1. 1 Solution to Stacking Educational Seminar May 7, 2003

2. 2 MIMO Task Force Agenda Move-In / Move-Out Task Force  History  Approach  Approved Concepts (Short Term)  Approved Concepts (Mid Term) Solution to Stacking  Background on NFI Rejects  Existing market design  Volumes Encountered  Safety - Net Manual Workaround  Same CR Point-to-point Initiatives  Study Approach  Other Market designs  Changes to existing design  Cost and schedule constraints of all market participants  Design  Next Steps

3. 3 MIMO Task Force Move-In Move-Out Task Force History  The Move-In / Move-Out task force was created by RMS to develop solutions for retail enrollments.  Current MIMO model efforts began September 24 th  11 MIMO Task Force Meetings  33 Concepts reviewed  11 Concepts approved  4 Concepts still in analysis Approach  Multiple market participants interviewed in their shops to identify issues  Issues categorized based on frequency, pain level, and ease of solution  High frequency and pain level with easiest solutions handled first  High frequency and pain level with hardest solutions handled second  Low Frequency and pain level likely to remain as workarounds  All Concepts approved by vote at RMS

4. 4 MIMO Task Force Move-In Move-Out Task Force Approved Concepts (Short Term)  Safety Net – CR  Further defined the proper execution of Safety net Move-Ins  Expediting ESI ID Creates  Proactive measures by TDSPs in ensuring the timely creation of new ESI IDs  ERCOT Monitoring  Proactive measures by ERCOT to help minimize the frequency of out-of-sync conditions.  Monitoring of Cancel with Exceptions and Rejects  Programmatically prohibit backdated Move-Ins  Definition of when backdated Move-Ins are allowed  Effective date on meter number correction  Definition of effective date on ESI ID Maintain transaction  Date Reasonableness at ERCOT  Method for rejecting initiating transactions that are outside a pre-defined scope of reasonableness

5. 5 MIMO Task Force Move-In Move-Out Task Force Approved Concepts (Mid Term)  Pending 814_06s  Method for ensuring Drop Notifications are delivered to the appropriate REP  Retired ESI IDs  Method of removing REP of Record on ESI Ids that need to be retired  Invalid ESI ID Retry  Holding Move-Ins that do not have an ESI ID created at ERCOT for a pre- determined period of time to allow for the Create to be sent by the TDSP  De-Energize flag (ignore CSA) on Move-Outs  Method of de-energizing a premise where a CSA is established  ESI ID Start/Eligibility Date  Making the Start and Eligibility default to pre-determined date in the past so Move- Ins and usage that are within a tight timeframe of these dates won’t be rejected.

6. 6 Solution to Stacking Background on NFI rejects Existing Market Design  Current market design does not support multiple non-sequential transactions on an ESI ID. Volumes encountered  February 1 st through 20 th – 3.2% (300 per day) Safety – Net Manual workaround  Relieves the effects to the customer from NFI rejects.  Causes out-of-sync system conditions.  Causes higher costs and higher potential for mistakes.  Increases quantity of orphan accounts. (increase of UFE)  Requires backdated transactions, which causes additional NFIs, out-of-sync conditions, and more manual workarounds for the TDSPs. Same CR point-to-point initiatives  Relieves the effects to the customer from NFI rejects for those transactions.  Requires that the TDSPs handle multiple non-sequential transactions.  Causes out-of-sync conditions if TDSP is not handling multiple non-sequential transactions.

7. 7 Solution to Stacking Study Approach Other market designs  ERCOT ‘Mother ship’ concept  JIT (Just in Time)  Centralized scheduling with delayed notification to ERCOT  Centralized database design Changes to existing design  Building the ability to handle multiple non-sequential transactions within the current market structure. Cost and schedule restraints of all market participants

8. 8 Solution to Stacking Solution to Stacking Design (Agenda) Stacking Benefits Expected Summary of Changes Definitions ERCOT Operating Rules  Rejection Rules  Cancellation Rules  Concurrent Processing Rules  Pending Transaction Rules  Additional Operating Rules  TDSP Operating Rules  REP Operating Rules

9. 9 Solution to Stacking Solution to Stacking Design Stacking  A method that allows CRs, ERCOT, and TDSPs to accept (and process) multiple, non- sequential transactions concurrently on a single ESI ID.  Requires new business rules to sequence multiple transactions.  May require system changes for all market participants  The design approach for the solution to stacking involves using the current market structure to support the solution.  Whenever possible, operating logic is designed at ERCOT to help with consistent execution of the operating rules across the market and to centralize the development and implementation effort.

10. 10 Solution to Stacking Solution to Stacking Design Benefits expected  Significant reduction in NFI rejects  Significant reduction in need for Safety Net Move-Ins  Better manages customer expectations (Dates, billing, etc.)  Fewer backdated clean up efforts  Fewer Cancel/Re-bills  Helps keep systems in sync  Reduces UFE  Reduces transaction volume  Expedites connecting and billing the customers by the correct CR  Improves transaction reliability

11. 11 Solution to Stacking Business Problem Existing NFI logic forces an unreasonable amount of dependency on labor intensive workarounds. Execution of workarounds are causing synchronization issues between market participants. Lack of synchronization leads to improper billing and mismanagement of customer expectations Solution All valid transactions will be accepted and processed based on a set of market rules. Drop notifications will be sent at a point in time where the proper recipient can be positively identified. Rule based cancellations are sent on a pre- determined timeline with enough time for the recipient to react. Summary of Changes: Manage customer expectations by accepting and processing all valid requests. Impact Level Efficiency Communication Competition

12. 12 Solution to Stacking Definitions Scheduled meter read date  The Service Period Start date on the 814_04 or the Service Period End date on the 814_25 from the TDSP Requested meter read date  The last date requested by the REP either on the initiating transaction or a Date Change Request. Stacking  Method that allows REPs, ERCOT, and TDSPs to accept (and process) multiple, non- sequential transactions concurrently on a single ESI ID. Significant reduction in need for Safety Net Move-Ins  Iteration Counter  A mandatory numeric element in the 814_12 (Date Change) that is initiated by the REP and is increased in value by the REP for each Date Change (814_12) that the REP sends to ERCOT for a single customer order. The iteration counter is passed in all subsequent 814_12s and 814_13s that are a result of the originating 814_12.  Backdated transaction  Any initiating Move-In or Move-Out where the requested date is earlier than the date ERCOT receives it.

