training session managing formal queries by katia compagnoni

Training Session

Managing Formal Queries

by Katia Compagnoni

Agenda

Background

Data & Settlement Queries process

Dispute Process

Data & Settlement Queries statistics

What to query and where to find it

Conclusions

Questions

2

Training objectives

3

At the end of this session you will:

Have an understanding of your rights with regard to raising Formal Queries and Disputes;

Know where to find the right data to check;

Be advised on how to increase the effectiveness and the efficiency of the Formal Queries process.

Background

Inefficiencies in the management of Data and Settlement Queries, were identified at the working group for Mod_38_10 held in February 2011;

SEMO proposed a training session to facilitate the understanding of the process;

Training material available to Participants has been updated.

4

Data Query – Original Training

Data VerificationPeriod 4 Working Days

SEMO Determination Period10 Working Days

Dispute RaisingPeriod 5 Working Days

Data Queries need to be filed within the DVP

DVP commences immediately after the MSQs have been issued

Should the Participant not agree with the result of the MO, can a Settlement Dispute be raised

SEMO has to resolve the Data Queries within 10 working days, otherwise they effectively become Settlement Disputes

5

Data Query – Swimlanes from AP13

6

Affe

cted

Par

ticip

ant

Raise Data Query

Within Data Verification Period

Email / Fax / Post

Is Query valid ?

Inform Raising Participant and log as set out in

AP11

Within 1 WD

Email / Fax / Post

No

Receive invalid reasons?

Within 1 WD

Resubmit Query?

Yes

No

Who is affected by query ?

Other Participant

External Data Provider

Market Operator

Is Data to be Changed

No

Yes

Dispute?

Raise Settlement Dispute under AP 14

Yes

inform Raising Participant

Log as set out in AP 11

Within 1 WD

Email / Fax / Post

Yes

Included in Initial Settlement

Statement ?

No

No

Is it High Materiality ?

Yes

Stop

StopReceive agreed

timescale & notify External Data

Provider /Affected Participant

Within 1 WD

Email / Fax / Post

Yes

Complete within timescales? Yes

Complete within timescales?

No

Yes

No

Can Determination

be made without Affected party

comment

YesComplete within

timescales?

No

Yes

Yes

NoIf determination has not yet been made

request additional time

Within 8 WD of receipt of Data Query

Email / Fax / Post

Respond to request

Within 1 WD of request

Email / Fax / Post

Start

Schedule a dedicated Settlement Rerun and

ensure that any required recalculation

of SMP , MSQs or LOLPs have been

performed

Within 20WDs of receipt of revised data

Ensure revised data included in next

Timetabled Settlement Rerun

including any required recalculation of SMP ,

MSQs or LOLPs

By next Timetabled Settlement Rerun

Notify inability to complete

Within timescales

Email / Fax / Post

Provide Comment on Data Query

Within timescales

Email / Fax / Post

Receive Determination

Process Query , Determine outcome and implement .

Within 10 WD of receipt of Data Query or other agreed timescale

Receive and Review Determination

Notify inability to complete

Within agreed timescales

Email / Fax / Post

Process Data Query

Within agreed timescales

Inform External Data Provider with

timescales

Within 1 WD

Email / Fax / Post

Inform Market Operator and provide Data

Immediately

Email / Fax / Post & Comms Channel

Inform Raising Participant and Affected Participant (s) of determination and materialityClose log as set out in AP 11

Within 10 WD of receipt of Data Query or other agreed

timescale

Email / Fax / Post

Inform Market Operator

Immediately

Email / Fax / Post

No

Process Request

Within timescales

Receive Confirmation

Inform Affected Participants’ ) with

timescales

Within 1 WD

Email / Fax / Post

Rai

sing

Par

ticip

ant

Mar

ket O

pera

tor

Ext

erna

l Dat

a P

rovi

der

(MD

P /

SO

/ IA

)

Raise Settlement Dispute under AP 14

Within 5 WD

Inform External Data Provider

Within 1 WD of determination

Email / Fax / Post

Within 10 WD of notification

Comms Channel

Submit revised data

Data & Settlement Query Process

Submit

Raising Party SEMO

7


- Use the appropriate form from AP13, Appendix 2

Submit

SETTLEMENT / DATA QUERY FORM Type of Query

SETTLEMENT / DATA

Delete as appropriate

PARTICIPANT INFORMATIONParticipant Name

Participant id

SETTLEMENT STATEMENT DETAILSSettlement Statement Number

Settlement Days in Statement For Capacity month/year; For Energy dd/mm/yy to dd/mm/yy ; For Data Query dd/mm/yy

