3 rd Party Registration & Account Management SMT Update To AMWG May 22, 2014

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 3  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 Q –AMWG CR and AMWG CR –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 4  5 AMWG Change Requests Targeted for Delivery 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 Require Minimal Effort to Repurpose to the Market and are Zero Dollar Estimates –Minor Contract Revisions are Required with SMT Vendor to Publish These Existing Reports Externally to the Market. These Revisions will be Complete in Q  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 5 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 In Development Q 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 In Development Q Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Availability of SMT API In Development Q Included in Maintenance Contract AMWG CR – Reports for AMWG Data Monitoring – Availability of SMT FTPS In Development Q 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 In Development Q 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 6 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 Complete ( ) Q4 2013Completed AMWG CR – REP API for Energy Usage on SMT (Subscription for New Customer Historical Usage – “Interim”) See Below CR Permanent In Development 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 Report Formats AMWG CR , AMWG CR , AMWG CR , AMWG CR , AMWG CR

3 rd Party Registration & Account Management 8 Monthly SMT Data Timeliness AMWG CR End to End File Processing Completeness – Nov 2012 % Timely Market Delivery - # of files posted to market (FTPS) by 11:00pm out of # of files received by SMT by 11:00pm. % Portal Data Availability - # of files loaded to the database for data availability on portal by 6:00am next day for the files received by 11:00pm * A LSE file includes usage data for upto 50,000 ESIIDs. The master files are also considered for above metrics. (Note: the above times are observed times and there is no associated SLA obligation) Observed Anomalies: 11/04 - Received 118 files from CNP after 11 PM CST 11/12 - Received 77 files from TNMP after 11 PM CST 11/23,24,25 & 30 – Data loading issues at SMT

3 rd Party Registration & Account Management Help Desk Ticket Report Help Desk Period: mm/dd - mm/ddWeek MTD% Escalated Total Calls Total Tickets User Types TDSP REP Residential Non-Residential Ticket Types Meter Not Found Web Site Access Issues Information Registration HAN Provisioning Usage Reports TDSP Defects Reported Disconnects/Erroneous Friends and Family Web Site Access Issues Sub Categories Registration Error- /Browser Temp Password Not Working Username or Password Invalid Invalid Request Error Not Receiving Initial Temp Password Username Already Exists Website Down Average time to resolve a ticket Monthly SMT Help Desk Tickets AMWG CR

3 rd Party Registration & Account Management SMT API Monthly Availability Percentage SMT API AvailabilityJanuary FebruaryMarchAprilMayJuneJulyAugustSeptemberOctoberNovemberDecember Percentage Availability of SMT API AMWG CR

3 rd Party Registration & Account Management SMT FTPS Monthly Availability Percentage SMT FTPS AvailabilityJanuary FebruaryMarchAprilMayJuneJulyAugustSeptemberOctoberNovemberDecember Percentage Availability of SMT FTPS AMWG CR

3 rd Party Registration & Account Management SMT Number of Accounts by Type AMWG CR Registered UsersONCCNPAEPNAEPCTNMPTOTAL Residential Residential(EN) Residential(ES) TDSP User TDSP Admin NRC User NRC Admin IN SMT ESI IDs Meters HAN Devices Acknowledgement Pending Meter Ready Provisioned HAN Messages (MTD) HAN Messages (YTD) HAN Messages (Cumulative) Simple Text Messages Load Control Messages Pricing Messages Cancellation Messages Supplemental Total Agreements Accepted Agreements Pending Agreements Revoked Agreements Expired Agreements Terminated Agreements TDSPsREPs Small Business Regulatory Registered Entities Registered Users Registered Admins HAN Messages Sent By

3 rd Party Registration & Account Management Update on Approved AMWG Change Requests Under Development AMWG CR017 Interim Processes for Historical Backfill Requests and Subscription for New Customer History

3 rd Party Registration & Account Management 14 AMWG Change Request  Requirements outlined in Change Request approved by RMS –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) Delivered December 18, 2013 Fulfilled Multiple Requests to Date Plan to Re-Announce to Market with Subscription Functionality in May –Subscription for New Customer Enrollment Historical Usage -Ability for the REP of Record to subscribe to automatically receive a one-time report of historical interval usage data (up to 12 months) for customers/ESIIDs that are newly served by them (new enrollments) Solution is Fully Tested and Deployed to Production In Process of Developing Instructions and Request Form Target Rollout and Market Announcement in May

3 rd Party Registration & Account Management 15 Subscription For Automated New Enrollment Customer Historical Data 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 NEW CUSTOMER HISTORICAL DATA Request Date: Requestor Name: ROR Name: ROR User ID: 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 17 FTPS Access – ROR Customer New Enrollment History 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 Update on Approved AMWG Change Requests Under Development 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 19 API & FTP Access to Multiple Entities - Requirements  Ability for the RORs to allow API access for unlimited multiple entities in addition to retaining their own access, with appropriate approval mechanism.  Ability for the RORs to allow FTP access for multiple entities in addition to retaining their own access, with appropriate approval mechanism.  Background - –These multiple entities are typically Billing, EDI or Demand Response partners working on behalf of the REPs. –Currently only one entity can have access to API and FTP of one DUNS entity

3 rd Party Registration & Account Management 20 Solution Approach  API Access –Each entity uses its own security certificate –ROR creates a portal user (non-admin) for the new entity –SMT shares ROR’s API account access details to the new entity –SMT works with the new entity to configure and accomplish integration  FTPS Access –Each entity uses its own security certificate –SMT enables additional FTP access for the new entity on the existing FTPS account and shares the details –SMT works with the new entity to configure and accomplish integration –ROR has to share their PGP decryption key to new entity This is the least effort and less resource consuming alternative. The other option is to create a new FTP account for new entity with their own PGP key, however it will require the files to be processed twice and a duplicate copy of the files with separate encryption to be stored at FTPS which requires processing power as well as space. –SMT restricts DELETE permission to all FTP accounts, to avoid deletion of files by one entity while the other has not downloaded it. The deletion will be performed by SMT as per the 10 days retention rule. There will be minor storage impact to retain more files as the immediate deletion that some entities are doing currently will be stopped.

