1. 1 Supporting materials for RMS Provided by Retail Customer Choice (RCC) team

2. 2 Pro-Active Transaction Resolution Measures 867s Received on Cancelled Service Orders

3. 3 Situation ERCOT periodically receives 867_03 Finals and 867_04s for service orders that are Cancelled in ERCOT systems. The Service Order Sub-Statuses that are considered Cancelled are: CR Requested, Customer Objection, ERCOT Operating Rule, Manual, Permit Not Received, with Exception, Unexecutable and Rejected by TDSP. This can indicate an out-of-sync condition between the TDSP and ERCOT. Mechanism for Handling 867 RCSO: Step 1: ERCOT produces 867RCSO data each Friday and submits a report file to each TDSP via the ERCOT Portal Step 2: The TDSPs review the report line items and take one of the following actions: a) If the TDSP has cancelled the service order, no further action is required b) If the TDSP has completed the service order, they will initiate a day-to-day MarkeTrak issue and work with ERCOT to get ERCOT systems changed to complete. Completion of cancelled service orders will require the approval of the CR initiating the transaction. (Note: For Cancel by Customer Objection, the TDSP will honor the cancel in their systems) 867s received on Cancelled Service Orders

4. 4 867s received on Cancelled Service Orders - 2010

5. 5 Pro-Active Transaction Resolution Measures Missing 867 Report Summary

6. 6 Missing 867 Report The Missing 867 Report will provide TDSPs information about Service Orders in a scheduled state for which ERCOT has not received an 867 completing transaction at least seven days after the scheduled meter read Weekly report provided to the TDSP via the ERCOT Portal Stats Summary: Missing 867 Report

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8. 8 MarkeTrak Issue Statistics

9. 9 Day to Day Issues - Summary

10. 10 Day To Day Issues: Subtype Descriptions Inadvertent Gaining…CR has inadvertently gained (or is pending the gain) of an LSE Relationship to another CR in error. Inadvertent Losing…CR has inadvertently lost (or is pending the loss) of an LSE Relationship to another CR in error. Cancel w/Approval…CR/TDSP requesting cancellation of an initiating transaction in instances submitting an 814_08 would result in a rejection. Cancel w/o Approval…TDSP requesting cancellation of an initiating transaction for market defined reasons that do not require approval from the CR. Missing Transaction…CR/TDSP is missing any expected 814, 867_04 or 867_03 Final. Usage/Billing Issues…CR/TDSP has questions pertaining to point-to-point transactions excluding the 867 Contingency Plan. Reject Transactions…CR/TDSP has questions pertaining to rejected transactions or reject reasons. REP of Record…CR/TDSP has questions pertaining to ERCOT LSE or TDSP LSE relationship histories. Projects…CR/TDSP has issues pertaining to internal/market projects, system trouble, or related problems as defined by the submitter. Siebel/Chg Info…CR/TDSP questioning a discrepancy pertaining to Siebel service order status changes and Start/Stop time issues when transactions are present in ERCOT systems. 997 Issues…CR/TDSP verification of a 997 sent/received. Other…CR/TDSP has Day to Day issues that do not fit one of the Sub Types indicated above such as: Siebel/997 reports, CSA’s. Service Order – 650…CR/TDSP has questions pertaining to missing EDI transactions or 650 transactions which are missing, not completed, or rejected. Move Out With Meter Removal…TDSP notifying the CR of 650_04 previously sent and the need for the MVO coded B44 to terminate the meter on the account. Premise Type…CR requesting that a TDSP send an 814_20 transaction to update systems with a new premise type for a particular ESIID when an out of sync condition exists. Service Address…CR requesting that a TDSP send an 814_20 transaction to update systems with a new service address for a particular ESIID. Safety Net…TDSP has questions pertaining to missing EDI transactions and who the TDSP shows as the Rep of Record in TDSP system. Issue Sub-Type:Submitted when…

