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Training Session
Managing Formal Queries
by Katia Compagnoni
Agenda
Background
Data & Settlement Queries process
Dispute Process
Data & Settlement Queries statistics
What to query and where to find it
Conclusions
Questions
2
Training objectives
3
At the end of this session you will:
Have an understanding of your rights with regard to raising Formal Queries and Disputes;
Know where to find the right data to check;
Be advised on how to increase the effectiveness and the efficiency of the Formal Queries process.
Background
Inefficiencies in the management of Data and Settlement Queries, were identified at the working group for Mod_38_10 held in February 2011;
SEMO proposed a training session to facilitate the understanding of the process;
Training material available to Participants has been updated.
4
Data Query – Original Training
Data VerificationPeriod 4 Working Days
SEMO Determination Period10 Working Days
Dispute RaisingPeriod 5 Working Days
Data Queries need to be filed within the DVP
DVP commences immediately after the MSQs have been issued
Should the Participant not agree with the result of the MO, can a Settlement Dispute be raised
SEMO has to resolve the Data Queries within 10 working days, otherwise they effectively become Settlement Disputes
5
Data Query – Swimlanes from AP13
6
Affe
cted
Par
ticip
ant
Raise Data Query
Within Data Verification Period
Email / Fax / Post
Is Query valid ?
Inform Raising Participant and log as set out in
AP11
Within 1 WD
Email / Fax / Post
No
Receive invalid reasons?
Within 1 WD
Resubmit Query?
Yes
No
Who is affected by query ?
Other Participant
External Data Provider
Market Operator
Is Data to be Changed
No
Yes
Dispute?
Raise Settlement Dispute under AP 14
Yes
inform Raising Participant
Log as set out in AP 11
Within 1 WD
Email / Fax / Post
Yes
Included in Initial Settlement
Statement ?
No
No
Is it High Materiality ?
Yes
Stop
StopReceive agreed
timescale & notify External Data
Provider /Affected Participant
Within 1 WD
Email / Fax / Post
Yes
Complete within timescales? Yes
Complete within timescales?
No
Yes
No
Can Determination
be made without Affected party
comment
YesComplete within
timescales?
No
Yes
Yes
NoIf determination has not yet been made
request additional time
Within 8 WD of receipt of Data Query
Email / Fax / Post
Respond to request
Within 1 WD of request
Email / Fax / Post
Start
Schedule a dedicated Settlement Rerun and
ensure that any required recalculation
of SMP , MSQs or LOLPs have been
performed
Within 20WDs of receipt of revised data
Ensure revised data included in next
Timetabled Settlement Rerun
including any required recalculation of SMP ,
MSQs or LOLPs
By next Timetabled Settlement Rerun
Notify inability to complete
Within timescales
Email / Fax / Post
Provide Comment on Data Query
Within timescales
Email / Fax / Post
Receive Determination
Process Query , Determine outcome and implement .
Within 10 WD of receipt of Data Query or other agreed timescale
Receive and Review Determination
Notify inability to complete
Within agreed timescales
Email / Fax / Post
Process Data Query
Within agreed timescales
Inform External Data Provider with
timescales
Within 1 WD
Email / Fax / Post
Inform Market Operator and provide Data
Immediately
Email / Fax / Post & Comms Channel
Inform Raising Participant and Affected Participant (s) of determination and materialityClose log as set out in AP 11
Within 10 WD of receipt of Data Query or other agreed
timescale
Email / Fax / Post
Inform Market Operator
Immediately
Email / Fax / Post
No
Process Request
Within timescales
Receive Confirmation
Inform Affected Participants’ ) with
timescales
Within 1 WD
Email / Fax / Post
Rai
sing
Par
ticip
ant
Mar
ket O
pera
tor
Ext
erna
l Dat
a P
rovi
der
(MD
P /
SO
/ IA
)
Raise Settlement Dispute under AP 14
Within 5 WD
Inform External Data Provider
Within 1 WD of determination
Email / Fax / Post
Within 10 WD of notification
Comms Channel
Submit revised data
Data & Settlement Query Process
Submit
Raising Party SEMO
7
Data & Settlement Query Process