13. 13 Solution to Stacking Definitions  Tenant Based Permit  Type of permit that requires one permit per tenant on the premise.  Premise Based Permit  Type of permit that is required once on the premise and doesn’t have regard for which tenant moves in once it is satisfied. ‘In Review’ status at ERCOT  Initiating transaction has been received and processed, but response transaction has not been received from TDSP. ‘Permit Pending’ status at ERCOT  ERCOT has received the 814_28 with the permit pending indicator from the TDSP but has not received a subsequent 814_04 or 814_28 unexecutable. ‘Cancel Pending’ status as ERCOT  ERCOT sent a response driven cancel to the TDSP and has not received a response.  De-energized at ERCOT  ERCOT does not currently have a REP of Record on the ESI ID.

14. 14 Solution to Stacking Definitions 23:59 3 business days Prior  A means of indicating a time frame that is 2 business days prior at the beginning of the day. This time frame will be used to properly sequence market orders and is designed to provide REPs sufficient notification of transactions that can affect wholesale market energy scheduling. More precise processing times will be published by ERCOT during the detailed design process. (See diagram below) Time frame intended when 23:59 3 days prior is referenced Effective date of pending transaction (6/15) 6/126/146/136/15 0:00 23:59

15. 15 Solution to Stacking Definitions 23:59 6 business days Prior  A means of indicating a time frame that is 5 business days prior at the beginning of the day. This time frame will be used to properly sequence market orders and is designed to provide REPs sufficient notification of transactions that can affect wholesale market energy scheduling. More precise processing times will be published by ERCOT during the detailed design process. (See diagram below) Time frame intended when 23:59 6 days prior is referenced Effective date of pending transaction (6/15) 6/126/146/136/15 0:00 23:59 6/116/106/9

16. 16 Solution to Stacking ERCOT Operating Rules Rejection Rules (1-5) - These rules detail the circumstances under which ERCOT will reject transactions.Move-Ins and Move-Outs over-ride off-cycle Switches and Drops with the same or later date wanted. The reject reasons embedded in the following rules are in addition to the ones currently established in the ERCOT protocols except where it is indicated that they replace current reject reasons. Cancellation Rules (6-10) - These rules detail the circumstances under which ERCOT will cancel pending transactions. These rules are in addition to the current cancellation reasons except where it is indicated that they replace a current process. The primary purpose of these rules is to cancel those transactions that, usually due to other prior transactions, are determined to be no longer valid Concurrent Processing Rules (11-14) - The following rules explain the circumstances under which transactions are allowed to complete after being processed concurrently. These rules are in addition to any concurrent processing that exist except where noted. Pending Transaction Rules (15-17) - These rules detail the methods used for pending REP notification transactions. These rules were developed to ensure that these transactions are sent only when the appropriate recipient can be positively identified. Additional Operating Rules (18-24)

17. 17 ERCOT Operating Rules Rejection Rule #1 There are times when the requested dates on originating transactions can cause conflicts with other transactions that are currently scheduled. In an effort to inform the REP of these situations as soon as possible, ERCOT may reject an initiating transaction if it has a requested date that is the same as the scheduled meter read date on another scheduled transaction. This replaces the existing Not First In reject logic. On-cycle switches and Drop to AREPs are not rejected for NFI because there is no date requested for ERCOT to use for comparison purposes. Using the chart above, the TDSP must make that determination and return an 814_04 reject when there is a scheduling conflict. Texas SET will create a new code to satisfy this situation.

18. 18 ERCOT Operating Rules Rejection Rule #1 (continued) The following chart assumes the new transaction is requesting the same meter read date that is scheduled on the scheduled transaction and details which ones are rejected for NFI. ScheduledNew TransactionNFI (Y/N)ScheduledNew TransactionNFI (Y/N) Move-InMove-InY SwitchMove-InN Move-Inoff-cycle SwitchY Switchoff-cycle SwitchY Move-Inoff-cycle Drop to AREPY Switchoff-cycle Drop to AREPY Move-InMove-OutN SwitchMove-OutN Move-Inon-cycle SwitchN Switchon-cycle SwitchN Move-Inon-cycle Drop to AREPN Switchon-cycle Drop to AREPN Move-OutMove-InN Drop to AREPMove-InN Move-Outoff-cycle SwitchY Drop to AREPoff-cycle SwitchN Move-Outoff-cycle Drop to AREPY Drop to AREPoff-cycle DTAY Move-OutMove-OutY Drop to AREPMove-OutN Move-Outon-cycle SwitchN Drop to AREPon-cycle SwitchN Move-Outon-cycle Drop to AREPN Drop to AREPon-cycle DTAN

19. 19 ERCOT Operating Rules Move-In completed at TDSP on 5/20 TDSP sends Final and Initial read to ERCOT Rejection Rule #1 Switch sent to ERCOT requesting a date of 5/20 5/4 Rejected 5/20 Move-In Scheduled for 5/20 Move-In sent to ERCOT requesting a date of 5/20 4/29

20. 20 ERCOT Operating Rules Rejection Rule #2 Consistent with the current market model, ERCOT will reject any cancels or date changes received after a pre-determined time in the evening 3 business days prior (6 business days for switches) to the scheduled meter read date (this does not change the 5 business day rule on switch cancels).

21. 21 ERCOT Operating Rules Move-In completed at TDSP on 5/20 Rejection Rule #2 Cancel or Date Change sent to ERCOT Rejected Move-In Scheduled for 5/20 5/205/18 No cancels or Date Changes allowed during this time

22. 22 ERCOT Operating Rules Rejection Rule #3 In order to determine the appropriate recipient of notification transactions, and to properly execute customer requests, ERCOT may reject certain new initiating transactions that potentially could interfere with pending orders due for completion. However, there are some new transactions that are of such importance, that they should over-ride the pending transaction. Therefore, initiating transactions received after 23:59 3 business days prior (23:59 6 business days prior for switches) to the scheduled meter read date of a pending order would be analyzed upon receipt. If the requested date on such new transaction is prior to or equal to the scheduled meter read date on the pending transaction, either the new transaction will be rejected back to the initiating REP, or in some circumstances, the pending order will be cancelled.

