update from ercot retail market services to rms february 12, 2004

1

Update from ERCOT Retail Market Services

to RMS

February 12, 2004

2

– MIMO Stacking Solution Update• Glen Wingerd

– Data Variance / SCR 727 Extract Update• Betty Day / Troy Anderson

– Texas Market Link (PRP phase 1) Update• Matt Mereness

– Commercial Application Systems Upgrade Project• Dave Odle

– EDIM Progress Reports• James Cohea

Agenda / Presenters

3

– EDIM Progress Reports

• 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

• Proactive Reporting

– NAESB 1.6 Migration Update

– Load Research Project Update

– Flight Test Update (0104)

– CR Data Extract Variance Reporting

Supporting Reports

4

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

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• Agenda– Market Participant Progress Tracking– Educational Seminars– Next Steps– Implementation Plan

Market Coordination Team for the Solution to Stacking

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• MP Progress Tracking– All Market Participants have been requested to provide a monthly

status on their progress with the Stacking effort– Additional questions were asked to identify known risk

• Have you identified any risks that will prevent your company from beginning testing on time (April 26th)?

• Please describe any risk(s).• Have you identified any risks that will prevent your company

from implementing on time (August 1st)?• Please describe any risk(s).• Response is required, non-responses will be reported to RMS.

Non-response to the status will result in a default to the previous month’s status. Non-Response to the questions will indicate that no risks have been identified.

– Progress including reporting of identified risks will be reported through April, 2004


7

• ERCOT/TDSPs/Service Providers


8

• REPs


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• Answers to Status Questions:– 3 of 76 did not provide a status (Calpine, Tenaska, & XERS)– 71 of 76 indicated that no risks had been identified– 2 of 76 reported manageable issues

• Yes, we are currently in the process of selecting a new CIS vendor. However, all of the vendors that we are in discussions with should be ready to begin testing on 4/26. Contracts are estimated to be signed by 2/27/04. The two vendors in the early front running both have status that they have reported to you.

• 2.0 Changes occurring as we get closer to Flight 0504; Late changes could impact the design and thus causing code and/or design changes


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• Educational Seminars– 27 Educational Seminars completed, 2 scheduled

– Over 400 participants have attended


MP Type Total MP Attended

Educational Seminar

Only Service Provider attended

Educational Seminar

No Exposure to Educational

Seminar REP 68 44 23 1

TDSP 6 5 1 0

Not Yet Certified REP 6 3 3 0

Not Yet Certified TDSP 3 2 1 0

Service Provider 6 5 N/A 1

Totals 88 58 28 2

Percentages 100% 66% 32% 2%

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Project Overview

Summary of Changes:Manage customer expectations by accepting and processing all valid requests.

Imp

act

Lev

el

Efficiency

Communication

Competition

Business Problem• Existing NFI logic forces an unreasonable amount

of dependency on labor intensive workarounds.• Execution of workarounds are causing

synchronization issues between market participants.

• Lack of synchronization leads to improper billing and mismanagement of customer expectations

Solution• All valid transactions will be accepted and

processed based on a set of market rules.• Drop notifications will be sent at a point in time

where the proper recipient can be positively identified.

• Rule based cancellations are sent on a pre-determined timeline with enough time for the recipient to react.

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Solution to Stacking

Production Implementation Timeline

Test Flight

7/232004

4/12004

5/172004

Production Implementation

Date:8/1/2004

10 weeks

Draft of Implementation

schedule and plan due

5/32004

Final of Implementation

schedule and plan due

Testing checkpoints

at wks. 5 & 8Connectivity

4/232004

Beginning of Test Flight

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• Next Steps– Continue working with TTPT to develop test scripts

• MCT will review scripts being developed by Script Sub-Team 2/19/04

– Continue to Track Market Participant Progress– Finalize details of Production Implementation Plan– Finalize details of Transition Plan for Service Orders ‘In

Flight’– Develop Post-Implementation Success Criteria


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Shut Down Etiquette

Shut Down• The shutdown times listed will be strictly adhered to.• All MPs should submit transactions well in advance of the shutdown

time so that large transaction volumes are not experienced just prior to shutdown – (i.e. if you run batch jobs, schedule them throughout the day)!!!

• All MPs shall call-in to each conference call, on-time, during the implementation.

