Texas Nodal Program ERCOT Readiness Update TPTF March 31, 2008 Agenda Executive Readiness Survey Transition Plans Business Process Model and Procedures Training Staffing 2 ERCOT Executive Readiness Survey The ERCOT Executive Readiness Survey was initiated approximately 4 months after the Market Participant Survey. Conducted more frequently (i.e. every 2 months) than the quarterly Market Participant survey. It is now moving to monthly. Next iteration will be published on April 1st. 3
Transition Plans Transition Plans were developed for each Nodal project and all affected departments. Approximately 80 department and project plans were developed. Transition Plans cover: Overview project/department objectives, customer (user) information, transition plan objectives, reference materials and outstanding issues Scope of Transition resources, facilities, hardware, software, documentation, budget, training, roles and responsibilities Transition Planning release process, data migration, performance measures and reporting, governance and management approach, problem resolution, documentation strategies, training, sustainability metrics, transition schedule, and gaps Initial drafts were created in February, 2008 Updates are scheduled for April and June Transition Plans are reviewed by impacted departments Issues, Gaps, TBDs are escalated and tracked 4 Business Process Model An enterprise-wide Business Process Model was completed to have a complete picture of ERCOT business operations. The model provides a top-down view depicting high level design to low level operational detail. This enabled: Market Trials: Operating procedures to be developed and tested to ensure that ERCOT employees can operate new Nodal systems according to their design Continuity Planning: Each department can identify and plan for how to perform each of their business processes in the event of an emergency or disaster Process Improvement: Analysis of each of its operating activities to identify opportunities to improve the efficiency (cost and cycle time) and effectiveness (quality) of its processes Market Response: ERCOT can respond to future business goals relating to protocol changes, governmental regulations and technology advancements 5 Business Process Model Our approach was to document the processes of each department and merge them to create a consolidated, end-to-end view Operate ERCOT Planning Operating Settlements Level 1
Level 1 Level 1 Merge Merge Level 2 Level 2 Level 2 Level 3 Level 3 Level 3 Level 4 Level 4 Level 4 . . . representing ERCOT by the processes it follows rather than by department; this enables an activity-based view of the organization. 6 Business Process Model A one-page view of ERCOT in relation to its high-level functions Operate the ERCOT Enterprise (Level 1) Propose and evaluate changes to the Design business enterprise architecture Prioritize to reflect changes changes to business to business Implement changes to the business Ensure access to the transmissionEnsure
and distribution the reliability systems and adequacy onEnsure nondiscriminatory of that theinformation ERCOT terms Transmission about Ensure a Customer's that Gridelectricity choice transactions of Retail Electric are ac Ensure legal, regulatory Manage & ethical information compliance Manage resources financial & technology resources Manage human & transactions resources Manage&physical organization resources Manage development corporate security 7 Business Process Model Operate the ERCOT Enterprise (Level 1) Propose and evaluate changes to the Design
business enterprise architecture Prioritize to reflect changes changes to business to business Implement changes to the business Level 1 Ensure access to the transmissionEnsure and distribution the reliability systems and adequacy onEnsure nondiscriminatory of that theinformation ERCOT terms Transmission about Ensure a Customer's that Gridelectricity choice transactions of Retail Electric are accurately Provider accounted is conveyed forinamong a timely Market manner Participants 14 processes A top-down approach was used to decompose the Level 1 picture so that each linked to desk procedures
Ensure legal, regulatory Manage & ethical information compliance Manage resources financial & technology resources Manage human & transactions resources Manage&physical organization resources Manage development corporate security Level 2 83 processes Level 3 407 processes Level 4 621 processes Operational Procedures 8 The ERT has identified approximately 1400 procedures. It is expected that it will results in about 750 actual procedures. Business Process Model Block diagrams map the process to show how the operation works . . . h level Block Diagram with products Illustrative Example Custom er Customer order
