • Reviewed all functional change controls approved by TX SET • Published, circulated, and reviewed ERCOT Conceptual System Designs • Published regularly updated FAQ document

  11. V1.5 Coordination Team Accomplishments/Goals (Cont.) • Established open and up-front communication. Completed • Created a dedicated web page for documentation, FAQ docs, and notes • Created email address for one central point of contact • Periodic Conference Calls and Face-To-Face meetings • Created several pieces of documentation to assist the market with research and analysis • Continuing efforts for Project Success.In Progress • Continued improvements in communication • Project Status and tracking • Production Implementation Plan • Flight Test coordination with the TTPT

  12. Project Status Summary • Exolink provides EDI services for: Calpine, Entergy Disco, Entergy Retail, GEXA, Republic, STEC retail, TCE, Tara Energy, • Systrends provides EDI services for: Occidental, Sharyland, Tenaska • ESG provides EDI services for: ACN Energy, Cirro Group, Coral Energy Markets, Dynegy, Sempra Energy Solutions, Tractebel Energy Markets, UBS Warburg

  13. PROPOSED TIMELINE AND SCHEDULE STILL BEING DEVELOPED BY THE MARKET COORDINATION TEAM ERCOT processes queued 1.4 transactions Internal Testing Normal 1.5 operations Normal 1.4 operations ERCOT Upgrades Software Wednesday, April ? at 5 p.m. ERCOT stops accepting Initiating Transactions Friday, April ? at 5 p.m. ERCOT stops accepting all Transactions Sunday, April ? at 5 p.m. ERCOT begins accepting 1.5 Inbound Friday Midnight 1.4 transactions processed and ready for pickup by MPs = Conference Call

  14. ERCOT Data Transparency

  15. ERCOT Data TransparencyERCOT/Market Requirements • What do Market Participants and ERCOT need to know? • PUC • How is the market performing over time? • Protocol compliance • Transaction volumes • Transaction Success (Business Process) • Market Participants • What is the status of my transactions? • Protocol compliance • Transaction volumes and status • View/Research transactions

  16. ERCOT Data TransparencyERCOT/Market Requirements • ERCOT Retail Market Services • How is ERCOT and the Market performing now and over time? • Transaction Success • Protocol compliance • Backlog Transactions • State of current processing environment • Performance throughput and availability • ERCOT IT • How are ERCOT systems performing now and over time? • State of current processing environment • Backlog Transactions • Performance throughput and availability

  17. ERCOT Data Transparency ERCOT/Market Requirements • What do Market Participants and ERCOT need to see? • Daily update on all CR transactions • All initiating transactions received • All ERCOT responses • List of all other associated transactions • All requests sent to TDSP • All transactions returned by TDSP • Timeliness of responses • Transactions both ‘in’ and ‘out’ of protocols • Failed Transactions • Transactions without a response • Cancelled Transactions

  18. ERCOT Data Transparency Existing ERCOT/Market Reports • Existing ERCOT Reports • Market Participant Transaction Report(“Dark Side”) • Daily EDI activity “in” and “out” of ERCOT (FTP) • Siebel Report • Daily ESIID transaction status by Market Participant • 997 Report • Daily EDI file receipt with 997 transactions

  19. ERCOT Data Transparency Stakeholders and Needs State of Current Environment Protocol Compliance Transaction Success Transaction Status View and Research Backlogs Performance and Throughput PUC CRs TDSPs ERCOT Retail ERCOT IT

  20. ERCOT Data TransparencyBusiness and Operational Concerns • Business Environment • Market changes • Regulatory mandates • Transaction Management • Operational Infrastructure • System availability • Component integrity • System capability Provides Visibility into the Business Environment and Operations Infrastructure

  21. ERCOT Data Transparency Model Provide VISIBILITY into transactions within ERCOT Systems…. • See near “real-time” transaction data • Monitor transaction flows within ERCOT • Provide transaction status for Market Participants • Provide a mechanism to more easily identify Market Participant issues • Develop operational metrics reports • Develop Executive Summary reports • Improve speed and effectiveness of business operations • Incorporate advanced business logic to proactively identify and resolve issues

  22. ERCOT EDI PIPELINE (PRODUCTION) ERCOT Frame Lodestar DB Server Lodestar App Server FTP Paperfree TCH EAI Siebel App Server Siebel DB Server Internet Portal Data Logs FTP Seebeyond Paperfree TCH Lodestar Siebel Transaction Transparency Warehouse Data Reports Events Logging Archive

  23. ERCOT EDI PIPELINE (PRODUCTION) ERCOT Frame Lodestar DB Server Lodestar App Server FTP Paperfree TCH EAI Siebel App Server Siebel DB Server Internet Portal Queue Depths & E-ways FTP Seebeyond Paperfree TCH Lodestar Siebel Component Availability Transactions Reports Related Logging Summary

