Affiliate Rules Training - Entergy Texas · Plan men t 13. GenCo ETR GenCo GenCo COMPETITIVE REGULATED COMPETITIVE Safeguards REP. O ut a ge , ... Texas Affiliate Rules Training l

Texas Affiliate Rules Training

Texas Affiliate RulesOverview

David Pipkin (8-750-4498) (501-377-4498)Neal Jansonius (8-750-5552) (501-377-5552)Diane Robbins (8-750-4303) (501-377-4303)Kathryn Stanley (8-630-3170) (832-681-3170)Sean Moore (8-576-7048) (504-576-7048)

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Click on Affiliate Rules ComplianceClick on Texas - Training Manual

http://lr_web.ar.entergy.com/ARC/ARC-HomePage.htmhttp://www.entergy-texas.comHelpdesk Affiliate Rules [email protected]

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Affiliate Rules Compliance

Affiliate Rules ComplianceWeb-site

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Version 02/02/02

Affiliate Rules Compliance Home Page

Contact Information -Who to Call if You have a Question

ARC Newsletters - contains FrequentlyAsked Questions

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Version 02/02/02

Current Texas Model

Generation

Transmission

Distribution

Customer Service

Customer

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Version 10/18/00

Texas Post Open Access Market Model(single customer)

Outage Calls/Construction Service

Distribution(DisCo)

RetailElectricProvider

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ISO/RTO/

TransCo

GenCo Customer

Version 01/22/01

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13Plan

Texas Post Open Access Market Model(expanded)

ETRDistribution

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TransCo)

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COMPETITIVE REGULATED COMPETITIVE

SafeguardsREP

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Construction Service &

Other Services

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ETRREP

REP

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Safeguards


l History/Timeline• 11/18/99 Affiliate Rules are approved• 12/20/99 Affiliate Rules are effective• 1/10/00 EGSI Business Separation Plan filing including

our internal code of conduct for compliance with rules; Internal Code is effective

• 9/1/00 Competitive energy services are separated from utility

• 6/1/01 Pilot retail open access begins• 1/1/04 Full separation, Full retail open access-delayed• -- Compliance audit due - conducted one year after

Retail Open Access and at least every three years thereafter.

• 9/1/05 Removal of disclaimer language on use of logo

Revised 1/02/03

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l Purpose of Texas Affiliate Rules• To prevent:

– Potential market power abuses, and– Cross-subsidization between regulated and

unregulated activities• Through establishment of safeguards to govern

interactions between utilities and affiliates• Both during the transition to and after introduction

of competition

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Texas Affiliate Rules TrainingSafeguards Identified by Texas Affiliate Rules

l Safeguards identified to prevent market power abuses and cross subsidization fall into three categories.

l Absolute prohibitions of some interactions (e.g., joint sales calls, pledge of utility rate base assets for competitive affiliate credit)

l Specific safeguards for certain permitted interactions (e.g., physical separation of shared office space, competitive bidding for certain purchases/sales between a utility and competitive affiliate)

l Conceptual safeguards for certain permitted interactions. For e.g., safeguards must be implemented such that the interactions:

l Do not allow or provide a means to transfer confidential information

• Do not create an opportunity for preferential treatment or unfair competitive advantage

• Do not lead to customer confusion• Interactions must not create significant opportunities for cross-

subsidization of affiliates(the “Four Taboos”)

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Texas Affiliate Rules TrainingThe Four Taboos

(P I C S)

• Preferential treatment prohibition -- No unfair competitive advantage can be provided by the utility to its competitive affiliate.

• Information flow restrictions -- The utility cannot take any action that allows the inappropriate transfer of confidential information to its competitive affiliate.

• Customer confusion prohibitions -- The utility cannot take any action that leads to customer confusion as to who is the utility and who is the competitive affiliate.

• Subsidization prohibitions -- The utility cannot provide subsidy (or create significant opportunity for a subsidy) to its affiliates.