Run Type

(Only for Settlement Query - Delete as appropriate)

Initial / Rerun 1 / Rerun 2 / Adhoc

To be completed by Participant

Participant’s Query Ref

Date Sent

To be ccompleted by Market Operator

Market Operator’s Query Ref

Date ReceivedForm Checked

Accepted / Rejected(delete as appropriate)

Descriptive Overview of Query

(Provide a description of w hat the issue is e.g. the Units affected, the data items concerned, the incorrect charges, whether it is input data or the calculationthe basis of the query(the evidence)

Query Details

(Provide specific details of the items in the Settlement Statement being queried including where appropriate the Supplier/ Generator Unit, the meter ids, the half hours (day and half hour ending time), the specific charge item affected)

Additional Supporting

Documents provided:Specify Title and number of pages for each supporting document

Title No of Pages

Authorised Representative (on behalf of Participant)

Name Signature Password

Date

- Timelines:- Data Queries: Data verification Period (T&SC 6.48.2) starting from the time of the publication of Indicative MSQs to 17:00 on the 4th working day after that;

- Settlement Queries: by 17:00 on the 20th working day after the last timetabled re-run (M+13) or the 5th working day after any ah-hoc post M+13 (T&SC 6.101 and 6.101A);

-Supporting documentation should be comprehensive

8


Submit

Raising Party SEMO

Log

9


- Form checked: - Authorised Participant- Correct password- Legible and legitimate Query- Received within relevant timelines

- Query captured in SEMO tracking system

- Acknowledgement of receipt

- Timelines for completion starting from submission

Log

10


Submit

Raising Party SEMO

Log

Assess

11


Assess

- Verify the claim

- Confirm inputs with External Data Providers (if required)

- Liaise with software vendor (if required)

12


Submit

Raising Party SEMO

Log

Assess

Re-calculate

13


- Verify calculation

- Upheld Data Queries

- Upheld Settlement Queries

Re-calculate

Re-price and Resettle

Resettle

Resettle

14


- Only Data Queries can cause a Re-price;

- A Re-price must be carried out within one month of the resolution of the Query;

- A Re-price will only be carried out in cases of variances greater than the Settlement Recalculation Threshold (SRT).

- The SRT is available on the SEMO website at http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx

Re-calculate

15


- Variances to Settlement items always cause a Resettlement;

- The timelines of a Resettlement are dictated by the materiality of the variances:

- High materiality variances > €50,000 must be completed within one month

- Low materiality variances < €50,000 will be included the next timetabled Resettlement (M+4 or M+13)

Re-calculate

16


Submit

Raising Party SEMO

Log

Assess

Re-calculateReceive Findings

17


- The Raising Party will receive findings and all related documentation within the following timelines:

• Data Queries

• Settlement Queries

- If timelines are not respected, the query will automatically become a Dispute

Receive Findings

within 10 working days

within one calendar month

18

Data & Settlement Query Process - Right to Extend

- SEMO can request additional time to resolve a Data or a Settlement Query.

- This is limited to an additional 10 working days

- Raising Party must give their consent to the extension

- If no consent is received the query must be resolved within the original timelines.

Right to grant extensions

19

Data & Settlement Query Process - Right to Dispute

Right to Dispute

- Participants have the right to dispute SEMO’s findings within 5 working days of receiving the resolution;

- Participants have the right to receive a resolution within the timelines of the T&SC else the Data or Settlement Query automatically becomes a Settlement Dispute;

- A General Dispute can also be raised on any claims within Party in relation to any item in the T&SC provided that is within 28 days of that Party having become aware of the Disputed Event and in any event within 2 years of the Disputed Event having occurred

20

Dispute Process

Submit

Raising Party SEMO

21

Dispute Process

- Use the appropriate form from AP14, Appendix 2

Submit

- Timelines for Settlement Dispute:- Within five working days of receiving resolution of a Data or Settlement Query;- Automatically in case of Data or Settlement query not resolved within the timelines (no submission of form required)