- Use the appropriate form from AP13, Appendix 2
Submit
SETTLEMENT / DATA QUERY FORM Type of Query
SETTLEMENT / DATA
Delete as appropriate
PARTICIPANT INFORMATIONParticipant Name
Participant id
SETTLEMENT STATEMENT DETAILSSettlement Statement Number
Settlement Days in Statement For Capacity month/year; For Energy dd/mm/yy to dd/mm/yy ; For Data Query dd/mm/yy
Run Type
(Only for Settlement Query - Delete as appropriate)
Initial / Rerun 1 / Rerun 2 / Adhoc
To be completed by Participant
Participant’s Query Ref
Date Sent
To be ccompleted by Market Operator
Market Operator’s Query Ref
Date ReceivedForm Checked
Accepted / Rejected(delete as appropriate)
Descriptive Overview of Query
(Provide a description of w hat the issue is e.g. the Units affected, the data items concerned, the incorrect charges, whether it is input data or the calculationthe basis of the query(the evidence)
Query Details
(Provide specific details of the items in the Settlement Statement being queried including where appropriate the Supplier/ Generator Unit, the meter ids, the half hours (day and half hour ending time), the specific charge item affected)
Additional Supporting
Documents provided:Specify Title and number of pages for each supporting document
Title No of Pages
Authorised Representative (on behalf of Participant)
Name Signature Password
Date
- Timelines:- Data Queries: Data verification Period (T&SC 6.48.2) starting from the time of the publication of Indicative MSQs to 17:00 on the 4th working day after that;
- Settlement Queries: by 17:00 on the 20th working day after the last timetabled re-run (M+13) or the 5th working day after any ah-hoc post M+13 (T&SC 6.101 and 6.101A);
-Supporting documentation should be comprehensive
8
Data & Settlement Query Process
Submit
Raising Party SEMO
Log
9
Data & Settlement Query Process
- Form checked: - Authorised Participant- Correct password- Legible and legitimate Query- Received within relevant timelines
- Query captured in SEMO tracking system
- Acknowledgement of receipt
- Timelines for completion starting from submission
Log
10
Data & Settlement Query Process
Submit
Raising Party SEMO
Log
Assess
11
Data & Settlement Query Process
Assess
- Verify the claim
- Confirm inputs with External Data Providers (if required)
- Liaise with software vendor (if required)
12
Data & Settlement Query Process
Submit
Raising Party SEMO
Log
Assess
Re-calculate
13
Data & Settlement Query Process
- Verify calculation
- Upheld Data Queries
- Upheld Settlement Queries
Re-calculate
Re-price and Resettle
Resettle
Resettle
14
Data & Settlement Query Process
- Only Data Queries can cause a Re-price;
- A Re-price must be carried out within one month of the resolution of the Query;
- A Re-price will only be carried out in cases of variances greater than the Settlement Recalculation Threshold (SRT).
- The SRT is available on the SEMO website at http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx
Re-calculate
15
Data & Settlement Query Process
- Variances to Settlement items always cause a Resettlement;
- The timelines of a Resettlement are dictated by the materiality of the variances:
- High materiality variances > €50,000 must be completed within one month
- Low materiality variances < €50,000 will be included the next timetabled Resettlement (M+4 or M+13)
Re-calculate
16
Data & Settlement Query Process
Submit
Raising Party SEMO
Log
Assess
Re-calculateReceive Findings
17
Data & Settlement Query Process
- The Raising Party will receive findings and all related documentation within the following timelines:
• Data Queries
• Settlement Queries
- If timelines are not respected, the query will automatically become a Dispute
Receive Findings
within 10 working days
within one calendar month
18
Data & Settlement Query Process - Right to Extend
- SEMO can request additional time to resolve a Data or a Settlement Query.
- This is limited to an additional 10 working days
- Raising Party must give their consent to the extension
- If no consent is received the query must be resolved within the original timelines.
