1 Single Entry Model (SEM) Weekly Market Call August 20, 2009 Matt Mereness

2 Antitrust Admonition ANTITRUST ADMONITION ERCOT strictly prohibits Market Participants and their employees who are participating in ERCOT activities from using their participation in ERCOT activities as a forum for engaging in practices or communications that violate the antitrust laws. The ERCOT Board has approved guidelines for members of ERCOT Committees, Subcommittees and Working Groups to be reviewed and followed by each Market Participant attending ERCOT meetings. If you have not received a copy of these Guidelines, copies are available at the Client Relations desk. Please remember your ongoing obligation to comply with all applicable laws, including the antitrust laws. DISCLAIMER All presentations and materials submitted by Market Participants or any other Entity to ERCOT staff for this meeting are received and posted with the acknowledgement that the information will be considered public in accordance with the ERCOT Websites Content Management Operating Procedure.

3 SEM Weekly Market Call Agenda Antitrust Admonition SEM Go-Live Update Market Testing Update Readiness Dashboards SEM Go-Live Criteria and Approval FAQ/ Open Issues Roll-call Questions/Answers Appendix/Supporting Info –What is SEM? –Go-Live timeline and activities –Training overview and sign-up –Dates/ methods to test submissions of NOMCRs –Readiness metrics related to training and testing –Communication mailbox and SEM Market Call Schedule

4 SEM Go-Live Update What is ERCOT doing this week? –Performance and Tuning tests of SEM Go-Live Production system –Completed Zonal/Nodal Data Consistency Check –Incorporating SR from the summer –Sent new NMMS CIM file to TSPs upon request (almost production copy) Training –ERCOT set up one make-up class – Sept 29-Oct 1 –Sign up using LMS - Communications during the week – –NDSWG meeting –TAC and Board Approval- thank you to the TSPs!! –10-day Market Notice to be released tomorrow

5 Market Testing Update Test Environment Update: Reminder the NMMS Test/Sandbox environment was refreshed with a "closer-to- production" model reflecting the June 1, 2009 seed (still processing outstanding Service Requests from summer months) –If additional ownership issues identified in the newer test model, TSP can request corrections from ERCOT through Reminder that an updated NMMS Test/Sandbox CIM model can be requested –Updated model from June 1 seed, but not final for go-live –Upon request to NOMCRHelp, ERCOT can FedEx the newer populated CIM model to interested TSPs –Sent 3 files so far ERCOT will maintain the Test/Sandbox environment up until the final weekend before SEM Go-Live –Take offline for Go-Live to prevent any confusion –Test system will come back for training later in September Reminder that ERCOT needs TSPs to request new accounts –ERCOT has provided TSP USAs with list of users in test environment –ERCOT can provide TSP users with the contact info for their USA if needed –IMPORTANT- Reminder that production access will have different user names and passwords

6 SEM Go-Live Market Engagement Dashboard (as of 8/17/2009) Notes- ERCOT working one TSP to catch-up on final testing/training - TSP has signed up for Sep 29 th make-up training - ERCOT will support this TSP (and any other TSP) with assistance in submission of NOMCRs

Overall SEM Go-Live ERCOT/Market Criteria Dashboard Summary of Criteria from TAC-approved SEM Go-Live Procedure ( )

8 SEM Go-Live Criteria and Approval Summary of remaining Stakeholder meeting dates for SEM discussion/approval of Go-Live –August –30-day Market Notice - July 31 –SEM Go-Live Notice (conditional based on TAC/Board approval) –NDSWG – Aug 4 –August 5 Market Notice - Reminder that Aug 15- Aug 30 only emergency SRs accepted (related to reliability, coordinate with ERCOT director of Grid Operations) –TAC - Aug 6 –ROS - Aug 13 –ERCOT publishes results and sign-off from Directors – Aug 17 –TAC Special meeting – Aug 18 7:30am –BOD - Aug 18 –NDSWG - Aug 18 –Aug 18 th Re-release of 30-day notice to reflect Board Approval –10-day Market Notice - Aug 21 –SEM Go-Live - Aug 31

