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
• 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
• 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
• 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
Timeline10/15
Development
Configuration
Testing
Sign off by ERCOT
Upcoming Milestones/Market Impacts
Budget YTD Forecast Var.
Capital $0.70M $0.103M $0.140M [$0.070M]
Expense $0.0M $0.00M $0M $0.0
Financial Milestones
Executive Summary of Status
OverallFinancial
RiskStaffing
RiskSchedule
Risk
TechnicalRisk
Bus.Align/Scope RiskPR-20134 GISB 1.4
• Sign off by ERCOT• Migration of Market Participants
All of these could be affected by any delays experienced in network configuration/setup.
Completed In Progress Scheduled
• 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)
Issues/Actions
10/2510/28 11/1 2/15 3/17 4/1
Migration of Market Participants
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
• 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
V1.5 Coordination Team Accomplishments/Goals (Cont.)
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
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Build
Design
Test
13
PROPOSED TIMELINE AND SCHEDULE STILL BEING DEVELOPED BY THE
MARKET COORDINATION TEAM
Friday, April ? at 5 p.m.
ERCOT stops accepting all Transactions
ERCOT processes queued 1.4
transactions
Friday Midnight 1.4 transactions
processed and ready for pickup by
MPs
ERCOT Upgrades Software
Internal Testing
Sunday, April ? at 5 p.m. ERCOT begins
accepting 1.5 Inbound
Normal 1.4 operations
Normal 1.5 operations
Wednesday, April ? at 5
p.m. ERCOT stops
accepting Initiating
Transactions
= 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
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
ERCOT Data Transparency ERCOT/Market Requirements
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
ERCOT IT
ERCOT Retail
CRsTDSPs
PUC
Performance and ThroughputBacklogs
State of Current Environment
View and Research
Transaction StatusTransactionSuccess
Protocol Compliance
20
ERCOT Data TransparencyBusiness and Operational Concerns
Business Environment– Market changes– Regulatory mandates– Transaction Management
Operational Infrastructure– System availability– Component integrity– System capability
Business Activity Business Intelligence
Monitor system performance at or near
real-time
Provide system and component availability
summaries
Monitor processes that have dependencies on
other parties
Provide transaction timing analysis for all Market Participants based on protocols
Identify failure points within the transaction
life-cycle
Proactively target failed transactions for
reprocessing
Provides Visibility into theBusiness Environment andOperations Infrastructure
21
ERCOT Data Transparency Model
Retail Transactions
(Issues /Concerns /
Gaps)
Root CauseAnalysis
CorrectiveActions
PerformanceMetrics
Transaction
Database
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
Data LogsData Logs
FTPFTP
TCHTCHPaperfreePaperfree
SeebeyondSeebeyond
LodestarLodestar SiebelSiebel
LodestarApp
Server
LodestarDB
Server
Siebel App
Server
Siebel DB
Server
EAITCHPaperfreeFTP
Internet
ERCOTFrame
ERCOT EDI PIPELINE (PRODUCTION)
Portal
Transaction Transparency WarehouseTransaction Transparency WarehouseDataData
EventsEvents LoggingLogging
ReportsReports
ArchiveArchive
23
Queue Depths & E-waysQueue Depths & E-ways
FTPFTP
TCHTCHPaperfreePaperfree
SeebeyondSeebeyond
LodestarLodestar SiebelSiebel
LodestarApp
Server
LodestarDB
Server
Siebel App
Server
Siebel DB
Server
EAITCHPaperfreeFTP
Internet
ERCOTFrame
ERCOT EDI PIPELINE (PRODUCTION)
Portal
Component AvailabilityComponent AvailabilityTransactionsTransactions
RelatedRelated LoggingLogging
ReportsReports
SummarySummary
24
Future
ERCOT Data Transparency Project Deliverables
Q2 - 03
Siebel Report997 ReportMP Report
Siebel Report997 ReportMP ReportTrans FlowTrans SuccessProtocol
Siebel Report997 ReportPortalTrans FlowTrans SuccessProtocolNew ReportsPUC ReportsData ArchiveSummary Rpt- Transactions % Cancelled % Failed % Reprocessed-System Avail-Component Avail-Trans Flow Rates-Volume Trending
CompetitiveMeteringReports?