Right to grant extensions
19
Data & Settlement Query Process - Right to Dispute
Right to Dispute
- Participants have the right to dispute SEMO’s findings within 5 working days of receiving the resolution;
- Participants have the right to receive a resolution within the timelines of the T&SC else the Data or Settlement Query automatically becomes a Settlement Dispute;
- A General Dispute can also be raised on any claims within Party in relation to any item in the T&SC provided that is within 28 days of that Party having become aware of the Disputed Event and in any event within 2 years of the Disputed Event having occurred
20
Dispute Process
Submit
Raising Party SEMO
21
Dispute Process
- Use the appropriate form from AP14, Appendix 2
Submit
- Timelines for Settlement Dispute:- Within five working days of receiving resolution of a Data or Settlement Query;- Automatically in case of Data or Settlement query not resolved within the timelines (no submission of form required)
- Timelines for General Dispute:- Within 28 days of that Party having become aware of the Disputed Event and in any event within 2 years of the Disputed Event having occurred;
DISPUTE
Dispute Notice
Dispute submitted by: Please identify Party (and Participant if
required) to Code
Date of Submission of this Notice:
Dispute Notice Number: (to be assigned by Market Operator)
Contact Details for Party raising the Dispute Name:
Telephone number:
Address: e-mail address: Brief Description of Dispute This should be brief and high-level enough so as to inform other potentially impacted Parties of the Dispute)
Please list all counterparties to the dispute:
Please identify all Parties (and Participants) as appropriate who are subject to this Dispute
Detail of the Dispute
Clearly state the full nature of the dispute, identifying the paragraphs of the Code where the Raising Disputing Party and corrective actions
Proposed Negotiation Timeframe
Please state your availability for resolution of this dispute
Please send this form to the Counterparties to the Dispute, the Market Operator (if not already a Counterparty), and the Regulatory Authorities (if the Market Operator is a Counterparty to the Dispute). Contact details available from the MO Website
22
Dispute Process
Submit
Raising Party SEMO
Log
23
Dispute Process
- Form checked: - Authorised Participant
- Correct password
- Legible and legitimate Dispute
- Received within relevant timelines
- Dispute captured in SEMO tracking system
- Acknowledgement of receipt
Log
24
Dispute Process
Submit
Raising Party SEMO
Log
Assess
25
Dispute Process
Assess
- Verify the claim
- Confirm inputs with External Data Providers (if required)
- Liaise with software vendor (if required)
26
Dispute Process
Submit
Raising Party SEMO
Log
Assess
Amicable Process
27
Dispute Process
Amicable Process
- Hold a meeting within ten working days of Dispute submission
- Actively engage to resolve the Dispute without the need for formal legal representation or procedures
- Where resolution is agreed, Raising Party completes a ‘Dispute Resolution Form’ from AP14 Appendix 2
DISPUTE
DISPUTE RESOLUTION FORM
Dispute Resolution Form submitted by:
Please identify Party (and Participant if required) to Code
Date of Submission of this Notice:
Dispute Notice Number: (assigned by Market Operator to the
Dispute Notice)
Contact Details for Party submitting the Dispute Resolution Form Name:
Telephone number:
Address: e-mail address:
Brief Description of Dispute
Please list all counterparties to the dispute:
Please identify all Parties (and Participants) as appropriate who are subject to this Dispute
Detail of Resolution of the Dispute
Clearly state the full nature of the dispute, identifying the paragraphs of the Code where the Raising Disputing Party and corrective actions
Signatures/Authorisation of all parties to the Dispute
Please send this form to the Counterparties to the Dispute, the Market Operator (if not already a Counterparty), and the Regulatory Authorities (if the Market Operator is a Counterparty to the Dispute). Contact details available from the MO Website
28
Dispute Process - Right to Extend
- Parties can agree to propose an extension to the Dispute negotiations;
- SEMO (or the Regulatory Authorities where SEMO is a Party to the Dispute) must give consent to the extension;
- If no consent is received the Dispute must be resolved or escalated, else is closed.
Right to propose an extension
29
Dispute Process - Right to escalate a Dispute
Right to escalate a Dispute- Following the resolution of a Dispute, any Party to it has the right to escalate the Dispute to a Dispute Resolution Board (DRB);
- DRB panel of 1 or 3 members is agreed by the Parties; panel is chosen from a list of selected members that can be found in the document ‘Dispute Resolution Board’ on the SMEO website: http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx
- Resolution is binding to all Parties;
- If Parties are dissatisfied with the resolution, the matter can be referred to a Judicial Court by submitting Notice of Dissatisfaction.
