The Electric ESP Handbook

Transcription

1 The Electric ESP Handbook A GUIDE TO PACIFIC GAS &ELECTRIC COMPANY S DIRECT ACCESS PROCEDURES FOR ELECTRIC ENERGY SERVICE PROVIDERS Pacific Gas and Electric Company - ESP Services February 25, 2009

2 TABLE OF CONTENTS PREFACE... 1 ABOUT THIS GUIDE... 1 Overview... 1 Disclaimer and Warning... 1 Summary of Chapters and Contents... 2 Chapter Organization... 2 Overview... 2 Prerequisites... 3 Checklist of Key Steps... 3 The [Chapter Topic] Process Illustrated... 3 Procedures... 3 CHAPTER ELECTRIC ESP DIRECT ACCESS PRELIMINARY PROCEDURES... 1 Overview... 1 Prerequisites... 1 Checklist of key steps... 2 Electric ESP Direct Access Preliminary Procedures Illustrated... 3 Procedures Electric ESP obtains required documentation for Direct Access (DA) signup with PG&E... 4 ESP Service Agreement... 6 About Section 22, Billing Options... 6 About Section 23, Metering and Meter Reading Options... 7 Energy Service Provider Information Form... 7 ESP Credit Application and Financial Statements... 8 ESP creditworthiness requirements... 9 Credit evaluation parameters... 9 Primary credit requirements... 9 Alternate credit requirements... 9 Direct access consolidated billing options worksheet Instructions for completing the Direct Access Consolidated Billing Options Worksheet Required format for the PG&E bill detail page included on Consolidated Electric ESP bills EDI Trading Partner Agreement Main Agreement Appendix EDI Setup Form Meter Data Management Agent (MDMA) qualification/approval Electric ESP submits completed DA startup documentation to ESP Services ESP Services Representative contacts Electric ESP upon receipt of DA startup documents PG&E reviews all submitted DA startup documentation DA startup Documentation Review Timeline ESP Service Agreement Processing ESP Credit Application processing Credit Acceptance Credit Denial Page ii

3 Direct Access Consolidated Billing Options Worksheet EDI Trading Partner Agreement processing EDI Setup Form MDMA Application and Checklist ESP Services Representative informs the Electric ESP of the type of DA participation for which it is eligible Information Websites CHAPTER DIRECT ACCESS SETUP Overview Prerequisites Checklist of key steps Direct Access Setup Illustrated Procedures Electronic data exchange synopsis Prepare systems setup for electronic data exchange Review electronic transfer procedures and rules as designated by PG&E for DES and EDI (if applicable) Data transfer specifics: How DES is used to exchange DA information DES implementation Key DES contacts DES Web site EDI data transfer EDI contacts For more information EDI Direct Access transaction sets Transaction set Billing Transaction set Direct Access Service Request (DASR) Transaction set Payment and Remittance Order Meter Usage Functional Acknowledgment Test the viability and accuracy of data transferred to PG&E using DES CHAPTER PROCESSING DIRECT ACCESS SERVICE REQUESTS (DASRS) Overview Definition of Terms Prerequisites Checklist of key steps Processing DASRs Illustrated Procedures Electric ESP obtains customer authorization to submit a DASR on its behalf Electric ESP obtains customer CTC Agreement, if required Electric ESP evaluates customer DA elections and obtains customer information required to complete DASR Electric ESP submits DASR to PG&E through DES PG&E processes DASR Electronic Validation DASR Validation Account Validation PG&E sends a confirmation, rejection, or pending notification to Electric ESP Acceptance notices Rejection DASR Additional DASR procedures performed by PG&E Page iii

4 DASR for New Premises Additional setup transaction procedures Additional transaction procedures for newly established PG&E account numbers Additional Shut Off (S/O) and Shut-off Non-Payment (SONP) transaction procedures Additional Cancellation transaction procedures Additional Customer Account Data Change transaction procedures Additional procedures for Initial Customer Historical Usage Information Seamless Move Seamless Move Procedures Canceling a Seamless Move Limits to a Seamless Move Option CHAPTER DA ELECTRONIC DATA EXCHANGE CONTINGENCY PLANS Overview Behind the scenes look at the DASR process DASR Server Communication Illustrated Risks Event Scenario Back-up Plans Electric ESP unable to communicate with DES Situation Back-up Plan Failure of PG&E equipment (DASR Interface & CIS) Situation Back-up Plan CHAPTER METERING Overview Metering Services Meter Service Provider Responsibilities Meter Installation Standards Effective Direct Access Date Meter Maintenance Meter Equipment Specifications Obtaining Meter Equipment Information for Existing Customer Accounts Web Site Test Selection of the Meter Installer Scheduling Meter Removal and Installations - PG&E as Meter Installer Meters Supplied by PG&E Meters Supplied by Electric ESP DA Ready Meter Phone Service Notification - PG&E as Meter Installer Completed Meter Installs Re-scheduling Meter Installations Scheduling Meter Removals and Installations - Electric ESP as Meter Installer Meter Installation/Removal Notification * Return of PG&E Meters Service Upgrades Return to Bundled Service from Direct Access and Meter Ownership Electric ESP Inquiries Wired Phone Line Requirements Wireless Phone Installation Requirements Page iv

