1

RMS Update from ERCOT

Market Services

August 29, 2002

2

Retail Market Update

Topics– ERCOT’s Master Project Plan– Move-In/Move-Out Issues/Initiatives (separate presentations)– ESI ID Tracking System (ETS)– Version 1.5 Project – Market Synchronization Plan– Non-PTB Back Dated Switches– Lodestar Data Loading Improvements– IDR Meter Usage Reports (ERCOT and TDSPs)– Resettlement Update– Portal Performance– Quick Recovery Team Update

3

Master Project Plan Update

4

Master Project Plan

• All Known In-flight & New Projects identified– Related project worksheet established with list of all known projects

• Status/Updates• Targeted outcomes• Resources (Funding & Headcount) required identified where known

– Internal reviews of projects with ERCOT steering committee completed– Consolidated list of all active and planned projects distributed to TAC,

subcommittees, and PUCT on August 20th

– PRS completed prioritization of projects originated by Market Participants on August 28th

• Next Steps…– ERCOT and TAC to finalize list of priorities including project originated by

ERCOT, PUCT and MPs as submitted by PRS– Begin aligning ERCOT resources with priorities established when approved by

ERCOT BOD– Finalize approved project spending and people and synchronize with the 2003

budget/plan

5

ESI ID Tracking System (ETS)Tx SET Version 1.5

Updates

6

ETS Phase I & II

• Phase I Progress– Completed Functional and

Technical Design Documents

– Production and Development Hardware ordered

– Database Server being configured and loaded for testing

– Report Development has started

– Still on schedule to be completed November 1, 2002

• Phase II Progress– Began work on Requirements

Document

– Completed initial cost estimates

– Summarized Market requirements for data content

– Seeking funding and approval from ERCOT Board for 2003

7

Next Steps

• Continue on schedule consistent with 4/4/2003 implementation

• Early deliverable will not be pursued

TX Set Version 1.5

6/17/02 9/17/02 12/17/02 2/24/03

DetailDesign

ConstructionInternal System

TestMarket

Test

4/4/03

Timeline

1.5 Implementation

8

Market Synchronization Activities

9

• 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– Programs to compare and report discrepancies are complete– MP agreed upon approach resolution for 22 known scenarios at July 26th

design meeting– All data files received on or before August 12th – ERCOT corrected file deficiencies related to Duns numbers – 4.7 Million ESI IDs (70%) identified as perfect Synch – sent to MPs

• In Progress– ERCOT analyzing out of sync results from Market files

.

Market Synchronization Retailer Synchronization Project

10

• Next Steps– September 10th ….. ERCOT to identify remaining out-of-synch conditions

…. ERCOT will host 2nd design meeting to prioritize and

define correction criteria

….. Entities begin correction for agreed upon scenarios

– September 18th….. RMS decision for disputed scenarios

– October 3rd …… Escalate issues to TAC (if required)

Market Synchronization Retailer Synchronization (continued)

11

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

– Number ESI Ids (>1 MW) Identified by CR’s 998– Number of ESI IDs that are corrected 807

(81%) • In Progress

– Number of ESI IDs where CR matches but date does not 135 (13%)(TDSP and Retailers to agree to date)

– Number of ESI IDs where CR is not CR of record 56 ( 6%)(TDSP and Retailers to agree to switch & date)

• Next Steps– Escalate ESI IDs not agreed upon– Scope creep moved to QRE effort

12

Market Synchronization – Non Price to Beat

CR1

CR2

CR3

CR4

CR5

CR6

CR7

CR8

CR9

CR10

CR11

CR12

CR13

CR14

CR15

CR16

CR17

TOTALS

TDSP 1 5 2 2 2 1 1 1 1 3 18

TDSP 2 16 5 1 3 10 1 36

TDSP 3 1 2 1 4

TDSP 4 8 5 1 67 25 15 8 2 1 1 133

TOTALS 29 7 1 2 2 5 1 72 36 15 10 2 1 3 1 1 3 191

13

IDR Meter Data

14

% of IDR Data Loaded by MRE (as of 07-30-2002)

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

7/31 8/14 8/28 9/11 9/25 10/9 10/23 11/6 11/20 12/4 12/18 1/1 1/15 1/29 2/12 2/26 3/12 3/26 4/9 4/23 5/7 5/21 6/4 6/18 7/2 7/16

CPL

WTU

ONCOR

CenterPoint

TNMP

Brazos

LCRA

Rayburn

STEC

System

IDR Data Loaded into LodestarJuly 30th Report

95% or better expected

70%

15

% of IDR Data Loaded by MRE (as of 08-27-2002)

