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Supporting materials for RMS

Provided by Retail Customer Choice (RCC) team

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Pro-Active Transaction Resolution Measures

867s Received on Cancelled Service Orders

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SituationERCOT periodically receives 867_03 Finals and 867_04s for service orders that are Cancelled in ERCOT systems. The Service Order Sub-Statuses that are considered Cancelled are: CR Requested, Customer Objection, ERCOT Operating Rule, Manual, Permit Not Received, 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

via the ERCOT PortalStep 2: The TDSPs review the report 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 MarkeTrak issue and work with ERCOT to get ERCOT systems changed to complete. Completion of cancelled 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 Cancelled Service Orders

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867s received on Cancelled Service Orders - 2008

Cancel Type Total Dec '08 Nov '08 Oct '08 Sept '08 Aug '08 July '08 June '08 May '08 Apr. '08 Mar. '08 Feb. '08 Jan. '08CR Requested 183 8 21 24 6 26 13 12 5 11 20 15 22Customer Objection 2 0 0 0 0 1 0 0 0 0 0 0 1ERCOT Operation Rule 8,307 414 575 704 708 1,267 791 753 754 552 435 737 617Manual 182 12 19 11 27 23 22 20 12 10 4 11 11Permit not received 58 0 4 9 16 11 1 4 2 3 2 4 2Rejected by TDSP 68 4 15 10 3 7 0 1 1 0 6 10 11Unexecutable 139 9 5 14 14 15 11 5 24 11 3 10 18W/Exception 11 0 0 0 1 1 0 4 3 1 0 1 0

Grand Total 8,950 447 639 772 775 1,351 838 799 801 588 470 788 682

TDSP Total Dec '08 Nov '08 Oct '08 Sept '08 Aug '08 July '08 June '08 May '08 Apr. '08 Mar. '08 Feb. '08 Jan. '08AEP 1,083 48 94 83 110 170 100 76 109 64 61 80 88CenterPoint 32 1 1 1 3 2 1 5 4 3 0 5 6ONCOR 7,741 394 542 683 651 1,158 726 705 676 514 408 700 584Sharyland 62 2 0 3 7 19 7 7 7 5 0 2 3TNMP 21 2 2 0 3 2 4 2 2 1 1 1 1Nueces 11 0 0 2 1 0 0 4 3 1 0 0 0WTU-TDSP 0 0 0 0 0 0 0 0 0 0 0 0 0Grand Total 8,950 447 639 772 775 1,351 838 799 801 588 470 788 682

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Pro-Active Transaction Resolution Measures

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 via the ERCOT Portal Stats Summary:

Missing 867 Report

09/30/2008Total

10/29/2008Total

11/30/2008Total

12/30/2008Total Dec '08 Nov '08 Oct '08 Sept '08 Aug '08 July '08

> 6 Months

AEP-C 106 115 151 147 127 15 1 1 3 0 0AEP-N 21 12 20 28 17 8 2 0 1 0 0AEP-N SPP 0 0 0 0 0 0 0 0 0 0 0Centerpoint 420 4,266 3,688 2,847 2,248 380 145 63 5 3 3Nueces Pilot TDSP 59 54 54 64 36 12 5 3 2 3 3ONCOR 1,654 1,529 1,215 3,005 2,209 227 172 92 97 108 100Sharyland 39 55 57 63 24 5 1 2 0 1 30TNMP 946 26 25 22 19 2 0 1 0 0 0WTU - SPP 0 0 0 0 0 0 0 0 0 0 0Total 3,245 6,057 5,210 6,176 4,680 649 326 162 108 115 136

