Transaction or Issue Clean Up

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Transaction or Issue Clean Up

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Customer Protection and 814_08 Issue

(Phase 2 – Potentially Late 08s)

• Background • Completed Items• Next Steps

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BackgroundUpon 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 01-14-04 RMS meeting for MPs to honor the cancellation• ERCOT created 30 FasTrak issues on 1-30-04 connecting both CRs and notified

the TDSP and CRs via email of the RMS directive and the FasTrak issue• 22 FasTrak Issues closed by CRs accounting for 74 Service Orders

Customer Protection Period and 814.08 (Phase 2 – Potentially Late 08s)

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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 email 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 814.08 (Phase 2 – Potentially Late 08s)

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Linked-Address Issue

Multiple ESI IDs Linked to a Single Service Address Record

• Background • Counts Matrix• Completed Items• Next Steps

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BackgroundOn 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 2001. 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)

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TDSP Quantity Breakdown

Linked-Service Address (Multiple ESI Ids Linked to a Single Service Address Record)

TDSP# ESIID Effected

Address Mismatch

AEP TEXAS CENTRAL 196,188 55,878

AEP TEXAS NORTH 68,547 12,041

CENTERPOINT 101,713 28,061

ONCOR 166,258 32,047

TEXAS-NEW MEXICO 45,033 10,104

ERCOT TOTAL 577,739 138,131

ENTERGY GULF STATES 105,185

SOUTHWESTERN PUBLIC SERVICE 102,503

SWEPCO 77,346

WEST TEXAS UTILITIES SPP 3,748

Non-ERCOT TOTAL 288,782

Grand TOTAL 866,521

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ERCOT Data on Mismatched Addresses ESI IDs


TDSP Counts ActiveDe-

energizedInactive(Retired)

Resi-dential

SmallNon-Res.

LargeNon-Res

AEP TEXAS CENTRAL 55,878 48,953 5,957 968 30,778 25,068 32

AEP TEXAS NORTH 12,041 9,940 1,953 148 4,994 7,015 32

CENTERPOINT 28,061 24,327 3,732 2 15,634 12,421 6

ONCOR 32,047 29,681 2,360 6 21,814 10,183 49

TEXAS-NEW MEXICO 10,104 9,199 866 39 6,990 3,104 10

ERCOT TOTAL 138,131 122,100 14,868 1,163 80,210 57,791 129

ERCOT Status Breakdown

ERCOT Premise Type Breakdown

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ERCOT Transaction Analysis on Mismatched Address Lists


TDSPAddress

Mismatch Counts% of

Mismatch Counts% of

Mismatch

AEP TEXAS CENTRAL 55,878 16,273 29.1% 8,565 15.3%

AEP TEXAS NORTH 12,041 2,966 24.6% 1,730 14.4%

CENTERPOINT 28,061 7,166 25.5% 3,392 12.1%

ONCOR 32,047 6,008 18.7% 4,752 14.8%

TEXAS-NEW MEXICO 10,104 1,645 16.3% 525 5.2%

ERCOT TOTAL 138,131 34,058 24.7% 18,964 13.7%

Transaction Activity(of any type)

Transaction Activity (Excluding AREP)

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ERCOT Analysis of Mismatched Addresses with non-AREP Activity


TransactionActivity

(ExcludingAREP)

TDSP Counts ActiveDe-

energizedInactive(Retired)

Resi-dential

SmallNon-Res.