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

7/31 8/14 8/28 9/11 9/25 10/9 10/23 11/6 11/20 12/4 12/18 1/1 1/15 1/29 2/12 2/26 3/12 3/26 4/9 4/23 5/7 5/21 6/4 6/18 7/2 7/16 7/30 8/13

CPL

WTU

ONCOR

CenterPt

TNMP

Brazos

LCRA

Rayburn

STEC

System

IDR Data Loaded into LodestarAugust 27th Report

95% or better expected

75%

16

IDR Meter Usage Report - August 27, 2002

99% Data 100% DataLoaded Through Loaded Through

CPL 11/16/01 09/16/01CenterPoint 12/25/01 10/04/01ONCOR 11/04/01 09/09/01TNMP 06/02/02 05/22/02WTU 01/04/02 10/29/01

Brazos 08/18/02 08/18/02LCRA 07/23/02 03/31/02Rayburn 07/31/02 07/31/02STEC 08/20/02 08/13/02

Market 12/12/01 09/09/01

Meter Reading Entity(MRE)

17

Lodestar IDR Data Loading Improvement Recommendations by TDSPs

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• Objective – Implement process improvements which alleviate problems loading

IDR data into ERCOT’s Lodestar system

• Completed Items– ERCOT and MPs meet August 15th to define scope of 9 items– Conference call held on August 26th to refine scope and follow-up– 1 item is complete

• In Progress– 8 items defined for immediate action– 6 items defined as long term fixes (require project plan)– Request RMS create task group for 2 TX SET related items

• Next Steps– Seek project funding and priority approval from ERCOT Board of

Directors

.

IDR Data Loading Recommendations by TDSPs

19

.

IDR Data Loading Recommendations by TDSPs

Issue Recommendations Immediate Action Items Long Term Fixes1 Allow 867_03 IDR data to cross

select Service History Record rowsAEP to standardize on midnight as the cutoff time for all IDR 867_03s starting in October.

TNMP is investigating standardizing on cutting off all IDR data at midnight.

Modifying IDR loading logic to allow data to cross select Service History Rows.

2a Allow selective replacements of IDR data cuts

Request that RMS create a task group to address adding an 867_03 “selective” replacement/restatement code to TX Set .

Institute 867_03 “selective” replacement process as part of TX SET version implementation

2b Code 867_03 to pass through to CR and not load at ERCOT.

Request of RMS that this item be included in the scope of the Task group mentioned above.

Institute 867_03 ERCOT .lse create bypass as part of TX SET version implementation

3 Remove gap validation from IDR loading logic.

Initiate project to remove gap validation for IDR data loading

NA

4 ERCOT to provide TDSPs with a view of the Lodestar IDR usage.

Complete - ERCOT will provide IDR data dumps upon TDSP request.

NA

5 Process 867_03 in order of receipt. ERCOT has identified the problem with the sorting of IDR .lse fields and is modifying the sorting.

ERCOT will be researching other options in handling IDR data loading.

6a Error report needs unit of measure. ERCOT has fix in test environment NA

6b Provide a positive response for every IDR file loaded.

NA ERCOT to add positive response row for each .lse file loaded into lodestar.

6c Provide reporting to track all 867_03 through the process and report on any "drop outs".

NA Add additional error reporting to notify TDSP of transactions that don't make it to the .lse creation phase. (such as duplicate transactions)

7 Modify Lodestar import validation process to disregard KVARH data.

TDSP can disregard any error associated with loading KVARH (channel 3) data.

ERCOT to modify IDR loading logic to omit creation of .lse file other than KWH.

8 Processing of 867_03 Final for IDR data creates an incorrect stop date on switch.

ERCOT has initiated a system change to account for incorrect stop-times created by ERCOT for IDR 867_03 Finals.

NA

9 Invalid forwarding DUNS numbers in 867_03 transaction.

TDSPs to confirm forwarding DUNS numbers are correct and valid prior to sending 867_03s.

NA

20

Processing of No-Order Connects“moved-out ESI IDs with consumption”

21

Moved-out ESI IDs with Consumptiona.k.a. “no-order connects” or “left-in-hot”

• Background– PUC issued a moratorium on disconnecting ESI IDs with move-outs.

Results of April 5th open meeting: TDSPs are to monitor these ESI IDs and any using >250 KWH are to be made active with the affiliate REP.

