smt update to amwg

3rd Party Registration &Account Management3rd Party Registration &Account Management

SMT Update To AMWG

May 22, 2014


Status Update of AMWG Change Requests Approved by Retail Market Subcommittee (RMS)


Status of AMWG Change Requests

3

17 Total AMWG Change Requests 3 AMWG Change Requests in Delivery for Q4 2014 with Third Party

– AMWG CR 2013 012, AMWG CR 2013 013, and AMWG CR 2013 014– 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 Q2 2014– AMWG CR 2013 016 and AMWG CR 2013 017– 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


Status of AMWG Change Requests

4

5 AMWG Change Requests Targeted for Delivery in Q2 2014 – AMWG CR 2013 002, AMWG CR 2013 005, AMWG CR 2013 006, AMWG CR 2013 007,

and AMWG CR 2013 009– 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 Q2 2014

7 AMWG Change Requests in Process for SMT Joint TDSP Estimation Process Step– AMWG CR 2013 001, AMWG CR 2013 003, AMWG CR 2013 004, AMWG CR 2013 008,

AMWG CR 2013 010, AMWG CR 2013 011, and AMWG CR 2013 015– 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


5

AMWG Change RequestAMWG CR Document

StatusEstimated Delivery

DateEstimated

Cost

AMWG CR 2013 001 – Report for AMWG Data Monitoring – Data Completeness Measurements

JDOA Estimation

2015 In Process

AMWG CR 2013 002 – Reports for AMWG Data Monitoring – Data Timeliness Measurements

In Development

Q2 2014 Included in Maintenance Contract

AMWG CR 2013 003 – Reports for AMWG Data Monitoring – Measurement of Percentage of Actual Meter Reads

JDOA Estimation

2015 In Process

AMWG CR 2013 004 – Reports for AMWG Data Monitoring – Measurement of Estimates

JDOA Estimation

2015 In Process

AMWG CR 2013 005 – Reports for AMWG Data Monitoring – Number of SMT Help Desk Tickets Monthly by Ticket Type

In Development


AMWG CR 2013 006 – Reports for AMWG Data Monitoring – Availability of SMT API

In Development


AMWG CR 2013 007 – Reports for AMWG Data Monitoring – Availability of SMT FTPS

In Development


AMWG CR 2013 008 – Reports for AMWG Data Monitoring – Average Time to Deliver HAN Messages

JDOA Estimation

2015 In Process

AMWG CR 2013 009 – Reports for AMWG Data Monitoring – Number of Accounts by Type

In Development


AMWG CR 2013 010 – Reports for AMWG Data Monitoring – Number of Reports Requested by GUI (Portal) and Number of FTPS Accesses

JDOA Estimation

2015 In Process

AMWG / RMS Change Requests

AMWG CR 2013 0001

AMWG 2013 0002

AMWG 2013 003

AMWG 2013 004

AWMG 2013 005

AMWG 2013 006

AMWG 2013 007

AMWG 2013 008

AMWG 2013 009

AMWG 2013 010


6

AMWG Change RequestAMWG CR Document Status Estimated Delivery Date

Estimated Cost

AMWG CR 2013 011 – Average Time from HAN Provision Request to Meter Ready Status

JDOA Estimation

2015 In Process

AMWG CR 2013 012 – Bypass redundant screen for Users with only one meter when accessing HAN device information

In Development

Q4 2014Included in Third-Party

AMWG CR 2013 013 – Timeout on SMT takes user to “incorrect login” screen

In Development


AMWG CR 2013 014 – Allow SMT user to toggle between 15-Minute Reads and Daily Reads without having to reset the date range

In Development


AMWG CR 2013 015 – Expand Daily Usage Graph to show 35 days of daily usage on the SMT GUI

JDOA Estimation

2015 In Process

AMWG CR 2013 016 – 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

Q2 2014Included in Maintenance Contract

AMWG CR 2013 017 – REP API for Energy Usage on SMT (Backfill of Historical Usage Data for Existing Customers- “Interim”)

See Below CR 2013 017 Permanent

Complete(12-18-2013)

Q4 2013 Completed

AMWG CR 2013 017 – REP API for Energy Usage on SMT (Subscription for New Customer Historical Usage – “Interim”)

See Below CR 2013 017 Permanent

In Development

Q2 2014Included in Maintenance Contract

AMWG CR 2013 017 – REP API for Energy Usage on SMT – Permanent Solution to Replace Interim Solution

JDOA Estimation

2015 In Process

AMWG / RMS Change Requests (Cont.)