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Types of Interactions Addressed by Texas Affiliate RulesTexas Affiliate Rules Training

l Market Power Abuses (Competitive Affiliate)

• Information– T&D Operations– Customer Data– Employee Transfers– Separation of Entities– “Other” information

• Sharing of Resources– Employees– Property, Equipment, IT, Office

Space– Corporate Support Services

• Transactions– Pursuant to Tariff– Non-discriminatory Offerings– No Tying Arrangements

• Joint advertising/marketing– Logo/Name– Leads– Joint activities– Requests for info about affiliate or

competitive products/services

l Cross Subsidization (All Affiliates)• Cost Allocations (Shared

Services) • Transactions (arms length

for competitive affiliates)• Transfer Prices for Assets/

Products/Services• Separate Entities• Credit Support

l General• Penalties• Use of corporate affiliate

to circumvent rules• Conflicts (FERC/SEC)• Audits• Complaints• Affiliate Activities Filing

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Texas Affiliate Rules Trainingl Information

• General rule - utility cannot share information with competitive affiliates• Exceptions:

– Specific exceptions permitted for Aggregate Customer Information and Proprietary Customer Information (below)

– Information that is publicly available– Information unrelated in any way to utility activities– Utility proves to PUCT, prior to the sharing, that the sharing will not compromise

public interest– Information required to perform allowed corporate support services, so long as Four

Taboos are not violated

l T&D Information• Utility may not allow preferential access by competitive affiliates to information

about T&D systems.

l Aggregate Customer Information• Utility shall make aggregate non-proprietary customer information available to

competitive affiliate only if:– Utility makes such information available to all non-affiliates under same terms and

conditions– Utility post notice of availability on web-site no less than 24 hours prior to supplying

data and for at least 30 days• Utility shall maintain records regarding release of aggregate customer

information for three years, and shall make this data available for review.

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Texas Affiliate Rules Trainingl Proprietary Customer Information

• Utility shall not release any proprietary customer information without written authorization from customer, except:

– To customer– To independent organization (ISO/RTO/TRANSCO)– To provider of corporate support services for the sole purpose of providing corporate

support services– Where authorized by PUCT– Where required by law, regulation or legal process– To federal, state, or local governmental entity– In connection with court or administrative proceeding involving customer or utility– To its affiliate REP or a POLR during four month period prior to Retail Open Access

to facilitate the transition to customer choice– To POLR during four month period prior to Retail Open Access for purpose of serving

customers switched to POLR• With those exceptions, utility may release proprietary customer information

only pursuant to prior affirmative written consent or other verifiable authorization of customer.

• Utility shall maintain records regarding information released, and shall make this data available for review (redacted).

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l Employee Migration• Temporary assignments

– Utility shall not assign utility employees engaged in T&D system operations to a competitive affiliate for less than one year unless the employee does not have knowledge of confidential information.

– Exceptions for major service interruptions or emergency situations affecting system reliability.

• Non-temporary Assignments– Utility employees (including service company affiliate

employees) who are engaged in or have knowledge of T&D system operations and are transferred to a competitive affiliate shall not remove or otherwise provide or use confidential information gained from the utility to the benefit of the competitive affiliate.

– Transferring employees shall sign a statement indicating that they are aware of and understand the restrictions and penalties of PUCT rules and Internal Code.

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l Joint Marketing/Sales• Before 9/1/05, restrictions apply to competitive affiliate’s use of

corporate name, trademark, brand, or logo:– Must include disclaimer on employee business cards– Must include disclaimer on any written or auditory advertisements of specific

services to existing or potential residential or small commercial customers located within the utility’s certificated service area.