23. 23 ERCOT Operating Rules Rejection Rule #3 The graph and table, below, should be referenced as to how this rule will be applied and utilized. ScheduledNew TransactionTransaction Rejected (or Cancelled) Move-InMove-OutMove-Out Move-InMove-In2 nd. Move-In Move-OutMove-InMove-Out Move-OutMove-Out2 nd. Move-Out SwitchMove-InSwitch SwitchMove-OutSwitch Drop to AREPMove-InDrop Drop to AREPMove-OutDrop

24. 24 ERCOT Operating Rules Move-In completed at TDSP on 5/20 Rejection Rule #3 Move-In sent to ERCOT requesting effective date of 5/19 Rejected Move-In Scheduled for 5/20 5/205/18 Timeframe referenced

25. 25 ERCOT Operating Rules Move-In completed at TDSP on 5/20 Exception to Rejection Rule #3 Move-In sent to ERCOT requesting effective date of 5/20 Move-Out Scheduled for 5/20 5/205/18 Cancelled Move-In accepted when pending transaction is a Move- Out

26. 26 ERCOT Operating Rules Rejection Rule #4 Because switches are to be used to change providers and a de- energized premise at ERCOT indicates no REP of Record and a vacant premise, ERCOT will reject a Switch if the ESI ID is scheduled to be de-energized at ERCOT on the date requested. In addition, the switch will be rejected if there is a pending Move-In prior to the requested date of the switch. For an on-cycle switch, the earliest available switch date will be used for the evaluation. (Refer to Cancellation rule #7)

27. 27 ERCOT Operating Rules Move-Out completed at TDSP on 5/20 Rejection Rule #4 Switch sent to ERCOT requesting a date of 5/24 Rejected Move-Out Scheduled for 5/20 Move-Out sent to ERCOT requesting a date of 5/20 Premise De-energized 5/4 5/204/29 5/24

28. 28 ERCOT Operating Rules Rejection Rule #5 In an effort to mitigate the risk of processing a Move-Out and a Move-In out of order, when a REP requests a Move-Out date that is scheduled to be de-energized at ERCOT, ERCOT will hold and retry the Move-Out at a regular interval of time for 48 hours (only counting hours on business days, but not only business hours.) with the expectation that ERCOT may receive a Move-In during this time. After the retry period has expired, if the Move-Out is still in a reject status for De-energized ESI ID, ERCOT will send an 814_25 (reject) to the submitting REP.

29. 29 ERCOT Operating Rules Move-In completed at TDSP on 5/18 Rejection Rule #5 Move-Out sent to ERCOT requesting effective date of 5/20 5/205/18 ERCOT checks for scheduled Move-In for 48 hours (on business days) or until Move-In is scheduled Move-In sent to ERCOT requesting effective date of 5/18 Move-Out completed at TDSP on 5/20 Move-In Scheduled for 5/18 Move-Out Scheduled for 5/20 Retry De-energized

30. 30 ERCOT Operating Rules Rejection Rule #5 with reject Move-Out sent to ERCOT requesting effective date of 5/20 5/185/16 ERCOT checks for scheduled Move-In for 48 hours (on business days) or until Move-In is scheduled Retry Rejected De-energized

31. 31 ERCOT Operating Rules Cancellation Rule #6 To ensure that Move-Outs and Drop to AREPs are properly authorized, ERCOT will evaluate the REP of Record for the affected ESI IDs at 23:59 3 business days prior to the scheduled meter read date of the Move-Out or Drop to AREP. If the submitting REP of the Move-Out or Drop to AREP transaction is not scheduled to be the REP of Record on the ESI ID on the date of the Move-Out or Drop to AREP or if the ESI ID is scheduled to be de-energized at the time of the scheduled meter read date, ERCOT will cancel the Move-Out or Drop to AREP and send the cancels (814_08) to the submitting REP and the TDSP.

32. 32 ERCOT Operating Rules Cancellation Rule #6 REP A is Rep of Record Pending Switch from REP B Pending Move- Out from REP A Evaluation done at 23:59 3 days prior to effective date of Move-Out to determine validity of Move-Out 5/185/16 5/17 Cancelled Rep of Record = ARep of Record = B

33. 33 ERCOT Operating Rules Cancellation Rule #6 REP A is Rep of Record Evaluation done at 23:59 3 days prior to effective date of Move-Out to determine validity of Move-Out 5/185/16 5/17 Rep of Record = ARep of Record = B Pending Switch from REP B Pending Move- Out from REP C Pending Move- Out from REP A Cancelled

34. 34 ERCOT Operating Rules Cancellation Rule #6 REP A is Rep of Record Evaluation done at 23:59 3 days prior to effective date of Move-Out to determine validity of Move-Out 5/185/16 5/17 Rep of Record = AROR = B Pending Switch from REP B Pending Move- Out from REP B Pending Move- Out from REP A Cancelled De-energized

35. 35 ERCOT Operating Rules Cancellation Rule #6 (continued) If after the REP of Record evaluation is complete, there is more than one Move-Out scheduled for the same date, and none of them have a ‘Cancel Pending’, ERCOT will cancel all but the first one processed (based on ERCOT’s Siebel Create Date/Time) and will send cancel transactions to the submitting REP and the TDSP. If more than one Move-Out exists for the same day and one or more of them has a ‘Cancel Pending’, ERCOT will cancel that Move-Out without waiting for the response and will do the evaluation for the remaining Move-Out(s) without considering the cancelled transaction. The MIMO team feels that for proper evaluation of Move-Outs, the Date segment in the accept response on Move-Outs (814_25) must be changed from optional to mandatory. The Date segment will not be used for rejects.

36. 36 ERCOT Operating Rules Cancellation Rule #6 REP A is Rep of Record Evaluation done at 23:59 3 days prior to effective date of Move-Out to determine validity of Move-Out 5/185/16 5/17 Rep of Record = AROR = B Pending Switch from REP B Pending Move- Out from REP B Cancelled De-energized

37. 37 ERCOT Operating Rules Cancellation Rule #7 For premises that are in a state of transition, this rule exists to ensure that a new tenant is not affected by the actions of an old tenant, and that orders do not attempt to post to a de-energized premise. Therefore, pending Move-Ins and Move-Outs will always over-ride later dated pending Switches and Drops. When a Move-In or Move-Out is pending with a scheduled meter read date prior to or equal to a pending Drop to AREP or Switch (regardless of which is received first), both instances will be processed concurrently until 23:59 3 business days prior to the scheduled meter read date of the Move-In or Move-Out. If the Move-In or Move-Out is still pending, ERCOT will cancel the Drop to AREP or Switch and send cancels (814_08) to the TDSP, the submitting REP, and the losing REP for a switch if they have already been sent the 814_06.