• All times listed are Central Prevailing Time

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Use of Safety Net

Safety Net• Beginning Thursday, July 29 at 0800, the CR will utilize the approved

Safety Net process during implementation with a default BGN 02 value to request Move-Ins with requested dates of July 29th through August 2nd. The BGN02 must use the following format: – First 4 spaces= MIMO– Next 3 spaces= Abbreviated CR name– Then followed by a unique number to each CR.

• CR's will be required to follow up with the corrected BGN02 immediately after implementation.

• The TDSPs will no longer accept default BGN values on Monday Aug 2nd at 0800 or as soon as Version 2.0 transactions begin to flow.

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650 TransactionsShut-down timeline for Disconnects

650 Disconnects for Non-Pay• REPs must stop sending Disconnect for Non-Pay 650’s at 0800

Monday, July 26. • REPs must stop sending Temporary Disconnect 650s at 0800 on

Tuesday July 27. • CR's should contact each TDSP via phone or e-mail with any

emergency issues.• TDSP's will begin their normal reconnect process, contingent upon

resources and volumes, on Monday morning following conversion. • A follow up 650 will not be required for previously received request.

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Implementation Shutdown Overview

WednesdayMidnight

ThursdayNoon

ThursdayMidnight

FridayNoon

FridayMidnight

6 hrs 14 hrs 6 hrs 9 hrs1 am

9 pm 6 hrs 8 hrs 6 hrs6 hrs

814_01, 814_10, 814_16, 814_24

814_08, 814_12, 814_18, 814_26

8 hrs2 pm867 7 hrs

5 pm

650_01

1 hr

Legend CRs ERCOT TDSPs = Conference Calls

814_20 9 pm 6 hrs 8 hrs 6 hrs

814_PC 2 pm 4 hrs

Initiating

5 pm 1 hr

810, 650_04

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Conference Call Times

Ten Planned Market Conference Calls– Wednesday July 28th 5 p.m.– Thursday July 29th 9 a.m. – Friday July 30th 9 a.m.– Friday July 30th 5 p.m.– Saturday July 31st 9 a.m.– Saturday July 31st 7 p.m.– Sunday August 1st 9 a.m.– Sunday August 1st 3 p.m.– Monday August 2nd 9 a.m.

– Tuesday August 3rd 9 a.m.

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Start up Etiquette

Validation of 2.0 prior to resuming normal transaction volumes– MPs that wish to do this will have to regulate the flow of

transactions into and out of their system.– ERCOT will not run special tests with MPs during the migration

prior to opening the market with 2.0 functionality.– Any responses that are not sent prior to shut-down will be sent

after start-up and will be validated against Version 2.0. All stacking rules will apply.

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Conversion Plan

• Service Orders ‘In Flight’o All Transactions that are sent (including re-drops) and received by all

market participants after the implementation of Stacking will be processed under the new Stacking rules and will use the Version 2.0 implementation guides

o Date Changes and Cancels received after the implementation of stacking on orders that were scheduled prior to implementation will be processed using the new Stacking rules

o Stacking rules that are designed to be executed at the beginning of the evaluation period or on the scheduled meter read date will be executed on orders that were scheduled prior to stacking

o For Date Changes, it will be required that for any date changes that the REP has not received a response prior to implementation of stacking, they will have to send a new date change request

o For Cancels, it will be required that for any cancels that the REP has not received a response prior to implementation of stacking, they will have to send a new cancel request

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Conversion Plan

• Service Orders ‘In Flight’o 814_14s and 814_22s that have been sent out prior to the implementation

of stacking will not be sent again during their evaluation periods.

o For Move-Ins and Move-Outs that are scheduled on the same day for the same ESI ID within 2 business days after the implementation of stacking, ERCOT will cancel the Move-Out and allow the Move-In to complete.

o Order information in the form of a spreadsheet and 814_08s for cancelled Move-Outs will be provided to affected TDSPs and REPs

o Move-Outs will be cancelled after the implementation of stacking and 814_08s will be sent to all affected parties

o Volume is expected to be around 1,000

o Once Stacking has been implemented, backdated MVIs/MVOs that are requesting a date prior to implementation of stacking will be processed using stacking rules.