– Disclaimer language - “[competitive affiliate] is not the same company as [name of utility] and is not regulated by the Public Utility Commission of Texas, and you do not have to buy [competitive affiliate’s] products to continue to receive quality regulated services from [name of utility]”

– Disclaimer must be written in a bold and conspicuous manner or clearly audible, as appropriate for the communication medium

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Texas Affiliate Rules Trainingl Joint Marketing/Sales (continued)

• Utility shall not:– provide or acquire leads on behalf of competitive affiliates– solicit business or acquire information on behalf of competitive affiliate– act on behalf of competitive affiliate (or give appearance)– share market analysis reports or other types of proprietary or non-publicly available

reports (including market forecast, planning or strategic reports)– represent to customer that it can offer competitive retail services bundled with

regulated services– request authorization from customers to pass on information exclusively to competitive

affiliates• Utility shall not engage in joint marketing, advertising, or promotional activities

with competitive affiliate. Includes:– acting or appearing to act on part of competitive affiliate– joint sales calls– joint proposals– joint promotional communication– joint presentation at trade shows in Texas– providing links from utility’s web-site to affiliate’s web-site.

• At a customer’s unsolicited request, utility may participate in meetings with a competitive affiliate to discuss technical or operational subjects regarding the utilities provision of D services, but only in the same manner and to the same extent the utility participates in such meetings with unaffiliated suppliers and their customers. The utility shall not listen to, view, or otherwise participate in any way in a sales discussion between a customer and a competitive affiliates or an unaffiliated electric or energy supplier.

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Texas Affiliate Rules Trainingl Customer Request for Information

• Customer request for information can either be a specific request or a general request for information.

• Specific Request– If a customer makes an unsolicited request to a utility for

information specifically about any of its competitive affiliates, the utility may refer the customer to the competitive affiliate.

– The only information provided is address and telephone number ofthe competitive affiliate.

– Utility shall not promote or offer any opinion of its competitive affiliate or any other service provider.

• General Request– If customer requests general information from a utility about

competitive products and services, the utility may provide a list of suppliers maintained by the commission.

– Utility shall not promote or offer any opinion of its competitive affiliate or any other service provider.

– Utility may not refer the customer to its affiliate.

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Texas Affiliate Rules Trainingl Sharing of resources

• General Rule - utility shall not share employees, facilities, or other resources with its competitive affiliate unless the utility can prove, prior to sharing, that the sharing will not compromise the public interest.

• Such proof must include implementation of safeguards that preclude competitive affiliate employees from gaining access to information in a a manner that would allow or provide a means to:

• transfer confidential information from a utility to an affiliate

– create an opportunity for preferential treatment or unfair competitive advantage

– lead to customer confusion, or– create significant opportunities for cross subsidization of affiliates

• Certain exceptions are permitted for officers and board directors, property, equipment, computer systems, information systems, office space, and corporate support services

• Utility may share common officers and board directors, property, equipment, computer systems, information systems, and corporate support services with competitive affiliate to the extent consistent with conditions listed above

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l Corporate support services defined as: Shared services of jointcorporate oversight, governance, support systems, and personnel.Examples of services that may be shared include human resources, procurement, information technology, regulatory services, administrative services, real estate services, legal services, accounting, environmental services, research and development unrelated to marketing activity and/or business development for the competitive affiliate regarding its services and products, internal audit, community relations, corporate communications, financial services, financial planning and management support, corporate services, corporate secretary, lobbying, and corporate planning.

Examples of services that may not be shared include T&D engineering, purchasing of electric transmission facilities and service, transmission and distribution system operations, and marketing, unless such services are provided by a utility, or a separate affiliate created to perform such services, exclusively to affiliated regulated utilities and only for provision of regulated utility services.

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l Utility/Affiliate Transactions• Affiliate Transactions General Rule - a utility shall not subsidize the

affiliate business activities with revenues from regulated services.• Cost of shared services shall be fully allocated

– Unless otherwise approved by PUCT or for corporate support services, any sale of products or services by utility to an affiliate must be pursuant to an approved tariff, available to all (see next slide).

– Except for transfers facilitating unbundling, transfers of assets from the utility to affiliate shall be priced at levels that are fair and reasonable to utility customers that reflect the fair market value of the assets or utility’s fully allocated costs.

