ERCOT MARKET NOTICE PROCESS CCWG Workshop April 3, 2007

2007 Market Notice Communications Agenda Review and Discussion Points Scope Definition of Terms Planned Release Planned Maintenance Discovery of Retail Transaction Business Processing Failures Transaction Business Processing Failures Outage during Business Hours Outage during Non-Business Hours Identification and Tracking of Notices Notification Distribution lists

Scope ERCOT Client Relations Notification Process From time to time ERCOT Client Relations will need to communicate information to the Market via notifications for scheduled release’s, planned and unplanned service outages, business processing failures and other general information. The following outlines the definition of terms used in the different notice templates which provide information on the timing, phases, content and distribution lists used for the various notices.

Definition of Terms 1.Planned Scheduled Release = 2 nd weekend of each month – 12:00 pm Saturday until 12:00 am Monday (36 hours) as defined by the Retail Transaction Processing Service Availability Document, located on Planned Maintenance Outage = 1 st, 3 rd, 4 th Sunday of each month – 8:00 am until 8:00 pm (12 hours) as defined by the Retail Transaction Processing Service Availability Document, located on 3.Unplanned Outage / Business Processing Failures. Outage during Business Hours Outage during Non-Business Hours 4.All notification timing refers to calendar days, unless specified as Business Days. 5.Phases of Notification. Initial notification (may contain only minimal content which is defined as the service that is not available and the time the issue was identified). Follow-up notification may have multiple updates depending on duration of issue and will contain progress reports and impacts. Completion notices will provide timing for the end of the event but may not contain root cause analysis or actions taken to restore service. 6.Escalation of notices will be based on duration of outage and cross-system impact defined in templates. 7.Notice Content is dependent on the phase of the notice, duration and complexity of the issue. Minimal content may only include the service that is unavailable and the time the issue was identified. Standard content will provide start and stop times for the issue, actions taken to resolve the issue or progress of the service restoration and follow-up information if needed. 8.Distribution lists for notifications are listed in appendix A and can be accessed at (

Planned Release Notice Template Timing of Market NotificationPhases of NoticeNotice ContentListserv Planned Release 30 Days Prior to Release I – Initial General Market Notification Standard Content + Background Material Distribution lists and Primary and Secondary contacts 10 Days Prior to ReleaseII –Follow-UpSame as Previous 1 Day Prior to ReleaseII –Follow-UpSame as Previous End of Event ASAPIII – FinalCompletionSame as Previous

Planned Maintenance Notice Template Timing of Market NotificationPhases of NoticeNotice ContentListserv Planned Maintenance Target 3 Days Prior to Maintenance I – Initial General Market Notification Standard Content + Background Material Distribution lists and Primary and Secondary contacts Target 1 Day Prior to MaintenanceII –Follow-UpSame as Previous End of Event ASAPIII – FinalCompletionSame as Previous

2007 Market Notice Process Discovery of Transaction Business Processing Failures –How does ERCOT discover issues? ERCOT Commercial Operations –Alarms and alerts –Timing ERCOT Business Owners –Analysis –Timing Market Participant Contact –Account Manager contact –Helpdesk –When do we notify you? In accordance with the proposed templates and as soon as it is reasonably possible after Client Services has knowledge of the event. Unknown processing issues may not surface to anyone’s attention for long periods of time.

Business Processing Failures Notice Template Timing of Market Notification Phases of NoticeEscalationNotice ContentListserv Business Processing Failures(Upon implementation of SCR 748, ERCOT logs outage and post instance to webpage.) DELETE THIS SECTION Business Day 1 ASAP I – Initial General Market NotificationNoneMinimal Distribution lists and Primary and Secondary contacts By COB Day 2 at LatestI –Follow-UpNone Standard content + applicable MP spreadsheets as available Same as previous + Market Participant Specific End of Event Occurring before Escalation beginsIV – FinalNone Normal Processing /Root Cause Same as previous + Market Participant Specific By COB Day 3II – Follow-UpYes Same as previous + updates Same as previous + Subcommittees + TAC + Market Participant Specific By COB Day 4II - Follow-UpYes Same as previous + updatesSame as previous + Business Day 5 and beyondIII –Follow-UpNone Market Participant Specific Market Participant Specific End of EventIV – FinalYes Normal Processing /Root Cause Same as last General + escalation Lists if required

Outage During Business Hours (slide 1) Notice Template Duration of Outage Timing of Market Notification Phases of NoticeEscalationNotice ContentListserv Outage During Business Hours> 30 minutesUpon implementation of SCR 748, ERCOT logs outage and post instance to webpage. Business Day 1 ASAP after notification I – Initial NotificationNoneMinimal Distribution lists and Primary and Secondary contacts By COB Day 1II - Follow-UpNoneStandard contentSame as previous Business Day 2 by 9 amII – Follow-UpNone Same as previous + updatesSame as previous ASAP After RestorationIII – Pre-Final Same as last message sentMinimal Same as last message sent. End of OutageIII – FinalNoneService restored Same as last message sent. By COB Day 2 II – Follow-Up and Initiate Daily Conference Calls to begin on Day 3Yes Same as previous + conference call information Same as previous + Subcommittees + TAC Business Day 3 by 9 amII - Follow-UpYesSame as previous By COB Day 3II - Follow-UpYesSame as previous End of OutageIII – Final Same as last message sentService restored Same as last message sent.