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Conversion Plan

• Service Orders ‘In Flight’o All orders that are in a Cancel Pending state at 11:00 am on Friday will be

manually cancelled by ERCOT.

o 814_08s will be sent out for these orders after implementation

o The TDSPs will not be able to reject them.

o This will require a concerted effort to clean up all potential CWEs prior to implementation weekend

o Volume is expected to be around 300

o The MCT has reviewed the Option 1 Outages and has determined that implementation will have no affect on it.

o For Move-Ins with a status of Permit Pending during migration weekend, ERCOT will re-calculate the PNR expiration to be Requested Meter Read Date +20 Bus. Days. If that calculation yields a date that is less than the first business day after implementation weekend, ERCOT will default to a date that is equal to the first business day after implementation weekend.

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When bad things happento a good plan…

o At the point that we arrive at conversion weekend, every market participant has:

o Provided monthly statuses

o Participated in migration conference calls

o Passed testing certification.

o The inability of a Market Participant to successfully implement would not be a situation where a party failed to build their solution, but rather a situation where there is a technical problem with migrating to their production environment.

o Based on this, it is the position of MCT that any issues on conversion weekend will be of the type that cause delays measured in hours not days.

o Although it is a fundamental requirement for all MPs that they have a back-out plan, MCT does not envision an issue that would be a showstopper, but does believe there may be a possibility for delay.

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When bad things happento a good plan…

o If any party cannot implement the stacking solution at any point between July 23rd and August 1st, the potential for delay will be discussed on an emergency conference call.

o As determined on the call, the affected parties will develop a plan for resolving the issue(s).

o Once Version 2.0 transactions begin to flow, there will be no turning back.

o There will not be a reverse migration once Stacking goes live.

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Data Variance / SCR 727 Extract Status

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Texas Market Link(PRP Phase 1)

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IT Update – Texas Market Link(Portal Replacement Project Phase 1)

• Status:– The previous launch of TML was unsuccessful due to platform

stability issues.– The Vendor has addressed the stability issues with a code fix to the

software platform that is being stress tested by ERCOT.

• Moving forward:– Feb 17- TML is to be moved into final integration testing (iTest).– March 2- Planned completion date of functional and stress testing.

• ERCOT IT may reach out to MP for assistance in technical testing.

– March RMS Meeting- ERCOT plans to provide details of next steps for the launch of TML in parallel with the current Portal.

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Commercial Application Systems Upgrade Project (CASUP)

PR# 30082_02

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Since Jan RMS

• Business Requirements – On Schedule

• Technical Requirements Delivery– On Schedule

• Recommendation (Upgrade/Replace) and Vendor Shortlist Delivery– Vendor in house demonstrations completed 2/3

– Currently aggregating data for evaluation

• Requirements phase to conclude 3/31/04

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By March RMS

• Vendor information aggregated and evaluations completed– Shortlist of vendors who could be potential candidates

– Cost/Benefit/Risk Analysis

– Recommendation(s) given

• Requirements – Business detailed requirements ready for review

– Technical detailed requirements ready for review

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CASUP Market Communication

• Would like to solicit input from Market Participants

• Arrange a conference call for the last week in February for all interested MPs to voice concerns and provide opportunity to express opinions to ERCOT

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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

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BackgroundERCOT 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 has completed synching with the TDSPs on all of

these.• 41 FasTrak issues:

─ 33 Resolved (spanning 52 switches)─ 8 In Progress (some dialog has occurred)

• Matrix of FasTrak issues not yet resolved provided to RMS Chair/Vice Chair on 11/6/03, 12/4/0, 1/6/04 and 1/30/04 - included CR names

• ERCOT has “processed” all email exchanges related to FT issues as of 02/04/04 Next Steps

• ERCOT to continue to escalate missing responses• CRs and TDSPs make decisions on outstanding FasTrak issues and provide

response to ERCOT via FasTrak and Email

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

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TDSPLosing

CRGaining

CRTotal

Instances

CR Claiming

ESI ID Suggested Action CompletedIn

Progress

1 Completed Completed Completed 481 Gaining CRERCOT manually correct

rep of record history 481 0

2 Completed Canceled Completed 18 Both CRsERCOT create modified

inadvertent issue 12 6

3 Completed Completed Canceled 13 No CRERCOT create modified


4 Completed Canceled Canceled 8 Losing CRERCOT create modified


5 Canceled Completed Completed 8 Gaining CRERCOT create modified


6 Canceled Canceled Completed 38 Both CRsERCOT create modified


7 Canceled Completed Canceled 19 No CRERCOT create modified


8 Canceled Canceled Canceled 387 Losing CR No action necessary 387 NAUnable to categorize response 0 Totals 920 52Recent info - need to categorize 0Total Sent to Market 972