9 Go-Live timeline and activities (continued) –Transition periods: June 1- Aug 30, 2009 (objective to minimize SvcReq during this period) –Submit changes as far in advance as possible –No equipment name changes (defer until after SEM Go-Live 8/31/09) Aug 15-30, 2009 –Two weeks no submissions, except for emergency changes Aug 31, Feb 2010 (NOMCRs for any/all network changes) –After 8/31/09 TSPs will work to validate the network model and align to their in-house systems –Initially the NOMCR timeline will align with zonal timeline »30-day lead-time, compliant with current zonal database schedulezonal database schedule »Status is tracked and communicated via system s –Any SRs that did not go into zonal production will be converted by ERCOT to NOMCRs for verification/submission by TSPs in Sept –In 2010 TSPs gradually transition to NodalProtocols(3.10) 90-day timeline submission requirements

10 FAQ- Access questions USA initiates creation of NMMS account. User will receive a new user name and initial password. Please use caution when typing the new password (or removing the trailing space when pasting.) You will be prompted to change your password. If there are any issues with this initial log in, you will receive an error message. At this point, you must request a password reset. –The password can be reset by: 1) ing the ERCOT Helpdesk, or calling at option If ing, provide first and last name, DUNS number, user name, and a phone number so they can contact you with the new password 2)Or contacting your USA – they can reset your password. To reset: in MPIM, select modify to the individual account. There is a check box to reset password. Select the box and will be sent with new password. Service Level Agreement- the SLA for this NMMS platform is business hours Monday-Friday. The systems will be kept available after-hours and weekends, but support of questions and system issues will only be worked during regular business hours.

11 FAQ- Access USA communications –Market Notice out to USAs for MPIM Roles for NMMS on August 10 Also noted that the roles of EMS_MOTE and EMS_SOTE are available, and that ERCOT will eliminate the RSA FOBs and move to a Digital Certificate access method for the MOTE and SOTE –USAs were contacted directly with instructions on how to assign the roles for SEM Go-Live Two roles are applicable for NMMS: –NMMS Remote Users (access to production environment to submit NOMCRs) –NMMS_SEMFILE_DOCS (to allow the ability for certain TSP users to download the full network CIM file) Note that all users will receive new user names and passwords –Format: 8 digits – First six is the company name shortened, last two are first initial last initial.

12 NMMS Access on Aug 31, 2009 TSP TML 1)NOMCRs / SAMRs (Report Explorer) 2) CIM network file download capability 3)NMMS Production (also SOTE / MOTE) (links to Citrix Gateway) Citrix Gateway NMMS Production (also SOTE / MOTE)

13 Open Issues / Responses How can I configure Citrix to allow me to export/import CIM files? Steps: 1)While Citrix and the application are open, there should be a Citrix icon in your taskbar (the ‘Citrix Connection Center’) 2)Double click the icon 3)Click ‘File Security’ 4)Click ‘Full Access’

14 NDSWG Questions a- Document how to re-set password (USA or HelpDesk) b- Confirm if we expect USA's to re-set passwords- preference for company c- Confirm whether there are citrix license limitations related to SEM go-live (no, 500+ limit) d-Long-term plan for Sandbox (weeks/months- still TBD) - User accounts (in test and prod)- will be the same after go-live - Outage of sandbox for go-live- confirmed to prevent errors e- Test connectivity to prod systems- 2 TML link NMMS Remote to Citrix and can log in (later next week) Posting model link (active next week with test file)

15 Open Issues / Responses Will there be focused ICCP-only training or a guide for SCADA-focused employees? –All TSP users are encouraged to attend the basic training being offered –When this training is complete ERCOT will see if there is a desire of MPs to have specialized training for SCADA assignments to build upon the basic training Can an MP modeler set-up new equipment, and then have another user make the ICCP assignment? –Yes, the same TSP can have one user establish the equipment in a NOMCR, and a different user can edit the NOMCR to complete the SCADA assignments Can ERCOT set-up a read-only role? –By default users are granted read/write privileges –Upon an request to ERCOT can change the access to be read-only Operatorship vs Ownership Line assignment- Legal working on draft of NPRR Service Level Agreement post SEM Go-Live- –IT support 99.9% availability, 4 hour recovery –Same business support as used for Service Requests –Post SEM Go-Live + 60days window for fall-back to Service Requests –Post SEM Go-Live + 60days window for Guideline discussion –Blacklined and posted

