Retail Market Continuity

Retail Market Continuity 8/18/16; 9/22/16; 10/20/16; 11/30/16 Assumptions: 1) Once it is determined that ERCOT is experiencing an extended unplanned outage, Market Participants shall follow the processes outlined in Retail Market Guide Section 7.10, Extended Unplanned Outage. - Additional details for specific market processes will be communicated via Retail Market Conference Call and a checklist for market processes needed to maintain market continuity will be reviewed on the Conference Call. (Use RMG reference section in matrix below for help)

2) TDSPs operating under Non-Standard Tariff timelines for Move Ins & Move Outs: TDU Tariffs 6.1.3 – “Company shall complete performance of the service on the requested date, provided: (1) the requested date is a Business Day; (2) Company receives the order by 5:00 PM CPT on a Business Day; and (3) the order is received at least two Business Days prior to the requested date. Company may treat an order received after 5:00 PM CPT on a Business Day or on a day that is not a Business Day, as received by 5:00 PM CPT on the next Business Day. If the order is received by Company less than two Business Days prior to the requested date, Company shall complete performance of the service within two Business Days after the date the order is received.”

3) Once the unplanned extended outage has concluded: - ERCOT & MPs will need a period of ‘stabilization’ to ensure all parties are sync’d. - Retail Market Call: o Expectation is for ERCOT to tell MPs how & when to send EDI transactions on Retail Market Conf. Call. o ERCOT prefers to have transaction sent in sequential order (First-in, first-out “FIFO”) o ERCOT to provide transaction’s current status, and request MPs feedback on desired outcome for transactions ‘in review’ or ‘scheduled’ status. o TDSPs MPs would queue 814 & 867 transactions for ERCOT and coordinate transactional staging efforts o How to handle backdated transactions? Which transactions can be backdated? o Releasing Transactions from Backlog . Date Sequenced (oldest first)? . Staging of Backlogged Transactions o Reconciliation of out of synch conditions o . o Exception/Transaction Handling . How to process date sensitive transactions where rejects may occur due to transactions processes as backdated. . How do you cancel or date change a transaction in the past? . Payments of TDSP’s Invoices

1 | P a g e Not urgent but necessary: need to If only ERCOT is out, the document below is develop checklist outlining Retail applied. Market Call procedures for different If ERCOT + TDSP are impacted, what is the scenarios. process? If ERCOT + TDSP + CR are impacted, what is the process?

Action/Transaction RMG Processes During Processes After Comments Reference Outage Outage Move-Ins – 814_16 7.10.1 CRs to use existing Retail Market Safety Net MVI process Conference Call: during ERCOT Extended - Is the Safety Can MPs re- Unplanned Outage. Net process stage still required? transactions - CRs to push out o Is the 2 BD requested date 2 BD notice still on MVI requests required by - MVI Requested Date TDSPs? shall only be a non- - When is it AMS operational day expected for (M-F, no Sat) normal 814_16 - Other details related MVI to MVIs will be transactions to discussed on the resume? Retail Market - What Conference Call, transactions depending on each should MPs particular scenario. release to ERCOT? And in what order?

Date Change (814_12) 7.4.1.1 (3) (b) Will only accept for Retail Market Scheduled MVIs – CRs Conference Call: to use the Emergency - MUST Cancellation process in COMMUNIC 7.4.1.1 (3) (b) for both ATE: All MVI date change and 814_12 & MVI cancels. 814_08 transactions CRs will perform ‘date should be sent change’ for Scheduled to ERCOT in MVIs through a sequential spreadsheet and resend a order.

2 | P a g e new MVI via a - When is it subsequent follow-up expected for spreadsheet normal 814_08 Cancel transactions to resume? - What transactions should MPs release to ERCOT? Cancellations (814_08) 7.4.1.1 (3)(b) Will only accept for Retail Market Scheduled MVIs – CRs Conference Call: to use the Emergency - MUST Cancellation process in COMMUNIC 7.4.1.1 (3) (b) for both ATE: All MVI date change and 814_12 & MVI cancels. 814_08 transactions CRs will perform ‘date should be sent change’ for Scheduled to ERCOT in MVIs through a sequential spreadsheet and resend a order. new MVI via a - When is it subsequent follow-up expected for spreadsheet normal 814_08 Cancel transactions to resume? - What transactions should MPs release to ERCOT? Tampering & DPP Switch- 7.10.3 RMG 7.10.3 Process: Hold Removals for New 1) CR to check Retail Market MVI (SH process GLOBAL Switch Hold Call: when MT lists posted on TDSP - Once it is systems FTPS determined down) 2) CR sends Safety Net that 814_20 MVI list activity can 3) TDSP checks for resume, Switch Hold Flag TDSPs will  If SH present, begin sending TDSPs will 814_20s to Reject MVI to update Switch