Breakout of 12/30/2008 Data

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Missing 867 Report

4680

649326 162 108 115 1360

500100015002000250030003500400045005000

1 2 3 4 5 6 > 6

Months in the past

Co

un

t o

f M

iss

ing

86

7s

30-Jul

31-Aug

30-Sep

29-Oct

30-Nov

30-Dec

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MarkeTrak Issue Statistics

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Day to Day Issues - Summary

997 Issues 1883 37 62 8 3 0 0.00 10.15

Cancel With Approval 55936 4390 4100 4963 4455 2 1.69 2.57

Cancel Without Approval 180 8 10 21 8 0 1.85 3.06

Inadvertent Switch 21817 0 0 0 0 0 0.00 17.00

Inadvertent Losing 7778 1770 1486 1838 1627 232 21.04 19.50

Inadvertent Gaining 5551 1127 1153 1274 1261 111 22.49 22.44

Missing TXNs 13538 728 490 655 669 74 15.54 14.41

Other 2839 177 427 296 213 49 21.57 19.19

Reject TXNs 135 5 2 2 1 0 0.00 8.69

Rep of Record 286 34 27 18 17 3 24.52 33.19

Siebel CHG/Info 5002 478 348 338 383 58 10.24 9.53

Usage/Billing Issues 53434 28318 5218 3562 19168 2247 15.59 13.89Projects 14 0 0 3 1 0 0.00 0.00Total/Avg 168393 37072 13323 12978 27806 2776

Report Subtype

Total No. Submitted

Oct '08Total No. Submitted YTD

(Jan -Dec '08)

Total No. Submitted

Nov '08

Average Days Open YTD Jan - Dec '08 (closed

issues)

Average Days Open Dec '08

(closed issues)

Total No. Submitted

Dec '08

Total No. Closed Dec '08

Total No. Closed Outside

Benchmark of 28 Days

Dec '08

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Day To Day Issues: Subtype Descriptions

Inadvertent Gaining …CR has inadvertently gained (or is pending the gain) of an LSE Relationship to another CR in error.

Inadvertent Losing …CR has inadvertently lost (or is pending the loss) of an LSE Relationship to another CR in error.

Cancel w/Approval …CR/TDSP requesting cancellation of an initiating transaction in instances submitting an 814_08 would result in a rejection.

Cancel w/o Approval …TDSP requesting cancellation of an initiating transaction for market defined reasons that do not require approval from the CR.

Missing Transaction …CR/TDSP is missing any expected 814, 867_04 or 867_03 Final.

Usage/Billing Issues …CR/TDSP has questions pertaining to point-to-point transactions excluding the 867 Contingency Plan.

Reject Transactions …CR/TDSP has questions pertaining to rejected transactions or reject reasons.

REP of Record …CR/TDSP has questions pertaining to ERCOT LSE or TDSP LSE relationship histories.

Projects …CR/TDSP has issues pertaining to internal/market projects, system trouble, or related problems as defined by the submitter.

Siebel/Chg Info …CR/TDSP questioning a discrepancy pertaining to Siebel service order status changes and Start/Stop time issues when transactions are present in ERCOT systems.

997 Issues …CR/TDSP verification of a 997 sent/received.

Other …CR/TDSP has Day to Day issues that do not fit one of the Sub Types indicated above such as: Siebel/997 reports, CSA’s.

Issue Sub-Type: Submitted when…

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Inadvertent Gains - Detail by State