3 rd Party Registration & Account Management 21 Pre-Requisites from RORs / New Entities  API Access – Certification Authority (CA) signed security certificate – ROR to create a non-admin portal user under them  FTP Access –Certification Authority (CA) signed security certificate –ROR to share their PGP decryption key to new entity –SMT will restrict DELETE permissions on FTPS server, this may cause a few ROR’s FTPS scripts to fail/throw errors if they try to delete files after downloading. Those scripts need to be modified to avoid such errors.

3 rd Party Registration & Account Management 22 Request for Vendor API Access Contact SMT Help Desk by sending the request form* to to create a ticket Perform request information completeness validation SMT validates proper authorization. Send access authorization request to ROR admin, CC to SMT Operations Manager Authorized? 1 st Reminder (after 5 business days) 2 nd follow up by phone call / Operations Manager intervention Create non-admin portal user for the new entity under ROR account Share portal user information and new entity’s SSL security certificate to SMT SMT shares ROR’s API account access details to new entity SMT conducts initial configuration and troubleshooting session to complete integration START END YES No Valid Authorization or Missing Request Data ROR activity SMT activity 1-10 days 1-5 days 5-10 days Day 0 x days Business days from previous milestone After 10 days Close the ticket if no response received within 10 days after 2 reminders After 10 days No Authorization Received or Missing Request Form Data After 10 days END Authorization Received The SMT help desk can send the request form to the Requestor. The form will also be available for retrieval from the ERCOT AMWG website location.

3 rd Party Registration & Account Management 23 Request for Vendor FTP Access Contact SMT Help Desk by sending the request form* to to create a ticket Perform request information completeness validation SMT validates proper authorization. Send access authorization request to ROR admin, CC to SMT Operations Manager Authorized? 1 st Reminder (after 5 business days) 2 nd follow up by phone call / Operations Manager intervention Share PGP decryption key with new entity New entity shares SSL Security Certificate Enable additional access for new entity to existing FTPS of ROR SMT conducts initial configuration and troubleshooting session to complete integration START END YES ROR activity SMT activity 1-10 days 1-5 days 5-10 days Day 0 x days Business days from previous milestone After 10 days END Close the ticket if no response within 10 days after 2 reminders Authorization Received Add restrict DELETE permissions for existing FTPS of ROR files The SMT help desk can send the request form to the Requestor. The form will also be available for retrieval from the ERCOT AMWG website location. No Valid Authorization or Missing Request Data No Authorization Received or Missing Request Form Data

3 rd Party Registration & Account Management ROR REQUEST FORM FOR Vendor 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): Provider/Vendor Name: Vendor Company Name: Vendor Contact Details:

3 rd Party Registration & Account Management 25 FTPS Access - Multiple DUNS Scenario FTPS Folder and its contentRORPartner1Partner2Partner3 DUNS1 √ √ √ X DUNS2 √ X √ √ DUNS3 √ X √ X The access can be restricted at DUNS/folder level and content level. e.g. If a ROR want its partner to have access to only a subset of folders or only for specific type of content (i.e. interval usage LSE, adhoc reports, enrollment reports etc.) it can be provisioned accordingly.

3 rd Party Registration & Account Management SMT Security Authorization Validation Surrounding New Ad Hoc Processes Including: 1. Historical Backfill 2. Subscription for New Customer Enrollment 3. Vendor Access on Behalf of ROR to FTPs and API 4. ROR Acquisitions and Mergers 5. ROR Administrator Registration when No Authorized Administrators Exist

3 rd Party Registration & Account Management SMT Security Authorization Validation Surrounding New Ad Hoc Processes Historical Backfill and Subscription for New Customer Enrollment Security Validation Includes: 1.Validated request form information 2.DUNS match valid DUNS for requesting ROR on SMT FTPS folder

3 rd Party Registration & Account Management SMT Security Authorization Validation Surrounding New Ad Hoc Processes Vendor Access on Behalf of ROR to FTPS and / or API Security Validation Includes: 1.Validated help desk ticket request information 2.Acquire written approval from ROR 3.Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations) 4. Acquire written approval from vendor 5.Acquire credentials from ROR IT department

3 rd Party Registration & Account Management SMT Security Authorization Validation Surrounding New Ad Hoc Processes ROR Acquisitions and Mergers Security Validation Includes: 1.Validated help desk ticket request information 2.Verify Acquisition / Merger information from independent source (business announcement via web and TDSP Rep Relations 3.Acquire written approval from Acquiring / First Merging ROR 4.Acquire written approval from Acquisitioned / Second Merging ROR 5.Verify authors of Acquiring / Acquisitioned or Merging RORs written approvals are in good standing employment with ROR (human resources and TDSP Rep Relations) 6.Acquire credentials from ROR IT department

3 rd Party Registration & Account Management SMT Security Authorization Validation Surrounding New Ad Hoc Processes ROR Administrator Access Registration when No Authorized Administrators Exist Security Validation Includes: 1.Validated help desk ticket request information 2.Acquire written approval from ROR (resource other than the one requesting administrator access) 3.Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations) 4.Verify ROR Administrator is in good standing employment with ROR (human resources and TDSP Rep Relations)

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 32 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 33 SMTDO – Third Party Updates SMTDO Webinar Schedule May 23 rd – 10:00 – 11:00 a.m. June 20 th – 10:00 – 11:00 a.m.