3 rd Party Registration & Account Management SMT Update To AMWG August 26, 2014

3 rd Party Registration & Account Management AMWG CR017 ROR Historical Usage Backfill Requests and ROR Subscription for Automated New Enrollment Customer Historical Usage Interim Solution Instructions

3 rd Party Registration & Account Management 3 AMWG Change Request  Requirements outlined in Change Request approved by RMS –ROR Backfill of Historical Usage Data for Existing Customers - Ability for the REP of Record to request a one-time retrieval of historical interval usage data (up to 12 months) for some or all of its existing customer base (backfill requests) –ROR Subscription for Automated New Enrollment Customer Historical Usage -Ability for the REP of Record to subscribe to automatically receive one-time reports of historical interval usage data (up to 12 months) for each customer/ESIID that is newly served by them (new enrollments)

3 rd Party Registration & Account Management ROR Historical Usage Backfill Requests Interim Solution

3 rd Party Registration & Account Management 5 Historical Usage Backfill Requests Interim Solution Submit: REP of Record requests a one-time report of historical usage data. The request may be for 15-minute interval usage data (up to 12 months), daily usage data (up to 12 months),or monthly usage data (up to 12 months). Input: ROR request form and a listing of requested ESIIDs for existing customers Output: Delivery format for 15-minute interval usage data: LSE or Delivery format for daily usage data: CSV or Delivery format for monthly usage: CSV

3 rd Party Registration & Account Management 6 Historical Usage Backfill Requests Interim Solution Process Steps 1.ROR contacts the Help-Desk via or phone to create a ticket for historical usage backfill report 2.ROR downloads the SMT historical usage backfill request form from AMWG or the SMT help desk sends the historical usage backfill request form to the ROR 3.ROR utilizes SMT request form to request historical backfill usage for existing customers to include following information: 1.DUNS No (may include more than 1 DUNS number) 2.Start & End date 3.Report Type (15 min interval or Daily or Monthly) 4.RORs include with the request form a list of ESIIDs in a separate CSV file 5.SMT will place the request in the ad hoc report request queue and will execute the job at the most optimized time e.g. after hours & weekends 6.SMT will place the historical usage report on the SMT FTPS site in the appropriate ROR folder 7.SMT will inform the ROR once the file has been placed on the SMT FTPS site 8.SMT will keep the file for 5 days on the SMT FTPS site and after those 5 days it will be deleted

3 rd Party Registration & Account Management ROR REQUEST FORM FOR HISTORICAL BACKFILL REPORT (EXISTING CUSTOMERS) Form May be ed to Request Date: Requestor Name: ROR Name: Requestor Address Requestor Phone Number(s) ROR User ID (Optional): ROR DUNS Number(s): ESIID(s): Bulk Report Type: Start Date: End Date: All ESIIDs List Attached

3 rd Party Registration & Account Management 8 Estimated Turnaround Time For Historical Usage Backfill Requests Interim Solution Updated 8/1/2014 Parameter Estimates for Interim Solution For 1,000 ESIIDs for 6 months of interval data – apprx days* For 100,000 ESIIDs for 6 months of interval data – apprx 2 weeks* Due to the SMT Infrastructure Refresh Project status, requests for over 6 months of historical backfill data will be processed only as resources become available and can potentially take many weeks to fulfill. * These are estimates only and actual will be dependent on the system load, other request, environmental constraints etc.

3 rd Party Registration & Account Management ROR Subscription for Automated New Enrollment Customer Historical Usage Interim Solution