Pending Issue 0 2.0232 0.0000 0.0000 1.6053

New (Losing CR) 393 2.8969 2.7600 3.2590 3.0630

New (Gaining CR) 442 3.8763 3.2027 4.2670 3.4620

New (ERCOT) 0 0.1837 0.1706 0.0654 0.1226

New (TDSP) 56 0.7957 0.6095 0.7568 0.7227

In Progress (Losing CR) 55 0.5983 0.6466 0.8293 0.6714

In Progress (Gaining CR) 122 0.8035 0.7226 0.9997 0.8760

In Progress (ERCOT) 0 0.0174 0.0152 0.0111 0.0257

In Progress (TDSP) 89 0.7582 0.4773 0.4721 0.5160

New (Losing CR Submit) 213 3.6955 3.3932 3.9245 3.6451

In Progress (Submit Regaining) 17 0.3222 0.3041 0.2635 0.2515

Regaining Transaction Submitted (PC) 245 3.4480 2.7439 3.9619 3.4116

Invalid IAG 587 - - - -

Complete 29271 - - - -

Auto Complete 30989 - - - -

Closed by Submitter 1523 - - - -

Unexecutable (PC) 125 3.1171 2.8018 5.1342 3.7488

Closed - Inactive 125 - - - -

New 0 0.0000 0.0000 0.0000 4.0219

Vote 0 0.0000 0.0000 2.8201 4.1300

Agreement Reached (PC) 0 0.0000 0.0000 12.4922 9.7576

No Agreement Reached (PC) 0 0.0000 0.0000 6.3235 4.1875

Withdrawn 811 - - - -

Closed by ERCOT 145 0.0160 - - 0.0160Total/Avg 65208

State

Total No. Currently In State Snapshot as of

January 5, 2009Average Days in State YTD (Jan to Dec '08)

Average Days in State Nov '08

Average Days in State Dec '08

Average Days in State Oct '08

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Inadvertent Gain: State Description

State: State Details…

Pending Issue …Issue has not yet been submitted for consideration by the initiating party.

New (ERCOT) …Pending initial acknowledgement by an individual at ERCOT.

In Progress (ERCOT)

…ERCOT to provide necessary information to move the issue towards resolution including IAS data and assistance with market guidelines.

New (Gaining CR) …Pending either initial acknowledgement by the Gaining CR or returned to the Gaining CR for additional consideration.

In Progress (Gaining CR)

…Gaining CR to view and either agree with the IAG and move the issue toward resolution, or disagree with the IAG and provide reason for non-agreement.

New (Losing CR) …Pending either initial acknowledgement by the Losing CR or returned to the Losing CR for additional consideration.

In Progress (Losing CR)

…Losing CR to view and either agree with the IAG and move the issue toward resolution, or disagree with the IAG and provide reason for non-agreement.

New (TDSP) …Pending either initial acknowledgement by the TDSP or returned to the TDSP for additional consideration.

In Progress (TDSP) …TDSP to view and either agree with the IAG and move the issue toward resolution, or disagree with the IAG and return to the Submitting CR with reason for non-agreement or return to the Losing CR for additional service order information.

New (Losing CR Submit)

…Pending initial acknowledgement by the Losing CR after the TDSP has indicated they are ready to receive the regaining transaction.

In Progress (Submit Regaining)

…Losing CR to send the regaining transaction and provide details of that transaction including submit date, BGN 02, and transaction date, or to send the issue back to the TDSP for additional information.

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Inadvertent Gain: State Description Cont.

State: State Details…

Regaining Transaction Submitted (PC)

…Losing CR has indicated the Regaining Transaction has been sent. The issue will auto close once the order status for the Regaining Transaction has updated to Complete in ERCOT system and the MarkeTrak issue reflects the Complete status.

Withdrawn …Initiating MP has the option to remove the issue from consideration prior to acknowledgement by another MP.

Invalid IAG …ERCOT has performed initial validations and determined that the issue is invalid for one or more of the reject reasons as defined in the RMG Section 7.2.2.4.

Unexecutable (PC) …The Gaining CR or the Losing CR have indicated they are not in agreement with the IAG or that it cannot be resolved as submitted per Market guidelines. Barring updates, the issue will auto close in 2 weeks.

Complete …Closed state: Issue resolution accepted by submitting party from a state of Regaining Transaction Submitted (PC).

Auto Complete …Closed state: Regaining Transaction Status on issue has updated to Complete from the state of Regaining Transaction Status (PC), or the issue auto completes after 2 weeks with no update from a state of Unexecutable (PC).

Closed by ERCOT …Closed state: ERCOT Intervention required to remove visibility due primarily to proprietary information updated to issue.

Closed by Submitter …Closed state: Submitting party has the option to close the issue at any time that Withdraw is not available and the issue in not in a Complete state.