38. 38 ERCOT Operating Rules Cancellation Rule #7 Switch Scheduled Move-In for REP B Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-In to determine validity of Switch Cancelled REP A is Rep of Record Rep of Record = ARep of Record = B

39. 39 ERCOT Operating Rules Cancellation Rule #7 Switch Scheduled Move-Out for REP A Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-Out to determine validity of Switch Cancelled REP A is Rep of Record De-energizedRep of Record = A

40. 40 ERCOT Operating Rules Cancellation Rule #7 Drop to AREP Scheduled Move-In for REP B Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-In to determine validity of Drop to AREP Cancelled REP A is Rep of Record Rep of Record = ARep of Record = B

41. 41 ERCOT Operating Rules Cancellation Rule #7 Drop to AREP Scheduled Move-Out for REP A Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-Out to determine validity of Drop to AREP Cancelled REP A is Rep of Record Rep of Record = ADe-energized

42. 42 ERCOT Operating Rules Cancellation Rule #7 (continued) Note: In the case of the switch, the 814_06 will still go to the losing REP if the switch is still pending at 23:59 6 business days prior to the scheduled meter read date of the Switch.

43. 43 ERCOT Operating Rules Cancellation Rule #7 Switch Scheduled Move-In for REP B Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-In to determine validity of Switch REP A is Rep of Record Rep of Record = ARep of Record = B 814_06 sent to losing REP (REP A) at 23:59 6 days prior to Switch Cancelled

44. 44 ERCOT Operating Rules Cancellation Rule #8 To ensure proper notification and keep all parties in sync, ERCOT will evaluate a Move-In and Move-Out that are scheduled for the same day and at 23:59 3 business days prior to the Move-In and Move-Out, if both still exist, ERCOT will cancel the Move-Out, send cancels to the submitting REP and the TDSP, and send the 814_06 to the losing REP for the Move-In. In this case, the TDSP must use the original transaction ID from the Move-In, not the Move-Out, to populate both the Final and Initial reads. This rule makes it necessary for the TDSPs to do an evaluation based on the state of the ESI ID at the TDSP at the time of the Move-In. If the premise is energized, the TDSP must send a Final read to the losing REP (treat it like a Force Off). If the premise is de-energized, the TDSP will not send a Final read. The TDSP will not use the MMO code in the REF~1P of the 814_03 to make this determination.

45. 45 ERCOT Operating Rules Cancellation Rule #8 Move-Out for REP A Scheduled Move-In for REP B Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-In to determine validity of Move-Out Cancelled REP A is Rep of Record Rep of Record = ARep of Record = B TDSP sends Final and Initial reads with the original transaction Id from the Move-In in both transactions

46. 46 ERCOT Operating Rules Cancellation Rule #9 In order to ensure the losing REP is allowed to mitigate a risk and still protect the right of the customer to choose a new provider, ERCOT will evaluate a Switch and Drop to AREP that are scheduled for the same day and at 23:59 3 business days prior to the Switch and Drop to AREP, if both still exist, ERCOT will cancel the Drop to AREP, send cancels (814_08) to the submitting REP, and the TDSP, and send the 814_06 to the losing REP for the Switch.

47. 47 ERCOT Operating Rules Cancellation Rule #9 Drop to AREP for REP A Scheduled Switch for REP B Scheduled 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Switch to determine validity of Drop to AREP Cancelled REP A is Rep of Record Rep of Record = ARep of Record = B

48. 48 ERCOT Operating Rules Cancellation Rule #10 Any Move-in with a ‘Permit Pending’ status at ERCOT and a requested date prior to a scheduled Move-In will be cancelled by ERCOT on the later of the scheduled date of the scheduled Move-In or upon receipt of the 814_04 scheduling the Move-In. Cancels (814_08s) will be sent to the TDSP and submitting REP. TDSPs should refer to their operating rules related to the allowable responses to ERCOT cancel transactions.

49. 49 ERCOT Operating Rules Cancellation Rule #10 Move-In for REP B Requested – Permit Pending Move-In for REP A Requested – Permit Pending 5/16 5/205/12 5/24 Cancelled De- energized premise Rep of Record = B 814_04 sent by TDSP clearing Permit requirement for REP B’s Move-In Move-In for REP B Scheduled De-energized REP A’s Move-In Pending

50. 50 ERCOT Operating Rules Cancellation Rule #10 Move-In for REP B Requested – Permit Pending Move-In for REP A Requested – Permit Pending 5/16 5/205/12 5/24 Cancelled De- energized premise Rep of Record = B 814_04 sent by TDSP clearing Permit requirement for REP B’s Move-In Move-In for REP B Scheduled De-energized REP A’s Move-In Pending

51. 51 ERCOT Operating Rules Cancellation Rules Note: For all of the above cancellation rules, If a transaction with a ‘Cancel Pending’ status is being used to evaluate whether or not to cancel another transaction that has a later scheduled meter read date, ERCOT will cancel the ‘Cancel Pending’ transaction without waiting for the response from the TDSP and will do the evaluation for the later transaction without considering the cancelled transaction. If the TDSP response (814_09) comes later and is a ‘reject’, the reject will go to an exception queue to be processed accordingly. This is done to ensure that a transaction that is likely to never complete isn’t used to determine the cancellation of another transaction.

52. 52 ERCOT Operating Rules Cancellation Rules (Note) Switch for REP C Scheduled Move-In for REP B Scheduled with a Cancel Pending 5/16 5/205/12 5/24 Evaluation done at 23:59 3 days prior to effective date of Move-In to determine validity of Switch Cancelled REP A is Rep of Record Rep of Record = AROR = C

53. 53 ERCOT Operating Rules Concurrent Processing Rule #11 A Drop to AREP or switch is allowed in a pending state with a Move-In or Move-Out at the same time if the Drop to AREP or Switch has a scheduled meter read date prior to the Move-In or Move-Out.

54. 54 ERCOT Operating Rules Concurrent Processing Rule #11 Move-In for REP C Scheduled 5/16 5/205/12 5/24 Rep of Record = ARep of Record = B Switch for REP B Scheduled REP A is Rep of Record Rep of Record = C

55. 55 ERCOT Operating Rules Concurrent Processing Rule #11 Move-In for REP C Scheduled 5/16 5/205/12 5/24 Rep of Record = ARep of Record = AREP Drop to AREP from REP A Scheduled REP A is Rep of Record Rep of Record = C

56. 56 ERCOT Operating Rules Concurrent Processing Rule #11 Move-Out for REP B Scheduled 5/16 5/205/12 5/24 Rep of Record = ARep of Record = B Switch for REP B Scheduled REP A is Rep of Record De-energized

57. 57 ERCOT Operating Rules Concurrent Processing Rule #11 5/16 5/205/12 5/24 Rep of Record = ARep of Record = AREP REP A is Rep of Record Drop to AREP from REP A Scheduled Move-Out for AREP Scheduled De-energized

58. 58 ERCOT Operating Rules Concurrent Processing Rule #12 Multiple Move-Ins are allowed in a pending state at the same time, neither will cause the other to be cancelled provided they have different scheduled meter read dates.