placed Customer goods received P 1 Customer order P 13 P urchased items Agent 1 Place order into reservation system 4 Accept delivery time 10 Pay invoice P 8 Confirmed delivery requirements P 2 Agent order S ales 2 Assess order 7 Prepare and send invoice P 4 Delivery information AND P 9 Invoice P 7 Finished goods note P 3 Works order P roduction 3 Schedule production P urchasin g P4
Materials order 6 Produce to order P6 Finished goods P 11 Approved finished goods 8 Check quality of goods 5 Buy materials P 5 Materials 9 P 10 Faulty goods AND P 12 P acked goods 9 Pack and deliver goods Business Process Model This shows the registration process drills down to the credit check procedures Operate the ERCOT Enterprise (Level 1) Propose and evaluate changes to the Design business enterprise architecture Prioritize to reflect changes changes to business to business Implement changes to the business Ensure access to the transmissionEnsure
and distribution the reliability systems and adequacy onEnsure nondiscriminatory of that theinformation ERCOT terms Transmission about Ensure a Customer's that Gridelectricity choice transactions of Retail Electric are ac Ensure legal, regulatory Manage & ethical information compliance Manage resources financial & technology resources Manage human & transactions resources Manage&physical organization resources Manage development corporate security 10 Business Process Model The level 2 process describes how new market participants are registered with ERCOT Ensure access to the transmission and distribution systems on nondiscriminat
External - Market Participant Market Participants registered Request from new market participant 660 - Wholesale Client Services Records up-to-date Register market participant in ERCOT Test systems connectivity with new Market Participant Qualify new Market Participant Records not up-to-date Maintain market participant data XOR DRAFT 11 Business Process Model Level 3 describes how ERCOT processes the application by the market participant and registers them in the appropriate system Register market participant in ERCOT systems (Level 3) External - Market Participant Application sent by new market participant 120 - General Counsel Revise and re-submit application Submit standard form agreement Revise and re-submit standard form Market agreement participant registered in ERCOT systems Application needs to be revised SFA requires revisions Review standard form agreement Receive, review and file MP non-disclosure Review application
agreements and update database XOR AND Application needs no revisions 660 - Wholesale Client Services XOR SFA does not require revisions Begins once standard form agreement has been approved by legal Enter application details into Siebel Enter counter-party information into Siebel 585 - Commercial Ops. Data Integration & Administration (CODIA) Manage Market Participant Accounts & Relationships (MPAR) 111 - Treasury & Credit Administration Monitor and Manage credit DRAFT 12 Business Process Model Level 4 describes how a credit check is conducted as part of the registration process, and how it links to use cases and procedures Monitor and Manage Credit (Level 4) 660 - Wholesale Client Services Credit check required Credit check completed 111 - Treasury & Credit Administration - Credit Monitoring Manage Counter-Party Relations and Credit Conduct Qualifications Counter-Party DefaultConduct AnalysisCredit Analytics AND Manage Credit Ratings and Limits Monitor and Manage Credit Exposure
Manage Collateral Conduct Credit Reporting Market Participant credit monitor DRAFT These templates are illustrative 13 Procedures Procedures were determined for each department based on the Business Process Model. Along with other input, departments validated and determined the procedures needed. Many of the identified procedures from the Process Model can be combined into a single procedure. As a result of the Business Process Model, there were 1433 procedures identified. They are identified by department (next slide). Development of procedures has already begun and good progress has been made to date. Systems Operations is YELLOW and within 30 days of schedule with plans to catch up within the next month. All IT departments are GREEN except for three departments that are within 30 days of their plan. Market Operations, Systems Planning, and Corporate functions are GREEN. Department Level Procedures Scorecard is in development and will be available by the end of April 14 Procedures 111 - Treasury & Credit Administration 64 385 IT Release Management 22 112 - Contract Admin & Procurement 35 390 IT - Commercial Operations 3 113 ICMP
11 395 IT - EMMS Production Support 5 114 - Accounting & Budget 49 410 - Market Operations Support 48 120 - General Counsel 14 410 - Market Operations Support - Demand response 26 130 HR 25 415 - Operating Standards 7 170 - Market Rules 5 421 - Outage Coordination 33 180 - Internal Audit 22 422 - Network Modeling 35 302 IT - Business and Customer Services 310 IT - Systems Engineering & Administration