5 Responsibility - Phone Service Account Payment Responsibility - Phone Service Operability and Maintenance Retention of Rights Meter Data Management Agent (MDMA) Requirements MDMA Approval Process and Requirements Application and Checklist Written Requirements Server Acceptance Test Back-up Reading Process Data Format Security and Confidentiality Help Desk Validating and Editing Data Interval Data Estimating Data Interval Data Estimation Rules Accuracy and Timeliness of Usage Data Interval Data Monthly Data Data retention period Electronic exchange of metering data Interval and Time-Of-Use (TOU) data Meter Reading Meter reading data obligations PG&E meter reading Electric ESP meter reading Metered Usage Rates Life Support Customers and Medical Baseline Quantities CHAPTER DASR PROCESSES FOR METERING DATA ADJUSTMENTS AND CHANGES Overview DA Account Commodity Status Changes DA Account Commodity Shut-Offs Process Matrix of PG&E-initiated Records Related to Shut-offs by Meter Type Example Meter Change Matrix of PG&E-initiated Records Related to Meter Change Example New Meter Sets Which are not Concurrent with Old Meter Removals Meter Configuration Data Usage Adjustments Usage Adjustments to Monthly Meter Data Due to Additional Validation Checking of Data when PG&E is the MDMA Matrix of PG&E-initiated Records Related to Usage Adjustments Example Stand Alone Rebate transactions (reversal only adjustment) CHAPTER ELECTRIC ESP ACCOUNT BILLING Overview Bill Components and Billing Options Summary of bill components Page v

6 About the California Energy Commission Tax Billing options Consolidated UDC billing Consolidated ESP billing Partial Consolidated ESP Billing Full Consolidated ESP Billing Separate billing Read and Bill Serial Dates Consolidated UDC Billing Pricing options Flat ($/month) Single-tiered ($/kwh) Double-Tiered ($/kwh, Electric ESP designates tiers) Time-of-Use - TOU ($/kwh, based on PG&E s tiers) Custom pricing Submitting Rate-ready data to PG&E Deadlines for the submission of rate-ready data Bill format Bill preparation and processing Bill Printing and Delivery Reports generated by PG&E Utility User Tax Application How PG&E calculates Electric ESP payments When PG&E pays the Electric ESP I. PG&E payments to Electric ESP and supporting reports: II. When PG&E makes payment to Electric ESP III. Reserve against collections Payments from Electric ESP to PG&E Consolidated ESP Billing Bill format requirements Calculation of charges owed to PG&E Payment Processing Electronic Data Interchange (EDI) Separate Billing Procedures CHAPTER CUSTOMER INFORMATION RELEASES Overview Confidential Customer Information Release GLOSSARY DIRECT ACCESS TERMS APPENDIX A SERVICE TERRITORY CITY CODES APPENDIX B SERVICE CITY ZIP CODES APPENDIX C DA APPROVED METERS Page vi

7 P REFACE ABOUT THIS GUIDE Overview The ESP (Energy Service Provider) Services organization within PG&E, a group dedicated to providing information and guidance to ESPs, has compiled information in this document which will assist ESPs with preparing to do business under Direct Access (DA). This information reflects the latest California Public Utilities Commission (CPUC) decisions on DA. Please note that content of this document is subject to change over time as the CPUC issues further decisions relevant to DA. Disclaimer and Warning PG&E has provided these guidelines for informational purposes only. In the event of any conflict between the guidelines contained within this handbook and the DA tariffs and Energy Service Provider Service Agreement approved by the CPUC, the tariff and the Energy Service Provider Service Agreement shall control. The procedures adopted for other California utilities may differ from those of PG&E. Note that the DA Suspension Decision (D.) , dated March 21, 2002, issued by the California Public Utilities Commission, may have an impact on the qualification of customers for participation in DA. Page 1

8 Summary of Chapters and Contents Chapter 1: Electric ESP Direct Access Preliminary Procedures - discusses the preliminary documentation which needs to be signed and sent to PG&E prior to the submission of Direct Access Service Requests (DASRs). Chapter 2: Direct Access Setup - covers information about electronic information exchange setup requirements under DA. Chapter 3: Processing Direct Access Service Requests (DASRs) - discusses how Electric ESPs electronically communicate service requests related to DA to PG&E. Chapter 4: DA Electronic Data Exchange Contingency Plans - discusses contingency plans for the handling of DASRs should one or more elements of electronic DASR processing fail. Chapter 5: Metering - covers DA interval metering issues including the prioritization and forecasting of installation requests; phone service quality and billing requirements; and customer service for Electric ESPs. Chapter 6: DASR Processes for Metering Data Adjustments and Changes - provides Electric ESPs with information on PG&E DASR processes related to metering data adjustments and DA account commodity status changes. Chapter 7: Electric ESP Account Billing - contains information on the billing options which Electric ESPs can offer to their DA customers. Chapter 8: Customer Information Releases - details the types of customer information which Electric ESPs can obtain from PG&E. Chapter Organization Chapters 1 through 3, which describe sequential, step-by-step procedures, follow a consistent organizational format as described below. Overview This section, which provides an overview of the chapter topic material and related processes, emphasizes the most important concepts within the chapter. 10/5/05 Page 2

9 Prerequisites The prerequisites to the procedures covered in the chapter are detailed, ensuring that the Electric ESP is ready for the steps to follow. Checklist of Key Steps Key process steps are briefly described within a checklist format which identifies critical elements. The [Chapter Topic] Process Illustrated Visuals are an effective way to convey process information. When appropriate conceptual-level flow diagrams have been included to illustrate main process steps. Procedures This section provides a detailed discussion of items identified within the Checklist of Key Steps. Page 3

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11 C HAPTER 1 ELECTRIC ESP DIRECT ACCESS PRELIMINARY PROCEDURES Overview Prerequisites This chapter focuses primarily on the types of documents which Electric ESPs will need to submit prior to participation in Direct Access (DA). The chapter also discusses the timing involved with reviewing and processing the documentation submitted by Electric ESPs. Prior to starting DA preliminary procedures, an Electric ESP must register with the CPUC if it intends to serve Small Customers. Small Customers are defined per revised Rule 1 as customers on demandmetered schedules (A-10 and E-19V), with less than 50kW maximum billing demand per meter for at least nine (9) billing periods during the most recent twelve (12) month period or any customer on a nondemand metered schedule (A-1 and A-6). Detailed information regarding registering with the CPUC can be obtained by visiting the CPUC Web site (see Information Websites at the end of Chapter 1 in this handbook).