3 rd Party Registration & Account Management 10 Subscription For Automated New Enrollment Customer Historical Usage Interim Solution SMT validates proper authorization of the request START. ROR activity SMT activity 1-10 days Day 0 x days Business days from previous milestone Create the change ticket for bulk report and attach that authorization as a reference Close the Help Desk tickets END 1-2 days Send notification to ROR to confirm subscription for new customer enrollment history is ready to be enabled After confirmation receipt back from ROR new customer enrollment history files will flow to the ROR FTP site daily. 1 day Day 0 SMT performs validation of requested information SMT Help desk creates a ticket and assigns it to SMT Maintenance team ROR contacts the SMT Help-Desk by phone or via to create a ticket to subscribe for automated new customer enrollment historical usage The SMT help desk sends the subscription request form to the ROR. The form will also be available for retrieval from the ERCOT AMWG website location. The ROR fills in the request form and returns to the SMT Help Desk Create the change ticket for bulk report and attach that authorization as a reference Create the SMT change ticket to initiate the Subscription for the New Customer Enrollment report and attach proper authorization. 1 day Day 0 No Authorization Received or Requested Information Missing END Close the ticket if no response within 10 days after 2 reminders 1 st Reminder communication (after 5 business days) 2 nd Reminder follow up communication (after 5 business days) Authorized? YES NO Enable Enrollment Report Job for ROR requested DUNs 1-3 days

3 rd Party Registration & Account Management ROR REQUEST FORM SUBSCRIPTION FOR AUTOMATED NEW ENROLLMENT CUSTOMER HISTORICAL USAGE Request Date: Requestor Name: ROR Name: ROR User ID (Optional): ROR DUNS Number(s): Report Type: Number of Months of History Requested for Each New Customer: 6 months 12 months

3 rd Party Registration & Account Management 12 FTPS Access – ROR New Enrollment Customer Historical Usage FTPS Folder and its contentRORPartner1Partner2Partner3 DUNS1 √ √ √ X DUNS2 √ X √ √ DUNS3 √ X √ X The new customer enrollment historical information will be placed in a separate file under each DUNS number. The files will be held for 10 days prior to deletion There can be up to 100 records in a file File naming conventions: EnrollmentReport_MonthlyMeterUsage_ DATETIME.CSV.FileNUM.REPDUNSN umber EnrollmentReport_DailyMeterUsage_D ATETIME.CSV.FILENUM.REPDUNSNU MBER EnrollmentReport_IntervalMeterUsage_ DATETIME.LSE.FILENUM.REPDUSNN UMBER

3 rd Party Registration & Account Management Status Update of AMWG Change Requests Approved by Retail Market Subcommittee (RMS)

3 rd Party Registration & Account Management Status of AMWG Change Requests 14  17 Total AMWG Change Requests  3 AMWG Change Requests in Delivery for Q with Third Party –AMWG CR , AMWG CR , and AMWG CR –The SMT Usability Study Conducted in 2013 Identified Enhancements Approved for Implementation to SMT –These 3 AMWG Change Requests are Covered by the Approved Enhancements from the Usability Study and Were Already Targeted to be Delivered with Third Party  2 AMWG Change Requests Targeted for Delivery Q2/Q –AMWG CR – Q and AMWG CR – Delivered Q –These 2 AMWG Change Requests were Already Covered by Efforts in Progress by SMT to Relieve Market Requests Causing Significant Challenges to SMT Help Desk Ticket Volume, SMT Maintenance Backlog, and Infrastructure Resource Utilization

3 rd Party Registration & Account Management Status of AMWG Change Requests 15  5 AMWG Change Requests Delivered in Q –AMWG CR , AMWG CR , AMWG CR , AMWG CR , and AMWG CR –These 5 AMWG Change Requests are Covered by Reports Already Existing in Place Internally to the SMT Joint TDSPs. –These Required Minimal Effort to Repurpose to the Market and are Zero Dollar Estimates –Minor Contract Revisions were Required with SMT Vendor to Publish These Existing Reports Externally to the Market.  7 AMWG Change Requests in Process for SMT Joint TDSP Estimation Process Step –AMWG CR , AMWG CR , AMWG CR , AMWG CR , AMWG CR , AMWG CR , and AMWG CR –These 7 AMWG Change Requests are all New Requirements requiring New Development and will be in Process of Estimation with the SMT Joint TDSPs as Resources are Available in 2014