59. 59 ERCOT Operating Rules Concurrent Processing Rule #12 Move-In for REP C Scheduled 5/16 5/205/12 5/24 ROR = AROR = B Move-In for REP B Scheduled REP A is Rep of Record ROR = C Move-In for REP D Scheduled ROR = D

60. 60 ERCOT Operating Rules Concurrent Processing Rule #13 Multiple Switches are allowed in a pending state at the same time, neither will cause the other to be cancelled provided they have different scheduled meter read dates.

61. 61 ERCOT Operating Rules Concurrent Processing Rule #13 Switch for REP C Scheduled 5/16 5/205/12 5/24 ROR = AROR = B Switch for REP B Scheduled REP A is Rep of Record ROR = C Switch for REP D Scheduled ROR = D

62. 62 ERCOT Operating Rules Concurrent Processing Rule #14 If a Switch and a Drop to AREP are pending at the same time and the Switch has a later scheduled meter read date; neither will cause the other to be cancelled. This rule in conjunction with the cancellation rules replace the concurrent processing for Switches and Drop to AREPs.

63. 63 ERCOT Operating Rules Concurrent Processing Rule #14 Switch for REP C Scheduled 5/16 5/205/12 5/24 Rep of Record = ARep of Record = AREP Drop to AREP from REP A Scheduled REP A is Rep of Record Rep of Record = C

64. 64 ERCOT Operating Rules Pending Transaction Rule #15 ERCOT will generate 814_06s at 23:59 3-business days prior (6 business days for switches) to the scheduled read date for the transaction. When ERCOT does the evaluation for the REP of Record to send the 814_06 to the correct party, ERCOT must look for the REP that is scheduled to be the REP of Record on the effective date.

65. 65 ERCOT Operating Rules Pending Transaction Rule #15 REP A is Rep of Record 814_06 sent to losing REP (REP A) 5/185/16 5/17 Rep of Record = AROR = B Move-In from REP B Scheduled 2 Days Prior

66. 66 ERCOT Operating Rules Pending Transaction Rule #15 REP A is Rep of Record 814_06 sent to losing REP (REP B) 5/185/16 5/17 Rep of Record = AROR = B Move-In from REP C Scheduled Move-In from REP B Scheduled 814_06 sent to losing REP (REP A) 2 Days Prior ROR = C 2 Days Prior

67. 67 ERCOT Operating Rules Pending Transaction Rule #15 However, if ERCOT is evaluating a Switch to send the 814_06 and there is a pending Move-In or Move-Out with an earlier scheduled meter read date, ERCOT will send the 814_06 for the switch to the REP of Record prior to the Move-In or Move-Out, not to the REP who submitted the Move-In or Move-Out.

68. 68 ERCOT Operating Rules Pending Transaction Rule #15 REP A is Rep of Record 814_06 sent to losing REP (REP A) Rep of Record = AROR = B Switch from REP C Scheduled Move-In from REP B Scheduled 814_06 sent to losing REP (REP A) 5 Days Prior 2 Days Prior 5/185/13 5/175/15 Cancelled

69. 69 ERCOT Operating Rules Pending Transaction Rule #15 REP A is Rep of Record 814_06 sent to losing REP (REP A) Rep of Record = AROR = C Switch from REP C Scheduled Move-In from REP B Scheduled 5 Days Prior 5/185/13 5/175/15 REP B cancels Move-In or changes Date to date after REP C’s Switch Cancelled

70. 70 ERCOT Operating Rules Pending Transaction Rule #15 If a transaction with a ‘cancel pending’ status is being evaluated as part of the pending 814_06 process for a transaction with a later scheduled meter read date, ERCOT will cancel the transaction without waiting for the response and will do the evaluation for the Switch without considering the cancelled transaction. If the response (814_09) comes later and is a ‘reject’, the reject will go to an exception queue to be processed accordingly.

71. 71 ERCOT Operating Rules Pending Transaction Rule #15 REP A is Rep of Record 814_06 sent to losing REP (REP A) 5/185/16 5/17 Rep of Record = A Move-In from REP C Scheduled Move-In from REP B Scheduled with a Cancel Pending 814_06 sent to losing REP (REP A) 2 Days Prior ROR = C 2 Days Prior Cancelled

72. 72 ERCOT Operating Rules Pending Transaction Rule #16 ERCOT will generate 814_14s at 23:59 3 business days prior to the scheduled meter read date for the Drop to AREP transaction.

73. 73 ERCOT Operating Rules Pending Transaction Rule #16 REP A is Rep of Record 814_14 sent to AREP 5/185/16 5/17 Rep of Record = AROR = AREP Drop to AREP from REP A Scheduled 2 Days Prior

74. 74 ERCOT Operating Rules Pending Transaction Rule #17 ERCOT will generate 814_22s at 23:59 3 business days prior to the scheduled meter read date for a Move-Out where there is a CSA relationship established at the time the Move-Out was received by ERCOT. (Refer to REP Operating Rules for additional information on the treatment of CSA’s)

75. 75 ERCOT Operating Rules Pending Transaction Rule #17 REP A is Rep of Record 814_22 sent to CSA REP (REP B) 5/185/16 5/17 Rep of Record = AROR = B Move-Out from REP A Scheduled 2 Days Prior REP B owns CSA

76. 76 ERCOT Operating Rules Operating Rule #18 In an effort to get response and notification transactions to the REPs as quickly as possible when dealing with a truncated timeline, any scheduled meter read dates (814_04s and 814_25s) that are received by ERCOT after the evaluations period (23:59 3 business days prior to the scheduled meter read date, 23:59 6 business days for switches) will be evaluated upon receipt and appropriate cancels (814_08s), 814_06s, 814_14s, or 814_22s will be sent out at that point.

77. 77 ERCOT Operating Rules Operating Rule #18 REP A is Rep of Record No 814_08s, 814_06s, 814_14s, or 814_22s sent 5/185/16 5/17 Transaction requested date 2 Days Prior 814_04 or 814_25 received by ERCOT from TDSP Any 814_08s, 814_06s, 814_14s, and/or 814_22s sent out upon receipt of the 814_04 or 814_25

78. 78 ERCOT Operating Rules Operating Rule #19 ERCOT sends all 814_06s, 814_14s, 814_22s, and cancels (814_08s) in the morning 2 business days prior (5 business days on switches) to scheduled meter read date that are generated as a result of operating rules. More precise processing times will be published by ERCOT during the detailed design process. Time frame intended when 23:59 3 days prior is referenced Effective date of pending transaction (6/15) 6/126/146/136/15 0:00 23:59

79. 79 ERCOT Operating Rules Operating Rule #20 In order to notify TDSPs of date changes in a more expeditious manner, Date Changes (814_12s) received at ERCOT will not be held by ERCOT because of an ‘In Review’, ‘Permit Pending’, or ‘Cancel pending’ Status. The 814_12 will be sent to the TDSP and ERCOT will wait for an 814_13 before responding to the REP with an 814_13.