16 Roll-call and Q&A Roll-call Test environment URL –URL- Reminder(s): –Go-Live Aug 31 will be 8am –Production access from MP USAs –Re-set password can come from HelpDesk or your USA –Make up training class Enroll at –Populated CIM file request (June 1, 2009 seed- does not include all SRs from summer) for CIM Pressing CDs and mailing to TSP upon request Questions and Answers Next Weekly Market Call- Aug 27, 2009

17 Appendix/Supporting Info –What is SEM? –Go-Live timeline and activities –Training overview and sign-up –Dates/ methods to test submissions of NOMCRs

18 SEM Go-Live Overview Single Entry Model (SEM) Go-Live is the switchover on Aug 31, 2009 for TSP submissions of network operations model change requests –from “Service Request” submissions via TML –to “NOMCR” submissions via the NMMS System of record for model changes becomes NOMCRs on 8/31//09 System of record for Network operations Model for reliability and dispatch remains Zonal/Genesys system until Dec 2010 TSP Current Activity Submit Modeling Change via Service Request ERCOT Uploads Svc Request into Zonal Genesys Model ERCOT Copies/Converts Zonal Model “seed” Into Nodal NMMS Model TSP Aug 31, 2009 Submit Modeling Change via NOMCR/NMMS Tool (includes ICCP) ERCOT Incrementally Converts NOMCR Into Svc Req Uploads into Zonal Genesys Model ERCOT uploads NOMCR Into Nodal NMMS Model to support nodal testing Data Consistency Checks are run to ensure model synchronization/fidelity Periodic checks are run to ensure model synchronization/fidelity Full Copy Incr. NOMCR

19 Current Network Operations Model Maintenance for TSPs ERCOT Zonal EMMS Model (system of record through 12/1/2010) Submits Service Request to Change Model ERCOT Nodal NMMS Model (nodal testing model- CIM file for EMS/MMS/etc) Periodic full copy and conversion of model (zonal seed used for nodal systems) TSP

20 After 8/31/2009: SEM Go-Live Network Operations Model Maintenance for TSP ERCOT Zonal EMMS Model (system of record through 12/1/2010) ERCOT Nodal NMMS Model (nodal testing model- CIM file for EMS/MMS/etc) ERCOT enters NOMCRs into zonal model ERCOT runs consistency checks to ensure models are aligned and maintained Submits Model Change Request (NOMCR) TSP NMMS Model System of Record Nodal Go-Live 12/1/2010

21 Network Operations Model Maintenance for Resource & QSE (today and post 8/31/09) ERCOT Zonal EMMS Model (system of record through 12/1/2010) ERCOT Nodal NMMS Model (nodal testing model- CIM file for EMS/MMS/etc) ERCOT enters into zonal model NMMS Model System of Record Nodal Go-Live 12/1/2010 Submits RARF (Resource Asset Reg Form) via Service Request Submits ICCP Change via Service Request ERCOT process QSE RE

22 SEM Go-Live Update Communication and Calendar –May 6 th ERCOT began TSP outreach through Wholesale Client Services TDSP/TO associations sent to 23 TOs Solicit training headcount from TOs (pre and post Go-Live) Good response from TOs –May 15- Market Notice sent for SEM Kick-off call to occur –May 28- SEM Kick-off WebEx 10:00-11:30am Go-Live timelines and activities for June - August 2009 Training overview and sign-up Dates and access methods to test submissions of NOMCRs Communications mailbox and SEM market call schedule –June 4- Start weekly Thursday SEM Calls at 2-3pm (through go-live/August) Company attendance is recorded ERCOT provide updates on testing and training Highlight issues or Frequently Asked Questions Open Question/Answer session for TSPs Meetings will be posted on new ERCOT calendar page at: –June 8- Testing environment available to TSPs (through Aug 10) –June 22- Weekly classroom training for 6-weeks (through July 30)