3 | P a g e CR Hold status. 5) CR initiates the - Before such regular SH removal time, CRs to process (NOS continue using documentation, etc) Global Switch 6) CR sends Hold Lists on documentation to TDSP the TDSP via email FTPS. 7) Once a determination to remove, TDSP will lift Switch Hold 8) CR to resend the ESIID on a subsequent Safety Net MVI list. 9) TDSP to update the Global Switch Hold list for next day. Tampering & DPP Switch- 7.10.4 1) CR to verify Retail Market Hold Add/Removal add/delete Switch Hold Call: Updates (650 process per Global Switch Hold - Once it is application of list posted on the TDSP determined SH without FTP site. that 814_20 ERCOT 2) CR to send 650_01 activity can systems Switch Hold resume, available) Add/Remove request TDSPs will 3) TDSP to send 650_02 begin sending Acknowledgment 814_20s to transaction update Switch (note: 814_20s cannot be Hold status. sent/received due to - Before such ERCOT outage) time, CRs to 4) TDSP to update continue using Global Switch Hold list Global Switch for next day. Hold Lists on the TDSP FTPS. Move-Outs - 814_24 7.10.2 CRs to use existing Retail Market Safety Net MVO process Conference Call: ** Safety Net Move Outs during ERCOT Extended - Is the Safety might not be used on day Unplanned Outage. Net process 1 - it must be determined still required? on the Retail Market - CRs to push out o Is the 2 BD Conference Call if/when requested date 2 BD notice still Safety Net Move Outs on MVO requests required by should begin and - MVO Requested TDSPs? associated details specific Date shall only be a - When is it

4 | P a g e to performing Move non-AMS operational expected for Outs.** day (M-F, no Sat) normal 814_24 - Other details related MVO to MVOs will be transactions to discussed on the resume? Retail Market - What Conference Call, transactions depending on each should MPs particular scenario. release to ERCOT? And in what order?

Date Change (814_12) 7.10.2.2 (4) Will only accept for Retail Market Scheduled MVOs – CRs Conference Call: to use the Emergency - MUST Cancellation process in COMMUNIC 7.10.2.2 (4) for both ATE: All MVO date change and 814_12 & MVO cancels. 814_08 transactions should be sent CRs will perform ‘date to ERCOT in change’ for Scheduled sequential MVOs through a order. spreadsheet and resend a - When is it new MVO via a expected for subsequent follow-up normal 814_08 spreadsheet Cancel transactions to resume? - What transactions should MPs release to ERCOT? Cancellations (814_08) 7.10.2.2(4) Will only accept for Retail Market Scheduled MVOs – CRs Conference Call: to use the Emergency - MUST Cancellation process in COMMUNIC 7.10.2.2 (4) for both ATE: All MVO date change and 814_12 & MVO cancels. 814_08 transactions should be sent CRs will perform ‘date to ERCOT in change’ for Scheduled sequential

5 | P a g e MVOs through a order. spreadsheet and resend a - When is it new MVO via a expected for subsequent follow-up normal 814_08 spreadsheet Cancel transactions to resume? - What transactions should MPs release to ERCOT? MVO to CSA Activities 7.10.2(1)(b) Suspend all CSA activities (Establish/Suspend/Retir e)

Note: For MVO to CSA, once outage is restored, 814_24 request from CR will be an 814_03 (from ERCOT); therefore, an exact Safety Net MVO request and corresponding 814_24 EDI transaction may not be available to be reconciled.

Switch Request – 814_01 All Switch activity will Would CRs still be suspended – take Switch reconciliation efforts requests from during an extended Customers outage is very difficult. during the outage? Must communicate on the Retail Market - Through Conference Call: IVR, CRs CRs shall not send a most likely Switch request via Safety suspend the Net as a Move In. calls; but not sure if they can control Web enrollments.

6 | P a g e Consider this: if the ERCOT outage lasted 2 weeks, Retail may want to invoke a 3 week Switch moratorium until all the backlog transactions have been processed.  Cancellations 814_08

Usage Data  Initial 867_04 TDSPs to suspend Retail Market CRs must be the outbound 867_04. Conference Call: initiators of - What “staged” CRs will not be able to transactions transactions in process 867_04 due to should MPs order for TDSPs not receiving 814_05. release to to begin the ERCOT? And TXSET in what order? transaction “chain” in order to direct the right transactions to the appropriate CR.  Monthly/Final TDSPs - Only send for Retail Market Possible 867_03 active ESIID associated Conference Call: solution: develop with a ROR What transactions point-to-point should MPs 867_03/03F release to method btwn CR ERCOT? And in and TDSP? what order?  AMS – LSE Data Today: AMS LSE files Post-outage TDSP concern: would continue as cleanup process: Data storage normal from TDSP  concerns for SMT. TDSPs will holding multiple coordinate with days of LSE files TDSPs would hold AMS ERCOT to and transactions. LSE files specifically determine the TDSPs are pointed to the ERCOT IP staging process unlikely to hold address but would still needed to sync 14 days worth of send AMS LSE files LSE files with AMS LSE files. pointed to the SMT IP associated 867 However, TDSPs

7 | P a g e address as normal. usage and any 814 can still send transactions. AMS LSE files to SMT, leaving CRs an avenue to retrieve AMS LSE data if needed.