February 6, 2004 Status


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Sce-nario 10/15/03 11/12/03 12/4/03 1/7/03 2/6/03

1 481 0 400 440 448 481 02 18 1 3 6 10 12 63 13 0 2 2 3 6 74 8 0 1 1 1 2 65 8 1 3 5 5 6 26 38 0 3 12 12 13 257 19 3 4 6 9 13 68 387 387 387 387 387 387 No Action

972 392 803 859 875 920 52

Total % Complete 94.65%

Total % In Progress 5.35%

S2-7 % In Progress 50.00%

InProgress (01-07-04)

CompletedTotal

Instances


Notes• Of the remaining 52 switches “In

Progress”, 36 of these switches are on two FasTrak issues that appear very close to resolution.

• Recent activity surge implies many others are moving towards resolution.

February 6, 2004 Status

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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

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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.

Customer Protection Period and 814.08 (Phase 2 – Potentially Late 08s)

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Completed Items• Received direction at 01-14-04 RMS meeting: (Excerpt from Minutes)

“The RMS discussed the scenario when an 814_08 is late. The RMS agreed, that for Phase 2, that if the customer objects and there is a cancel within the rescission period, the customer’s request should be honored. ERCOT will notify all parties involved, using the Inadvertent Gain Process. It was noted that CRs might need to send a backdated move-in to ERCOT’s System as the same process as an Inadvertent Gain.”

• ERCOT created 30 FasTrak issues on 1-30-04 connecting both CRs and notified the TDSP and CRs via email of the RMS directive and the FasTrak issue

Next Steps• CRs review the FasTrak issue and ensure they honored the Cancellation

by Customer Objection• TDSPs review email notification of the issue and ensure they honored the

Cancellation by Customer Objection

Customer Protection Period and 814.08 (Phase 2 – Potentially Late 08s)

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Pro-Active Transaction Resolution Measures

Summary - Overview

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Excerpt from August 2003 Minutes:

• “Cohea was asked to develop a process and timeline for making the Pre-Texas SET 1.5 Data Clean-Up Process an ongoing process.”

Activity Timeline:

• ERCOT initiated an “Ongoing Transaction Data Clean-up” program similar to the Pre-TX SET Data Clean-up process in October 2003 which was endorsed by RMS

• ERCOT announced the development and pending implementation of four proactive measures to meet the August 2003 RMS directive

• ERCOT initiated a test implementation of the 867RCSO measure in November 2003

• ERCOT will fully enact all four proactive measures in February 2004

Proactive Measures Summary

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Proactive Measures Summary

Measure MP Target

Objective Value

867

RCSO

TDSPs Identify instances where ERCOT has canceled a Service Order but TDSP has completed the service Order (out-of-sync)

Identification and resolution of out-of-sync conditions very close to the time of creation of the out-of-sync condition

Missing 867

TDSPs Resolve 867 issue and complete or cancel service orders in a timely manner

Shorten time service orders stay in a scheduled status and reduce Not-First-In rejects to CRs

Pending CWE

TDSPs Get service orders into scheduled status before they cancel by exception

Accurate REP-of-record information, less out-of-sync conditions and fewer FasTrak issues

Mapping Status Rejects

TDSPs and

CRs

MP correction and resend of transactions in a timely manner

Facilitation of Market requests, Market requirements and fewer FasTrak issues

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867s Received on Canceled Service Orders

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SituationERCOT 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.