  24. ERCOT Data Transparency Project Deliverables In Place Nov 02 Q2 - 03 Future Q1 - 03 Competitive Metering Reports? Billing Summaries? CR/TDSP Summaries By Area? MTD/QTD ESIID Usage Summaries? Auto Reprocess Siebel Report 997 Report MP Report Siebel Report 997 Report MP Report Trans Flow Trans Success Protocol Siebel Report 997 Report MP Report Trans Flow Trans Success Protocol Capture MM PUC Reports Data Archive • Siebel Report • 997 Report • Portal • Trans Flow • Trans Success • Protocol • New Reports • PUC Reports • Data Archive • Summary Rpt • - Transactions • % Cancelled • % Failed • % Reprocessed • -System Avail • Component Avail • Trans Flow Rates • Volume Trending Market Reports ERCOT Visibility Market Metrics / Visibility Scorecard / Dashboard

  25. ERCOT Data Transparency ERCOT Phase 1 Solution • ERCOT Visibility • ESIID Tracking System (ETS) • Complete life-cycle view of transactional data • Near-real time updating of ETS database (every 10 minutes) • Transactions are monitored from FTP inbound to FTP outbound • Transactions are purged from database once business process is complete • Daily reporting of all ‘open’ transactions • Reports include all internal system component touch points and their respective timestamps • Reports will identify successful, failed, and out of protocol transactions • Reports are both ‘batch’ and ‘on-demand’

  26. ERCOT Data Transparency ERCOT Phase 1 Solution • ERCOT Visibility • Daily reporting of all ‘open’ transactions • Transaction Flow Report • Identifies the last system component that the transactions hit and their corresponding timestamps by Global ID • Transaction Success Report • Identifies how successful ERCOT was in processing a response transaction

  27. ERCOT Data Transparency Project Benefits • How do Market Participants and ERCOT benefit? • PUC • Knowledge of overall Market performance • Transactions ‘in’ and ‘out’ of protocol • Identify points within the Market that have transaction processing problems • Ability to perform more independent queries • Market Participants • Better able to manage customer expectations • Ability to research transactions for customers • Able to identify where each transaction is located • Reports identifying backlog, successful, failed, and out of protocol transactions • Ability to perform more independent queries

  28. ERCOT Data Transparency Project Benefits • How do Market Participants and ERCOT benefit? • ERCOT Retail Market Services • Able to identify and repair failed transactions • Research problem transactions • Reports identifying backlog, successful, failed, and out of protocol transactions • Summary reports on transaction volumes • Enhanced capabilities to perform root cause analysis on transaction failures • Ensure data synchronization between Siebel and Lodestar • ERCOT IT • Know when system and components are not operating • Knowledge of current processing status of all components • Performance throughput and transaction volumes • Ability to trend anticipated volume levels for system reliability • Potential for real time volume-based performance tuning

  29. ERCOT Data TransparencyERCOT/Market Requirements • Next Steps • Confirm design and value of ETS Phase 1 • Complete vision of data transparency project and confirm with PUCT and Market Participants • Build an overall project plan with timeline and sequencing • Estimate resources required ($ & People) • Gain approval and proceed

  30. Update from Move-In/Move-Out Task Force

  31. MIMO Workshop • Progress • 32 Concepts for improved processing have been discussed • 7 Concepts were dismissed for various reasons • 1 Concept was determined as addressed in Version 1.5 • 3 Concepts were combined into other concepts • 21 Concepts in Task Force • 6 Concepts approved by RMS on 10/16 • 3 Concepts approved by RMS on 11/14 • 12 Concepts are currently pending until additional information can be obtained

  32. Approved Concepts • Questions from RMS • Does this concept require a coordinated implementation? • What parties are affected by the implementation of this concept? • What is the follow-up plan to ensure the concept is implemented? • What enforcement or accountability will we use to ensure the concept is implemented?

  33. Concepts for RMS vote • Short-Term(6 Concepts approved by RMS October 16th) • Mid-Term • Pending 814_06s (Approved by RMS November 14th) • Retired ESI Ids (Approved by RMS November 14th) • Retired ESI Ids(Approved by RMS November 14th) • Short-Term • Processing Efficiency (MIMO will take to RMS December 18th) • Customer Canceling Move-Ins with Move-Outs. (MIMO will take to RMS December 18th) • Handling Switch after 650 Disconnect (MIMO will take to RMS December 18th)

  34. Next Steps • MIMO Taskforce meetings as needed • Discussions on concepts for resolving existing issues • Discussions around concepts for handling stacking • Recommendations to RMS at future RMS meetings • Additional Concepts • Follow-through on execution of approved concepts • Release of implementation timelines • Coordinating test flights with TTPT as appropriate • Development of Texas Set Change Controls, Protocol Revision Requests, and RFP (If necessary) • Deployment of Solutions • Re-Evaluation of Move-In/Move-Out processes

  35. Quick Response Effort Update

  36. Entity Point of Failure Current Status Quantity Quantity Quantity New Cause Not Reported TDSP 37077 32 19581 In Analysis Not executable QRE Team 2932 3303 20 CR CR In Progress 50691 10682 38962 ERCOT EAI Resolved Total 108100 50691 4966 Total ERCOT FTP 162126 694 ERCOT Manual Process (814_08) 3442 ERCOT Out of Protocol 20 ERCOT PaperFree 8215 ERCOT Siebel 1513 ERCOT TCH 6933 TDSP 23754 Total 108100 ESI Ids Reported to QRE (as of November 12, 2002)