- Timelines for General Dispute:- Within 28 days of that Party having become aware of the Disputed Event and in any event within 2 years of the Disputed Event having occurred;

DISPUTE

Dispute Notice

Dispute submitted by: Please identify Party (and Participant if

required) to Code

Date of Submission of this Notice:

Dispute Notice Number: (to be assigned by Market Operator)

Contact Details for Party raising the Dispute Name:

Telephone number:

Address: e-mail address: Brief Description of Dispute This should be brief and high-level enough so as to inform other potentially impacted Parties of the Dispute)

Please list all counterparties to the dispute:

Please identify all Parties (and Participants) as appropriate who are subject to this Dispute

Detail of the Dispute

Clearly state the full nature of the dispute, identifying the paragraphs of the Code where the Raising Disputing Party and corrective actions

Proposed Negotiation Timeframe

Please state your availability for resolution of this dispute

Please send this form to the Counterparties to the Dispute, the Market Operator (if not already a Counterparty), and the Regulatory Authorities (if the Market Operator is a Counterparty to the Dispute). Contact details available from the MO Website

22

Dispute Process

Submit

Raising Party SEMO

Log

23

Dispute Process

- Form checked: - Authorised Participant

- Correct password

- Legible and legitimate Dispute

- Received within relevant timelines

- Dispute captured in SEMO tracking system

- Acknowledgement of receipt

Log

24

Dispute Process

Submit

Raising Party SEMO

Log

Assess

25

Dispute Process

Assess

- Verify the claim

- Confirm inputs with External Data Providers (if required)

- Liaise with software vendor (if required)

26

Dispute Process

Submit

Raising Party SEMO

Log

Assess

Amicable Process

27

Dispute Process

Amicable Process

- Hold a meeting within ten working days of Dispute submission

- Actively engage to resolve the Dispute without the need for formal legal representation or procedures

- Where resolution is agreed, Raising Party completes a ‘Dispute Resolution Form’ from AP14 Appendix 2

DISPUTE

DISPUTE RESOLUTION FORM

Dispute Resolution Form submitted by:

Please identify Party (and Participant if required) to Code

Date of Submission of this Notice:

Dispute Notice Number: (assigned by Market Operator to the

Dispute Notice)

Contact Details for Party submitting the Dispute Resolution Form Name:

Telephone number:

Address: e-mail address:

Brief Description of Dispute

Please list all counterparties to the dispute:

Please identify all Parties (and Participants) as appropriate who are subject to this Dispute

Detail of Resolution of the Dispute

Clearly state the full nature of the dispute, identifying the paragraphs of the Code where the Raising Disputing Party and corrective actions

Signatures/Authorisation of all parties to the Dispute

Please send this form to the Counterparties to the Dispute, the Market Operator (if not already a Counterparty), and the Regulatory Authorities (if the Market Operator is a Counterparty to the Dispute). Contact details available from the MO Website

28

Dispute Process - Right to Extend

- Parties can agree to propose an extension to the Dispute negotiations;

- SEMO (or the Regulatory Authorities where SEMO is a Party to the Dispute) must give consent to the extension;

- If no consent is received the Dispute must be resolved or escalated, else is closed.

Right to propose an extension

29

Dispute Process - Right to escalate a Dispute

Right to escalate a Dispute- Following the resolution of a Dispute, any Party to it has the right to escalate the Dispute to a Dispute Resolution Board (DRB);

- DRB panel of 1 or 3 members is agreed by the Parties; panel is chosen from a list of selected members that can be found in the document ‘Dispute Resolution Board’ on the SMEO website: http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx

- Resolution is binding to all Parties;

- If Parties are dissatisfied with the resolution, the matter can be referred to a Judicial Court by submitting Notice of Dissatisfaction.