80. 80 ERCOT Operating Rules Operating Rule #20 5/16 5/205/12 5/24 814_13 response received from TDSP acknowledging the change to 5/24 Move-In requesting 5/20 sent to ERCOT Move-In request forwarded to TDSP Date Change sent to ERCOT requesting 5/24 Date Change forwarded to TDSP 814_04 received by ERCOT from TDSP scheduling 5/20 Move-In scheduled for 5/20 Move-In scheduled for 5/24 Date Changed

81. 81 ERCOT Operating Rules Operating Rule #21 With respect to Move-Ins and Move-Outs, if the 814_13 date is different than the 814_04 or 814_25 date and there is not a ‘Permit Pending’ at the time the 814_13 is received by ERCOT, ERCOT and the TDSP will honor the date on the 814_13 and will be used in the 814_05, 814_06, 814_22, and 814_25.

82. 82 ERCOT Operating Rules Operating Rule #21 5/20 5/225/18 5/24 814_13 forwarded to CR 814_16 sent to ERCOT with request date of 5/28 814_03 sent to TDSP with request date of 5/28 814_12 sent to ERCOT with request date of 5/26 814_12 forwarded to TDSP with request of 5/26 814_13 returned from TDSP with Delivery Start date of 5/26 814_04 returned from TDSP with Scheduled date of 5/28 814_06 sent to losing REP with scheduled date of 5/26 814_05 forwarded to submitting REP with scheduled date of 5/26

83. 83 ERCOT Operating Rules Operating Rule #21 However, if there is a ‘Permit Pending’ (only for Move-Ins) at the time the 814_13 is received by ERCOT, the date on the subsequent 814_04 will be used in the 814_05, and 814_06.

84. 84 ERCOT Operating Rules Operating Rule #21 5/24 5/265/22 5/28 814_13 forwarded to CR 814_16 sent to ERCOT with request date of 5/28 814_03 sent to TDSP with request date of 5/28 814_12 sent to ERCOT with request date of 5/26 814_12 forwarded to TDSP with request of 5/26 814_13 returned from TDSP with Delivery Start date of 5/26 814_04 returned from TDSP with Scheduled date of 5/27 814_06 sent to losing REP with scheduled date of 5/27 814_05 forwarded to submitting REP with scheduled date of 5/27 814_28 Permit Pending returned from TDSP 814_28 Permit Pending forwarded to CR

85. 85 ERCOT Operating Rules Operating Rule #22 To ensure the last request of the REP is recognized, Date Change Requests (814_12) will be tracked with an iteration counter. When ERCOT receives a Date Change (814_12) request with an iteration counter that has a lower value than a previous iteration counter, ERCOT will reject the Date Change (814_12). This new counter will be forwarded on the 814_12 to the TDSP and will be returned in all 814_13s. ERCOT will use the iteration counter to determine which date change date to use in transactions that are created after the receipt of the 814_13s (814_06 and 814_22) and will send an 814_12 to the recipient of the 814_06 or 814_22 if those transactions have already been sent and the 814_12 iteration counter is greater that any 814_13s already received. The TDSP will use the iteration counter to determine which request to honor when executing the read, disconnect, or connect for the premise. Note: Texas SET will be required to create a new iteration counter on the 814_12 that will be initiated by the REP. This will be a mandatory numeric element and will be increased in value by the REP for each Date Change (814_12) that the REP sends to ERCOT.

86. 86 ERCOT Operating Rules Operating Rule #22 5/16 5/185/14 5/20 Date Change #1 from REP to ERCOT Date Change #2 from REP to ERCOT Date Change #4 from REP to ERCOT Date Change #3 from REP to ERCOT Rejected Date Change #1 from ERCOT to TDSP Date Change #2 from ERCOT to TDSP Date Change #4 from ERCOT to TDSP Date Change #4 accepted by TDSP Date Change #1 accepted by TDSP Rejected Date Change #4 accepted by ERCOT Date Change #1 rejected by ERCOT Rejected

87. 87 ERCOT Operating Rules Operating Rule #23 The following rule for handling ‘In Review’ transactions involves changing the current ‘Cancelled with Exception’ logic. This rule allows the current 20-business day cancellation period as a maximum and establishes a minimum cancellation period of 3 business days. Inside these parameters, the waiting period for the TDSP Response (814_04, 814_25, or 814_28) expires on the requested meter read date (earliest available switch date for on-cycle switches). Transactions that reach the requested meter read date inside the minimum and maximum parameters and have no response transaction from the TDSP, go into a ‘Cancel Pending’ state and the 814_08 cancel is sent to the TDSP. This concept will negate the need for ERCOT to monitor ‘Cancel With Exception’. TDSPs should recognize that all backdated transactions received by ERCOT would default to the three-day minimum for the expected response transaction.

88. 88 ERCOT Operating Rules Operating Rule #23 5/16 5/205/12 5/24 Move-In requested for 5/20 Cancel Pending sent to TDSP Move-In from REP processed by ERCOT requesting 5/20 3-day minimum 20-day maximum

89. 89 ERCOT Operating Rules Operating Rule #23 5/16 5/205/12 5/24 Move-In requested for 5/15 Cancel Pending sent to TDSP Move-In from REP processed by ERCOT requesting 5/15 3-day minimum 20-day maximum

90. 90 ERCOT Operating Rules Operating Rule #23 5/16 5/205/12 5/24 Move-In requested for 5/13 Cancel Pending sent to TDSP Move-In from REP processed by ERCOT requesting 5/13 3-day minimum 20-day maximum

91. 91 ERCOT Operating Rules Operating Rule #23 Move-In requested for 6/18 Cancel Pending sent to TDSP Move-In from REP processed by ERCOT requesting 6/18 5/16 5/205/12 6/9 3-day minimum 20-day maximum

92. 92 ERCOT Operating Rules Operating Rule #24 Backdating transactions with the new stacking rules has the potential for causing unique problems if other transactions have completed or are pending with a later date than the date on the backdated transaction. Because the stacking rules have been developed around the premise that the volume of back-dating will be significantly smaller from clean up transactions that were executed on the safety net, and that backdating, when used, should only have very recent dates in the past, additional restrictions will be put on backdating. Consistent with the RMS vote on October 16 th, 2002, backdating of transactions will only be allowed when they are part of a back-office clean up that has been coordinated with the TDSP and ERCOT including Safety Net Move-Ins.

