1 Transaction or Issue Clean Up

2 Customer Protection and 814_08 Issue (Phase 2 – Potentially Late 08s) Background Completed Items Next Steps

3 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. Completed Items Received direction at RMS meeting for MPs to honor the cancellation ERCOT created 30 FasTrak issues on connecting both CRs and notified the TDSP and CRs via of the RMS directive and the FasTrak issue 22 FasTrak Issues closed by CRs accounting for 74 Service Orders Customer Protection Period and (Phase 2 – Potentially Late 08s)

4 Action Taken ERCOT Retail Client Services escalated the open items to the CRs involved The following CRs were able to resolve a portion of the open issues as of 5/12/04 –ACN Energy, Assurance Energy, CPL Retail, Direct Energy, Entergy Solutions, First Choice Power, Green Mountain, and WTU Retail The following CRs are actively working to resolve the outstanding issues (comments being filed so parties can continue to update progress) –CPL Retail, Direct Energy, Entergy Solutions, First Choice Power, Reliant, TXU Next Steps 7 Issues/189 Service Orders show some response in FasTrak while 1 Issue/1 Service Orders has no update in FasTrak CRs review the remaining FasTrak issues and ensure they honored the Cancellation by Customer Objection. If you are done with an issue – MARK IT RESOLVED PLEASE TDSPs review notification of the issues and ensure they honored the Cancellation by Customer Objection ERCOT Retail Client Services will continue to have conference calls with CRs as needed to escalate the open issues and ask if there is anything ERCOT can assist with. Customer Protection Period and (Phase 2 – Potentially Late 08s)

5 Linked-Address Issue Multiple ESI IDs Linked to a Single Service Address Record Background Counts Matrix Completed Items Next Steps

6 Background On the 02/18/04 Retail Market Call, a CR reported a concern regarding discrepancies between ERCOT’s Portal and the TDSP’s customer information system. The CR provided specific example for ERCOT to research. Analysis, released by ERCOT on 3/8/04, has identified that linked service addresses were established in the ERCOT Siebel system based upon data provided during conversion in In these instances, a TDSP provided the same service address for multiple ESI IDs. During the conversion process, a single database record was created which linked a single service address to multiple ESI IDs. The Address Field components making up the address record in the ERCOT Siebel system are street name, Address Overflow, City, State, Country and Zip code. The current effect is that an 814_20 address change to any one of the address- linked ESI IDs effectively changes the address, in ERCOT’s system, of all ESI IDs linked to that same record. Approximately 11 percent of the ESI IDs in the ERCOT Siebel system are affected by this "linked address" issue. Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

7 TDSP Quantity Breakdown Linked-Service Address (Multiple ESI Ids Linked to a Single Service Address Record)

8 ERCOT Data on Mismatched Addresses ESI IDs Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

9 ERCOT Transaction Analysis on Mismatched Address Lists Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

10 ERCOT Analysis of Mismatched Addresses with non-AREP Activity Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record) ESI ID being analyzed by CRs for Potential Inadvertents

11 Completed Items 3/8/04 - Information released to the Market during Retail Market Call 3/9/04 - Initial conference call with TDSPs to discuss issue and proposed process 3/10/04 - Retail Market Call additional information 3/12/04 - ERCOT provided TDSPs a list of all ESI IDs with linked-addresses 3/16/04 - Follow-up conference call with TDSPs to discuss process further - ERCOT had ad-hoc discussions with CRs 3/17/04 - Follow-up discussion with a CR - Follow-up at Retail Market Call to detail proposed process 3/31/04 - TDSPs responded to ERCOT with mismatched address analysis results 4/7/04 - ERCOT completed analysis of address mismatch data received from TDSP 4/8/04 - Market Meeting to discuss issues and further Market activities 4/11/04 - ERCOT posted Master Mismatch List for CR retrieval 4/12/04 - ERCOT sent CRs their ROR list for ESI IDs with non-AREP activity 4/20/04 - ERCOT received TDSP’s address comparison methodologies - ERCOT received some response from CRs 4/21/04 - Market Meeting in Austin Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