30

Data Query – Statistics up to 31st Oct 2011

Upheld

Not Upheld

31

Data Query - Statistics up to 31st Oct 2011

32Not Upheld Upheld


33

0

20

40

60

80

100

120

2007 2008 2009 2010 2011 2007 2008 2009 2010 2011

Not Upheld Upheld

N. o

f qu

erie

s

Year

Yes

No

SMP effecting

SMP not effecting

Data Queries against SMP effecting Data


34

0

5

10

15

20

25

2007 2008 2009 2010 2011

Rejected

N. o

f qu

erie

s

Year

Yes - SMP effecting

No - SMP not effecting

Rejected Data Queries against SMP effecting Data

High volume of Data Queries are not related to issues impacting SMP or MSQs: Capacity Settlement Currency Cost Dispatch Instructions & Instruction Profiling DOG-PUG Eligible Availability Exchange Rate Imperfection Charge LOLP Loss Adjustment Factors Metered Demand Market Operator Charge Payment Calculation Report Settlement Reallocation Agreements Testing Charge VAT


35

Data query – What to query and where to find it

As per T&SC 6.82 and 6.83 SMP and Market Schedule Quantities will be recalculated in the event that the Market Operator in resolving a Data Query determines that the following data has been applied incorrectly and that the correct application would require it to change it for more than the Settlement Recalculation Threshold:

Commercial Offer Data or Technical Offer Data

Actual Availability or Dispatch Quantity*

Meter Data

Also if Market Schedule Quantity has been calculated incorrectly

*Dispatch Quantities only impacts units with Non Firm Access Quantity

36


37

Within the Data Verification Period of Data Queries, it is important to concentrate checks on items that impact on the SMP or MSQ calculation. Here is a summary of where to find them

Items to check Report Name and Title Variable name

AvailabilityPUB_D_ExPostMktSchDetail.xml; ('Indicative Ex-Post Market Schedule Quantity')

ACTUAL_AVAIL and MINIMUM_GENERATION

Metered GenerationPUB_D_PriceAffectingMeterData.xml; ('Price Affecting Meter Data') METERED_MW

Commercial Offer Data

PUB_D_CODStandardGenUnits.xml; PUB_D_CODStandardDemUnits.xml; PUB_D_CODInterconnectorUnits.xml; ('Commercial Offer Data – Standard Generator Unit/Demand Side Units/Interconnector Units')

All in file

Technical Offer DataPUB_D_TODStandardUnits.xml; PUB_D_TODDemandSideUnits.xml; ('Technical Offer Data – Standard/Demand Side Units')

RAMP_UP/DOWN_RATE and BREAK_POINT (1 to 5); DWELL_TIME and TRIGGER_POINT (1 to 3); MINIMUM_ON_TIME; MINIMUM_OFF_TIME;

Additional items impacting SMP or MSQ needs to be checked for some Generator Units.

Generators with Non-Firm Access Quantity:

*This is not available in Public reports but only on the MPI for individual Participants.


38


Dispatch Instructions PUB_D_DispatchInstructions.xml; ('Dispatch Instructions') DISPATCH_INSTRUCTION

Dispatch QuantitiesEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report') DQ

AvailabilityPUB_D_ExPostMktSchDetail.xml; ('Indicative/Initial Ex-Post Market Schedule Quantity') AVAILABILITY_PROFILE

Metered DemandEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')

MD

Trading Site Firm Access Quantity* N/A N/A


Generators with Energy Limits or Pump Storage:

*Energy Limits should not be confused with targets that must be achieved; also Meter Generation impacts on the calculation of MSQs resulting in Energy Limits that have no impact on MSQs if lower than the Metered Generation.


39


Energy Limits*PUB_D_TODStandardUnits.xml; ('Technical Offer Data – Standard Units')

ENERGY_LIMIT_MWH

Re-declared Energy Limits*

PUB_D_EnergyLimitedGenUnitTechChars.xml ('Energy Limited Generator Unit Technical Characteristics Data')

REDECLARED_ENERGY_LIMIT

Target ReservoirPUB_D_CODStandardGenUnits.xml ('Commercial Offer Data – Standard Generator Unit ')

TARGET_RESV_LEVEL_MWH


Predictable Price takers including Generators Under Test:

Other items to check:

*These are items controlled exclusively by the TSOs, therefore would normally be queried by the TSO only.