BillingSummaries?
CR/TDSPSummariesBy Area?
MTD/QTDESIIDUsage
Summaries?
Auto Reprocess
Q1 - 03Nov 02In Place
Siebel Report997 ReportMP ReportTrans FlowTrans SuccessProtocolCapture MMPUC ReportsData Archive
Market Reports
ERCOTVisibility
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 RMS1. Does this concept require a coordinated implementation?
2. What parties are affected by the implementation of this concept?
3. What is the follow-up plan to ensure the concept is implemented?
4. 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 Quantity
TDSP 37077
QRE Team 2932
CR 10682
Total 50691
Current Status Quantity
New 32
In Analysis 3303
In Progress 50691
Resolved 108100
Total 162126
ESI Ids Reported to QRE (as of November 12, 2002)
Point of Failure Quantity
Cause Not Reported 19581
Not executable 20
CR 38962
ERCOT EAI 4966
ERCOT FTP 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
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
• 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
.
Market Synchronization Retailer Synchronization Project
41
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
Market Synchronization Retailer Synchronization (cont.)
42
Market Synchronization“TDSP as LSE” Clean-up
October 10, 2002 RelationshipStatus exists after Active as of
Feb 01,2002 10/10/2002CenterPoint 8,350 505ONCOR 18,328 433TNMP 515 71CPL 2,246 793WTU 3,164 314
Market 32,603 2,116
• 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
• 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)
Market Synchronization Non Price to Beat
44
Consumption Data Loading Reports
45
% of IDR Data Loaded by MRE (as of 11-12-2002)
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
12/1 12/15 12/29 1/12 1/26 2/9 2/23 3/9 3/23 4/6 4/20 5/4 5/18 6/1 6/15 6/29 7/13 7/27 8/10 8/24 9/7 9/21 10/5 10/19 11/2
CPL
WTU
ONCOR
CenterPt
TNMP
Brazos
LCRA
Rayburn
STEC
System
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
As of As ofOctober 11, 2002 November 12, 2002
CPL 01/14/02 01/14/02CenterPoint 12/18/01 02/24/02ONCOR 12/28/01 01/20/02TNMP 01/14/02 12/31/01WTU 01/25/02 01/30/02
Brazos 09/30/02 11/03/02LCRA 10/02/02 10/31/02Rayburn 09/30/02 10/31/02STEC 09/30/02 10/17/0209/30/02Market 01/17/02 01/28/02
Meter Reading Entity(MRE)
47
Non-IDR Data Status Report November 12, 2002
Percent of Actual Non-IDR Data from November 12, 2002 Batch Process
38%42%
25%
42% 44%
0%
40%
96% 96%
80%
91% 92%95%
99% 99% 99% 99%95%
99%
71%
NA0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
CenterPoint ONCOR TNMP CPL WTU Sharyland Market
Initial (10/27/2002) - 16 days after
Final (09/15/2002) - 58 days after
TrueUp (12/11/2001) - 336 days after
48
Resettlement Update
49
Resettlement of True-up Status Update
SeptOct
NovDec
JanFeb
MarApr
MayJun
JulAug
SepOct
NovDec
20032004
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 1, 2002
True-Up Settlement of November 20, 2001
The date we move from the ERCOT Board resolution to the Protocols IDR Data Threshold
April 1, 2003
Date we expect to be back to six month after the trade day True-Up
Settlements
November 14, 2002
True-Up Settlement of December 17, 2001
Drop dead date for correction of Non-PTB ESID Backdating
November 12
132 re-settlements performed to date
(Operating Day 12/11/01)
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