Process Timing and Implementation :• Since Friday 11/7/2003 and 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

• TDSPs have been reviewing the data and providing responses back to ERCOT identifying that the transaction was either cancelled (in-sync with ERCOT) or completed (out-of-sync with ERCOT) in the TDSPs system

867s received on Canceled Service Orders

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Cancel Type TotalCancelled 309Customer Request 69Customer Objection 408Permit Not Received 185Cancelled w/ Exception 43Rejected by TDSP 95Unexecutable 116Grand Total 1,225

TDSP Total

Cancelledby TDSP(In-Sync)

Completedby TDSP

(Out-of-Sync)Awaiting TDSP

ResponseAEP 175 10 59 106CenterPoint 321 207 88 26ONCOR 338 200 133 5Sharyland 30 0 8 22TNMP 361 336 9 16Grand Total 1225 753 297 175

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ERCOT and TDSP Proposal for Handling 867 RCSO:Step 1:

ERCOT produces 867RCSO data each Friday and submits an ERCOT initiated FasTrak to the TDSP

Step 2: The TDSPs review the FasTrak line items and take one of the following actions:a) If the TDSP has cancelled the service order, note cancelled on the line in the FasTrak issue Note: For Cancel by Customer Objection, the TDSP will honor the cancel in their systemsb) If the TDSP has completed the service order, they will establish a new day-to-day FasTrak issue and work with ERCOT to get ERCOT systems changed to complete also – in this case the TDSP will note the new FasTrak issue number in the line item of the original ERCOT initiated 867RCSO FasTrak issue

Step 3: Once all line items within the ERCOT initiated 867RCSO FasTrak issue have been updated, the TDSP and ERCOT will close that issue.


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Completed Items

• ERCOT continues sending weekly FasTrak issues to TDSPs

• ERCOT modified process to omit 867 Cancels from reporting beginning with 2004

• ERCOT met with each TDSP on 2/4/04 and 2/5/04 to determine a consensus direction for clearing out-of-sync ESI IDs

Next Steps

• Seek RMS approval of TDSPs and ERCOT consensus for going forward

• ERCOT to move from a FasTrak Initiated issue to an automated weekly report to the TDSP

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Thank You

48

Supporting Reports Section

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

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FasTrak 2003 “Day to Day”Issue Stats (as of 02-06-04)

• Of the 14 In Progress, 8 are resolved and awaiting other party resolution check off

• Total ESI IDs worked on 2003 issues = 324,653

STATUS 12/11/03 1/7/04 2/4/04

New 10 2 0 0.00%

In Progress (w/ERCOT) 98 77 0 0.00%

In Progress (w/TDSP) 127 103 6 0.04%

In Progress (w/CR) 115 96 8 0.06%

Resolved 11,766 12,824 13,078 93.13%

Rejected 852 940 950 6.77%

Total 12,968 14,042 14,042

12/11/03 1/7/04 2/4/04

New 1,908 2,045 1,619 24.96%

In Progress 1,473 1,704 1,404 21.65%

Resolved 2,107 2,620 3,326 51.28%

Rejected 94 117 137 2.11%

Total 5,582 6,486 6,486

Issue CountsNon-ERCOT

Issue Counts Issues as a% of Total

Issues as a% of Total • Of the 3,023 New and In

Progress Non- ERCOT issues, 10 are for the year 2002

• Number of ESI IDs not tracked

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FasTrak 2004 “Day to Day”Issue Stats (as of 02-06-04)

• Of the 345 In Progress, 147 are resolved and awaiting other party resolution check off

• Total ESI IDs worked to date since January 1, 2004 = 35,299

• Number of ESI IDs not tracked

STATUS 1/7/04 2/4/04

New 13 20 1.16%

In Progress (w/ERCOT) 12 61 3.53%

In Progress (w/TDSP) 57 115 6.65%

In Progress (w/CR) 61 149 8.61%

Resolved 86 1,262 72.95%

Rejected 17 123 7.11%

Total 246 1,730

1/7/04 2/4/04

New 75 427 28.77%

In Progress 67 753 50.74%

Resolved 5 283 19.07%

Rejected 1 21 1.42%

Total 148 1,484

Issue CountsNon-ERCOT

ERCOTIssue Counts Issues as a

% of Total

Issues as a% of Total

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FasTrak Data Extract VarianceIssue Stats (as of 02-06-04)