93. 93 ERCOT Operating Rules Operating Rule #24 ERCOT will send any backdated Move-Ins or Move-Outs to an exception queue if: –There is another completed transaction on the same ESI ID with a later completed date. –There is another scheduled Move-In, Switch, or Drop to AREP on the same ESI ID with a later scheduled date. –There is another Move-Out on the same ESI ID with a later scheduled date only if the new transaction is a Move-Out. This queue will have to be worked manually and any affected REPs contacted.

94. 94 ERCOT Operating Rules Operating Rule #24 Backdated transaction requested date 5/185/16 5/17 Transaction received at ERCOT requesting 5/15 Backdated request Completed or Pending transaction on 5/17 Queue Transaction is held in a queue until all appropriate parties can be notified

95. 95 ERCOT Operating Rules Operating Rule #24 Any other backdated Move-Ins will be processed normally at ERCOT. (I.e. Backdated Move-ins that request a date prior to a scheduled Move-Out will be processed normally.) Backdated Switches and Drop to AREPs are not allowed per Protocol. ERCOT will reject any date changes that are requesting a date in the past. The TDSP will reject backdated transactions with an 814_04 or 814_25 reject if it is not part of a coordinated back-office clean up Including Safety Net Move-Ins.

96. 96 TDSP Operating Rules TDSPs, like the REPs and ERCOT will be required to handle multiple, non-sequential transactions on an ESI ID. The following rules are in addition to that requirement.

97. 97 TDSP Operating Rules TDSP Operating Rule #1 This guideline is designed to keep ERCOT and the REPs in sync with the TDSP and in some cases, to keep a customer from being disconnected in error. When there are 2 processes pending at the same time with different scheduled meter read dates. The dates cannot be flip-flopped or read on the same day. There are 9 possible combinations affected and 7 that are not: AffectedNot Affected Move-In – Move-InMove-In – Switch Move-In – Move-OutMove-In – Drop to AREP Move-Out – Move-InMove-Out – Switch Switch – Move-InMove-Out – Drop to AREP Switch – SwitchMove-Out – Move-Out Switch – Move-OutSwitch – Drop to AREP Drop to AREP – SwitchDrop to AREP – Drop to AREP Drop to AREP – Move-In Drop to AREP – Move-Out

98. 98 TDSP Operating Rules TDSP Operating Rule #1 Transaction ‘A’ scheduled date 5/185/16 5/17 Transaction ‘B’ scheduled date Transaction A read by TDSP Transaction B read by TDSP Allowed

99. 99 TDSP Operating Rules TDSP Operating Rule #1 Transaction ‘A’ scheduled date 5/185/16 5/17 Transaction ‘B’ scheduled date Transaction A read by TDSP Transaction B read by TDSP Allowed

100. 100 TDSP Operating Rules TDSP Operating Rule #1 Transaction ‘A’ scheduled date 5/185/16 5/17 Transaction ‘B’ scheduled date Transaction A read by TDSP Transaction B read by TDSP Not Allowed

101. 101 TDSP Operating Rules TDSP Operating Rule #1 Transaction ‘A’ scheduled date 5/185/16 5/17 Transaction ‘B’ scheduled date Transaction A read by TDSP Transaction B read by TDSP Not Allowed

102. 102 TDSP Operating Rules TDSP Operating Rule #2 This solution is intended to handle Move-Ins and how they are affected by permit requirements when there is not a meter installed at the premise, the premise is new construction, the premise is in an area or rate class that requires a permit for a Move-In, or there is any permit pending on the ESI ID. In all of these cases, the TDSP would respond to the Move-In requests with 814_28s if the permit is required but not yet in hand, regardless of how many Move-Ins are requested on an ESI ID. Note: A Move-Out to CSA will not require a permit on a residential premise. 1.When the TDSP receives a premise based permit (not a tenant based permit), the TDSP will send the 814_04 (accept) for the Move-in with the latest date that is less than or equal to the earliest available scheduled meter read date and will send 814_04 (accepts) for all Move-Ins with future requested dates. Any Move-ins with requested dates prior to the Move-In associated with the permit will be cancelled by ERCOT on the later of the scheduled Move-In or upon receipt of the 814_04 scheduling the Move-In.

103. 103 TDSP Operating Rules TDSP Operating Rule #2 Requested date for Move-In C with Permit Pending 5/16 5/205/12 5/24 No Rep of Record ROR = CROR = D Requested date for Move-In B with Permit Pending Requested date for Move-In D with Permit Pending Premise based permit clears at the TDSP on 5/20. The TDSP sends 814_04s for C and D De-energized Cancelled

104. 104 TDSP Operating Rules TDSP Operating Rule #2 2.When the TDSP receives a tenant based permit (not a premise based permit), the TDSP will send an 814_04 (accept) only for the Move-In that is associated with the tenant on the permit. Any Move-ins with requested dates prior to the Move-In associated with the permit will be cancelled by ERCOT on the later of the scheduled Move-In or upon receipt of the 814_04 scheduling the Move-In. Any Move-Ins with requested dates later than the scheduled Move-In will continue to pend. Texas SET will be required to create a cancel reason for this rule. 3.If a REP sends a date change transaction for a transaction that is in a ‘Permit Pending’ status, ERCOT and TDSPs will use the date change transaction to change the requested date.

105. 105 TDSP Operating Rules TDSP Operating Rule #2 Requested date for Move-In C with Permit Pending 5/16 5/205/12 5/24 No Rep of Record ROR = BROR = D Requested date for Move-In B with Permit Pending Requested date for Move-In D with Permit Pending Tennant based permit clears at the TDSP on 5/18 for B. TDSP sends the 814_04 De-energized Tennant based permit clears at the TDSP on 5/22 for D. TDSP sends the 814_04 Cancelled

106. 106 TDSP Operating Rules TDSP Operating Rule #2 When a TDSP sends an 814_28 Permit Pending, they will add a flag that indicates whether there is a tenant based permit required. This will require Texas SET to add a new mandatory segment to the 814_28 to indicate the permit type. This will be a Boolean indicator. The TDSP must make the permit requirement information readily available to the REPs on their website. Note: This solution requires that the protocol expiration period for the ‘Permit Pending’ be extended to 20 business days after the requested date on the Move-In instead of 20 business days after the date ERCOT processes the 814_28.