– Products, services, and assets purchased by a utility from an affiliate must be priced at levels that are fair and reasonable to customers and that reflect market value.

• Competitive Affiliate Transactions General Rule - transactions between the competitive affiliate and the utility shall be at arm’s length.

– Utility may engage in transactions related to corporate support services.– Utility purchase of products or services from competitive affiliate of more than

$75,000/unit or $1 million in total must be result of competitive bid (except for corporate support services).

– Transfers of assets from the utility to the competitive affiliate of assets with a value of $75,000/unit or $1 million in total must be competitively bid (except for the initial unbundling).

– Utility shall maintain a record of all transactions with the competitive affiliate except for corporate support services and those pursuant to a tariff.

• Subject to FERC/SEC preemption

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Texas Affiliate Rules Trainingl Utility Sales/Discounts, Rebates, Fee

Waivers• If utility makes a product or service, other than corporate

support services, available to a competitive affiliate, it shallmake the same product or service available to all similarly situated entities.

• If a tariff allows for discretion, the utility shall apply that provision in the same manner to its affiliate and similarly situated non-affiliates.

• If a utility offers a discount, rebate, fee waiver, or alternative tariff terms or conditions to its competitive affiliate, it mustcontemporaneously offer the same offer to non-affiliates (posted on web-site for 30 days).

• Utility is prohibited from using a customer specific contract tocircumvent non-discriminatory application of tariffs.

• Utility shall not condition the provision of any product, service, pricing, or alternative terms and conditions upon the purchase of any good or service from the utility or its competitive affiliate.

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Texas Affiliate Rules Trainingl Other General Provisions

• Informal Complaints– Utility shall have an informal complaint procedure in

place.– All informal complaints shall be placed in writing and

reported.– Designated officer shall provide written confirmation of

receipt of complaint.– Parties shall make good faith effort to resolve complaint

on an informal basis.– Complainant may file formal complaint with PUCT

• Conflicts (FERC/SEC)• Audits• New Affiliates• Affiliate Activities Filing

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Texas Affiliate Rules Trainingl Modules Included in Training

• Overview• Table of Do’s and Don’ts• Copy of Code of Conduct• Script for Customer Information Sharing• Script for Specific Competitive Affiliate Information Requests• Script for General Information About Competitive Products or Services• Customer Information Sharing Process & Form• Aggregate Information Sharing Process & Form• Price List for Requested/Supplied Information• Affiliate Referral Processes• Request for Utility Products & Services Process• Provision of Discounts, Rebates, Fee Waivers Process & Form• Employees Migration Process & Form• Deviations from Code of Conduct Process & Form• Informal Complaint Process & Form• Internal Disciplinary Measures for Violations to Code of Conduct• Affiliate Creation Process• Release Under Law Process• Release to Government Process

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Code of Conduct Compliance Plan Attachment 13

Tab 2 Page 1 of 5

DO DON’T

A. General 1. Do put yourself in shoes of non-affiliates

and consider how you would want regulated operations to treat its competitive affiliates.

2. Do fully allocate costs for shared services. 3. Do physically separate utility office space

from competitive affiliate office space. 4. Do share officers, directors, property,

equipment, computer systems, information systems, and corporate support services, only if appropriate safeguards are established.

5. Do have employees transferring between

utility and competitive affiliate sign a form indicating they are aware of and understand restrictions in Code of Conduct. Do post notice of employee transfers on website.

6. May temporarily assign employees to an

affiliate or non-affiliated utility only to assist in restoring power in the event of a major service interruption or assist in resolving emergency situations affecting system reliability.

A. General 1. Don’t prefer Entergy’s competitive affiliates

over its non-affiliates. 2. Don’t let utility subsidize business activities

of affiliate. 3. Don’t share employees, facilities or other

resources unless can prove, prior to sharing, that it will not compromise public interest because safeguards are in place.

