MP Online Data Entry Phase 1 RDWG Market Requirements Workshop November 06, 2013

2 Agenda 9:30 - 9:45Anti-Trust AdmonitionScott Middleton Roll Call Scott Middleton 9:45 – 10:30Workshop ObjectivesScott Middleton Project ObjectivesArt Deller Project ScopeArt Deller 10:30 – 11:30Requirements IntroKristee Watts Market FeedbackKristee Watts 11:30 – 12:30Break for lunch 12:30 – 2:00Requirements WorkshopKristee Watts 2:00 – 2:15 Break 2:15 – 3:00Requirements Workshop (contd)Kristee Watts 3:00 – 3:30PrioritizationScott Middleton Next StepsScott Middleton RDWG – WorkshopNovember 06, 2013

3 Antitrust Admonition / Roll Call RDWG - WorkshopNovember 06, 2013 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. Roll Call Participants on site, fill in the sign-up sheet Participants on the WebEx, please send via to the following –Name –Company / Company Type (RE, TSP, etc.) –Role (as it applies to the RARF (e.g. I submit, contribute to it, use data from it))

4 Workshop Objectives RDWG - WorkshopNovember 6, 2013 Today’s Workshop Objectives –Describe Objectives and Scope –Share feedback received to-date –Elicit market requirements –Discuss next steps Ground Rules –Phone lines will be left unmuted (unless there is excessive noise) –We ask that phone participants use their own mute button when not speaking –To avoid talking over each other, please use the Raise Hand function in WebEx –We will also be monitoring the WebEx chat pane; questions can also be submitted this way, as well

5 Objectives and Scope RDWG - WorkshopNovember 6, 2013 OBJ #OBJECTIVE OB-001 Market Participants and ERCOT teams should interact with a logical, consistent and easily navigable interface when providing asset registration and operational model data. OB-002 Users (Market Participants and ERCOT) should be able to retrieve and review current (production), future (what is in the workflow for validation), and activity history (where relevant) for asset registration and operational data sets (including comments, attached files) on demand. OB-003 Existing validation checks should not be compromised by a new interface. Data entry validations on characteristics and business rules should be incorporated where appropriate. OB-004 Market Participants can enter part of the required data and return later to complete the remaining and not lose what was submitted (save vs. submit). OB-005 When new data elements are approved to be added to the business process, Market Participant’s should only have to update the impacted data elements (example – new fields needed for solar or user defined variables). OB-006 User activity should be managed per assigned security role (single sign in / digital certificate). Access is controlled by data type, function and type of user. Roles may be different within a Market Participant. OB-007 All Market Participant data submissions should be categorized (modeling, asset registration) and adopted by a system of record (NMMS, lodestar, etc.). The ERCOT system of record is identified for each discreet data item and the interfaces that transmit data to its system of record.

6 Objectives and Scope This phase will focus on the replacement of the RARF spreadsheet In Scope: –Creation of a new application or extension of an existing application that will replace the RARF spreadsheet used to enter, modify and view resource asset registration data –Classification of all data, defining system of record, consumers, business owners and usage –Modification of business processes related to resource asset registration to support new interface / application (e.g. elimination of manual processes) –Porting of existing business rules and validations to new interface / application –Porting data currently within the RARF and RARF_Hub to new application where necessary (no re-entry of registration data by the Market) –Porting integration of consumer systems to new interface / application –Training of Market Participant Users –Training of ERCOT personnel –Decommissioning of the RARF_Hub RDWG - WorkshopNovember 6, 2013

7 Objectives and Scope Out of Scope –Market Participant Registration –Verifiable Costs –NDCRC * Note that there is a related project which will focus on upgrading NMMS (IMM & PTC) that will run in parallel with this project RDWG - WorkshopNovember 6, 2013

8 Requirements Intro 1.Confirm Market Input to date 2.Requirements Workshop RDWG - WorkshopNovember 6, 2013

9 Market Participant Input Validation of data entry should be immediate wherever possible. Invalid data types or formatting should not be allowed. Errors should specify: required fields left blank, data type or formatting incorrect, data outside of acceptable range, rules not met (ex. Unit Start Date should be >= Site Start Date) Authorized users must be able to view resource asset registration data as of a specific date: –Data that is currently in use within the network data model and ERCOT systems. –Pending changes. –Past changes. RDWG - WorkshopNovember 6, 2013

10 Market Participant Input (continued) Authorized users must be able to view the status of change requests. Must be able to search and filter resource asset registration data. Access to data must be based on user role and authorization. Would like notification to resource owner, operator, and submitter of the date and content that a: change is submitted, additional information is required, change is approved, change is implemented. –Notification may be provided within the system interface or via or both. RDWG - WorkshopNovember 6, 2013

11 Market Participant Input (continued) Must be able to export data in an open, standardized format Must be able to save work in progress without submitting. Must have ability to resume saved work to complete & submit or discard at a later time. Existing data will be available in the new system (will not require re-submitting ) A change to the data content (the data required or its format) will not require all REs to re-submit all data. Only changed content should have to be addressed. RDWG - WorkshopNovember 6, 2013

12 Requirements Workshop: Objective Objective: Collect and discuss needs and wants for the new system & process that replaces the RARF spreadsheet I need the system to _______________ because _______________ I would like the system to _______________ because _______________ RDWG - WorkshopNovember 6, 2013

13 Requirements Workshop: Process ~Affinity Diagram~ Capture requirements on post-it notes or via WebEx chat or to: Sort requirements by category Discuss requirements by category RDWG - WorkshopNovember 6, 2013

14 Requirements Workshop: Categories Data entry & validation Status tracking & notification View & filter data Extract / Export / Report Security – data & system access Process Improvements Other RDWG - WorkshopNovember 6, 2013

15 Prioritization Now that we have a start on Market feedback/ requirements, the next step is prioritization –ERCOT will compile everything we’ve gathered today into a consolidated list and post to the meeting webpage –Between now and the Thanksgiving holiday, we ask that MPs review the requirements list and send ERCOT their priorities (one list per MP) –Priorities should be listed as 1 thru # (no duplicate #1,2,3,4, etc.) Can prioritize all requirements or just a subset MPs should also indicate if there are any requirements they would like to see eliminated RDWG - WorkshopNovember 6, 2013

16 Next Steps Next Steps (ERCOT Recommendation) –Meet again in early December to continue going through the remaining requirements (if needed) –If there are additional requirements, work those into the prioritized list –Finalized Market requirements will be reviewed at the January 2014 RDWG meeting –Note that ERCOT will be generating internal requirements in parallel, following the same timeline Meeting Title (optional)Date