107. 107 TDSP Operating Rules TDSP Operating Rule #3 TDSPs will receive 4 different types of cancels (814_08s) from ERCOT: 1.Cancels originating from the CR. These cancels can be rejected by the TDSP. 2.Cancels originating from ERCOT for customer rescissions. These cancels cannot be rejected by the TDSP. 3.Cancels generated from ERCOT Operating Rules. These cancels cannot be rejected by the TDSP. (Excluding “cancel with exception” and “permit pending”)

108. 108 TDSP Operating Rules TDSP Operating Rule #3 4.Cancels generated from the new cancel with exception and permit pending expiration processes. These cancels can be rejected by the TDSP (814_09 reject) and require an associated transaction Associated transactions for permit pending process include: –814_04 –814_28 where BGN07 = 09 Associated transactions for new cancel with exception process include: –814_04 –814_25 –814_28 where BGN07 = PT or 09 Note: Texas SET will have to establish a code or set of codes on the 814_08s for ERCOT to use so the TDSP(s) can readily identify the different types of cancels (814_08s).

109. 109 TDSP Operating Rules TDSP Operating Rule #4 –As to on-cycle switches and Drop to AREPs, ERCOT does not have a scheduled date in which to evaluate potential conflicts with other transactions. Therefore, the TDSP will be the first entity to identify such conflicts and will be the first to respond using operating rules that are not inconsistent with ERCOT in operating Rule #1. The following chart assumes that the TDSP had a pending transaction scheduled in its system and then receives a new on-cycle switch or Drop to AREP whose scheduled date will be the same as the pending transaction.

110. 110 TDSP Operating Rules TDSP Operating Rule #4 ScheduledNew TransactionRejected Transaction Move-Inon-cycle SwitchSwitch Move-Inon-cycle Drop to AREPDrop to AREP Move-Outon-cycle SwitchSwitch Move-Outon-cycle Drop to AREPDrop to AREP Switchon-cycle Switch2 nd Switch Switchon-cycle Drop to AREPDrop to AREP Drop to AREPon-cycle Drop to AREP2 nd Drop to AREP The TDSP will reject the transaction as detailed above; the 814_05 or 814_11 reject will be sent to the CR and the transaction will be cancelled in ERCOT’s system. Texas SET will be required to create a new reject code in the 814_04, 814_05 and the 814_11 to satisfy this situation.

111. 111 TDSP Operating Rules TDSP Operating Rule #5 TDSPs should reference ERCOT Operating Rule 22 as to their responsibilities for processing Date Change Requests (814-12) that have an iteration counter populated by the initiating REP. The TDSP will store and use the iteration counters to determine which Date Change Request to honor when executing the Move-Ins or Move-Outs for the premise.

112. 112 REP Operating Rules REPs, like the TDSPs and ERCOT will be required to handle multiple, non-sequential transactions on an ESI ID. The following rules are in addition to that requirement.

113. 113 REP Operating Rules REP Operating Rule #1 REPs who have a pending Move-Out and submit a Move-In (Same REP) with an earlier requested date are responsible for canceling the pending Move-Out if that is what the customer requires (REP manages customer expectations). If the REP does not cancel their Move-Out in this scenario, the Move-Out will be allowed to effectuate.

114. 114 REP Operating Rules REP Operating Rule #1 REP A is Rep of Record with Tennant #1 5/185/16 5/17 Rep of Record = A Move-In from REP A Scheduled for Tennant #2 Move-Out from REP A Scheduled for Tennant #1 De-energized

115. 115 REP Operating Rules REP Operating Rule #2 If a REP wants to drop a customer for non pay of deposit before 23:59 3 business days prior to their pending Move-In they must cancel the Move-In instead of using the Drop to AREP.

116. 116 REP Operating Rules REP Operating Rule #3 If a REP receives an 814_13 after requesting a date change on an ESI ID where they have received an 814_28 (Permit Pending), the REP will treat the 814_13 as an acknowledgement that ERCOT and the TDSP are aware of the new requested date. The REP will not use the 814_13 as notification of a scheduled transaction. They must understand that there is still a permit pending.

117. 117 REP Operating Rules REP Operating Rule #4 REPs must ensure that the customer name sent on a Move-In matches the name on a tenant-based permit. This will require Texas SET to make a change to the Move-In transaction (814_16) to clarify how the customer name is to be used or to add a new field to accommodate this requirement. The REPs will be responsible for contacting the TDSPs to get the links to the permit information on their website and make this information available to their customer service centers as necessary.

118. 118 REP Operating Rules REP Operating Rule #5 If a REP submits an ‘Establish CSA’ transaction (814_18) on an ESI ID where a Move-Out has been submitted but is not complete, the Move-Out will complete as if the establish CSA was not in effect and the premise will be de-energized if there was no prior CSA relationship. If there was a prior CSA relationship, the prior CSA REP will be the REP of Record after the Move-Out.

119. 119 REP Operating Rules REP Operating Rule #5 CSA established at ERCOT for REP A 5/16 5/205/12 5/24 Move-Out received requesting 5/24 Premise de- energized at TDSP No CSA RelationshipREP A owns CSA

120. 120 REP Operating Rules REP Operating Rule #5 CSA established at ERCOT for REP A 5/16 5/205/12 5/24 Move-Out received requesting 5/24 Move-Out results in Switch to REP B REP A owns CSAREP B owns CSA

121. 121 REP Operating Rules REP Operating Rule #6 If a REP submits a remove CSA transaction on an ESI ID where a ‘Move- Out’ has been submitted but is not complete, the Move-Out will complete as if the establish CSA was still in effect and the CSA REP will be the REP of Record after the Move-Out.

122. 122 REP Operating Rules REP Operating Rule #6 REP B removes their CSA 5/16 5/205/12 5/24 Move-Out received requesting 5/24 Move-Out results in Switch to REP B REP B owns CSANo CSA Relationship

123. 123 REP Operating Rules REP Operating Rule #7 Losing REPs could receive cancel/date change, after receiving their 814_06.

124. 124 REP Operating Rules REP Operating Rule #7 Cancel or Date Change response received from TDSP 5/165/175/15 Cancel or Date Change received from submitting REP Transaction Effective Date 814_06 sent to losing REP Cancel or Date Change sent to losing REP Cancel or Date Change sent to TDSP by ERCOT No cancels/Date Changes accepted

125. 125 REP Operating Rules REP Operating Rule #8 REPs must use the iteration counter on the 814_13 in combination with the date on the 814_13 and the accept/reject status to determine which date is being honored by the TDSP. The date on the 814_13 accept with the highest iteration counter is the one that will be honored by all parties.

126. 126 Next Steps RMS Presentation Requesting Vote from RMS –High Level Requirement Specifications –Checkpoints in timeline Production processing schedules Details around Exception queue processing –Market coordination team Market participants working through any details required as they arise –Development and implementation timelines

127. 127 Thank-you