12 Checklist of key steps # STEP 1. Electric ESP obtains required documentation for Direct Access (DA) signup with PG&E 2. Electric ESP submits completed DA startup documentation to ESP Services 3. ESP Services Representative contacts Electric ESP upon receipt of DA startup documentation 4. PG&E reviews all submitted DA forms and documentation 5. ESP Services Representative informs the Electric ESP of the type of DA participation for which it is eligible 10/5/05 Page 2

13 Electric ESP Direct Access Preliminary Procedures Illustrated ESP obtains required documentation for Direct Access (DA) signup with PG&E ESP submits completed DA startup documentation to ESP Relations ESP Relations Representative contacts ESP upon receipt of DA startup documentation PG&E reviews and executes ESP Service Agreement and conducts a quick review of the ESP Credit Application PG&E processes Direct Access Consolidated Billing Options Worksheet Does ESP plan to offer Consolidated ESP billing? Yes PG&E reviews startup documentation required for Consolidated ESP billing PG&E processes EDI Trading Partner Agreement No PG&E processes EDI Setup Form ESP is eligible to participate in DA and offer Separate billing. PG&E evaluates ESP Credit Application Is ESP's credit approved? No PG&E informs ESP that it cannot offer Consolidated ESP billing Yes PG&E informs ESP that it can offer ESP-Consolidated billing option. Activation pending ESP's fulfillment of EDI systems requirements 10/5/05 Page 3

14 Procedures This section provides a detailed discussion of the process steps outlined within the Checklist of Key Steps. 1. Electric ESP obtains required documentation for Direct Access (DA) signup with PG&E Electric ESPs interested in participating in DA with PG&E will need to complete and execute the forms indicated in the DA Forms Table below. Information on filling out the DA forms is provided in the sections following the DA Forms Table. DA startup forms can either be downloaded from the DA Documents link on the ESP Resource Center website (see Information Websites at the end of Chapter 1 in this handbook) or obtained from PG&E s ESP Services. Electric ESPs may also contact ESP Services via the ESP Services hotline at , should they have any questions regarding the DA forms. DA FORMS TABLE # DOCUMENT DESCRIPTION WHEN REQUIRED 1. Energy Service Provider Service Agreement (the ESP Service Agreement ) 2. Energy Service Provider information 3. ESP Credit Application and Electric ESP s financial statements This document specifies the roles and responsibilities of both the Electric ESP and PG&E with respect to DA business transactions and interactions which transpire between the two parties. Note that the content of the ESP Service Agreement may be amended from time to time at the direction of the CPUC. Document which asks for detailed information about the Electric ESP which is not included within the ESP Service Agreement. PG&E uses the Electric ESP s Credit Application and financial statements to evaluate the credit worthiness of the Electric ESP. Always Always Always 10/5/05 Page 4

15 # DOCUMENT DESCRIPTION WHEN REQUIRED 4. Direct Access Consolidated Billing Options Worksheet 5. EDI Trading Partner Agreement This form specifies the services and other information related to the selection of billing options. The form also serves as an authorization for PG&E to commence preparations which are necessary to establish the billing options selected by the Electric ESP. The primary purpose of the agreement is to establish the binding nature of financial charge and payment data which is transmitted electronically between the Electric ESP and PG&E. The agreement also specifies that data be exchanged in accordance with the American National Standards Institute (ANSI) Business Interchange Standards, which is currently ANSI X12. If the Electric ESP plans to offer Consolidated ESP and/or Consolidated UDC billing If the Electric ESP plans to offer the Consolidated ESP billing option 6. EDI Setup Form This form specifies EDI systems details relevant to the electronic transmission of financial charge and payment data. If the Electric ESP plans to offer the Consolidated ESP billing option 7. MDMA Approval Application and Checklist Forms required to apply for approval as an MDMA. If the Electric ESP plans to provide MDMA services. 10/5/05 Page 5

16 ESP SERVICE AGREEMENT The following exhibit shows the first page of the ESP Service Agreement ESP SERVICE AGREEMENT (PAGE 1 OF 16) ABOUT SECTION 22, BILLING OPTIONS The Electric ESP s selection of the Consolidated ESP billing option is contingent upon meeting DA tariff creditworthiness requirements and EDI requirements. EDI requirements include submission of the EDI 10/5/05 Page 6

17 Trading Partner Agreement and EDI Setup Form as well as satisfactory systems capability for EDI transaction exchange. Creditworthiness requirements are discussed in the subsequent section, ESP Credit Application and Financial Statements. EDI testing procedures and detail on EDI protocol are covered within Chapter 2: Direct Access Setup. ABOUT SECTION 23, METERING AND METER READING OPTIONS If the Electric ESP has indicated that it will be offering all or some metering and meter reading services to its customers, it will need to meet the established requirements for the types of services it plans to offer. Electric ESPs should consult Chapter 5: Metering of this handbook for a synopsis of guidelines. Failure to meet established Meter Service Provider (MSP) or Meter Data Management Agent (MDMA) requirements prior to submitting Direct Access Service Requests (DASRs) can result in delayed DASR processing or rejection. ENERGY SERVICE PROVIDER INFORMATION FORM This form addresses additional information about the Electric ESP which is not specified within the ESP Service Agreement. Types of information include the Electric ESP s emergency contact telephone numbers, business hours, time zone, additional key functional contacts, etc. PG&E s ESP Services group in turn uses this information to better tailor the customer services it provides to Electric ESPs. 10/5/05 Page 7