30
Data Query – Statistics up to 31st Oct 2011
Upheld
Not Upheld
31
Data Query - Statistics up to 31st Oct 2011
32Not Upheld Upheld
Data Query - Statistics up to 31st Oct 2011
33
0
20
40
60
80
100
120
2007 2008 2009 2010 2011 2007 2008 2009 2010 2011
Not Upheld Upheld
N. o
f qu
erie
s
Year
Yes
No
SMP effecting
SMP not effecting
Data Queries against SMP effecting Data
Data Query - Statistics up to 31st Oct 2011
34
0
5
10
15
20
25
2007 2008 2009 2010 2011
Rejected
N. o
f qu
erie
s
Year
Yes - SMP effecting
No - SMP not effecting
Rejected Data Queries against SMP effecting Data
High volume of Data Queries are not related to issues impacting SMP or MSQs: Capacity Settlement Currency Cost Dispatch Instructions & Instruction Profiling DOG-PUG Eligible Availability Exchange Rate Imperfection Charge LOLP Loss Adjustment Factors Metered Demand Market Operator Charge Payment Calculation Report Settlement Reallocation Agreements Testing Charge VAT
Data Query - Statistics up to 31st Oct 2011
35
Data query – What to query and where to find it
As per T&SC 6.82 and 6.83 SMP and Market Schedule Quantities will be recalculated in the event that the Market Operator in resolving a Data Query determines that the following data has been applied incorrectly and that the correct application would require it to change it for more than the Settlement Recalculation Threshold:
Commercial Offer Data or Technical Offer Data
Actual Availability or Dispatch Quantity*
Meter Data
Also if Market Schedule Quantity has been calculated incorrectly
*Dispatch Quantities only impacts units with Non Firm Access Quantity
36
What to query and where to find it
37
Within the Data Verification Period of Data Queries, it is important to concentrate checks on items that impact on the SMP or MSQ calculation. Here is a summary of where to find them
Items to check Report Name and Title Variable name
AvailabilityPUB_D_ExPostMktSchDetail.xml; ('Indicative Ex-Post Market Schedule Quantity')
ACTUAL_AVAIL and MINIMUM_GENERATION
Metered GenerationPUB_D_PriceAffectingMeterData.xml; ('Price Affecting Meter Data') METERED_MW
Commercial Offer Data
PUB_D_CODStandardGenUnits.xml; PUB_D_CODStandardDemUnits.xml; PUB_D_CODInterconnectorUnits.xml; ('Commercial Offer Data – Standard Generator Unit/Demand Side Units/Interconnector Units')
All in file
Technical Offer DataPUB_D_TODStandardUnits.xml; PUB_D_TODDemandSideUnits.xml; ('Technical Offer Data – Standard/Demand Side Units')
RAMP_UP/DOWN_RATE and BREAK_POINT (1 to 5); DWELL_TIME and TRIGGER_POINT (1 to 3); MINIMUM_ON_TIME; MINIMUM_OFF_TIME;
Additional items impacting SMP or MSQ needs to be checked for some Generator Units.
Generators with Non-Firm Access Quantity:
*This is not available in Public reports but only on the MPI for individual Participants.
What to query and where to find it
38
Items to check Report Name and Title Variable name
Dispatch Instructions PUB_D_DispatchInstructions.xml; ('Dispatch Instructions') DISPATCH_INSTRUCTION
Dispatch QuantitiesEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report') DQ
AvailabilityPUB_D_ExPostMktSchDetail.xml; ('Indicative/Initial Ex-Post Market Schedule Quantity') AVAILABILITY_PROFILE
Metered DemandEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')
MD
Trading Site Firm Access Quantity* N/A N/A
Additional items impacting SMP or MSQ needs to be checked for some Generator Units.
Generators with Energy Limits or Pump Storage:
*Energy Limits should not be confused with targets that must be achieved; also Meter Generation impacts on the calculation of MSQs resulting in Energy Limits that have no impact on MSQs if lower than the Metered Generation.
What to query and where to find it
39
Items to check Report Name and Title Variable name
Energy Limits*PUB_D_TODStandardUnits.xml; ('Technical Offer Data – Standard Units')
ENERGY_LIMIT_MWH
Re-declared Energy Limits*
PUB_D_EnergyLimitedGenUnitTechChars.xml ('Energy Limited Generator Unit Technical Characteristics Data')
REDECLARED_ENERGY_LIMIT
Target ReservoirPUB_D_CODStandardGenUnits.xml ('Commercial Offer Data – Standard Generator Unit ')
TARGET_RESV_LEVEL_MWH
Additional items impacting SMP or MSQ needs to be checked for some Generator Units.
Predictable Price takers including Generators Under Test:
Other items to check:
*These are items controlled exclusively by the TSOs, therefore would normally be queried by the TSO only.