AMWG 2013 011

AMWG 2013 012

AMWG 2013 013

AMWG 2013 014

AMWG 2013 015

AMWG 2013 016

AMWG CR 2013 017


Report FormatsAMWG CR 2013 002, AMWG CR 2013 005,

AMWG CR 2013 006, AMWG CR 2013 007, AMWG CR 2013 009


8

Monthly SMT Data Timeliness AMWG CR 2013 002End 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


Help Desk Ticket ReportHelp Desk

Period: mm/dd - mm/dd Week 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- Email/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 2013 005


SMT API Monthly Availability PercentageSMT API Availability January February March April May June July August September October November December

Percentage

Availability of SMT API AMWG CR 2013 006


SMT FTPS Monthly Availability PercentageSMT FTPS Availability January February March April May June July August September October November December

Percentage

Availability of SMT FTPS AMWG CR 2013 007


SMT Number of Accounts by Type AMWG CR 2013 009

Registered Users ONC CNP AEPN AEPC TNMP TOTAL

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

TDSPs REPsSmall Business Regulatory

Registered Entities

Registered Users

Registered Admins

HAN Messages Sent By


Update on Approved AMWG Change Requests Under Development

AMWG CR017 Interim Processes for

Historical Backfill Requests and

Subscription for New Customer History


14

AMWG Change Request 2013-17 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


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 daysBusiness days from previous milestone

Create the change ticket for bulk report and attach that authorization email as a reference

Close the H

elp Desk

tickets

END

1-2 days

Send email 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 1-888-616-5859 or via email [email protected] 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 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

1st Reminder communication (after 5 business days)2nd Reminder follow up communication (after 5 business days)

Authorized?YES

NO

Enable Enrollment Report Job for ROR requested DUNs

1-3 days


ROR REQUEST FORM SUBSCRIPTION FOR NEW CUSTOMER HISTORICAL

DATARequest Date:

Requestor Name:

ROR Name:

ROR User ID: <SMT Account ID>

ROR DUNS Number(s):

Report Type:

Number of Months of History Requested for Each New Customer:

DailyInterval Monthly

6 months 12 months


17

FTPS Access – ROR Customer New Enrollment History

FTPS Folder and its content ROR Partner1 Partner2 Partner3

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.REPDUNSNumber

EnrollmentReport_DailyMeterUsage_DATETIME.CSV.FILENUM.REPDUNSNUMBER

EnrollmentReport_IntervalMeterUsage_DATETIME.LSE.FILENUM.REPDUSNNUMBER


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


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


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.


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.


22

Request for Vendor API Access

Contact SMT Help Desk by sending the request form* to [email protected] to create a ticket

Perform request information completeness validation

SMT validates proper authorization. Send access authorization e-mail request to ROR admin, CC to SMT Operations Manager

Authorized?

1st Reminder e-mail (after 5 business days)2nd 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


After 10 days

Close the ticket if no response received within 10 days after 2 reminders

After 10 days

No Authorization email 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.


23

Request for Vendor FTP Access

Contact SMT Help Desk by sending the request form* to [email protected] to create a ticket

Perform request information completeness validation

SMT validates proper authorization. Send access authorization e-mail request to ROR admin, CC to SMT Operations Manager

Authorized?

1st Reminder e-mail (after 5 business days)2nd 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


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 email Received or Missing Request Form Data


ROR REQUEST FORM FOR Vendor API & FTP Access

Request Date:

ROR Requestor Name:

ROR Entity Name:

ROR Primary technical contact(name, e-mail id and phone number)

ROR Secondary technical contact (name, e-mail id and phone number)

ROR Authorization Contact:(name, e-mail id and phone number)

ROR DUNS Number(s):

Provider/Vendor Name:

Vendor Company Name:

Vendor Contact Details:


25

FTPS Access - Multiple DUNS Scenario

FTPS Folder and its content ROR Partner1 Partner2 Partner3

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.


SMT Security Authorization Validation Surrounding New Ad Hoc Processes Including:

1. Historical Backfill2. Subscription for New Customer Enrollment

3. Vendor Access on Behalf of ROR to FTPs and API4. ROR Acquisitions and Mergers

5. ROR Administrator Registration when No Authorized Administrators Exist


SMT Security Authorization Validation Surrounding New Ad Hoc Processes

Historical Backfill and Subscription for New Customer Enrollment

Security Validation Includes:

1.Validated request form information2.DUNS match valid DUNS for requesting ROR on SMT FTPS folder



Vendor Access on Behalf of ROR to FTPS and / or API


1.Validated help desk ticket request information2.Acquire written approval from ROR3.Verify author of ROR written approval is in good standing employment with ROR (human resources and TDSP Rep Relations)4. Acquire written approval from vendor5.Acquire credentials from ROR IT department



ROR Acquisitions and Mergers


1.Validated help desk ticket request information2.Verify Acquisition / Merger information from independent source (business announcement via web and TDSP Rep Relations3.Acquire written approval from Acquiring / First Merging ROR4.Acquire written approval from Acquisitioned / Second Merging ROR5.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



ROR Administrator Access Registration when No Authorized Administrators Exist


1.Validated help desk ticket request information2.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)


Update on SMT’s 3rd Party Access System Development


Third-Party Security Independent Review

1st Quarter 2nd Quarter

20133rd Quarter 4th 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

1st Quarter 2nd Quarter 3rd Quarter 4th Quarter

Third-Party Market Integration / Instruction

Webinars


33

SMTDO – Third Party Updates

SMTDO Webinar Schedule

May 23rd – 10:00 – 11:00 a.m.

June 20th – 10:00 – 11:00 a.m.

smt update to amwg

Documents