STATUS1/7/04 2/4/04 1/7/04 2/4/04 1/7/04 2/4/04 1/7/04 2/4/04

New 2 1 0 0 2 1 1.3% 0.4%

In Progress (w/ERCOT) 10 15 0 0 10 15 6.3% 5.4%

In Progress (w/TDSP) 24 33 0 0 24 33 15.2% 11.9%

In Progress (w/CR) 115 74 0 0 115 74 72.8% 26.6%

2004 Resolved 1 59 0 0 1 59 0.6% 21.2%

2004 Rejected 1 90 5 6 6 96 3.8% 34.5%

Total 153 272 5 6 158 278

1/7/04 2/4/04 1/7/04 2/4/04 1/7/04 2/4/04 1/7/04 2/4/04

New 2 9 6 0 8 9 8.2% 5.0%

In Progress 55 100 33 4 88 104 90.7% 57.5%

2004 Resolved 0 54 1 4 1 58 1.0% 32.0%

2004 Rejected 0 9 0 1 0 10 0.0% 5.5%

Total 57 172 40 9 97 181

Issues% of Total

TotalIssuesUsageService History

ERCOT

Non-ERCOT (CR to TDSP)

Service History Usage Issue TotalsIssues

% of Total

Of the 123 In Progress, 37 are resolved and awaiting other party resolution check off

53

FasTrak ERCOT Initiated Issues Issue Stats (as of 02-04-04)

• 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

STATUS 12/11/03 1/7/04 2/4/04

New 16 15 1 0.85%

In Progress (w/ERCOT) 23 26 17 14.41%

In Progress (w/TDSP) 9 4 48 40.68%

In Progress (w/CR) 0 1 3 2.54%

Resolved 14 36 49 41.53%

Rejected 0 0 0 0.00%

Total 62 82 118

ERCOTIssue Counts Issues as a

% of Total

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

55

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.

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Pre-TX Set 1.5 Data Clean Up

Mar-03 Jun-03 Jul-03 Aug-03 Sep-03 Oct-03 Nov-03 Dec-03 Jan-04As of

2/4/2004

In Review AEP - - 0 0 0 0 0 0 0 0

CNP - - 0 0 0 0 0 0 0 0

Oncor - - 6 0 0 0 0 0 0 0

TNMP - - 6 0 0 0 0 0 0 0

Total 16,188 207 12 0 0 0 0 0 0 0

Scheduled AEP - - 2,953 1,883 57 25 2 1 1 0

no completing CNP - - 1,215 530 93 10 0 0 0 0

meter read Oncor - - 991 2,039 1,413 765 522 425 117 0

TNMP - - 994 2,186 418 127 95 82 78 0

Shrylnd - - - 8 - 0 0 0 0 0

Total 23,030 11,038 6,153 6,646 1,981 927 619 508 196 0

CWE AEP - - 31 31 0 0 0 0 0 0

w/ Meter Data CNP - - 694 697 620 251 0 0 0 0

Identified as Oncor - - 624 624 4,365 72 72 72 0 0

as "Need TNMP - - NR NR 260 2 2 2 2to Complete" Total Na 1,618 1,349 1,352 5,245 325 74 74 2 0

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

58

Ongoing Transaction Data Clean Up

Clean-up Process Steps:

1. ERCOT runs the query and defines the Action Items needed a) 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.)

b) Scheduled No Meter Read: Notify TDSP and request 867 completing transaction. (Date Range equals or greater then 07/01/01.)

c) 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.)

d) 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.)

2. ERCOT distributes the lists to MP who owe the follow-up action.3. MP Responds and ERCOT coordinates the clean-up activities.4. ERCOT to report Monthly to RMS.

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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 meeting

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10/20/03 11/11/03 12/4/03 1/7/04 2/4/04

Scheduled AEP 2,432 277 179 124 91

CNP 937 104 6 0 0

without Oncor 2,753 1,679 1,136 579 414

completing Shrylnd 2 2 0 0 0

meter read TNMP 832 280 257 226 129

Total 6,956 2,342 1,578 929 634

CWE AEP 3 2 1 1 0

w/Meter CNP 31 27 0 0 0

Data Oncor 37 37 4 0 0

Identified Shrylnd 8 NR 0 0 0

as "Need to TNMP 4 4 2 1 0

Complete" Total 83 70 7 2 0

CPNR AEP 149 46 16 0 0w/Meter CNP 53 52 0 0 0Data Oncor 46 46 0 0 0Identified Shrylnd 0 0 0 0 0as "Need to TNMP 0 0 0 0 0Complete" Total 248 144 16 0 0

61


• Pending Cancel with Exception (CWE) Report• Transaction Mapping Status Reject Report• Missing 867 Report

62

Pending Cancel With Exception (CWE) Report• If a TDSP does not send an 814_04/25/28 transaction within a timely manner, the

business process is Canceled automatically by ERCOT systems. These cancellations are known as Cancel With Exceptions and Cancel Permit Not Received.

