3 rd Party Registration & Account Management SMT Update To AMWG Status February 24, 2014

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

3 rd Party Registration & Account Management 3 AMWG Change Request  Requirements outlined in Change Request approved by RMS –Backfill of Historical Usage Data for Existing Customers – delivered Dec 18 th 2013 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) –Subscription for New Customer Historical Usage – in process for delivery Q 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)

3 rd Party Registration & Account Management Review and Clarify Long Term Permanent Solution Requirements for AMWG Change Requests

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

3 rd Party Registration & Account Management 6 AMWG Change Request AMWG CR Document Status Estimated Delivery Date Estimated Cost AMWG CR – Report for AMWG Data Monitoring – Data Completeness Measurements JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Data Timeliness Measurements JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Measurement of Percentage of Actual Meter Reads JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Measurement of Estimates JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Number of SMT Help Desk Tickets Monthly by Ticket Type JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Availability of SMT API JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Availability of SMT FTPS JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Average Time to Deliver HAN Messages JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Number of Accounts by Type JDOA Estimation In Process AMWG CR – Reports for AMWG Data Monitoring – Number of Reports Requested by GUI (Portal) and Number of FTPS Accesses JDOA Estimation In Process AMWG / RMS Change Requests Added Column for Actual Embedded Document Link

3 rd Party Registration & Account Management 7 AMWG Change Request AMWG CR DocumentStatusEstimated Delivery Date Estimated Cost AMWG CR – Average Time from HAN Provision Request to Meter Ready Status JDOA Estimation In Process AMWG CR – Bypass redundant screen for Users with only one meter when accessing HAN device information Development2014 Included in Third-Party AMWG CR – Timeout on SMT takes user to “incorrect login” screen Development2014 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 Development2014 Included in Third-Party AMWG CR – Expand Daily Usage Graph to show 35 days of daily usage on the SMT GUI JDOA Estimation In 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 DevelopmentQ In Development Ready for AMWG Design Review 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 DevelopmentQ1 2014In Development AMWG CR – REP API for Energy Usage on SMT – Permanent Solution to Replace Interim Solution JDOA Estimation In Process AMWG / RMS Change Requests (Cont.)

3 rd Party Registration & Account Management AMWG Change Request 016 Capability for RORs to Grant Access to SMT APIs and SMT FTPS to Vendors on Their Behalf

3 rd Party Registration & Account Management 9 API & FTP Access to Multiple Entities - Requirements  Ability for the REPs to allow API access for unlimited multiple entities in addition to retaining their own access, with appropriate approval mechanism.  Ability for the REPs 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 10 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 11 Request and Provisioning Process – API Access Raise request by sending the request form* to Perform request information completeness validation 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 * Note: API access request form will be shared by SMT to Market. Suggested form attached at the end of this presentation. ROR activity SMT activity 1-10 days 5-10 days 1-5 days 5-10 days Day 0 x days Business days from previous milestone

3 rd Party Registration & Account Management 12 Request and Provisioning Process – FTP Access Raise request by sending the request form* to Perform request information completeness validation 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 NO * Note: FTP access request form will be shared by SMT to Market. Suggested form attached at the end of this presentation. ROR activity SMT activity 1-10 days 5-10 days 1-5 days 5-10 days Day 0 x days Business days from previous milestone

3 rd Party Registration & Account Management 13 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 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 Testing Third-Party Implementation Project Schedule 15 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 16 SMTDO – Third Party Updates SMT DO Webinar Schedule February 28 th – 10:00 – 11:00 a.m. March 21 st – 10:00 – 11:00 a.m. April 25 th – 10:00 – 11:00 a.m. May 23 rd – 10:00 – 11:00 a.m. June 20 th – 10:00 – 11:00 a.m.