• Objective– Create a process to activate “moved-out” ESI IDs to affiliate REP based

upon the old AREP .csv process. • Completed Items

– ERCOT internal meeting to define scope of changes to AREP process• In Progress

– ERCOT to create project request– ERCOT performing code review and defining modifications

• Next Steps– Implement new “Left-In-Hot” csv process– TDSPs to provide list of ESI IDs to process when requested by ERCOT

22

Resettlement Update

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Objective Identify and track the key critical market issues needing resolution prior to the resettlement calculations of true-up statements for trade days beginning with July 31, 2001. Expected start of re-settlements is next week.

Six Issues/Status:1. IDR Data Loading – 100% for market through Sept 09, 20012. NOIE IDR Data Correction – Completed and verified by TDSP3. Profile ID Corrections

– ONCOR and AEP now pass the PWG approved acceptable criteria – CenterPoint and TNMP target meeting acceptable criteria by August 29th

4. Lodestar and Siebel Status Mismatches – Complete for 2001 resettlement dates

5. TNMP and AEP have completed negative consumption fixes6. Outstanding OOMC Disputes

– QSEs have submitted corrections (reduced payments apply otherwise).

Resettlement of True-up Status Update

Once resettlements resume, statistics will be monitored and reported

24

Retail Portal Performance

25

Find ESI ID Functionality

ERCOT IT Staff Implemented Architecture Change to Find ESI ID on July 28

Moving Siebel queries directly to OracleSignificant Improvements

Retail Portal Performance Updates

26

Find Esiid hits Versus Errors W/E 7/27/2002

0

500

1000

1500

2000

2500

3000

3500

4000

4500

5000

Sunday Monday Tuesday Wednesday Thursday Friday Saturday

Day of Week

Hits

Errors

Find ESI ID 5 Weeks Ago

27

ESIID Success Versus Fai lure W/ E 8/ 23/ 2002

0

500

1000

1500

2000

2500

3000

Sunday Monday T uesday Wednesday T hur sday Fr iday Satur day

Hits

E r r or s

Find ESI ID Last Week – Over 99 % Success Rate

28

Retail Portal Performance Items

Find Transaction Functionality

ERCOT IT Staff Implemented Architecture Change to Find Transaction on 8/11– Moving Siebel queries directly to Oracle– Significant Improvements

29

Find Transaction hits Versus Errors W/E 8/3/2002

0

1000

2000

3000

4000

5000

6000

Sunday Monday Tuesday Wednesday Thursday Friday Saturday

Day of Week

Hits

Errors

Find Transaction 4 Weeks Ago

30

Find Trans Success Versus Fai lure W/ E 8/ 23/ 2002

0

500

1000

1500

2000

2500

3000

Sunday Monday T uesday Wednesday T hur sday Fr iday Satur day

Hits

E r r or s

Find Transaction Last Week – Over 99% Success Rate

31

Portal Performance Conclusions

•Portal Performance has been improved to better than 99% consistently

•The volume of successful Portal transactions has increased in the last 4 weeks and performance has held steady

•Market confidence in the Portal is increasing as evidenced by Portal usage

•ERCOT will continue to monitor performance and address future issues if needed

32

Quick Recovery Team Update

33

Quick Recovery Effort

Expanded Period for Investigation

June 1, 2001 – July 31, 2002

•QRE will begin accepting spreadsheets in the QRE format for the expanded period immediately.•QRE is organized such that each QRE member is matched up with a CR•QRE will work with CRs to determine CR priorities•June-July period may be easier to resolve because less time has elapsed and, therefore, less activity has had time to accumulate on the ESI Id.•QRE will provide follow-up notification via Tech Call and email to MPs.

34

Quick Recovery EffortProgress

•Created FasTrak issue for all TDSPs to provide a consolidated spreadsheet for all QRE requests for information or data

•Need timely confirmation of file receipt from CRs•QRE accountability is affected if acknowledgment is not received timely•Website shows progress and we’d like it to be accurate

•Documentation is being created to outline processes used by QRE team to ensure consistency and allow for team knowledge transfer

35

ESI Ids Reported to QRE (as of August 28, 2002)

Current Status Quantity

New 32703

In Analysis 4565

In Progress 28083

Resolved 37028

Total 102379

Entity (In Progress IDs)

Quantity

TDSP 10649

QRE Team 5081

CR 12353

Total 28083

Point of Issue(Resolved IDs)

Quantity

Cause Not Reported

2252

CR 12303

ERCOT EAI 238

ERCOT FTP 32

ERCOT Manual Process (814_08)

1852

ERCOT PaperFree

2852

ERCOT Out of Protocol

26

ERCOT Siebel 184

ERCOT TCH 5540

TDSP 11748

Un-executable 1

Total 37028