1 Supporting materials for RMS Follow up from April RMS presentation Expedited Switch/Customer Rescission (Retail Customer Choice Team)

2 997 Functional Acknowledgement What is it? Sent from the receiver to the sender of an.edi transaction to acknowledge receipt Per Protocol Section 19 –CR, TDSP, or ERCOT shall respond with a 997 within 24 hours of receipt of an inbound transaction –All parties must send Functional Acknowledgements (FA/997) for all EDI transactions

3 997 Functional Acknowledgement Why is it important? Failure to successfully receive and process a 997 is the first indication of missing enrollments, usage, system issues, etc Without the 997s CRs, TDSPs and/or ERCOT are missing a critical audit trail How to help? Verify that 997s produced contain the correct data elements and match the transaction received What reports can be utilized? –Missing 997 Report is posted daily

997 Functional Acknowledgement *April 2009* How are we doing? In January ERCOT had 12.6% of 997s not successfully received –January count of outgoing transactions 8,912,379 –January count of 997s not processed inbound 1,126,500 ERCOT has found a significant # of 997s received that did not have all the data elements corresponding to the outgoing transactions 4

997 Functional Acknowledgement How are we doing? In September ERCOT had.002% of 997s not successfully received –Sept count of outgoing transactions 10,207,546 –Sept count of 997s not processed inbound 22,594 5

6 IAG/IAL Customer Rescission Retail Market Guide: Customer Rescission after Completion of a Switch Transaction Only the Gaining CR may initiate the process of returning the Customer to the original CR by filing a MarkeTrak issue In order to ensure a fee is not assessed, the REP shall follow the process outlined in the MarkeTrak User’s Guide, including specific pre-determined comments stating “Customer rescission-please process this issue per P.U.C. S UBST. R (n).”

7 IAG/IAL Customer Rescission MarkeTrak Users Guide: Submitting a Rescission-based Issue Comment - “Customer rescission-please process this issue per P.U.C. S UBST. R (n).” i.This comment is required at the time of submission in order for the issue to be considered rescission-based. Also, for reporting purposes, it is important that this comment be entered exactly as shown above.

8 Customer Rescission Inadvertent/Cancel With Approval Issue Summary: Increase in Aggregate Issues Sub Type Issues Submitted 6/1/09 to 8/16/09 Issues Submitted 8/17/09 to 10/31/09 % Increase in Issues Submitted Inadvertent Losing % Inadvertent Gaining % Cancel With Approval % Total % Or 7043

9 IAG/IAL Customer Rescission CommentInadvertent LosingInadvertent Gaining Customer rescission-please process this issue per P.U.C. Subst. R (n) Comment Contains: Inadvertent Issue Summary: Total Inadvertent Issues with Comment:

10 IAG/IAL Customer Rescission Inadvertent Issue Summary: Other Comments we’ve found on Rescission Issues: ‘Customer has timely informed CR they want to cancel change of service under Customer rescission…’ ‘Cust rescinded.’ ‘…This is a customer recission MT not an IAG.’ ‘Customer rescinded switch request within 3 federal business days…’ ‘THIS IS A CUSTOMER RESCISSION!’ ‘customer rescissioni-please process this issue…’