18 ESP CREDIT APPLICATION AND FINANCIAL STATEMENTS The following shows the first page of the ESP Credit Application ESP CREDIT APPLICATION (PAGE 1 OF 2) 10/5/05 Page 8

19 All Electric ESPs interested in participating in DA with PG&E must complete the ESP Credit Application and submit a set of financial statements pursuant to the specifications of the ESP Credit Application. ESP CREDITWORTHINESS REQUIREMENTS Electric ESPs planning to offer Consolidated ESP billing to end-use customers must meet DA tariff creditworthiness requirements. Electric ESPs who plan to offer either UDC Consolidated or Separate billing to end-use customers may also be subject to creditworthiness requirements. In some cases, PG&E will require Separate billing for Electric ESPs who fail to meet creditworthiness requirements. Additionally, PG&E may require advance payment of authorized service fees for Electric ESPs who offer either UDC Consolidated or Separate billing. CREDIT EVALUATION PARAMETERS Electric ESPs who satisfy primary or alternate creditworthiness requirements as described below may offer Consolidated ESP billing to end-use customers. The parameters for credit evaluations and security deposits are summarized below. Electric ESPs should consult PG&E s DA Rule 22, Section N for comprehensive details regarding credit evaluation provisions. PRIMARY CREDIT REQUIREMENTS PG&E will consider an Electric ESP creditworthy if it has obtained a credit rating of either: Baa2 or higher from Moody s BBB or higher from Standard & Poor s, Fitch, or Duff & Phelps The credit evaluation may be conducted by an outside credit analysis agency, as determined by PG&E. ALTERNATE CREDIT REQUIREMENTS Electric ESPs may provide credit security in lieu of satisfying the unsecured credit requirements outlined above. The amount of the security required to establish credit will be twice the estimated maximum monthly bill for PG&E charges. With PG&E s approval, credit security may be in the form of any of the following: 1. Cash deposit 2. Letter of credit 3. Surety bond 10/5/05 Page 9

20 4. Guarantee, with the guarantor having a credit rating of Baa2 or higher from Moody s BBB or higher from Standard & Poor s, Fitch, or Duff & Phelps Electric ESPs can download PG&E s Guarantee document from the ESP Resource Center website (see Information Websites at the end of Chapter 1 in this handbook) or can be obtained by calling the ESP Services hotline at The following exhibit is an example of the first page of PG&E s Corporate Guarantee document. 10/5/05 Page 10

21 1.3 CORPORATE GUARANTEE (PAGE 1 OF 4) DIRECT ACCESS CONSOLIDATED BILLING OPTIONS WORKSHEET The following shows the first page of the Direct Access Consolidated Billing Options Worksheet. 10/5/05 Page 11

22 1.4 - DIRECT ACCESS CONSOLIDATED BILLING OPTIONS WORKSHEET (PAGE 1 OF 2) INSTRUCTIONS FOR COMPLETING THE DIRECT ACCESS CONSOLIDATED BILLING OPTIONS WORKSHEET Specifications made by the Electric ESP on this worksheet will determine the bill format that is generated for Consolidated ESP and Consolidated UDC invoices to end-use customers. 1. Electric ESPs will need to mark the checkbox(es) for the consolidated billing option(s) that it plans to provide. 2. For each consolidated billing option section, the Electric ESP indicates the additional options that it would like PG&E to provide. 10/5/05 Page 12

23 3. As some services are exclusive of others, the Electric ESP should only select one option where indicated. REQUIRED FORMAT FOR THE PG&E BILL DETAIL PAGE INCLUDED ON CONSOLIDATED ELECTRIC ESP BILLS Electric ESPs who plan to offer the Consolidated ESP billing option should be aware of PG&E s requirements for the format of the PG&E bill detail page. Detailed information and examples of PG&E s bill format requirements are addressed within Chapter 7: Billing, under the section heading Consolidated UDC Billing. EDI TRADING PARTNER AGREEMENT The following shows the first page of the EDI Trading Partner Agreement. The EDI Trading Partner Agreement consists of the main agreement text and an Appendix to the agreement. The Electric ESP will need to complete sections within both the EDI Trading Partner Agreement and the Appendix to the agreement as indicated below. MAIN AGREEMENT In section 5.0 under Trade Partner, the ESP corporate representative signs on the signature line and provides their printed name, title, and date on the appropriate lines. The following shows the first page of the EDI Trading Partner Agreement. 10/5/05 Page 13

24 1.5 - ELECTRONIC DATA INTERCHANGE (EDI) TRADING PARTNER AGREEMENT (PAGE 1 OF 7) APPENDIX The following shows the first page of the Appendix to the EDI Trading Partner Agreement. The Appendix is a part of the EDI Trading Partner Agreement document. 10/5/05 Page 14

25 1.6 - APPENDIX TO THE EDI TRADING PARTNER AGREEMENT 1. Under the Documents section, list any electronic transactions which will be performed. For Consolidated ESP billing, these transactions will include 810 (invoice), 820 (send and remit payment), and 997 (acknowledgment). Since the 810, 820, and 997 transactions are currently the most common, they have been included on the Appendix. 2. Under the Third Party Service Providers section, specify the Electric ESP s legal, business name, address, and telephone number. 3. Under the Security Procedures section, describe any security procedures with respect to the transmission of documents. 10/5/05 Page 15