MarkeTrak Add ERCOT confirms that Retail Market reference to MarkeTrak would be Conference Call: RMG section completely down for the - Is MarkeTrak with entirety of the unplanned available? If MarkeTrak outage. not, when? outage work - Which around Other than Switch Hold subtypes are Removal - Are there available for other processes usually use? handled via MarkeTrak - MPs should that need to have stand- not use alone processes in place? MarkeTrak for No. clean-up until directed via Retail Market Conference Call.

Invoices  TDSP Invoice to TDSPs to only send for Retail Conference Assumption is CR 810_02 active ESIID associated Call: that 810s and with a ROR during the 867s go in pairs. outage. - Decision to Therefore, any make when point-to-point CRs to cease method for 867s using Safety would need to Net MVIs incorporate 810s. - If EDIs are to - Can TDSPs resume, how utilize the should TDSPs FTPS to post begin sending 810/867 867s_04 & pairs? TDSPs 810_02s for would post non-active the actual ESIIDs (new .edi MVIs) transaction for CRs to pull down

8 | P a g e and consume. - If TDSPs post to the FTPS, are all CRs able to process the transactions through their systems? - Late Fees: would be determined on a case-by- case basis by TDSPs  MOU/EC Invoice CRs may create 810_03 an 810_03 based off the 867_03, but if 867_03 is impacted/down, CRs cannot create 810_03.

Can MOU/EC send point-to- point? If so, that would solve this problem.

ESI ID All TDSPs will suspend For all 814_20 Create/Maintenance/Retir outbound 814_20 related e activity. Re-sync process transactions – for 814_20s between TDSPs and ERCOT will Retail Market be determined for each Call: scenario on the Retail - ERCOT to Market Call. determine when 814_20 Note for all information activity can normally received on the resume, and 814_20s during an how TDSPs outage: should send If available, CRs can 814_20s. may use the - TDSPs to CRIP/REPDesk portals clarify how for 814_20 814_20

9 | P a g e Create/Maintain/Retire information details because TDSP can be 814_20 outbound accessed if not activity will be available via a suspended. Texas SET transaction.

 Create ESI ID Customer contacts TDSP TDSPs to clarify (814_20) to create a new ESIID. how 814_20 information can be Once created, ESIIDs accessed if not can be found on each available via a TDSP’s CRIP/REPDesk Texas SET portal in lieu of 814_20. transaction.  Maintenance (814_20)  Retire (814_20)

824 Invoice and Usage Assuming 810_02 Retail Market Rejects already sent, but ERCOT Conference Call: goes down before What transactions 867_03 is sent, how to should MPs handle this? release to ERCOT? And in 9/22 - Possible solution: what order? If TDSPs can use the point-to-point 867/810 Possible solution: solution, and one of the If TDSPs can use paired transaction(s) is the point-to-point still unavailable, CR 867/810 solution, would identify the and one of the transaction(s) needed, paired and TDSP would re-drop transaction(s) is as available. still unavailable, CR would identify the transaction(s) needed, and TDSP would re-drop as available.

Flight Testing  Active x Suspend and restart flight testing in contingency What happens if period after unplanned CR needs outage has concluded. certification before end of

10 | P a g e ERCOT anticipates year, but outage needing 1-3 weeks to occurs at end of stabilize following the year, and last Black Start and may just flight of year is cancel impacted flights impacted? altogether. ERCOT would coordinate with Flight participants to determine whether to delay or cancel.

 Inactive, but x Suspend, delay, or cancel scheduled

ERCOT Reporting ERCOT will not be able Would all depend to produce Market on the queue of Reports & Extracts transactions and during an unplanned data ERCOT extended system outage. would process from the Market and would need to develop an expected elapsed time before Reports & Extracts can be used as normal by Market Participants.  Market Reports Once ERCOT and Extracts systems are restored, Reports & Extracts should resume almost immediately, but fully processing the backlog of transactions will likely impact the initial reports first generated.  Supplement AMS Depends on Interval Data processing of

11 | P a g e Extract AMS LSE files from TDSPs.

Smart Meter Texas (SMT)  AMS – LSE Data TDSPs would continue Could be used as a sending AMS LSE files secondary to SMT as normal. database for AMS LSE reconciliation, if needed.

Additional Issues to be discussed on October 20 th Retail Market Conference Call (or Market Continuity Call) :  How to handle backdated transactions? Which transactions can be backdated?  Releasing Transactions from Backlog o Date Sequenced (oldest first)? o Staging of Backlogged Transactions  Reconciliation of out of synch conditions  Exception Handling o How to process date sensitive transactions where rejects may occur due to transactions processes as backdated. o How do you cancel or date change a transaction in the past?  Payments of Invoices

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