4. Don’t let T&D employees transferred to

competitive affiliates remove or otherwise provide or use confidential information or property of the utility or affiliate service company in a discriminatory manner.

5. Don’t permit temporary assignments of less

than one year unless employee has no knowledge of confidential information, except for major/emergency service situations.

6. Don’t allow a competitive affiliate to have

preferential access to information about transmission and distribution systems.


Tab 2 Page 2 of 5

DO DON’T

B. Customer Information Release 1. Do have customer complete and sign a

Customer Information Consent Form prior to release of proprietary customer information, with certain exceptions (see DO #3 and #4 below).

2. Do release proprietary customer information

to only those individuals identified by the customer.

3. Do release proprietary customer information

to its competitive affiliate in order to facilitate the transition to customer choice, but only during period 05/15/2-09/15/02.

4. Do provide, after 09/15/02, customer

proprietary information to a provider of last resort without customer authorization for the purpose of serving customer who have been switched to POLR.

C. Aggregate Information 1. Do provide aggregate customer information

to non-affiliates requesting this information under the same terms provided to a competitive affiliate.

2. Do post notice on utility’s web-site

regarding supply of aggregate customer information hours prior to supplying data to competitive affiliate.

3. Do maintain records of release of

aggregate customer information available for review for three years.

B. Customer Information Release 1. Don’t release any proprietary customer

information without prior written authorization from customer, except to customer, an independent organization (ISO/RTO/Transco), or a provider of corporate support services for the sole purpose of providing corporate support services.

2. Don’t request authorization from customers

to pass on information exclusively to utility’s competitive affiliate.

C. Aggregate Information 1. Don’t provide preferential access of

aggregate information to competitive affiliate.

2. Don’t make aggregate non-proprietary

customer information available to competitive affiliate unless such information is made available to all non-affiliates.

Confidential Information – Any information not intended for public disclosure and considered to be confidential or proprietary by persons privy to such information. Confidential information includes but is not limited to information relating to the interconnection of customers to a utility's transmission or distribution systems, proprietary customer information, trade secrets, competitive information relating to internal manufacturing processes, and information about a utility's transmission or distribution system, operations, or plans for expansion. Proprietary Customer Information – Any information compiled by an electric utility on a customer in the normal course of providing electric service that makes possible the identification of any individual customer by matching such information with the customer's name, address, account number, type or classification of service, historical electricity usage, expected patterns of use, types of facilities used in providing service, individual contract terms and conditions, price, current charges, billing records, or any other information that the customer has expressly requested not be disclosed. Information that is redacted or organized in such a way as to make it impossible to identify the customer to whom the information relates does not constitute proprietary customer information.


Tab 2 Page 3 of 5

DO DON’T

D. Customer Referrals 1. Do refer the customer to the competitive

affiliate by only providing competitive affiliate’s address and phone number and only if customer first made an unsolicited request to utility for information specifically about any of its competitive affiliates. 10055 Grogans Mill Road, Suite 150, The Woodlands, TX 77380 1-866-368-3749

2. Do provide a list of suppliers maintained by

the PUCT, refer the customer to a telephone directory, or to the PUCT, if a customer makes a general request regarding competitive products or services. PUCT phone number is 1-866-PWR-4-TEX (1-866-797-4839) www.powertochoose.org

E. Joint Marketing/Sales 1. Do include disclaimer language on all

business cards and certain advertising. (“Competitive Affiliate is not the same company as Entergy Gulf States, Inc. and is not regulated by the Public Utility Commission of Texas, and you do not have to buy Competitive Affiliate’s products to continue to receive quality regulated services from Entergy Gulf States, Inc.”)

2. Do make such disclaimer in a bold and

conspicuous manner or clearly audible, as appropriate for the communication medium.

3. May participate, at customer’s unsolicited

request, in meetings with a competitive affiliate to discuss technical or operational subjects regarding the utility's provision of transmission or distribution services to the customer, but only in the same manner and to the same extent the utility participates in such meetings with unaffiliated electric or energy services suppliers and their customers.