LargeNon-Res

AEP TEXAS CENTRAL 8,565 8,301 208 56 2,954 5,584 27

AEP TEXAS NORTH 1,730 1,669 52 9 460 1,256 14

CENTERPOINT 3,392 3,263 128 1 1,349 2,041 2

ONCOR 4,752 4,395 355 2 3,076 1,644 32

TEXAS-NEW MEXICO 525 506 19 0 327 195 3

ERCOT TOTAL 18,964 18,134 762 68 8,166 10,720 78

ERCOT Status Breakdown

ERCOT Premise Type Breakdown

ESI ID being analyzed by CRs for Potential Inadvertents

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Completed Items3/8/04 - Information released to the Market during Retail Market Call3/9/04 - Initial conference call with TDSPs to discuss issue and proposed process3/10/04 - Retail Market Call additional information3/12/04 - ERCOT provided TDSPs a list of all ESI IDs with linked-addresses3/16/04 - Follow-up conference call with TDSPs to discuss process further

- ERCOT had ad-hoc discussions with CRs3/17/04 - 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 results4/7/04 - 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 retrieval4/12/04 - 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


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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


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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


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Notes: • 7 CRs reported Potential Inadvertents requiring additional analysis• CR Dates for Final Analysis range from May 12 to June 30

AEPC AEPN CNP ONCOR TNMP Total8,301 1,669 3,263 4,395 506 18,134

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9

7,873 1,562 3,084 4,350 498 17,367

1,888 186 338 377 215 3,004

24.0% 11.9% 11.0% 8.7% 43.2% 17.3%

0.5206%

Potential Inadvertent % (PI/ROR Qty)

Potential Inadvertant as % of 577K Linked address issue

CR Response summary as of 05-12-04 @ 9:00 AM CST

Total Original counts sent

Number of CRs respondingNo Response

Original counts from CR who have responded.

Potential Inadvertent issues defined by CRs responding

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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 10-14

• 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


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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


Parking Lot Item

1. Is there a way to make addresses unique?

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Missing 867 Report Summary

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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

3/3/04Total

3/31/04Total

4/28/04Total

April'04

Mar'04

Feb'04

Jan'04

Dec'03

Nov'03

> 6 Months

AEP TX Central 2,256 2,024 1,089 714 245 66 30 17 6 11

AEP TX North 231 302 97 79 10 4 3 0 0 1

Centerpoint 891 684 550 463 62 9 4 4 2 6

Oncor 4,210 3,477 2,068 1,046 399 134 106 77 61 245

Sharyland 29 50 23 10 3 3 3 2 1 1

Texas New Mexico 534 447 213 92 40 33 11 9 6 22WTU - SPP 10 7 0 0 0 0 0 0 0 0Total 8,161 6,991 4,040 2,404 759 249 157 109 76 286

Breakout of 4/28/04 Data

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Missing 867 Report

0

1,000

2,000

3,000

4,000

5,000

6,000

1 2 3 4 5 6 > 6

Months in the past

Co

un

t o

f M

iss

ing

86

7s

3-Mar

31-Mar

28-Apr

20

Missing 867 Report

0

1,000

2,000

3,000

4,000

5,000

6,000

Apr-0

4

Mar

-04

Feb-0

4

Jan-

04

Dec-0

3

Nov-0

3

Oct-

03

Sep-0

3

>6 m

onth

s

Month

Co

un

t o

f M

issi

ng

867

s

3-Mar

31-Mar

28-Apr

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Pro-Active Transaction Resolution Measures

867s Received on Canceled Service Orders

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SituationERCOT 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 PortalStep 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 requiredb) 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

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Cancel Type TotalCancelled 522Customer Request 88Customer Objection 461Permit Not Received 254Cancelled w/ Exception 54Rejected by TDSP 130Unexecutable 186Grand Total 1,695

April 30, 2004 Status• Issues on FasTrak from 11/7/03 through 4/23/04• Issues to Portal Report starting 4/30/04

TDSP Total

Cancelledby TDSP(In-Sync)

Completedby TDSP

(Out-of-Sync)

Awaiting TDSP

ResponseAEP 263 57 200 6CenterPoint 453 297 129 27ONCOR 498 220 177 101Sharyland 42 1 39 2TNMP 410 398 9 3Grand Total 1,666 973 554 139

April 30, 2004 Status

Includes only data submitted via

FasTrak 11/7/03 through 4/23/04

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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

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Thank You

Documents

Transaction or Issue Clean Up