1. January 28, 2008 DEWG DEWG Discussion Questions ERCOT

2. 2 Presentation Overview Extract Business Owners and Responsibilities Extract IT Support Services ERCOT Communication Services ERCOT Processes –Issue Identification –Issue Escalation –Issue Notification Process Improvement

3. 3 ERCOT Extract Business Owners Commercial Operations Data Integrity & Administration (CODIA) Market Operations Support System Operations Support

4. 4 DEWGJanuary 28, 2008 ERCOT Extract Business Owners Commercial Operations Data Integrity & Administration –Ensure data integrity and system synchronization for: Retail to Wholesale Settlements systems Commercial Systems to ODS Leadership –Betty Day, Director of Commercial Operations –Jackie Ashbaugh, Manager of CODIA Role –Perform analysis and create/execute action plan for data issues and extract issues with the appropriate groups. –Ensure Commercial Operations data extracts daily completion –Verify Commercial Operations data extracts integrity after extract creation is complete.

5. 5 ERCOT Extract Business Owners Market Operations Support –Provide technical support to the Market Operations group. Analysis and research of MP activities and data. –Ensure data results from Day-Ahead and Real-Time operation of the market and energy operating systems is captured for the associated market extract. Leadership –Joel Mickey, Director –Mark Patterson, Manager Role –Responsible for integrity of Market Operations data contained within the reports and extracts sourced from Operations data.

6. 6 ERCOT Extract Business Owners System Operations –Provide technical support to the System Operations group. Support for requirements of ERCOT Operation systems and MP activities and data. –Ensure data results from Real-Time operation of the Energy Management System meets the protocol requirements. Leadership –John Adams, Director of Operations –John Dumas, Supervisor, Engineering Support Role –Investigate and resolve issues with Operations extracts and reports. –Responsible for integrity of Operations data contained within the reports and extracts sourced from Operations systems.

7. 7 ERCOT Extract It Support Commercial Production Services Enterprise Information Services IT Operations & Infrastructure - EMMS

8. 8 DEWGJanuary 28, 2008 ERCOT Extract IT Support IT Commercial Production Services –IT Commercial Production Services provides support for retail and wholesale applications and processes. These include retail transaction processing, web-based application support (MarkeTrak), Lodestar and wholesale batch operations, digital certificate administration, and delivery of extracts and reports to the market Leadership –David Forfia, Director of Infrastructure and Operations –Christian Brennan, Manager of Commercial Production Services Role –Ensure successful operations of systems supported –Resolution of production issues up to a programmatic code change –Communication of in progress incident status to Client Services and Console Operations

9. 9 DEWGJanuary 28, 2008 ERCOT Extract IT Support IT Enterprise Information Services –The EIS department provides data archiving, business intelligence, decision support, and other data services –EIS fulfills ERCOT’s responsibility to store near real-time and historical information for data extraction, reporting, analysis, and decision support for market oversight by the PUCT and IMM, data delivery for market participants and their systems, and analysis by ERCOT Leadership –Lisa Petoskey, Director of Application Services –Shawna Jirasek, Manager of Enterprise Information Services Role –Develop extracts and reports –Provide level 3 support for extract and report incidents –Database architecture and administration of the data warehouse

10. 10 ERCOT Extract IT Support IT Operations & Infrastructure - EMMS –Provide technical support to the System Operations group. Analysis and research of ERCOT Operation systems and MP activities and data. –Ensure data results from Real-Time operation of energy management system is captured for the associated market extract. Leadership –David Forfia, Director of Infrastructure and Operations –Richard Howard, Manager EMMS Production Role –Investigate and resolve issues with Operations extracts and reports. –Responsible for integrity of Operations data contained within the reports and extracts sourced from Operations data.

11. 11 ERCOT Communications Services ERCOT Help Desk ERCOT Client Services

12. 12 DEWGJanuary 28, 2008 ERCOT External Communication Responsibilities ERCOT Help Desk –The main functions of Console Operations is system monitoring and first level incident management. In that capacity Console Operations serves as the primary point of contact for ERCOT internal employees and Market Participants for technology issues, commonly known as the ‘Helpdesk’. Leadership –David Forfia, Director of Infrastructure and Operations –Craig Rushing, Manager of Console Operations Role –Handles first level incident calls from market participants and communicates status as incidents progress –Monitors system alerts on a 7X24 basis –Implements system monitoring events –Dispatches Level 2 support when necessary

13. 13 DEWGJanuary 28, 2008 ERCOT External Communication Responsibilities Client Services –Manage the overall quality of business relationships between ERCOT and assigned Market Participants, ERCOT Retail Market, Wholesale Market and the PUCT staff. Leadership –Dale Goodman, Director of Market Services –Patrick Coon, Manager of Wholesale Client Services –Jack Adams, Manager of Retail Client Services Role –Collect information from Market Participants on issues, and advise Participants of ERCOT’s findings. –Draft Market Notices, collect and assimilate information from ERCOT Business owners and send communication to the Market as well as follow-up and resolution notices.

14. 14 ERCOT Processes Extract Issue Identification Processes Extract Escalation Process Market Notice Process

15. 15 ERCOT Extract Issue Identification Processes Issue Identification –ERCOT verification processes Daily checks are performed by CODIA, RCS, and Com-Ops for extracts. Verifications include checks for: –Batch process timing –Data replication –Interval data parsing –Data completeness –Extract completion –Extract posting –Issues may be identified by ERCOT or the Market. –Market Participants or ERCOT groups should contact the Help Desk for a HelpDesk ticket to be issued to appropriate department. ERCOT Client Services encourages Market Participants to also contact their appropriate Account Manager on any correspondence with the Help Desk and provide the help desk ticket number. Client Services will follow-up and ensure the HelpDesk ticket is being addressed. –Com-Ops is assigned HelpDesk tickets on missing extract and posting issues. –Business is assigned HelpDesk tickets on data issues identified within the extracts. –Client Services is advised on the details of the analysis which determines whether a market notice is initiated.

16. 16 ERCOT Extract Escalation Processes Escalation Procedures –Issue identification Reported to Help Desk ERCOT requests that issues identified by the Market be submitted to the Help desk with a copy being sent to Client Services Account Manager. –ERCOT business owner is notified by Help Desk. –Market Participants may request their Account Manager to escalate their help ticket. –Client Services escalates notification with Business Owner lead ( CODIA) to confirm issue is being addressed. –Client Services collaborates with Business Owners on details that determines whether a market notice is initiated. –Client Services follows up with Market Participant on status of their request for escalation.

17. 17 DEWGJanuary 28, 2008 ERCOT Market Notices Market Notice Preparation Process –ERCOT business owner initiates a request for a market notice (collaborating with other departments as needed). Client Services gathers supporting information and drafts the notice. Collaboration –All Market wide notices are sent for review and edits to ERCOT affected business owners and IT support for review requesting a response by a defined time. Once acknowledgement of the review and edits are received, Client Services sends the approved notice to applicable email distribution lists. Timing of Notices and Follow-up notices –Market notices are sent in compliance with the timing for Business processing failure notifications as outlined in the Commercial Operations Market Guide, Section 4 titled Market Notice Communication Process.

18. 18 DEWGJanuary 28, 2008 ERCOT – Process Improvement Process Improvement –ERCOT staff will continue to work with the Stakeholders to build a Service Level Agreement to manage expectations for data and provide ERCOT metrics for an internal performance baseline. –ERCOT will continue to assess the resources necessary to support all market data needs, improve collaboration between departments and identify new opportunities to implement automated processes.

19. 19 Questions