315 IT - Storage Resource Management 6 423 - Operations Planning & Analysis 111 12 424 - Advanced Network Applications 87 426 - Operations Engineering 59 15 8 325 Facilities 18 427 - System Operations Training 330 IT Network 12 428 - System Operations Control Center 345 IT- EMMS Development 21 450 CRR 347 IT - Enterprise Integration 15 460 - Regulatory Support & Reporting 4 350 352 353- PMO
10 471 472 473 - System Planning Group 12 351 396 405 605- DPO/PMO 26 530 - Settlements Metering 354 IT - Enterprise Information Services 17 540 - Energy Analysis & Aggregation 31 355 IT - Enterprise Architecture 10 550 - Settlements & Billing 39 356 IT - Commercial Services 16 570 - Retail Customer Choice 6 357 358 IT - Corporate Applications and Web & Data Services 14 585 CODIA 1 360 IT - Database Administration 17 630 650 - Retail Client Services & Retail Market Analysis
22 370 - Corporate Security - Info Systems 10 640 - Market Operations Testing 10 8 660 - Wholesale Client Services 30 371 - Corporate Security - Physical 380 IT - Console Operations 10 15 178 55 144 Training Department Level and Individual Training plans have been created. Individual Training plans are being revisited and updated as managers have been able to target more specific training needs. Progress has been steady on training. Systems Operations, Market Operations, Systems Planning, and Corporate functions are GREEN. 75% of IT departments are GREEN. The remaining 25% are YELLOW and within 30 days of their training plan. Department Level Training Scorecard has been developed. Scorecard identifies the training required by individual within the department and the target completion date for each course. 16 Training Overall Department Status ERCOT
Training Scorecard Scorecard identifies courses required by each person in the department 17 Staffing There are approximately 100 available ERCOT positions to fill by Nodal Go-Live. Actively recruiting for approximately 50 positions. Identified key positions for department ramp-up and for the 168 hour test. Remaining positions are targeted for later in the year. Transition plans helped to clarify timing and staffing for departments. There was a sharp increase in open positions at the start of the year. Some positions for 2009 have been opened early to ensure adequate time for recruiting, training, availability for EDS activities and the 168 hour test. Additional intern positions have been identified and are targeted to start in Spring/Summer to support activities. The majority of openings have been addressed within the targeted timeframe. 18 Staffing Metric Definition and Monitoring Assumptions: Only Nodal affected or affecting positions Critical Nodal Positions are those that would impact Nodal Go-Live (critical path to go-live) Key Nodal Positions are those resources needed to execute Nodal in production (including 168 hour test) Criteria for Red Status: 0 to 20% of Key Nodal Positions for a department vacant for a period greater than 120 days 20% to 39% of Key Nodal Positions for a department vacant for a period greater than 90 days 40% or greater of Key Nodal Positions for a department vacant for a period greater than 60 days 2 (approximately 20%) or more of the Critical Nodal Positions vacant for a period of 30 days or more Criteria for Amber Status: 0 to 20% of Key Nodal Positions for a department vacant for a period of 91 to 120 days 20% to 39% of Key Nodal Positions for a department vacant for a period of 61 to 90 days 40% or greater of Key Nodal Positions for a department vacant for a period of 31+ days 1 (approximately 10%) of the Critical Nodal Positions vacant for 0 to 30 days 19 Staffing February 2008
Stabilization Period 1050 900 TNMIP Capital Projects 750 Incremental Nodal 600 Capital Projects 450 ERCOT Staff 735 300 150 Contractors Maximum ERCOT Staff: 735 (Dec 08) ERCOT will hire 110 FTEs by Dec 08 20 N ov Ju l Se p M ay N ov Ja n 09
M ar Ju l Se p M ay M ar N ov Ja n 08 Ju l Se p M ar M ay Ja n 07 0 Staffing Contractors Headcount/Recruiting Summary Net Employees Open Positions Filled Positions 1400 621 Employees at ERCOT
1200 89 Positions Filled in 2008 (233 in all of 2007) 12 Month Rolling Turnover is 14.3% 441 contractors 426 441 622 628 800 Headcount 27 Employees Left in 2008 1000 600 400 200 0 70 23 74 34 Jan-08 Feb-08 Mar-08 Apr-08 May-08 Jun-08 21 Jul-08
Aug-08 Sep-08 Oct-08 Nov-08 Dec-08 Staffing Current Staffing and Recruiting Status 99 Open Positions Current Employees Division Vacancies per 2009 Staffing Interns Openings Posted Actively Recruiting for 48 Positions 5 New Intern Positions Corporate 123 11 0 10 Information Technology 203 35 0 13 Several Positions have Offers Pending
Market Operations 139 19 1 4 System Operations 137 21 2 12 34 13 2 9 636 99 5 48 Remaining Vacancies are Planned over the Next 6 Months System Planning Total 22
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