• Report has been produced manually by ERCOT since February 10, 2003 for Pending CWE

• Daily report provided to the TDSPs displaying those transactions that will go CWE or CNPR within the next 10 business days

• Report being automated for delivery to TDSPs via the ERCOT portal in February 2004 (Market Notice will precede roll-out)

Volume:• For 11/01/2003 – 12/31/2003 ERCOT notified TDSPs of 70 Pending Canceled with

ExceptionsActionable Items:• TDSP to retrieve the report and provide missing response transaction before CWE

occurs• If the TDSP identifies a discrepancy with the report, they should open a FasTrak issue

Pending Cancel with Exception (Pending CWE) Report

63

Transaction Mapping Status Reject Report• This report will provide a list to the TDSPs and CRs containing information for

inbound Transaction Mapping Status rejects (TX SET)• Report has been produced manually by ERCOT since mid 2002• Daily report provided to the TDSP or CR who submitted the transaction• Report being automated for delivery to MPs via the ERCOT portal in February

2004 (Market Notice will precede roll-out)

Volume:• For January ‘04, ERCOT notified MPs of 7,879 Mapping Status Rejects

Actionable Items:• CRs and TDSPs to retrieve the report, correct their transaction and resubmit• If an MP identifies a discrepancy with the report, they should open a FasTrak

issue

Transaction Mapping Status Reject Report

64

Missing 867 Report • The Missing 867 Report will provide TDSPs information about Service

Orders in a scheduled state for which ERCOT has not received an 867 completing transaction at least seven days after the scheduled meter read

• This report is an outcome of the RMS directive for ERCOT to initiate mechanisms to facilitate ongoing Transaction Clean-up efforts

• Weekly report provided to the TDSP • Report being automated for delivery to TDSPs via the ERCOT portal in

February 2004 (Market Notice will precede roll-out)Volume:• On 02/05/04, ERCOT identified 2,749 instances where the current date was

more than 7 days after the scheduled meter read dateActionable Items:• TDSPs to retrieve the report and provide 867 completing transactions• If TDSP identifies a discrepancy with the report, they should open a FasTrak

issue

Missing 867 Report

65

NAESB EDM v1.6Update

66

NAESB EDM v1.6 ERCOT Testing Status

Current Progress:

Phase 1 - ERCOT and TDSP – Testing is complete

Phase 2 - ERCOT and CR – Testing is 95% complete

(2 CRs have not yet completed testing and issue has been escalated within their respective organizations)

Phase 3 - TDSP and CR – Testing Scheduled to begin 2/16(Testing Readiness Call held on 2/11)

Future:

Additional “Connectivity Testing” one week prior to production implementation

(ERCOT, TDSPs, CRs)

67

NAESB EDM v1.6 ERCOT Testing Status

Issues:

If you are using JAVA-based Clients which contain an old Certificate from Verisign that expired on January 7, 2004, you will need to get an update from the Certificate Store.

ERCOT will not accept a Production Certificate that has not been issued by a Third Party Certificate Authority

All Market Participants should verify current information on their TCWs and resubmit, if necessary, before Phase III Testing begins

All Market Participants must have SSL enabled

68

NAESB EDM v1.6 ERCOT Testing Status - CRs

100% Complete 75% - 99% Complete 50% - 74% Complete 25% - 49% Complete Not Yet Initiated

Market Participant Design Build Internal Testing Phase II Phase III

ADS

· Calpine Pow er Mgt

· Entergy Retail

· GEXA

· Nueces Elec Coop – CR

· Direct Energy

Certain Energy

Constellation_New_Energy

EC Power Int Inc

· AEP_TX_Com & Ind Retail

· Alliance Pow er Co

· Creed Pow er Co

· Fire Fly Elec

· Just Energy Tx

· Hino Electric

· MS Retail Dev Corp

· Mutual Energy CPL

· Mutual Energy SWEPCO

· Mutual Energy WTU

· New Mexico Natural Gas

· Polr Pow er LP/ ME TX

· Proviron Energy

· RP –Direct Energy Bus Svcs

· RP – Energy America Multi Family

· Texas Wholesale Energy

· TriEagle Energy

· Utility Choice Elec

· VarTec Energy Inc.