23 Go-Live timeline and activities (continued) Communication –May 6 th ERCOT began TSP outreach through Wholesale Client Services TDSP/TO associations sent to 23 TOs Solicit training headcount from TOs (pre and post Go-Live) Good response from TOs

24 Go-Live timeline and activities (continued) Communication and Calendar –May 15- Market Notice sent for SEM Kick-off call to occur –May 28- SEM Kick-off WebEx 10:00-11:30am Go-Live timelines and activities for June - August 2009 Training overview and sign-up Dates and access methods to test submissions of NOMCRs Readiness metrics related to training and testing Communications mailbox and SEM market call schedule –June 4- Start weekly Thursday SEM Calls at 2-3pm (through go-live/August) Company attendance is recorded ERCOT provide updates on testing and training Highlight issues or Frequently Asked Questions Open Question/Answer session for TSPs Meetings will be posted on ERCOT calendar at –June 8- Testing environment available to TSPs (through Aug 10) –June 22- Weekly classroom training for 6-weeks (through July 30)

25 Go-Live timeline and activities (continued)

26 Go-Live timeline and activities (continued) –Transition periods: June 1- Aug 30, 2009 (objective to minimize SvcReq during this period) –Submit changes as far in advance as possible –No equipment name changes (defer until after SEM Go-Live 8/31/09) Aug 15-30, 2009 –Two weeks no submissions, except for emergency changes Aug 31, Feb 2010 (NOMCRs for any/all network changes) –After 8/31/09 TSPs will work to validate the network model and align to their in-house systems –Initially the NOMCR timeline will align with zonal timeline »30-day lead-time, compliant with current zonal database schedulezonal database schedule »Status is tracked and communicated via system s –Any SRs that did not go into zonal production will be converted by ERCOT to NOMCRs for verification/submission by TSPs in Sept –In 2010 TSPs gradually transition to NodalProtocols(3.10) 90-day timeline submission requirements

27 Training Overview and Sign-Up TSP Submission Testing and Training will be the same system/database -Model to be used will be snapshot from October Training audience is the TSP network operations modelers/staff Submission Testing system access –Available June 8 – Aug 10 –NOMCR testing system will be on-line and available to all TSPs –ERCOT has established a dedicated and have staff available to support questions Training to be hosted in Taylor –Pre-SEM classes June 22 – Aug 3 Current plans for at least six 3-day sessions Planning for seats for each class Large dedicated training room –Post-SEM classes Sept 23- Oct 20 Fewer sessions and smaller classes (tbd) Make-up classes, not just-in-time training for all staff after go-live

28 Training Overview and Sign-Up (continued) Classroom schedule for the 3-day class One class per week for 6 weeks Start 1pm Tuesday / End noon Thursday Trainees can stay in Lab Thursday afternoon for Q&A If schedule fills up, ERCOT will shorten class to 2-days for the overbooked weeks June 23-25, June 30- July 2 July 7- 9, 14-16, 21-23, Next 4 slides show summary of training format and equipment Full training outline in Appendix (no change from last month) Note that testing/training will only include Level 1 Validation Level 1 – Automatic by the system upon submitting. Level 2 – Visual by the N/W Model Coordinator Level 3 – Power flow run on the one NOMCR. Level 4 – Power flow run on all NOMCRs for that day. Level 5 – Power flow run on the AREVA system.

Training (continued)

33 Training Overview and Sign-Up (continued) Sign-up for access to test environment starts today System access begins June 8 th request to Test environment requires a valid digital certificate (production or nodaltest) -Digital certificates are to be coordinate with your company’s USA -Include in Employee Name- TSP/Company Name- DUNS- address- Alternate/Centralized address for status change- Primary phone- Alternate phone-