Registration Transfers (Retailers) Mark Williams INSTRUCTION: Title slide only For use at start of call while waiting for participants to dial in.

Today’s agenda MOSL plan Introduction Transfer a SPID Cancel a Transfer Erroneous Transfer Accept/Reject an Erroneous Transfer Wrap-up

? 1.0 REC Welcome to the Registration Transfers webinar *** Dan’s introduction words… *** Thank you Dan, hello everyone, and welcome to the webinar on registration transfers. Before we launch into looking at how the CMOS system works for registration transfers, I would just like to spend a few minutes reminding you of some of the process, principles, roles, and terminology associated with a registration transfer which will be used in this webinar. (click for next slide)

CMOS Customer Incoming Retailer Market Operator Outgoing Retailer T108 Submit registration transfer Notify transfer application CMOS Cancellation window Contract Manager Contract Manager 5 days T110 Submit transfer cancellation T110 Submit transfer cancellation No cancellation = transfer Cancellation = no transfer Transfer window SPID registration transfers are at the heart of the competitive water market. This allows non-domestic customers to choose who will supply them with water and/or sewerage services; and for Retailers to offer alternatives to customers to hopefully acquire them into their portfolio. This process applies to the transfer of just a single SPID and the functionality to transfer multiple SPIDs, or Volume Transfers, will be made available at a future time. Unlike many of the CMOS transactions, transfers follow a more protracted process which may result in successful or unsuccessful transfers. This process involves multiple Market Participants, user roles within those organisations, and time windows in which transactions may be submitted. What you are about to see is a simplified representation of what is in CSD 0102 and CSD 0103 which you can reference if you want all the details, as this session focuses on how to use the CMOS system. Transfers take place between two Retailers: (click for reveal – Incoming Retailer) the first is the one who is looking to acquire the SPID and is known as the Incoming Retailer; (click for reveal – Outgoing Retailer) the second is the one who is set to lose the SPID and is known as the Outgoing Retailer. The Wholesaler is not involved directly, but does receive notifications as the various transactions are submitted so they are informed of the process underway and the final outcome. (click for reveal – T108 submission) The process is initiated in the system when a T108 Registration Transfer Application is submitted by an Incoming Retailer organisation. (click for reveal - Notification) A valid application then triggers the sending of notifications to the Outgoing Retailer to alert them of the transfer application, to the Wholesaler for information, and starts a time window in which the transfer application may be cancelled. Not shown in this process diagram is the sending of up to 28 other notifications which are sent at the same time to the Incoming Retailer to provide them with data and information about the SPID. Examples here include: Core Customer Data, Meter Details, DPID etc. as applicable for the SPID being transferred. This same list of notifications, plus those arising from some additional transactions are also sent to the Incoming Retailer as they are received by the system in the period from the transfer application up to the transfer date. These two lists can be found in CSD 0102. (click for reveal – cancellation window) So the cancellation window which I mentioned just now is set to 5 business days, starting from when the transfer application was received. (click for reveal – Contract Manager / T110 cancellation) Either of the Retailers may cancel the transfer, and have slightly different sets of allowable reasons which are described in the industry codes notably the Data Catalogue CSD 0301. A cancellation must be submitted by a Contract Manager. (click for reveal – transfer window) The transfer window lasts from when the cancellation window closes, i.e. business day 6, and can be up to 20 business days after the T108 was submitted. This is the period in which the SPID can have its registration transferred from the Outgoing Retailer to the Incoming Retailer and will become effective on the date submitted in the transfer application. (click for reveal – transfer outcome) So… if a valid cancellation is received, the transfer process is stopped immediately. If no valid cancellation is received, the transfer will proceed as requested. As a side note, and something that I will not be describing in this process, is the need to then submit a Transfer Meter Read as covered in the Meter Reads training session. So that is the transfer process, and I will now show you how to navigate to and submit the relevant transactions. (click for next slide) Day 6 to 20