69

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



ECT/Systrends

· APS Energy

· Occidental Pow er

· Pedernales Electric Coop, Inc.

· Texas Commercial Energy

· Tenaska

· Tenaska-Oxy Pw r Rep Svcs LP

· TOPS I

· TPS I

· TPS II

· TPS III

Energy Services Group

· Accent Energy Texas LLC

· ACN Energy

· AMPRO Energy

· Andeler Corp

· ANP Pow er Direct

· BP Energy Company

· Cirro Group

· Dynegy Energy Services

· Exelon Pow er Services

· ExxonMobil Pow er & Gas

· MPow er Retail Energy

· Sempra Energy

· Strategic Energy

· Tara Energy, Inc

· Tractebel Energy Marketing

· Tractebel Energy Services

70

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



First Choice Power

Green Mountain Energy

· Multi Family

Intelysis Inc.

· AmeriPow er LLC

· APN StarFirst LP

· ECONnergy Energy Co

· Energy West

· Liberty Pow er Corp

· NM Energy of Texas (Nordic)

· Pilot Pow er Group Inc.

· Rio Grande Pow er LLC

· Usave Energy

· Vega Resources

Pegasus Star

Reliant

· Reliant_Retail

· Reliant_Energy_Solutions

· StarEn Pow er, LLC

· StarEn Pow er, LLC-LNR

TXU

· TXU_Energy Services

· TXU_SESCO

· TXU Energy Trading

· TXU_Assurance_ Polr_Large

· TXU_Assurance_ Polr_Small

· TXU_Assurance_ Polr_Resi

XERS (Xcel_Energy)

Spark Energy

71

NAESB EDM v1.6ERCOT Testing Status - TDSPs


Market Participant Design Build Internal Testing Phase I Phase III

ADS

· Entergy Gulf States

Center Point

ECT / Systrends

· Pedernales - IOU

· Pedernales - MUNI

Logica

· AEP Texas Central Co.

· AEP Texas North Co.

· AEP Texas North Co. SPP

· SWEPCO

ONCOR

ESG

· Nueces Elec Coop

· San Patricio Elec

TNMP

72

Flight 0104 Status Report

73

Flight 0104 Status Report

• On Monday 2/9 – the market progressed on schedule to

Frame 02 of the flight.

• Issues to date

– Minor issues with the Disconnect for Non-Pay script. As it’s the

first time the market has ran the script, these were to be expected.

– Overall MP seem to be focused on preparations for next flight, and

not on this flight – sloppy errors. MP need to be on notice that

during Flight 0504, we will not have time for such errors.

74

January Summary:CR Data Extract Variance Reporting

75

January CR DEV Reporting

• 9 of 73 Competitive Retailers Reported Numbers by the due date for February (02/03/04).

• Numbers for March RMS (February Reports) are due by March 2, 2004.

• Goals for next month:– More CRs Reporting

– ERCOT will break numbers out by TDSP

76

Totals

On Time

Resulted in

Change Late

Resulted in

Change On Time

Resulted in

Change Late

Resulted in

Change On Time

Resulted in

Change Late

Resulted in

Change On Time

Resulted in

Change LateResulted

in Change

New (January)

90.95% 2.75% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0.28% 0% 0% 0%

Existing (Prior to January)

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

Resolved w/in 75 days

0.21% 0% 0% 0% 0% 0% 1.1% 0.64% 0% 0% 0% 0% 0.09% 0% 0% 0%

Resolved >75 days

0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%

Total Submitted

90.95% 2.75% 0% 0% 0% 0% 8.77% 4.8% 0% 0% 0% 0% 0.28% 0% 0% 0%

NON-ERCOT ERCOT

Service History ESI IDs Usage Non IDR ESI IDs Usage IDR ESI IDs LSE Relationship ESI IDs

77

January CR DEV Reporting

• Notes:– The Existing (Prior to January) row is the number of DEV

issues that are outstanding without a resolution. • If all of the prior DEV Issues have been closed then this

row could be 0. – The Resolved within 75 days and Resolved > than 75 days,

and Total Submitted numbers should be cumulative from month to month.

78

Thank You

update from ercot retail market services to rms february 12, 2004

Documents

reporting of identified

market solution

redinessfebruary answer

incno answer

statusno answer

market open

progress report ongoing

potential issues