26 4. Under the Existing Agreements section, the Electric ESP will need to list any special conditions and agreements which may impact how the exchange of Consolidated ESP billing information must be handled. EDI SETUP FORM The following shows the EDI Setup Form EDI SETUP FORM 10/5/05 Page 16

27 In order to initiate EDI setup with PG&E, the Electric ESP will need to complete the EDI Setup Form, indicating EDI contacts, Value Added Network (VAN), version, supported transaction sets, value added service bank, bank transit routing number, bank account number, etc. METER DATA MANAGEMENT AGENT (MDMA) QUALIFICATION/APPROVAL Electric ESPs who wish to provide MDMA services or use the services of an MDMA other than PG&E will need to have their prospective MDMA complete and submit the PG&E s Application for MDMA Approval and MDMA Approval Checklist to ESP Services by fax ( ) or mail (see next section). The application and checklist are available through the DA Documents link on the ESP Resource Center website (see Information Websites at the end of Chapter 1 in this handbook). The name of the document is MDMA Qualification Instructions. For detailed information on the MDMA approval process, see the section Meter Data Management Agent (MDMA) Requirements in Chapter 5: Metering. 2. Electric ESP submits completed DA startup documentation to ESP Services Electric ESPs will need to submit two (2) sets of completed and executed DA forms, with original signatures, as well as one set of financial statements, to PG&E at the following address: ESP Services Yolanda Lerma Pacific Gas and Electric Company 77 Beale Street P.O. Box M/C B19C San Francisco, CA ESP Services Representative contacts Electric ESP upon receipt of DA startup documents ESP Services reviews every set of DA startup documentation received from Electric ESPs to ensure that all information required for the level of service that the Electric ESP intends to offer to its end-use customers has been provided. An ESP Services Representative will contact the Electric ESP upon receipt of the DA startup documentation package to discuss the next steps related to DA participation, such as the submission of DASRs, or to request additional information from the Electric ESP. 4. PG&E reviews all submitted DA startup documentation The sections below describe PG&E s role in reviewing the DA forms and documents, which the Electric ESP has submitted. The first section provides a process timeline and is followed by sections describing how PG&E handles each type of DA document. 10/5/05 Page 17

28 DA STARTUP DOCUMENTATION REVIEW TIMELINE The timeline below illustrates the amount of time that an Electric ESP should expect for the review of DA documents submitted to PG&E. Under normal conditions, PG&E will ensure that document processing takes place within the time allowances indicated below. Electric ESPs should use the timeline to assist with the planning of their DA roll-out. Day 1 on the timeline represents the day that ESP Services receives the DA documentation package from the Electric ESP. Timely processing of the ESP Service Agreement, ESP Credit Application, and EDI forms is contingent upon PG&E receiving all completed required documents from the Electric ESP. ESP SERVICE AGREEMENT PROCESSING 1. Under normal conditions, PG&E will execute the ESP Service Agreement within two business days of receipt. 2. PG&E will forward one of the fully executed ESP Service Agreement documents to the Electric ESP at the address indicated within Section 13.1 of the agreement. ESP CREDIT APPLICATION PROCESSING 1. Upon receipt of the Electric ESP s credit application and financial statements, PG&E s Credit Risk Management Unit (CRMU) will review the application and other required financial information (i.e. Moody s, D&B, audited financial statements) to determine the credit worthiness of the Electric ESP in accordance with the provisions under PG&E s DA Rule 22. If the CRMU has the completed ESP Credit Application, financial statements, and any other documentation necessary to conduct its credit evaluation of the Electric ESP, the process normally will be completed within ten (10) business days. 2. The CRMU will advise the Electric ESP and PG&E s ESP Services regarding the outcome of the Electric ESP s credit evaluation (i.e. if the Electric ESP s credit rating is sufficient, or if PG&E will require additional security). 3. Once ESP Services has been informed that the Electric ESP s credit has been either approved or denied, it will reflect the appropriate information in PG&E s ESP database, which is used to validate the DASRs PG&E receives from the Electric ESP. 4. The original credit documents (for example, credit application, financial statements, surety bond, letter of credit or guarantee), will be maintained in a file at PG&E s CRMU. 10/5/05 Page 18

29 CREDIT ACCEPTANCE If the Electric ESP s credit is approved, the Electric ESP will be eligible to offer Consolidated ESP billing to end-use customers. CREDIT DENIAL If the credit requirements outlined above are not met, the Electric ESP will not be eligible to offer Consolidated ESP billing to end-use customers until credit is established. PG&E will automatically establish Separate billing for the Electric ESP, unless the Electric ESP requests Consolidated UDC billing. DIRECT ACCESS CONSOLIDATED BILLING OPTIONS WORKSHEET PG&E will process the Direct Access Consolidated Billing Options Worksheet internally upon receipt. EDI TRADING PARTNER AGREEMENT PROCESSING 1. PG&E will normally execute the EDI Trading Partner Agreement within two business days of receipt. 2. PG&E will forward one of the fully executed EDI Trading Partner Agreement documents to the Electric ESP at the address provided. EDI SETUP FORM PG&E will process the EDI Setup Form internally upon receipt. MDMA APPLICATION AND CHECKLIST PG&E will process the Application for MDMA Approval and MDMA Approval Checklist within ten (10) days of receipt. 5. ESP Services Representative informs the Electric ESP of the type of DA participation for which it is eligible An ESP Services Representative will inform the Electric ESP of the type of DA participation for which it is currently eligible. If the Electric ESP correctly completed and executed the ESP Service Agreement, it should be able to participate in DA and offer Separate billing to its end-use customers. 10/5/05 Page 19