(click to reveal – home screen) From the home screen… (click to reveal – Market Information Menu) …you navigate through the Market Information menu… (click to reveal – Search screen) …to the Search Market Information screen. From here, you need to search for the SPID that you wish to transfer into your organisation. In this example, I know that a customer with the name A. Nzymjkmsb [pronounced Nijkumsub] wishes to transfer supply of their water to my organisation and their post code is LL1 BB3. So I will start with entering the post code… (click to reveal – post code) … and then I put in the letter ‘A’ to bring up all customers beginning with the letter A as they are recorded with their initial rather than surname in this instance… A word of caution here for when you come to use the search functionality, that the minimum number of characters required in the fields for searches is actually greater in the live system than I have shown here in this test version used in this demo. (click to reveal – ‘A’ initial) Remember also that there is a wildcard, which is the % sign, which you can use in the event you do not know the full details of what you are searching for, by adding it after the minimum number of characters in your search field. … and then you click on the Search button… (click to reveal – search results) You now see the results of the search, and the customer we are after happens to be the first one in the list. As we are transferring the water SPID, we now click on the W button to bring up the water details of this SPID. (click to reveal – Supply Point) We now see the Supply Points tab for this SPID and we can also see that the SPID Status is Tradable. This is essential if you wish to acquire the SPID, as you will not be able to transfer it if it is not Tradable. Looking down into the Core Data area of the screen, you can see the T108 Transfer Registration Application button which you click to bring up the window to enter the transaction details. (click to reveal – TRA blank form) Before we start looking into the individual fields, I would just like to point out or remind you that any field that has a red asterisk next to it is a mandatory field and so must contain what the system has provided, or be completed by you. OK... Working down the fields in this screen… 1) The first is the Transaction ID which is generated by the system and cannot be amended. 2) The next field is the Originators Reference field which is pre-populated by the system with a reference number, but this can be over-written by you if you wish to include some other internal reference code. I am not going to change this as part of this demo. 3) The SPID field displays the SPID that is being transferred, and as it is the one that you selected, you are not able to edit it; so again we have nothing to enter here. 4) The fourth field in the screen is the Registration Start Date and this must be set to between 6 and 20 business days in the future. This is the date on which the SPID will transfer from the current Outgoing Retailer to the new Incoming Retailer. So, to select your required transfer date, you click on the Calendar symbol within the field… (click to reveal – April - today) …which brings up a pop up window with today’s date highlighted within the current month. As this is a screen shot, the date showing is when I took the screen shot. As with many calendar navigations, you can click left and right with the arrows to go to different months. For our demo we will select the 3rd of May as our Registration Start Date, the date for when the transfer should take place, so we click on the right arrow to move to May… (click to reveal – May) …and then click on the 3rd. (click to reveal – RSD and comment field entered) 5) The final field is the Text Comment Field where you can add some relevant notes as required. I have added some notes here to provide some context or information about this transfer. So when you have finished entering the transfer details, you click on the Save button to submit the transfer application… As a brief note before we move on here, the system version you will be using will have ‘Submit’ on the buttons for transactions, and ‘Save’ on buttons where you update someone’s contact details for example. (click to reveal – green banner success) …and you are then returned to the SPID details screen with a green banner at the top to show you that it was successful. If you had made some sort of error in the application you would see a red banner at the top with an appropriate error message, and then you would need to go through the submission again making the necessary adjustment. Once the transfer application has been validated the Outgoing Retailer and Wholesaler are notified to alert them that an application has been submitted and which SPID is to be transferred and when. The Outgoing Retailer may then choose whether or not to cancel the transfer, and has 5 days in which to do so. Similarly, the Incoming Retailer may also choose to cancel the transfer, and this is what we will look at next. (click for next slide)