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Cancel With Approval - Detail by State

Cancelled (PC) 13 2.3 2.8 3.0 35.7In Progress 58 4.4 6.9 5.1 5.1In Progress (ERCOT) 0 0.1 0.2 0.2 2.8New 10 1.6 1.1 1.8 1.5New (ERCOT) 0 2.6 2.1 1.8 1.0Pending Issue 3 4.6 0.5 1.3 1.5Unable to Cancel (PC) 41 56.8 48.7 48.2 55.5Complete 83370 - - - -Auto Complete 27072 - - - -Withdrawn 984 - - - -Closed by ERCOT 80 - - - -Closed by Submitter 58 0.0 - 3.0 3.0

Total/Avg 111689

State

Total No. Currently In State - Snapshot as of

January 5, 2009Average Hours in State YTD

(Jan to Dec '08)Average Hours in

State Nov '08Average Hours in

State Dec '08Average Hours in

State Oct '08

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Cancel with Approval: State Description

State: State Details…

Pending Issue …Issue has not yet been submitted for consideration by the initiating party.

New …Pending either initial acknowledgement by an individual at the TDSP or returned to TDSP for additional consideration.

Withdrawn …Initiating MP has the option to remove the issue from consideration prior to acknowledgement by another MP.

In Progress …TDSP to provide ERCOT with agreement with cancel request or CR indication that request is already complete / unable to be completed.

New (ERCOT) …Pending acknowledgement by ERCOT

In Progress (ERCOT) …ERCOT to perform agreed upon cancels in the Registration System, request additional information or indicate that cancel cannot be performed .

Cancelled (PC) …All parties have indicated the requested service order has or will be cancelled. Barring updates the Issue will auto close in 2 weeks.

Unable to Cancel (PC) …Any party has indicated the issue is not a valid Cancel w Approval issue or cannot be cancelled. Barring updates the Issue will auto close in 2 weeks.

Complete …Closed state: Issue resolution Accepted by submitting party from a state of Agreement Reached (PC) or No Agreement Reached (PC).

Auto Complete …Closed state: No updates to issue for 2 weeks from a state of Agreement Reached (PC) or No Agreement Reached (PC).

Closed by ERCOT …Closed state: ERCOT Intervention required to remove visibility due primarily to proprietary information updated to issue.

Closed by Submitter …Closed state: Submitting party has the option to close the issue at any time that Withdraw is not available and the issue in not in a Complete state.

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DEV LSE Issues - Summary

LSE in MP sys not ERCOT: active

667 45 73 89 640 0 15.53LSE in MP sys not ERCOT: de-engz

1733 94 58 305 1684 1 16.51

LSE in ERCOT system not MP 9961 5687 223 87 7969 1 17.86

LSE date change: StartTime 2488 140 252 121 2434 0 17.29

LSE date change: StopTime 5545 996 363 311 5382 2 21.32

LSE date change: Start and Stop 396 32 32 29 390 1 16.15Total/Avg 20790 6994 1001 942 18499 5

Average Days Open YTD (Jan-Dec '08) Using

Closed Issues

Total No. Submitted

Dec '08Report Subtype

Total No. Submitted

Nov '08

Total No. Submitted

Oct '08Total No. Submitted YTD (Jan -Dec '08)

Total No. Closed YTD (Jan-Dec '08)

Total No. Open YTD Outside 75

Day Window (Jan - Dec '08)

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DEV LSE Issues: Subtype Descriptions

LSE in MP System not ERCOT: Active …MP systems show an Active LSE relationship not present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts.

LSE in MP System not ERCOT: Inactive …MP systems show an Inactive LSE relationship not present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts.

LSE in ERCOT System not MP …MP systems do not show an LSE relationship which is present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts.

LSE date change: Start Time

…MP systems show an LSE relationship present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts with a different initiation/enrollment date.

LSE date change: Stop Time

…MP systems show an LSE relationship present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts with a different end date.

LSE date change: Start and Stop Time

…MP systems show an LSE relationship present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts with a initiation/enrollment and end date.

Issue Sub-Type: Submitted when…