What to query and where to find it
40
Items to check Report Name and Title Variable name
Unit NominationsPUB_D_CommercialOfferDataGenNomProfiles.xml; ('Commercial Data Generator Unit Nomination Profiles') NOMINATED_QUANTITY
Items to check* Report Name and Title Variable nameLoad Shedding Estimate
PUB_D_DemandControlData.xml ('Demand Control Data Transaction')
ESTIMATE_DEMAND_REDUCTION_MW
SO-SO TradesPUB_D_InterconnectorTrades.xml ('SO Interconnector Trades')
SO_INTERCON_IMP_QUANTITY; SO_INTERCON_EXP_QUANTITY
What to query and where to find it
All Public Reports can be found in .xml or .html format on the MPI
41
What to query and where to find it
All Public Reports can be found in .xml or .html format on the MPI
42
What to query and where to find it
All Public Reports can be found in .xml or .html format on the MPI
43
What to query and where to find it
All Public Reports can be found in .xml or .html format on the MPI
44
What to query and where to find it
All Public Reports can be found in .xml or .html format on the MPI
45
What to query and where to find it
Public Reports are also available for up to a week after publication in the Static Reports section of the Semo Website
46
What to query and where to find itSome variables are also available in the Dynamic Report section on the Semo
Website
47
What to query and where to find it
Some variables in the Dynamic Reports section on the SEMO website can also be downloaded through Webservices;
Instructions on Webservices are included in the document ‘Automated Interfaces Specification – Webservices.doc’ available on the SEMO website at: http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx ;
Dispatch Quantities are publicly available only in the Datapublication_Reports stored on a weekly basis under:
http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx
48
Settlement Query – Statistics up to the 31st October
Upheld
Not Upheld
49
Settlement Query – Statistics up to the 31st October
50
0
5
10
15
20
25
30
2007 2008 2009 2010 2011
Rejected
N. o
f qu
erie
s
Year
Yes - SMP effecting
No - SMP not effecting
Settlement Query – What to query and where to find it As per T&SC 6.94 and 6.95 a Settlement Query may be raised in respect of the
application of Metered Generation or the calculation of any of the following amounts:
Metered Demand Net Demand Settlement Net Demand Eligible Availability Actual Availability Dispatch Quantity Currency Cost Interest Amount or in respect of Discovered Errors*
Also a Participant may raise a Settlement Query in the event of any difference between a Settlement Item on the Ex-Post Indicative and the same Item on the Ex-Post Initial Settlement Statements without the Participant having filed a Data Query in relation to that Item.
*Discovered Errors, as defined in the T&SC Glossary, only relates to Meter Data errors.
51
What to query and where to find it
52
Longer timelines are in place for Settlement items and here is a summary of where to find them:
*Items queried under a Settlement Query will not result in a Re-price even though they might impact SMP or MSQ
Items to check* Report Name and Title Variable name
Metered DemandEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')
MD
Net DemandEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')
NDLF
Settlement Net Demand
EN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report')
SNDLF
Eligible Availability
CA_MIR_X.csv ('CapacityMarket InformationPublication' on the SEMO website as 'EX-Post Indicative/Initial Capacity Information')
EA, EAIU, EAEU
What to query and where to find it
53
Longer timelines are in place for Settlement items and here is a summary of where to find them:
*Items queried under a Settlement Query will not result in a Re-price even though they might impact SMP or MSQ
Items to check* Report Name and Title Variable name
Actual AvailabilityPUB_D_ExPostMktSchDetail.xml; ('Indicative Ex-Post Market Schedule Quantity')
ACTUAL_AVAIL and MINIMUM_GENERATION
Dispatch QuantitiesEN_PIR_PT_XXXXXX_X.csv ('Energy Participant Information Report') DQ
Currency CostsENGIPCC.csv ('Currency Cost for Energy Market') and CAPIPCC.csv ('Currency Cost for Capacity Market')
CC_IUENPEX, CC_UENCEX, CC_UENPEX, CC_IUCPPEX, CC_UCPCEX, CC_UCPPEX
Interest Amounts Invoice Interest
Discovered Errors
EN_MGR_X.csv ('Energy Meter Generation Information Publication' on the SEMO Website as 'EX-Post Indicative/Initial Metered Generation and NIJI')
MG, MGIU, MGEU
What to query and where to find it
Participant Information Reports (PIR) can only be found on the MPI
54
What to query and where to find it
Participant Information Reports (PIR) can only be found on the MPI
55
What to query and where to find it
Participant Information Reports (PIR) can only be found on the MPI
56
What to query and where to find it
Participant Information Reports (PIR) can only be found on the MPI
57
What to query and where to find it
Also on the MPI are the Currency Cost Statements
58
What to query and where to find it
Also on the MPI are the Currency Cost Statements
59
What to query and where to find it
Also on the MPI are the Currency Cost Statements
60
What to query and where to find it
While Capacity Information Reports are public and can also be found on the SEMO Website in the Capacity section of Static Reports
61
What to query and where to find it
Further details on files format and contents can be found on the MPUD and GPUD documents on the SEMO Website under
http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx
Website content is included in the document ‘SEMO Website Go Live Bulletin’ at http://www.sem-o.com/Publications/Pages/GeneralPublications.aspx
This training will be updated once details of new queries for Intra-Day Trading will be finalised with relevant files spec.
62
Robust data checking must happen within the correct Data Verification Period;
Checks should focus at first on the set of data that will impact Pricing and Scheduling;
Participants are not limited to their own data; any data publicly available can be subject of a Data or Settlement Query;
An efficient use of the Data or Settlement Query would avoid delays in finalising Market results and limit the need to refer to the Dispute process.
Conclusions
63
Recommended