Outage During Business Hours (slide 2) End of Outage + 7 Calendar Days IV –Mitigation Action Subcommittee Update Same as previous + mitigation actions; additional follow-up communications Appropriate Committees End of Outage + Reasonable Time for Completion of Root Cause Analysis not to exceed 45 days without at least an interim report. IV – Lessons Learned & Mitigation Action Subcommittee Update Same as previous + lessons learned and mitigation actions; additional follow-up communications Appropriate Committees

Outage During Non-Business Hours (slide 1) Notice Template Duration of Outage Timing of Market Notification Phases of NoticeEscalationNotice ContentListserv Outage During Non- Business Hours (5pm to 8 am, weekends, and ERCOT holidays) > 30 minutes Upon implementation of SCR 748, ERCOT logs outage and post instance to webpage. If ERCOT IT, Business, Client Services determines a weekend/holiday non-business hour event to be of major significance, initial market notices will be sent ASAP with follow-up notifications as necessary. Business Day 1 by 9 am I – Initial NotificationNoneMinimal Distribution lists and Primary and Secondary contacts Business Day 1- If Outage Restoration complete by 9 am, then by NOON I – Initial Notification and FinalNoneStandard contentSame as previous By COB Day 1II - Follow-UpNoneStandard contentSame as previous Business Day 2 by 9 amII – Follow-UpNone Same as previous + updatesSame as previous ASAP After RestorationIII – Pre-Final Same as last message sentMinimal Same as last message sent. End of OutageIII – FinalNoneService restored Same as last message sent.

Outage During Non-Business Hours (slide 2) By COB Day 2 II – Follow-Up and Initiate Daily Conference Calls to begin on Day 3Yes Same as previous + conference call information Same as previous + Subcommittees + TAC Business Day 3 by 9 amII - Follow-UpYesSame as previous By COB Day 3II - Follow-UpYesSame as previous End of OutageIII – Final Same as last message sentService restored Same as last message sent. End of Outage + 7 Calendar Days IV –Mitigation Action Sub- committee Update Same as previous + mitigation actions; additional follow-up communications Appropriate Committees End of Outage + Time for Completion of Root Cause Analysis not to exceed 45 days without at least an interim report. IV – Lessons Learned & Mitigation Action Sub- committee Update Same as previous + lessons learned and mitigation actions; additional follow-up communications Appropriate Committees

2007 Notice Communications Tracking Market Notice Tracking Codes –Code each notice with a prefix W = Wholesale R = Retail M = Market-Wide –Code Each notice with a unique identifier A = First topic notice of a day B = Second topic notice, so forth –Code each notice with the notice date –Code each notice with a sequence number 01, 02, 03, etc –Example R-A

2007 Notice Communications Tracking Market Notice Tracking Codes –First topic Retail notice on February 27, 2007 Initial Notice –R-A Follow-up same day –R-A Follow-up next day –R-A –Second topic Retail notice on February 27, 2007 Initial Notice –R-B –Market-Wide and Wholesale Notice on February 27, 2007 Initial Notice –M-A –W-A

2007 Notice Communications Tracking

Notification Subscription Lists Distribution List Nam ing List NameList Description Notices of a general nature intended for distribution to the ERCOT Market, but not applicable to any other specific mailing list. System Outages/Releases/T esting – Wholesale s.ercot.com Notices concerning system outages or upgrade releases and testing that affect Wholesale Market functions. System Outages/Releases – Retail ot.com Notices concerning system outages or upgrade releases that affect Retail Market functions. Testing - Retail ot.com Distribution list for information regarding Market Participant testing with respect to Retail Test Flights and Retail Systems Testing. Retail Processing ercot.com Notices concerning the processing of retail transactions. Operations Notices concerning Power Operations and technical issues at ERCOT Extracts - Wholesale Notices of interest to any Wholesale parties utilizing Data Extracts and reports, including procedures, postings or changes.

Notification Subscription Lists Continued Extracts -Retail ot.com Notices of interest to any Retail parties utilizing Data Extracts and reports, including procedures, postings or changes. Legal Notification ercot.comNotices to the ERCOT Market of a legal nature concerning Transmission Congestion Rights. PRR/SCR om Notices of System Change that include the implementation of Protocol Revision Requests or System Change Requests. Settlements – Public Notices concerning the Wholesale Settlements issued by ERCOT that are public in nature. Contracts/RFP Notices of Requests for Proposal and Requests for Information that are issued by ERCOT and contracted services such as Reliability Must Run and Black Start. Market and Power Operations Distribution list for Market Operations Bulletins, Power Operations Bulletins. Distribution list for notices of ERCOT provided training events.

ERCOT’s Additional Notification Lists Matrix External Mailing ListInternal Mailing List Notices sent to these lists…..….will also be sent to these ERCOT maintained lists GeneralEntire Mail Container - If Necessary System Outages/Releases/Testing – Wholesale QSE Project Managers, QSE Primary Contacts as necessary System Outages/Releases – RetailRMC, CRPC, TDSPPC Testing - Retail RMC, CRPC, TDSPPC, TTPT, (Entire Mail Container as necessary) Retail ProcessingRMC, CRPC, TDSPPC Extracts - WholesaleQSE Financial Contacts Extracts -RetailRMC, CRPC, TDSPPC Legal NotificationQSE,LSE,RES,TDSP Primary Contacts, as appropriate

ERCOT’s Additional Notification Lists Matrix (Continued) TCRQSE,LSE,RES,TDSP Primary Contacts, as appropriate PRR/SCRQSE,LSE,RES,TDSP Primary Contacts, as appropriate Settlements – PublicQSE Financial Contacts Contracts/RFPQSE,LSE,RES,TDSP Primary Contacts, as appropriate Operations QSE Project Managers, QSE Primary Contacts as necessary Market and Power Operations BulletinsQSE Project Managers Market and Power Operations BulletinsQSE,LSE,RES,TDSP Primary Contacts, as appropriate TrainingRMC, CRPS, TDSPPC, RMS

2007 ERCOT Market Notice Process Questions?