The first thing to do is to navigate to the appropriate screen where you will be able to find the T110 transaction to cancel the application. (click to reveal – Home screen) Once again we start with the Market Information menu… (Click to reveal – Market Information menu) …and select the List Open Transaction option from the menu items. (Click to reveal – Open Transactions) You are then presented with a screen where you can manually search through the list that is presented in the table below, or you can search for the SPID you are after to directly find the transaction we need to respond to. In this example, the SPID that is subject to a transfer is the only one in the list, so a search is not necessary here. If you did need to perform a search, it would be done in the similar way as we did for searching for a SPID to do a transfer. Right, so now we have our SPID, we actually need to click on the code in the Step Type field to open up the Registration Cancellations screen. (Click to reveal – Registration Cancellation blank form) And now we see the screen itself… OK. So, working down the fields in this screen… 1) As with the other transactions we have seen, the first is the Transaction ID which is generated by the system and cannot be amended. 2) The next field is the Originators Reference field which again is pre-populated by the system with a reference number, and this can be over-written by you if you wish to include some other internal reference code. I am not going to change this as part of this demo. 3) The SPID field displays the SPID that is subject to the transfer and so there is nothing to change here. The fourth field in the screen is the Cancellation Code. (Click for reveal - Cancellation Code drop down) There are a variety of options to choose from here and this will depend on whether you are the Incoming or Outgoing Retailer. In this instance, I will select the ‘Outstanding Debt’ reason, which is only available to an Outgoing Retailer, as it requires us to fill in all the remaining fields in the screen. If any of the other options are selected, then none of the remaining fields should be completed except the ‘Text Comment Field’ as they all relate to Outstanding Debt. So if you selected something other than Outstanding Debt, you would now just enter a text comment in the last field and then press Submit. (click to reveal – Cancellation code entered) In this example we now need to enter details relating to the Outstanding Debt as the customer has not paid his bill. The first of these is to enter the date of the invoice in dispute. Before I go on, it is worth noting here that all these following fields are now mandatory even though they don’t have red asterisks next to them as the Outstanding Debt code has been selected and necessitates these fields to be completed. I should also point out that this debt information is not made available or visible to other Retailers. Clicking in the calendar icon at the right of the entry field brings up a pop up window with the calendar. (click to reveal – April) As with transfers, today’s date which is highlighted is the actually the date when I took the screen shot. I am now going to navigate back to the 2nd of December 2015 for the date when the invoice was sent which has not been paid and is subject to some form of dispute. So we use the back arrow to go back through March… (click to reveal - March) …February… (click to reveal - February) …January… (click to reveal - January) …and to December… (click to reveal – December) …where we select the 2nd. (click to reveal - date of invoice entered) 6) The next item to add is the amount outstanding on the invoice. So I will put in the sum of £63 and 25 pence. Note you only need to enter the value as the field units are stored as pounds. (click to reveal – invoice amount entered) 7) The next field to enter is the date that the invoice was due to be paid. Once again this is a calendar navigation to find the relevant date. In this example we are going to go back to the beginning of January – approximately one month after the invoice was sent. So we click on the calendar icon once again… (click to reveal - April) …and then navigate back through March… …and February … …to January where we click on the 4th. (click to reveal – original due date entered) 8) The next field to enter is another date field, which is the date when a reminder letter was sent to the customer to start chasing them for the money they owe. In this example we are going to say that we gave them about a month’s grace period from when the invoice should have been paid before we sent the reminder letter, so we need to find the relevant date once again. …and click on the 1st. (click to reveal – reminder date entered) 9) OK, so now we have entered the reminder letter sent date, and the next field to fill in is the new date specified in the letter for when the bill should be paid by. …and here we will select the 1st of March. (click to reveal – March) (click to reveal – new due date entered) 10) The final field is the Text Comment Field where you can add some relevant notes as required… (click to reveal – text comment entered) So those are all the cancellation fields entered, and now we have finished we click on the Submit button to submit the transfer cancellation application. (click to reveal - success) You are then returned to the Open Transactions screen with a green banner at the top to show you that it was successful. If you had made some sort of error in the application you would see a red banner at the top with an appropriate error message, and then you would need to go through the submission again making the necessary adjustment. You also see that the transaction has disappeared from the table below as you have dealt with the cancellation. So we have now covered how to submit a Registration Transfer and cancel it, so we can take some questions now before we move on to Erroneous Transfers. Dan, do we have any questions on the chat? (click for next slide when questions finished)