  37. Quick Response Effort • QRE is transitioning processes and procedures to ERCOT Data Management and Registration teams by 12/20/2002. • QRE is providing documentation for all QRE business processes to ERCOT • QRE is hosting brown bag and individual training sessions with Data Management and Registration teams • QRE has provided CBT training modules to ERCOT for new hires. Modules have been reviewed and modified per ERCOT comments. • QRE will provide a week of “shadowing” ERCOT employees taking over responsibilities

  38. Quick Response Effort Transition • Transition tasks have been identified and checklist created. • Market notification of transition and survey was sent to Market on 11/12/02. • Survey feedback will be used to assist ERCOT in identifying the proper owner • Survey comments will be used to determine what processes worked and what needs to be improved • Market Participant Surveys need to be returned by 11/18 in order for comments to be considered • Additionally, QRE will provide two documents to ERCOT by 12/20 • “Lessons Learned” • “Recommendations”

  39. RetailTDSP as LSENon-PTB Market Synchronization Activities

  40. Market Synchronization Retailer Synchronization Project • Objective • Address market issues resulting in an out of sync “Rep of Record” between ERCOT, TDSP, and CR systems for all ESI IDs resulting from market startup/processing issues as well as subsequent workarounds • Completed • ERCOT identified “Perfect Sync” and “1 Day Perfect” – sent lists to MPs • ERCOT identified out-of-synch categories at Sept 10th design meeting • Task Force identified additional ESI IDs considered “In Sync” – sent lists to MPs • Task Force prioritized 8 categories based upon potential customer impact • ERCOT has sent priority 1 through 6 out-of-sync files to TDSPs and CRs • November 11th face-to-face meeting to resolve “how to fix” set principles to correct out-of-sync conditions • In Progress • ERCOT compiling and analyzing MP responses to out-of-sync files • TDSPs and CRs completing analysis and response to priority 2-6 files • MPs making corrections per 11-11-02 decisions • Final schedule for completion being developed .

  41. Market Synchronization Retailer Synchronization (cont.) Next Steps • November 19th, December 3rd, 10th, 17th • Follow-up conference calls • December 5th • Escalate issues to TAC if needed • Next Steps: • Finalize process to complete and close out this project • Confirm timeline • Define progress reporting format mechanism for use until close of project

  42. Market Synchronization“TDSP as LSE” Clean-up • Objective • Ensure that all ESI ID are converted from the “TDSP as LSE” by the time True-Up Settlement of February 2002 begins; which is currently scheduled for 12-07-02 • Completed • ERCOT sent TDSPs list of ESI ID affiliated with “TDSP as LSE” any time after Feb 01, 2002 • All TDSPs have responded to ERCOT’s original list with suggested corrective action • In Progress • ERCOT is reconciling response lists from TDSPs and confirming suggested corrective action can be taken • TDSPs should expect there to be a subset of these ESI IDs which will require multiple discussions prior to ERCOT performing corrective actions

  43. Market Synchronization Non Price to Beat • Objective • Make necessary corrections to ensure that >1MW Customers were switched on the correct date in January 2002 • Completed Items • Per RMS direction, ERCOT sent lists to each MP for reconciliation: • 1,134 ESI Ids (>1 MW) identified by CRs (meeting the April 30 deadline) • CR and TDSP have reached agreement of Service Instance Date for all ESI IDs • 1,035 (91%) ESI IDs are corrected • 82 (7%) ESI IDs were agreed not to fix by TDSP and CR • In Progress • 17 (2%) ESI IDs with action required to complete agreement • 13 – CR agreed to TDSP date (after TDSP submits usage, ERCOT will correct) • 4 – ESI ID retired (TDSP needs to submit 814_20 retire transaction)

  44. Consumption Data Loading Reports

  45. IDR Data Loaded into LodestarNovember 12th Report 95% or better expected for 60 days ago 94%

  46. IDR Data Status Report 99% Data Available per MRE

  47. Non-IDR Data Status Report November 12, 2002

  48. Resettlement Update

  49. Resettlement of True-up Status Update November 1, 2002 True-Up Settlement of November 20, 2001 The date we move from the ERCOT Board resolution to the Protocols IDR Data Threshold November 14, 2002 True-Up Settlement of December 17, 2001 Drop dead date for correction of Non-PTB ESID Backdating Oct Dec Feb Apr Jun Aug Oct Dec Sept Nov Jan Mar May Jul Sep Nov 2004 2003 April 1, 2003 Date we expect to be back to six month after the trade day True-Up Settlements December 7, 2002 True-Up Settlement of February 01, 2002 The date all ESI IDs should no longer be with the “TDSP as LSE”. November 12 132 re-settlements performed to date (Operating Day 12/11/01)

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