4. Do permit competitive affiliate to have

access to customer bill advertising inserts only if done pursuant to tariff available to non-affiliates.

D. Customer Referrals 1. Don’t refer utility customer to competitive

affiliate. 2. Don’t promote or offer any opinion of

competitive affiliate, or any other service provider.

3. Don’t transfer customer directly to

competitive affiliate via telephone or any other electronic link means.

E. Joint Marketing/Sales 1. Don’t provide or acquire leads for

competitive affiliate. 2. Don’t solicit business or acquire

information on behalf of competitive affiliate.

3. Don’t share market analysis reports or

other types of proprietary reports with competitive affiliate.

4. Don’t represent to customer that a utility

can offer competitive retail services bundled with tariffed services.

5. Don’t act or appear to act on behalf of

competitive affiliate in any contacts with customers.

6. Don’t engage in joint marketing,

advertising, or promotional activities of utility’s products or services with those of competitive affiliate in a manner that favors affiliate. Joint marketing includes a) joint sales calls, b) joint proposals, c) joint promotional communication, d) joint presentation at trade shows.

7. Don’t listen to, view, or otherwise

participate in any way in a sales discussion between customer and services supplier.

8. Don’t provide links from utility’s web-site to

a competitive affiliate’s web-site.

http://www.powertochoose.org/


Tab 2 Page 4 of 5

DO DON’T

F. Transactions 1. Do maintain contemporaneous

written records of all utility transactions with its competitive affiliates, with exception of corporate support services or tariffed transactions.

2. Do transactions between a utility

and its competitive affiliate at arm’s length, except for asset transfers facilitating unbundling for the initial business separation (which shall be at book value.)

3. Do price products, services and

assets purchased by a utility from an affiliate at levels that are fair and reasonable to customers and that reflect market value.

4. Do any sale of a product or service

by the utility (other than corporate support services) pursuant to a tariff made available to all similarly situated entities.

5. Do exercise discretion in tariff

application in the same manner to affiliates and similarly situated non-affiliates

6. Do contemporaneously offer any a

discount, rebate, fee waiver, or alternative tariff terms to non-affiliates if such benefits are offered to a competitive affiliate. Do post notice on utility web-site regarding provision of discount, rebate, etc.

F. Transactions 1. Don’t transfer utility assets with

value of $75,000/unit or more or total value of $1 million or more to competitive affiliate unless done through competitive bidding, except for asset transfers facilitating unbundling for the initial business separation (which shall be at book value.)

2. Do not use a customer specific

contract to circumvent non-discriminatory application of tariffs.

3. Do not condition the provision of

any product, service, pricing, or alternative terms and conditions upon the purchase of any good or service from a competitive affiliate, unless otherwise allowed by PUCT.

4. Do not condition the provision of

any product, service, pricing, or alternative terms and conditions upon the purchase of any good or service from the utility, unless otherwise allowed by PUCT.


Tab 2 Page 5 of 5

DO DON’T

G. Deviations/Informal Complaints 1. Do deviate from the Code of

Conduct by temporally transferring employees only if necessary to ensure public safety and system reliability.

2. Do report deviations from Code of

Conduct. Do post notice on utility’s web-site of any deviation within 30 days.

3. Do have an informal complaint

procedure for addressing alleged violations.

4. Do place informal complaints in

writing and refer to designated officer.

G. Deviations/Informal Complaints 1. Don’t deviate from Code of Conduct

unless public safety or system reliability is a concern.


