3 rd Party Registration & Account Management SMT Update To AMWG April 28, 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 3 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 JDOA Estimation 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 Prohibited by IBM Non- Disclosure Q Included in Maintenance Contract AMWG CR Reports for AMWG Data Monitoring Availability of SMT API Prohibited by IBM Non- Disclosure Q Included in Maintenance Contract AMWG CR Reports for AMWG Data Monitoring Availability of SMT FTPS Prohibited by IBM Non- Disclosure 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 JDOA Estimation 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 4 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 DevelopmentQ Included in Third-Party AMWG CR Timeout on SMT takes user to incorrect login screen DevelopmentQ 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 DevelopmentQ 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 RORs 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 DevelopmentQ2 2014In Development 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 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 6 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 4 Requests to Date In Process of Fulfilling an Additional 4 Requests in the Queue Plan to Re-Announce to Market with Subscription Functionality in May Subscription for New Customer 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 by Early May 3 rd Party Registration & Account Management 7 Subscription For Automated New Enrollment Customer Historical Data SMT sends anto confirm authorization validation process steps by SMT Operations Manager START. ROR activity SMT activity 1-6 days Day 0 x days Business days from previous milestone Create the change ticket for bulk report and attach that authorizationas a reference Generate the Bulk Report data as per the ROR request it is depending on request and number of previews ROR requests on queue Close the Help Desk tickets END 1-2 days Post the New Enrollment Customer Report files to ROR FTP site and confirm receipt viafrom ROR (First time only to ensure process is in place and functioning correctly) 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 viato create a ticket to subscribe for automated enrollment customer 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 Generate the Bulk Report data as per the ROR request it is depending on request and number of previews ROR requests on queue Create the change ticket for bulk report and attach that authorizationas a reference Generate the Bulk Report data as per the ROR request it is depending on request and number of previews ROR requests on queue Create the change ticket for bulk report and attach that authorizationas a reference Generate the Bulk Report data as per the ROR request it is depending on request and number of previews ROR requests on queue Create the change ticket for bulk report and attach that authorizationas a reference Generate the Bulk Report data as per the ROR request it is depending on request and number of previews ROR requests on queue Create the SMT change ticket to initiate the Enrollment report and attach proper authorization data for reference and to complete the formal process and security work flow Add the ROR details in Enrolment tables to generate the usage data as per the ROR request 1 days 1-2 days 1 day Day 0 SMT will run a daily job to scan the new customer enrollments for the requested ROR that subscribed to this service. This job will run after the ROR Synch File has been uploaded into the SMT database. 1-2 days normal 1-7 days high Market volume requests No AuthorizationReceived END Close the ticket if no response within 10 days after 2 reminders 1 st Reminder(after 5 business days) 2 nd follow up by phone call / Operations Manager intervention Authorized? YES NO 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 No: Report Type: Enrollment Start Date: Enrollment End Date: Duration: 3 rd Party Registration & Account Management Review and Clarify Long Term Permanent Solution Requirements for AMWG Change Request 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 11 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 12 Solution Approach API Access Each entity uses its own security certificate ROR creates a portal user (non-admin) for the new entity SMT shares RORs 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 13 Request for Vendor API Access Raise request by sending the request form* toPerform request information completeness validation Send access authorizationrequest 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 entitys SSL security certificate to SMT SMT shares RORs API account access details to new entity SMT conducts initial configuration and troubleshooting session to complete integration START END YES NO Approve Note: 1. API access request form will be shared by SMT to Market. Suggested form attached at the end of this presentation. 2. SMT FTP/FTP Request forms must be come from ROR. ROR activity SMT activity 1-10 days 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 AuthorizationReceived After 10 days END Authoriz ation Receive d 3 rd Party Registration & Account Management 14 Request for Vendor FTP Access Raise request by sending the request form* toPerform request information completeness validation Send access authorizationrequest 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 Note: 1. API access request form will be shared by SMT to Market. Suggested form attached at the end of this presentation. 2. SMT FTP/FTP Request forms must be come from ROR. 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 No AuthorizationReceived After 10 days END Close the ticket if no response within 10 days after 2 reminders Authoriz ation Receive d NO Add restrict DELETE permissions for existing FTPS of ROR files 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 16 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 RORs 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 17 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 Update on SMTs 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 19 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 20 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.