3 rd Party Registration & Account Management 16 AMWG Change Request AMWG CR Document Status Estimated Delivery Date Estimated Cost AMWG CR – Report for AMWG Data Monitoring – Data Completeness Measurements JDOA Estimation 2015In Process AMWG CR – Reports for AMWG Data Monitoring – Data Timeliness Measurements CompleteQ Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Measurement of Percentage of Actual Meter Reads JDOA Estimation 2015In Process AMWG CR – Reports for AMWG Data Monitoring – Measurement of Estimates JDOA Estimation 2015In Process AMWG CR – Reports for AMWG Data Monitoring – Number of SMT Help Desk Tickets Monthly by Ticket Type CompleteQ Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Availability of SMT API CompleteQ Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Availability of SMT FTPS CompleteQ Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Average Time to Deliver HAN Messages JDOA Estimation 2015In Process AMWG CR – Reports for AMWG Data Monitoring – Number of Accounts by Type CompleteQ Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Number of Reports Requested by GUI (Portal) and Number of FTPS Accesses JDOA Estimation 2015In Process AMWG / RMS Change Requests

3 rd Party Registration & Account Management 17 AMWG Change Request AMWG CR DocumentStatusEstimated Delivery Date Estimated Cost AMWG CR – Average Time from HAN Provision Request to Meter Ready Status JDOA Estimation 2015In Process AMWG CR – Bypass redundant screen for Users with only one meter when accessing HAN device information In Development Q Included in Third-Party AMWG CR – Timeout on SMT takes user to “incorrect login” screen In Development Q Included in Third-Party AMWG CR – Allow SMT user to toggle between 15-Minute Reads and Daily Reads without having to reset the date range In Development Q Included in Third-Party AMWG CR – Expand Daily Usage Graph to show 35 days of daily usage on the SMT GUI JDOA Estimation 2015In Process AMWG CR – Capability for RORs to grant access to vendors on their behalf to the ROR’s customers via API (energy usage, HAN messaging, and HAN provisioning) and FTPS files In Development Q Included in Maintenance Contract AMWG CR – REP API for Energy Usage on SMT (Backfill of Historical Usage Data for Existing Customers- “Interim”) See Below CR Permanent Completed Interim Q4 2013Completed AMWG CR – REP API for Energy Usage on SMT (Subscription for New Customer Historical Usage – “Interim”) See Below CR Permanent Completed Interim Q Included in Maintenance Contract AMWG CR – REP API for Energy Usage on SMT – Permanent Solution to Replace Interim Solution JDOA Estimation 2015In Process AMWG / RMS Change Requests (Cont.)

3 rd Party Registration & Account Management Update on AMWG CR016 Capability for RORs to Grant Access to SMT APIs and SMT FTPS to Vendors on Their Behalf

3 rd Party Registration & Account Management ROR REQUEST FORM FOR VENDOR ON BEHALF API & FTP ACCESS Request Date: ROR Requestor Name: ROR Entity Name: ROR Primary technical contact( name, id and phone number) ROR Secondary technical contact (name, e- mail id and phone number) ROR Authorization Contact: (name, id and phone number) ROR DUNS Number(s): ACCESS TYPE (API and/or FTPS if FTPS include files) FOLDERS GRANTED ACCESS Provider/Vendor Name: Vendor Company Name: Vendor Contact Details: LSE Interval Data Ad Hoc Usage Reports HAN Historical Backfill Subscription New Customer

3 rd Party Registration & Account Management SMT Change Request Discussion

3 rd Party Registration & Account Management Update on SMT’s 3 rd Party Access System Development

3 rd Party Registration & Account Management Third-Party Security Independent Review 1 st Quarter2 nd Quarter rd Quarter4 th Quarter 2014 Third-Party Customer Experience Review SMT Customer Experience Changes Third-Party Technical Design & Development Security Validation Additional Solution Requirements Third-Party Solution SIT and UAT Testing Third-Party Implementation Project Schedule 22 Third-Party Design AMIT / SMT DO Third-Party Volunteer Testers Technical Integration Sessions and Testing Security Validation SMT Design Assessment Legend Completed In Process Future Task 1 st Quarter2 nd Quarter3 rd Quarter4 th Quarter Third-Party Market Integration / Instruction Webinars

3 rd Party Registration & Account Management Review Monthly SMT Reports to AMWG Data Through July 2014