Tab 3 Page 1 of 14

Internal Code of Conduct

for EGSI Texas and Its Affiliates

I. Purpose The purpose of this Internal Code of Conduct (“Code of Conduct”) is to establish safeguards to govern interaction between the Entergy Gulf States, Inc. (“Gulf States”) and its affiliates to avoid potential market power abuses and cross-subsidization between unregulated and regulated activities. This Code of Conduct is subject to regulatory review and approval, but shall become effective, on an interim basis, on January 10, 2000. §25.272(a) This Code of Conduct shall not affect or modify obligations or duties relating to any rule or standard of conduct that may apply under orders or regulations of the Federal Energy Regulatory Commission or the Securities and Exchange Commission.1 Notices of inapplicability of the Code of Conduct will be provided separately to the Public Utility Commission of Texas (PUCT).2 A. Definitions Arm’s Length Transaction: The standard of conduct under which unrelated parties, each acting in its own best interest, would carry out a particular transaction. Applied to related parties, a transaction is at arm’s length if the transaction could have been made on the same terms to a disinterested third party in a bargained transaction. Competitive Affiliate: An affiliate of a utility that provides services or sells products in a competitive energy-related market in Texas. Confidential Information: Any information not intended for public disclosure and considered to be confidential or proprietary by persons privy to such information. Confidential information includes information relating to the interconnection of customers to a utility’s distribution systems, proprietary customer information, trade secrets, competitive information relating to internal manufacturing processes, and information about a utility’s distribution system, operations, or plans for expansion. Corporate Support Services: Services shared by a utility, its parent holding company, or a separate affiliate created to perform corporate support services, with its affiliates of joint corporate oversight, governance, support systems, and personnel. Examples of services that may be shared include human resources, procurement, information technology, regulatory services, administrative services, real estate services, legal services, accounting, environmental services, research and development unrelated to

1 Therefore, this code does not identify each instance of FERC or SEC application. 2 The procedures and forms for the implementation of this Code of Conduct are contained in the Compliance Plan.


Tab 3 Page 2 of 14

marketing activity and/or business development for the competitive affiliate regarding its services and products, internal audit, community relations, corporate communications, financial services, financial planning and management support, corporate services, corporate secretary, lobbying, and corporate planning. Examples of services that may not be shared include engineering, distribution system operations, and marketing, unless such services are provided by a utility, or a separate affiliate created to perform such services, exclusively to affiliated regulated utilities and only for provision of regulated utility services. Proprietary Customer Information: Any information compiled by an electric utility on a customer in the normal course of providing retail electric service that makes possible the identification of any individual customer by matching such information with the customer’s name, address, account number, type or classification of service, historical electricity usage, expected patterns of use, types of facilities used in providing service, individual contract terms and conditions, price, current charges, billing records, or any other information that the customer has expressly requested not be disclosed. Information that is redacted or organized in such a way as to make it impossible to identify the customer to whom the information relates does not constitute proprietary customer information. Similarly Situated: The standard for determining whether a non-affiliate is entitled to the same benefit a utility offers, or grants upon request, to its competitive affiliate for any product or service. All non-affiliates serving or proposing to serve the same market as a utility’s competitive affiliate are similarly situated to the utility’s competitive affiliate. Transaction: Any interaction between a utility and its affiliate in which a service, good, asset, product, property, right, or other item is transferred or received by either a utility or its affiliate. Regulated Utility: A person that owns or operates for compensation equipment or facilities to produce, generate, distribute, sell, and furnish electricity at retail in Texas or a person that owns or operates for compensation equipment or facilities to distribute electricity in Texas.

II. Separation of Employees A. Sharing of Employees The regulated utility will not share employees, facilities, or other resources with its competitive affiliates unless the regulated utility can prove prior to such sharing that the sharing will not compromise the public interest. The regulated utility may share employees, facilities, or other resources if adequate safeguards are in place to preclude employees of a competitive affiliate from gaining access to information in a manner that would allow or provide a means to transfer confidential information from a utility to an affiliate, create an opportunity for preferential treatment or unfair competitive advantage,