CMOS Incoming (current) Retailer Market Operator Outgoing (original) Erroneous transfer window T141 Submit erroneous transfer Notify erroneous transfer application RSD + 3 months CMOS Accept / reject window Contract Manager 10 days Notify accept / reject for erroneous transfer T142 Submit accept / reject erroneous transfer Accept = transfer back to original Retailer Reject = leave with current Retailer Right, so let’s take a look at Erroneous Transfer and first take a quick walk through an overview of this process. Once we have had a successful transfer of a SPID there is a chance that the it was made in error. This process allows for an application to be made to return the SPID to the original Retailer. We have the same participants and user roles involved with the erroneous transfer as we did we the initial transfer, but we have differing time windows in which transactions may be submitted. (click for reveal – Erroneous Transfer window) The first thing to note is that the erroneous transfer window is set to 3 months from the Registration Start Date i.e. the date the initial transfer was made. So you have three months from the transfer date to address a potential mistake in making the transfer or the transfer will remain in place until a new transfer is submitted. We have exactly the same two Retailers involved as we did for a transfer; and there is a point to note here that the terminology used in the Codes switches around so is not what you may necessarily expect as the naming of the Retailers is retained from the perspective of the original transfer… so for example… (click for reveal – current Retailer) …the Incoming Retailer from the original transfer is still called the Incoming Retailer, although they are the current Retailer and you would reasonably expect them to be referred to as the Outgoing Retailer. For clarity I will call them the current retailer. (click for reveal – original Retailer) Similarly, the Outgoing Retailer from the original transfer no longer has the SPID registered to them, so once again it would be reasonable to see them potentially as the Incoming Retailer. For clarity I will refer to them as the original Retailer. As with transfers, the Wholesaler is not involved directly, but does receive notifications as the various transactions are submitted so they are informed of the process underway and the final outcome. They are not shown in the following diagram. (click for reveal – submit T141) So… the erroneous transfer process starts with the submission of a T141 Erroneous Transfer Application transaction to the Market Operator. And this can only be submitted by the current Retailer. (click for reveal - Notify) A valid application then triggers the sending of notifications to the original Retailer to alert them of the erroneous transfer application, to the Wholesaler for information, and starts a time window in which the erroneous transfer application may be responded to. (click for reveal– Accept/Reject window) The response window is set to 10 business days and this is the period in which the original Retailer may choose to respond to accept, reject or ignore the erroneous transfer application. (click for reveal – Contract Manager) The original Retailer then has a number of options it may wish to pursue. In either case the original Retailer will need to assess the erroneous transfer application and determine whether it agrees or disagrees with it. (click for reveal – No response) The first option, if the original Retailer disagrees with the application, is to do nothing, as ‘No Response’ is treated as rejecting the application. The 10 business day window can then elapse and the SPID remains registered with the current Retailer who then receives a notification to that effect. (click for reveal – submit T142) The second option involves the Contract Manager being proactive and responding to the erroneous transfer application saying the original Retailer either accepts or rejects the application. The original Retailer can do this by submitting a T142 Accept / Reject Erroneous Transfer Application. This transaction must be submitted by a Contract Manager and the same transaction is used for either response - ‘accept’ or ‘reject’ - with the difference being a value selected in one of the drop down fields in the transaction. (click for reveal - outcome) If a valid T142 is submitted to the Market Operator, the system will process the SPID accordingly such that if the application is rejected, it will remain with the current Retailer; and if it is accepted the SPID is immediately returned to the original Retailer effective from the Registration Start Date to provide continual uninterrupted supply as though no transfer has taken place. (click for reveal - notify) When a T142 is received by the Market Operator, the system will also notify the current Retailer of the outcome of their application, and notify the relevant Wholesaler for information. Not described in this process is then what happens in the background with the updates required for the settlements process. So that is the erroneous transfers process, and I will now show you how to navigate to and submit the relevant transactions. (click for next slide) Notify rejection of erroneous transfer No response = leave with current Retailer

(click to reveal – home screen) To get to the Erroneous Transfer button, we start at the home screen… (click to reveal – Market Information menu) …and navigate through the Market Information menu… (click to reveal – Search screen) …to the Search Market Information screen. From here, we need to search for the SPID that we think was transferred in error. In this example, I know that it was a water SPID 1064000002W19, so I enter the first part of the SPID and then press the Search button… (click to reveal – SPID) (click to reveal – search results) You now see the results of the search with the SPID we are after in the list. As we are working with the water SPID, we now click on the W button to bring up the water details of this SPID… (click to reveal – Supply Point) …where we see the Supply Points tab for this SPID and find the T141 Erroneous Transfer Correction button which you click to bring up the window to enter the transaction details. (click to reveal – ETA blank form) OK... Working down the fields in this screen… 1) The first is the Transaction ID which is generated by the system and cannot be amended. 2) The next field is the pre-populated Originators Reference field which can be over-written by you if you wish. 3) The SPID field displays the SPID relating to the Erroneous Transfer Application. 4) The fourth field in the screen is the Registration Start Date, and this must be set to the date when the transfer originally took place. So it is important to know this date before you start this process. This must be the same date as the transfer date, as if the application is accepted, the supply would be continuous for the original Retailer as though a transfer had never taken place. If it is not the same, the transaction will be rejected. To select the required transfer date you click on the Calendar symbol at the end of the field… (click to reveal - April) …which brings up a pop up window with today highlighted within the current month. Although not a valid date for an erroneous transfer in this demonstration, I am just going to select the 18th of April. You will need to enter the real transfer date. (click to reveal – RSD entered) The next field is Erroneous Transfer Application Reason field which is where you enter the reason for the perceived transfer error. I will just include some sample text here… (click to reveal – reason entered) …and then we move on to the final field which is the Text Comment Field where you can add some relevant notes as required. I have just added some sample notes here… (click to reveal – text comment entered) …and when you have finished entering the erroneous transfer application details, you click on the Submit button to submit the application… (click to reveal - success) …and you are then returned to the SPID details screen with a green banner at the top to show you that it was successful. As with the registration transfer process, if you had made some sort of error in the application you would see a red banner at the top with an appropriate error message. Once the erroneous transfer application has been validated, the original Retailer and Wholesaler are notified to alert them that an application has been submitted and which SPID is potentially to be transferred back, and when. The original Retailer is then in a position to accept or reject the Erroneous Transfer Application and has 10 days in which to do so if they wish, and this is what we will look at next. (click for next slide)