30 The Electric ESP will be eligible to offer Consolidated ESP billing to its customers if it has obtained credit approval, has submitted a completed Consolidated Billing Options Worksheet, and has submitted the EDI Trading Partner Agreement and EDI Setup Form. However, the Electric ESP will not be able to activate Consolidated ESP billing until it has fulfilled the applicable systems requirements for EDI, which are discussed in Chapter 3: Direct Access Setup. 10/5/05 Page 20

31 Information Websites Electric ESPs may wish to add the following sites as favorite links on their web browsers for easy access to information about PG&E s Direct Access program. NAME ADDRESS PG&E Corporation Electric ESP (Electric Energy Service Provider) Resource Center Gas ESP (Gas Energy Service Provider) Resource Center EDI Web Tariff Book DES CPUC California Independent Systems Operator (CAISO) MADS.PGE.COM /5/05 Page 21

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33 C HAPTER 2 DIRECT ACCESS SETUP Overview Prerequisites Prior to offering DA to end-use customers through submission of a Direct Access Service Request (DASR), the Electric ESP must satisfy certain requirements with respect to electronic data exchange and metering. For instance, the Electric ESP must both establish a systems infrastructure which is capable of handling the transmission of information in a format acceptable to PG&E and also have the capability to exchange information with PG&E over the Internet. Prior to obtaining proceeding with DA setup, the Electric ESP must fulfill the following: Register with the CPUC if it intends to serve Small Customers. Complete, execute, and submit the ESP Service Agreement and ESP Credit Application. (See Chapter 1) Complete, execute, and submit the Consolidated Billing Options Worksheet if planning to offer consolidated billing options. Complete, execute, and submit the EDI Trading Partner Agreement and EDI Setup Form if planning to offer Consolidated ESP billing. If applicable documents are not submitted, PG&E will default billing option selection to Separate billing. (See Chapter 1) Obtain credit approval from PG&E if planning to offer Consolidated ESP billing. If credit is not approved, PG&E will default billing option to Separate billing. (See Chapter 1)

34 Checklist of key steps # STEP 1. Prepare systems setup for electronic data exchange 2. Review electronic transfer procedures and rules as designated by PG&E for DES and EDI (if applicable) 3. Review electronic transfer procedures and rules as designated by PG&E for DES and EDI (if applicable) Direct Access Setup Illustrated Prepare systems setup for electronic data exchange Review electronic transfer procedures and rules as designated by PG&E for DES and EDI (if applicable Review electronic transfer procedures and rules as designated by PG&E for DES and EDI (if applicable Procedures This section provides a detailed discussion of the process steps outlined within the Checklist of Key Steps. 10/5/05 Page 24

35 Electronic data exchange synopsis Participation in DA will require that Electric ESPs are capable of exchanging service account information electronically with PG&E. Currently all DA information is transmitted using data transfer protocol, which allows Electric ESPs to submit administrative DA transactions (i.e. DA setup, DA service termination, meter usage, billing service options, customer service account changes, etc.) to PG&E through the Internet. Data exchange between PG&E and the ESP is accomplished when the ESP retrieves response data from a data directory that has been established for them. Data entry and Internet connectivity will be facilitated by the Data Exchange Service (DES), which Electric ESPs can easily install locally on their systems. Additionally, the transmission of financial information (i.e. Electric ESP/PG&E charges and payments) will be required via Electronic Data Interchange (EDI) protocol will also be required for Electric ESPs who plan to offer the Consolidated ESP billing option to end-use customers. 1. Prepare systems setup for electronic data exchange The first step involved with electronic data transfer is to establish a systems environment which can support the processing requirements related to DASRs and Consolidated ESP billing transactions. The following requirements summarized below are further elaborated upon in Sections C and D of Rule 22: 1. An Electric ESP will be required to meet electronic data exchange requirements as specified by PG&E. To commence the process for establishing this requirement, the Electric ESP must contact PG&E. 2. PG&E may allow alternative arrangements to electronic data exchange at its discretion for certain transactions. 3. An Electric ESP must have the capability to exchange data with PG&E via the Internet. 4. The Electric ESP must have the capability to communicate to and from Metering and Data Management Agent (MDMA) servers for the sharing of meter reading and usage data. 5. The Electric ESP must have the capability to perform Electronic Data Interchange (EDI) if it will be offering ESP or UDC Consolidated billing options. 6. To commence the process for establishing EDI, the Electric ESP must contact PG&E and shall be required to enter into a trading partner agreement in the form by completing and submitting the EDI Trading Partner Agreement to PG&E. 2. Review electronic transfer procedures and rules as designated by PG&E for DES and EDI (if applicable). Electric ESPs who participate in DA with PG&E will need to conform to specific electronic transfer procedures and rules as discussed below. 10/5/05 Page 25

36 DATA TRANSFER SPECIFICS: HOW DES IS USED TO EXCHANGE DA INFORMATION DES was developed specifically to transmit gas and electricity utility metering, billing, and administrative information contained within DASRs between Electric ESPs, UDCs, Metering Agents (MA), and Billing Agents (BA). Information is transmitted between the Electric ESP and PG&E through DES over the Internet (World Wide Web). All DASRs that the Electric ESP submits through DES are transmitted to a data repository external to PG&E s firewall called the QUE and are automatically time stamped upon arrival. The time stamp determines the priority of the DASR. These DASRs are then forwarded in order of priority to a server inside PG&E s firewall called the PG&E DASR Interface ( DASR Interface ), where they are further processed by priority within PG&E s Customer Information System (CIS). DASRs that PG&E transmits to the Electric ESP are initially placed in the DASR Interface and then forwarded to the QUE, from which the Electric ESP can download or view the DASRs. The diagram below depicts the information channels used when DASRs are submitted. ESP Que Fire Wall PG&E DASR Interface ESP CIS CS05 Switching Logic ESP 2.1: DASR SUBMITTAL INFORMATION FLOW CHANNELS DES implementation KEY DES CONTACTS Questions regarding DES protocol or systems implementation requirements related to DES should be directed to: 10/5/05 Page 26