40


Unit NominationsPUB_D_CommercialOfferDataGenNomProfiles.xml; ('Commercial Data Generator Unit Nomination Profiles') NOMINATED_QUANTITY

Items to check* Report Name and Title Variable nameLoad Shedding Estimate

PUB_D_DemandControlData.xml ('Demand Control Data Transaction')

ESTIMATE_DEMAND_REDUCTION_MW

SO-SO TradesPUB_D_InterconnectorTrades.xml ('SO Interconnector Trades')

SO_INTERCON_IMP_QUANTITY; SO_INTERCON_EXP_QUANTITY


All Public Reports can be found in .xml or .html format on the MPI

41



42



43



44



45


Public Reports are also available for up to a week after publication in the Static Reports section of the Semo Website

46

What to query and where to find itSome variables are also available in the Dynamic Report section on the Semo

Website

47


Some variables in the Dynamic Reports section on the SEMO website can also be downloaded through Webservices;

Instructions on Webservices are included in the document ‘Automated Interfaces Specification – Webservices.doc’ available on the SEMO website at: http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx ;

Dispatch Quantities are publicly available only in the Datapublication_Reports stored on a weekly basis under:

http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx

48

Settlement Query – Statistics up to the 31st October

Upheld

Not Upheld

49

Settlement Query – Statistics up to the 31st October

50

0

5

10

15

20

25

30

2007 2008 2009 2010 2011

Rejected

N. o

f qu

erie

s

Year

Yes - SMP effecting

No - SMP not effecting

Settlement Query – What to query and where to find it As per T&SC 6.94 and 6.95 a Settlement Query may be raised in respect of the

application of Metered Generation or the calculation of any of the following amounts:

Metered Demand Net Demand Settlement Net Demand Eligible Availability Actual Availability Dispatch Quantity Currency Cost Interest Amount or in respect of Discovered Errors*

Also a Participant may raise a Settlement Query in the event of any difference between a Settlement Item on the Ex-Post Indicative and the same Item on the Ex-Post Initial Settlement Statements without the Participant having filed a Data Query in relation to that Item.

*Discovered Errors, as defined in the T&SC Glossary, only relates to Meter Data errors.

51


52

Longer timelines are in place for Settlement items and here is a summary of where to find them:

*Items queried under a Settlement Query will not result in a Re-price even though they might impact SMP or MSQ

Items to check* Report Name and Title Variable name

Metered DemandEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')

MD

Net DemandEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')

NDLF

Settlement Net Demand

EN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')

SNDLF

Eligible Availability

CA_MIR_X.csv ('CapacityMarket InformationPublication' on the SEMO website as 'EX-Post Indicative/Initial Capacity Information')

EA, EAIU, EAEU


53

Longer timelines are in place for Settlement items and here is a summary of where to find them:

*Items queried under a Settlement Query will not result in a Re-price even though they might impact SMP or MSQ

Items to check* Report Name and Title Variable name

Actual AvailabilityPUB_D_ExPostMktSchDetail.xml; ('Indicative Ex-Post Market Schedule Quantity')

ACTUAL_AVAIL and MINIMUM_GENERATION

Dispatch QuantitiesEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report') DQ

Currency CostsENGIPCC.csv ('Currency Cost for Energy Market') and CAPIPCC.csv ('Currency Cost for Capacity Market')

CC_IUENPEX, CC_UENCEX, CC_UENPEX, CC_IUCPPEX, CC_UCPCEX, CC_UCPPEX

Interest Amounts Invoice Interest

Discovered Errors

EN_MGR_X.csv ('Energy Meter Generation Information Publication' on the SEMO Website as 'EX-Post Indicative/Initial Metered Generation and NIJI')

MG, MGIU, MGEU


Participant Information Reports (PIR) can only be found on the MPI

54



55



56



57


Also on the MPI are the Currency Cost Statements

58



59



60


While Capacity Information Reports are public and can also be found on the SEMO Website in the Capacity section of Static Reports

61


Further details on files format and contents can be found on the MPUD and GPUD documents on the SEMO Website under

http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx

Website content is included in the document ‘SEMO Website Go Live Bulletin’ at http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx

This training will be updated once details of new queries for Intra-Day Trading will be finalised with relevant files spec.

62

Robust data checking must happen within the correct Data Verification Period;

Checks should focus at first on the set of data that will impact Pricing and Scheduling;

Participants are not limited to their own data; any data publicly available can be subject of a Data or Settlement Query;

An efficient use of the Data or Settlement Query would avoid delays in finalising Market results and limit the need to refer to the Dispute process.

Conclusions

63

training session managing formal queries by katia compagnoni

Documents

data query swimlanes

management of data

right data

working days data queries

settlement disputes

formal queries process

external data providers

data verification period