The first thing to do is to navigate to the appropriate screen where you will be able to find the T142 transaction to Accept or Reject the erroneous transfer application. (Click to reveal – Home screen) The route to finding where you can accept or reject an erroneous transfer application is the same as for cancelling a transfer. So we need to go to the open transactions list which we do from the Market Information menu… (Click to reveal – Market Information menu) …where we click on the List Open Transaction option from the menu. (Click to reveal – Open Transactions) We see the same screen we saw previously, but this time in this example there is just one option to choose from and this is the T142 which is available to us as a result of an Erroneous Transfer Application. If you had a large list of items here you could look for it using the table navigation button or look for it using the search fields as we have described and shown earlier. So here in this example we will click on the code in the Step Type field to open the Accept / Reject screen. (click for reveal – accept/reject blank form) We are now presented with a short form to complete where… The first field, as with the others we have seen is for the Transaction ID which is mandatory and cannot be edited. And again we have the Originators Reference as the next field which I am not going to change. The next one is the SPID that is subject of the erroneous transfer and is once more left as it is. The next field is the Erroneous Transfer Valid Flag field which has a simple drop down list associated with it, with the only options being to enter a 1 to Accept the erroneous transfer application, or enter a zero to Reject the erroneous transfer application. I don’t have a screen shot for this drop down, but you can see their definitions in the Data Catalogue CSD. The next field is the Erroneous Transfer Rejection Reason which is mandatory if you have entered zero in the Flag field above to reject the erroneous transfer application. It is a free text field where you must record your reason for rejecting the application. The final field is the Text Comment Field where you can add any other information you wish to add that is specific to this transaction Once you have completed the form, you click on the Submit button. (click for reveal – success) As with cancellations you are then returned to the Open Transactions screen with a green banner at the top to show you that it was successful. If you had made some sort of error in the application you would see a red banner at the top with the error message. You will also see that the SPID has disappeared from the table below which also shows that the transaction has been processed and the decision submitted on whether or not to accept or reject the Erroneous Transfer application. So we have now covered how to submit an Erroneous Transfer and to Accept or Reject it, and I would just like to take another minute or so to summarise what we have seen during this training session before we take any questions on this area and any others about how to use the CMOS system for processing transfers. (Click for next slide)

Overview of the transfers process Organisations involved, roles, timeframes for the cancellation and transfer Who can make the application Who can make the cancellation Demonstration of how to submit a transfer from the Supply Point tab Demonstration on how to submit a transfer from the list of Open Transactions Overview of the erroneous transfers process Organisations involved, roles, timeframes for the application and accept/reject Who can accept/reject What happens if there is no accept/reject Demonstration of how to submit an erroneous transfer application from the Supply Point tab Demonstration on how to accept/reject an erroneous transfer application from the list of Open Transactions OK… First we took a look at the transfers process which is made by the Incoming Retailer and that there then follows a 5 business day window in which the Contract Managers of either the Incoming or Outgoing Retailers can cancel that transfer. A transfer should be scheduled to take place between 6 and 20 days from the application. We then saw how to navigate from the home screen to the Supply Point tab to find the T108 to submit the transfer application, and that the option to cancel the transfer using a T110 can be made from the Open Transactions List. We similarly went through the Erroneous Transfer process to see that only the current Retailer may make the T141 application for a potential erroneous transfer and that it is up to the original Retailer to determine how to respond if at all. We saw that the Contract Manager may submit a T142 from the List Open Transactions screen to Accept or Reject the erroneous transfer application and that there is a 10 business day window for them to do this. We also saw that if they do not respond at all, then the SPID remains with the current Retailer. And to get to the Erroneous Transfer Application, we navigated to the Supply Point tab; and to Accept or Reject that application, we navigated to the Open Transactions List. Well, I hope you found that useful and that you feel you are now able to use the system to acquire customers from your competitors. I will now hand back to Dan to open the session up to any questions. Thank you.

? REC Thank you… Feedback That concludes this training course and let’s now take any questions from the phones or through the Webex chat. Thank you