12 Completed Items (continued) 4/23/04 - ONCOR provided ERCOT a list of 7,850 additional address mismatches 4/24/04 - ERCOT corrected the internal database issues and created a 1-to-1 relationship for each ESI ID and Service Address 4/26/04 - ERCOT posted a revised Master Mismatch List (with entirely new ONCOR data) for CR retrieval 4/29/04 - ERCOT sent CRs their Rep of Record list for the additional address mismatches along with instructions and timeline for CR response 4/30/04 - ERCOT completed a test with CenterPoint on 50 select ESI IDs to confirm database fix and expected results 5/3/04 - ERCOT established tentative schedule for TDSPs to submit 814_20 address correction (week of May 10-14) 5/4/04 - ERCOT rolled out a modification to the TDSP ESI ID extract to deliver the “address overflow” field 5/5/04 - ERCOT compiled CR responses received to date for this RMS update Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

13 Data Files Provided to the Market : A Revised Master Mismatch File (138K ESI IDs) list posted to FasTrak containing: –ESI ID –TDSP Duns –TDSP Address Data (Address, Overflow, City, State, Zip) –ERCOT Address Data (Address, Overflow, City, State, Zip) –ERCOT Status (Active, De-energized, Inactive) –ERCOT Premise Type Separate Current Rep of Record Data for Mismatch ESI ID Lists containing: –CR Duns Number –ESI ID Separate “additional” list of Current Rep of Record Data for Mismatch ESI ID CenterPoint retired ESI IDs which were excluded from the TDSP address analysis Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

14 Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record) Notes: 7 CRs reported Potential Inadvertents requiring additional analysis CR Dates for Final Analysis range from May 12 to June 30

15 Next Steps CRs to complete analysis to determine any Inadvertents resulting from this issue (submit FasTrak issue for ESI ID determined to be Inadvertents) –Additionally the CR need to provide ERCOT the date their final analysis will be completed to determine actual Inadvertents. –Send ERCOT a Final Count of Inadvertents by TDSP - Date will be confirmed at RMS or a subsequent Meeting on Linked Addresses. –CR to contact the TDSP in instances where the CR believe they have the full correct address and TDSP only has street name or “name” (CR – 123 Hwy 60; TDSP – Hwy 60) or (CR – 345 Main Street; TDSP – Hillcrest Middle School) ERCOT to compile reports from CRs response for next RMS meeting ERCOT to coordinate with TDSP the schedule for submission of 814_20 Address corrections –Tentative schedule for the week of May ERCOT to add the address overflow field to the ESI ID look-up function on the Portal (expected as part of TML2) ERCOT to present potential areas for process improvement to RMS Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record)

16 Areas of Process Improvement (submit to RMS for follow-up assignments) TDSPs to perform a periodic synchronization of TDSP system service addresses to ERCOT system service addresses and provide 814_20 updates to resolve inconsistencies. (using the TDSP ESI ID Extract as the ERCOT data source) Suggest CRs create an exception process when the TDSP provides an 814_04 (which ERCOT send to the CR in 814_05 transaction) that has a different address than the CR originally submitted Define a Market Process CRs should use when they find multiple ESI IDs at the same service address using either the ESI ID look-up or on the TDSP ESI ID extract –Contact TDSP –Use extract as back-up - it will contain overflow Linked-Service Address (Multiple ESI IDs Linked to a Single Service Address Record) Parking Lot Item 1.Is there a way to make addresses unique?

17 Missing 867 Report Summary

18 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 Weekly report provided to the TDSP Stats Summary: Missing 867 Report

19 Missing 867 Report

20 Missing 867 Report

21 Pro-Active Transaction Resolution Measures 867s Received on Canceled Service Orders

22 Situation ERCOT 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. Mechanism for Handling 867 RCSO: Step 1: ERCOT produces 867RCSO data each Friday and submits a report file to each TDSP and CR via the ERCOT Portal 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, no further action is required b) If the TDSP has completed the service order, they will initiate a day-to-day FasTrak issue and work with ERCOT to get ERCOT systems changed to complete. Completion of canceled service orders will require the approval of the CR initiating the transaction. (Note: For Cancel by Customer Objection, the TDSP will honor the cancel in their systems) 867s received on Canceled Service Orders

23 867s received on Canceled Service Orders April 30, 2004 Status Issues on FasTrak from 11/7/03 through 4/23/04 Issues to Portal Report starting 4/30/04 April 30, 2004 Status Includes only data submitted via FasTrak 11/7/03 through 4/23/04

24 867s received on Canceled Service Orders 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 867RCSO process helped to identify two processing issues with two different TDSP since its inception ERCOT moved the 867RCSO report from a FasTrak Initiated issue to an automated weekly portal report to the TDSP and the CR on April 30, 2004 Next Steps ERCOT to summarize data provided to the TDSPs for reporting to RMS for the next few months

25 Thank You