37 CONTACT LYNN MCELHATTON, USER ACCESS CONTROL AND DES ADMINISTRATOR CONTACT INFO PHONE: (415) DES WEB SITE Electric ESPs can also consult the DES Internet site at for information about using DES to transmit EDI data. The exhibit below provides an example of the DES index page. 2.2: DES WEBSITE EDI data transfer NOTE: The demos provided serve as tutorials for using DES. As indicated, documentation is also available through the site and includes the information topics listed below. Electronic Data Interchange, (EDI) is the exchange of business data in a standardized format between business computer systems. EDI represents a fundamental change in the way companies transact business. It replaces paper-intensive functions with efficient electronic transactions and eliminates the need for printing and mailing business information. By using standard formats and languages, the 10/5/05 Page 27

38 computerized data can be electronically transmitted between two companies and interpreted automatically. The process of sending data via EDI requires a series of steps on the part of the sending and receiving partners (known as Trading Partners). Once the foundation of your EDI message is defined, most of these steps will be either automated or procedures will be developed. Pacific Gas and Electric Company presently utilizes Value Added Networks (VAN's) for EDI Outbound 810 billing transactions. We also have the ability to utilize EDI over Internet connectivity for EDI Outbound 810 billing transactions to Energy Service Providers. The EDI contacts below can provide valuable guidance and advice. EDI Direct Access transaction sets are summarized below the contact table. EDI contacts Questions regarding EDI protocol or systems implementation requirements related to DES should be directed to: CONTACT FUNCTIONAL AREA CONTACT INFO TOM ELDER SENIOR PROJECT MANAGER BILLING PHONE: (415) TXE6@pge.com FOR MORE INFORMATION For additional, detailed information on the EDI process, visit the EDI Web site. EDI Direct Access transaction sets TRANSACTION SET BILLING The 810 Transaction Set is used to provide established PG&E billing data in an electronic format to its customers. The billing data provided electronically reflects the same information that appears on a traditional paper bill and is consistent with national standards for EDI. TRANSACTION SET DIRECT ACCESS SERVICE REQUEST (DASR) The 814 Transaction Set or DASR is sent between the Utility and Energy Service Providers (ESPs) for purposes such as connecting a customer (i.e. Connect Request), updating a significant customer event (i.e. Update Request/Notification), or disconnecting a customer (i.e. Disconnect Request). 10/5/05 Page 28

39 NOTE: that an Electric ESP that exchanges 814 EDI data with PG&E must also be able to receive 867 EDI. The 867 is used to pass the required 12 months of usage history for the customer to the Electric ESP. TRANSACTION SET PAYMENT AND REMITTANCE ORDER The 820 Transaction Set is used to make a payment and send a remittance advice. This transaction set can be an order to a financial institution to make a payment to a payee. It can also be a remittance advice identifying the detail needed to perform cash application to the payee's accounts receivable system. PG&E's application requires that the 820 go through a financial institution METER USAGE The 867 Transaction Set is used to transfer meter usage data. Where the Electric ESP is the MDMA the 867 will be sent to PG&E as in inbound file. Where PG&E is the MDMA the 867 will be sent as an outbound file to the Electric ESP. Refer to the implementation checklists below for both the 867 inbound and outbound requirements FUNCTIONAL ACKNOWLEDGMENT The Draft Standard for Trial Use contains the format and establishes the data contents of the Functional Acknowledgment Transaction Set (997),. Transaction Set 997 can be used to define the control structures for a set of acknowledgments to indicate the results of the syntactical analysis of the electronically encoded documents. The encoded documents are the transaction sets, which are grouped in functional groups, used in defining transactions for business data interchange. This standard does not cover the semantic meaning of the information encoded in the transaction sets. Test the viability and accuracy of data transferred to PG&E using DES PG&E requires each Electric ESP to conduct electronic data transfer testing. Therefore, the Electric ESP will need to develop a viable test plan with respect to testing the transfer of DA information to PG&E via DES. Testing requirements, testing implementation framework, and required downloadable programs are available to Electric ESPs on the DES Web site. 10/5/05 Page 29

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41 C HAPTER 3 PROCESSING DIRECT ACCESS SERVICE REQUESTS (DASRS) Overview This chapter discusses the processing cycle associated with Direct Access Service Requests (DASRs) and the establishment of Electric ESP services to include: DA enrollment, cancellation of DASRs, DA service termination, and DA account maintenance. The chapter also describes how DASRs are prioritized for processing once received by PG&E and when DA service will commence after a setup DASR has been accepted. Definition of Terms Direct Access Service Requests (DASRs) are the electronic records used to initiate, update and cancel Direct Access service options between Electric ESPs and end-use customers. Electric ESPs are authorized by end-use customers to submit DASRs for service accounts that desire to switch to DA, change Electric ESPs, cancel DA, etc. An approved DASR will become a part of the ESP Service Agreement and will be used to define the services that PG&E will be providing to the customer. Customers with more than one account with PG&E at the same premises may choose DA or full service for each separate account. However, a customer may not partition the load at a single meter or on a single account with multiple meters. In order to establish DA service for end-use customers, Electric ESPs must submit DASRs, which provide detailed information about the service requirements for a given customer. An end-use customer may not directly submit a DASR to PG&E unless that customer has agreed to act as an Electric ESP on its own behalf. The Electric ESP must submit all DASR information electronically through DES using the protocol discussed previously within the Electronic Data Exchange section of Chapter 2: Direct Access Setup.