11. 11 Inadvertent Gains - Detail by State

12. 12 Inadvertent Gain: State Description State:State Details… Pending Issue…Issue has not yet been submitted for consideration by the initiating party. New (ERCOT)…Pending initial acknowledgement by an individual at ERCOT. In Progress (ERCOT) …ERCOT to provide necessary information to move the issue towards resolution including IAS data and assistance with market guidelines. New (Gaining CR)…Pending either initial acknowledgement by the Gaining CR or returned to the Gaining CR for additional consideration. In Progress (Gaining CR) …Gaining CR to view and either agree with the IAG and move the issue toward resolution, or disagree with the IAG and provide reason for non-agreement. New (Losing CR)…Pending either initial acknowledgement by the Losing CR or returned to the Losing CR for additional consideration. In Progress (Losing CR) …Losing CR to view and either agree with the IAG and move the issue toward resolution, or disagree with the IAG and provide reason for non-agreement. New (TDSP)…Pending either initial acknowledgement by the TDSP or returned to the TDSP for additional consideration. In Progress (TDSP)…TDSP to view and either agree with the IAG and move the issue toward resolution, or disagree with the IAG and return to the Submitting CR with reason for non-agreement or return to the Losing CR for additional service order information. New (Losing CR Submit) …Pending initial acknowledgement by the Losing CR after the TDSP has indicated they are ready to receive the regaining transaction. In Progress (Submit Regaining) …Losing CR to send the regaining transaction and provide details of that transaction including submit date, BGN 02, and transaction date, or to send the issue back to the TDSP for additional information.

13. 13 Inadvertent Gain: State Description Cont. State:State Details… Regaining Transaction Submitted (PC) …Losing CR has indicated the Regaining Transaction has been sent. The issue will auto close once the order status for the Regaining Transaction has updated to Complete in ERCOT system and the MarkeTrak issue reflects the Complete status. Withdrawn…Initiating MP has the option to remove the issue from consideration prior to acknowledgement by another MP. Invalid IAG…ERCOT has performed initial validations and determined that the issue is invalid for one or more of the reject reasons as defined in the RMG Section 7.2.2.4. Unexecutable (PC)…The Gaining CR or the Losing CR have indicated they are not in agreement with the IAG or that it cannot be resolved as submitted per Market guidelines. Barring updates, the issue will auto close in 2 weeks. Complete…Closed state: Issue resolution accepted by submitting party from a state of Regaining Transaction Submitted (PC). Auto Complete…Closed state: Regaining Transaction Status on issue has updated to Complete from the state of Regaining Transaction Status (PC), or the issue auto completes after 2 weeks with no update from a state of Unexecutable (PC). Closed by ERCOT…Closed state: ERCOT Intervention required to remove visibility due primarily to proprietary information updated to issue. Closed by Submitter…Closed state: Submitting party has the option to close the issue at any time that Withdraw is not available and the issue in not in a Complete state.

14. 14 Cancel With Approval - Detail by State

15. 15 Cancel with Approval: State Description State:State Details… Pending Issue…Issue has not yet been submitted for consideration by the initiating party. New…Pending either initial acknowledgement by an individual at the TDSP or returned to TDSP for additional consideration. Withdrawn…Initiating MP has the option to remove the issue from consideration prior to acknowledgement by another MP. In Progress…TDSP to provide ERCOT with agreement with cancel request or CR indication that request is already complete / unable to be completed. New (ERCOT)…Pending acknowledgement by ERCOT In Progress (ERCOT)…ERCOT to perform agreed upon cancels in the Registration System, request additional information or indicate that cancel cannot be performed. Cancelled (PC)…All parties have indicated the requested service order has or will be cancelled. Barring updates the Issue will auto close in 2 weeks. Unable to Cancel (PC)…Any party has indicated the issue is not a valid Cancel w Approval issue or cannot be cancelled. Barring updates the Issue will auto close in 2 weeks. Complete…Closed state: Issue resolution Accepted by submitting party from a state of Agreement Reached (PC) or No Agreement Reached (PC). Auto Complete…Closed state: No updates to issue for 2 weeks from a state of Agreement Reached (PC) or No Agreement Reached (PC). Closed by ERCOT…Closed state: ERCOT Intervention required to remove visibility due primarily to proprietary information updated to issue. Closed by Submitter…Closed state: Submitting party has the option to close the issue at any time that Withdraw is not available and the issue in not in a Complete state.

16. 16 DEV LSE Issues - Summary

17. 17 DEV LSE Issues: Subtype Descriptions LSE in MP System not ERCOT: Active…MP systems show an Active LSE relationship not present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts. LSE in MP System not ERCOT: Inactive…MP systems show an Inactive LSE relationship not present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts. LSE in ERCOT System not MP…MP systems do not show an LSE relationship which is present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts. LSE date change: Start Time …MP systems show an LSE relationship present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts with a different initiation/enrollment date. LSE date change: Stop Time …MP systems show an LSE relationship present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts with a different end date. LSE date change: Start and Stop Time …MP systems show an LSE relationship present in ERCOT’s Registration System (Siebel) as indicated by MP SCR727 Extracts with a initiation/enrollment and end date. Issue Sub-Type:Submitted when…