42 TRANSACTION # COMMUNICATION FLOW DESCRIPTION OF TRANSACTION 1 (ELECTRIC ESP TO UDC) 2 (ELECTRIC ESP TO UDC) 3 (UDC TO ELECTRIC ESP) 4 (UDC TO ELECTRIC ESP) 5 (UDC TO ELECTRIC ESP) 6 (ELECTRIC ESP TO UDC) 7 (UDC TO ELECTRIC ESP) 8 (ELECTRIC ESP TO UDC) OR (UDC TO SP) setup/establish direct access with customer discontinue direct access with customer acknowledge success of direct access request acknowledge failure of direct access request acknowledge actual switch of service provider acknowledge receipt of switch notification notify of shutoff or turn-on of service account maintenance (i.e., customer rate schedule change) Prerequisites FLOW OF DASR TRANSACTION INFORMATION Prior to obtaining customer information and submitting DASRs, the Electric ESP must fulfill the following: Register with the CPUC if it intends to serve small customers. Complete, execute, and submit the ESP Service Agreement and ESP Credit Application (See Chapter 1: Electric ESP Direct Access Preliminary Procedures). Complete, execute, and submit the Consolidated Billing Options Worksheet if planning to offer consolidated billing options. Complete, execute, and submit the EDI Trading Partner Agreement and EDI Setup Form if planning to offer Consolidated ESP billing. (See Chapter 1: Electric ESP Direct Access Preliminary Procedures). Obtain credit approval from PG&E if planning to offer Consolidated ESP billing. If credit is not approved, PG&E will default billing option to Separate billing. (See Chapter 1) 10/5/05 Page 32

43 Prepare information systems setup for electronic data exchange. (See Chapter 2) Confirm the viability and accuracy of information transferred to PG&E by performing data exchange testing in accordance with PG&E requirements. (See Chapter 2) Meet the requirements of CPUC Code Section 365(b)(2) (renewable supplier status) if the DASR indicates that the Customer and Electric ESP claim the status afforded by that code section. DASRs in which the Electric ESP and the Customer claim the status afforded by Section 365(b)(2) will be given priority in the processing of the DASR in the event of backlog. Additionally, Electric ESP customers who wish to obtain DA services are subject to the following requirements and conditions: Checklist of key steps A customer must have a service account number assigned by PG&E before the customer may authorize an Electric ESP to submit a DASR on its behalf. If the customer is new to the service territory or is moving to a different physical location within the service territory, the customer must first establish an account with PG&E and receive an account number. This account number will be used for the submission of the initial DASRs. # STEP 1. Electric ESP obtains customer authorization to submit a DASR on their behalf. 2. Electric ESP obtains Customer CTC Agreement, if required. 3. Electric ESP determines DASR transaction and obtains customer information required to complete DASR. 4. Electric ESP completes DASR information. 5. Electric ESP submits DASR to PG&E through DES. 6. PG&E processes DASR. 7. PG&E sends a confirmation, rejection, or pending notification to Electric ESP within two business days. Processing DASRs Illustrated The diagram below depicts the primary procedures related to processing DASRs. 10/5/05 Page 33

44 ESP obtains customer authorization to submit a DASR ESP obtains customer CTC agreement, if required ESP evaluates customer DA elections and obtains appropriate data ESP completes DASR ESP submits DASR through DES PG&E evaluates DASR Accept DASR Yes No-reject No-pending PG&E sends rejection notice to ESP & customer PG&E sends pending notice to ESP & customer ESP resolves DASR issues Yes Pending for more than 11 days? PG&E sends acceptance notice to ESP & customer performs DASR transaction No 10/5/05 Page 34

45 Procedures This section provides a detailed discussion of the process steps outlined within the Checklist of Key Steps. 1. Electric ESP obtains customer authorization to submit a DASR on its behalf An Electric ESP must receive authorization from the end-use customer in order to submit a DASR on its behalf. The customer can authorize any of the available DASR transactions such as DA setup, DA termination, and switch of Electric ESP. 2. Electric ESP obtains customer CTC Agreement, if required As a condition of receiving DA service, DA customers will be responsible for paying for all Competition Transition Charges (CTC) and other non-bypassable charges authorized by the CPUC for the UDC to recover from customers in accordance with state law. DA customers are required to confirm this responsibility in writing provided to the Electric ESP, unless the customer is exempt from the requirement to provide such a confirmation in writing pursuant to Public Utilities Code Section 370. Where the customer disputes its obligations to pay CTC for a particular account, the customer may condition its agreement on resolution of the dispute, provided that the customer has formally requested the CPUC to grant such relief. However, the existence of such a dispute does not relieve the customer from the obligation of paying CTC while the dispute is pending. PG&E will continue to bill the customer (either directly or indirectly through its Electric ESP, depending on the billing option selected) for such charges. The customer must pay all charges, but may pay any amounts in disputes in accordance with Rule 10, pending resolution of the dispute. 3. Electric ESP evaluates customer DA elections and obtains customer information required to complete DASR Electric ESPs can designate different types of transactions on a given DASR. The table below lists the transactions, which the Electric ESP can initiate on behalf of an end-use customer. The table also identifies key customer information that the Electric ESP will need to obtain depending on the type of transaction. In addition to the customer information outlined below, there are additional field requirements for each of the transactions. These requirements are available through the DES Web site at (see Information Websites at the end of Chapter 1 in this handbook). The designations correspond to those specified in the DASR transaction descriptions. 10/5/05 Page 35