Tab 3 Page 3 of 14

lead to customer confusion, or create significant opportunities for cross-subsidization of affiliates. The regulated utility may also share common officers and directors, property, equipment, computer systems, information systems, and corporate support services with competitive affiliates if the safeguards discussed above are in place. §25.272(d)(2) and (3) B. Employees 1. Prohibition of Temporary Assignment The regulated utility will not assign, for less than one year, utility employees engaged in distribution system operations to a competitive affiliate unless the employee does not have knowledge of confidential information. Utility employees engaged in distribution system operations shall not remove or otherwise provide or use confidential property or information gained from the utility company or an affiliated service company in a discriminatory or exclusive fashion, to the benefit of the competitive affiliate or to the detriment on non-affiliated electric suppliers. 2. Migration of Employees Movement of an employee engaged in distribution system operations will be accomplished through either the employee’s termination with one company and acceptance of employment with the other, or a transfer to another company, as long as the transfer of an employee from the utility to an affiliate results in the utility bearing no ongoing costs associated with that employee. Transferring employees will be required to sign a statement indicating that they are aware of and understand the potential restrictions and penalties of this code and appropriate regulatory rules and statutes. The regulated utility also shall post a conspicuous notice of such a transfer on its Internet site or other public electronic bulletin board within 24 hours and for at least 30 consecutive calendar days. 3. Exception to Ensure Public Safety An employee may be temporarily assigned to an affiliate or non-affiliated utility to assist in restoring power in the event of a major service interruption or assist in resolving emergency situations affecting system reliability. The regulated utility must report such assignments within 30 days, and conspicuously post the information on its Internet site or other public electronic bulletin board for 30 consecutive calendar days. §25.272(d)(4) 4. Reporting Requirements All such information with regard to the reporting of assignment or tracking of employees will be reported by the regulated utility in compliance with the applicable regulations of the Public Utility Commission of Texas (“PUCT”).


Tab 3 Page 4 of 14

C. Separation of Office Space The regulated utility will physically separate its office space from that of its competitive affiliate, where physical separation is accomplished by having office space in separate buildings or, if within the same building, by a method such as having offices on separate floors or with separate access, unless otherwise approved by the PUCT. §25.272(d)(5) D. Separate Books and Records The regulated utility and its affiliates will keep separate books of accounts and records. These separate books and records will be kept in accordance with generally accepted accounting principles or appropriate state or federal guidelines. The regulated utility will record all transactions with its affiliates, whether they involve direct or indirect expenses. The regulated utility will prepare financial statements that are not consolidated with those of its affiliates. The records maintained by the regulated utility and its affiliates must be sufficient to allow for an audit of the transactions between the utility and its affiliates at any time performed by an independent third party. §25.272(d)(6) E. Credit Support The regulated utility may share credit, investment, or financing arrangements with its competitive affiliates in limited situations and when adequate safeguards are in place. However, the regulated utility may not allow an affiliate to obtain credit under any arrangement that would include a specific pledge of any assets in the rate base of the utility or a pledge of cash reasonably necessary for utility operations. §25.272(d)(7)

III. Transactions Between the Regulated Utility and its Affiliates A. Transactions Between the Regulated Utility and All Affiliates The regulated utility may not subsidize the business activities of any affiliate with revenues from a regulated service. The utility and its affiliates must fully allocate costs for any shared services, including corporate support services, offices, employees, property, equipment, computer systems, information systems, and any other shared assets, services, or products. §25.272(e)(1) 1. Sale of Products or Services by the Regulated Utility Unless otherwise approved by the PUCT and except for corporate support services, any sale of a product or service by a regulated utility shall be governed by a tariff approved by a state regulatory body. Products and services of the regulated utility offered to affiliates must be made available to any third party entity on the same terms and conditions as they are made available to its affiliates. §25.272(e)(1)(A) The sale of products and services provided by the utility to its affiliates pursuant to a FERC rate schedule shall not be required to be approved by the PUCT and shall be made available


Tab 3 Page 5 of 14

to parties in accordance with the terms of such rate schedule. 2. Purchase of Products, Services, or Assets by the Regulated Utility from its Affiliate Products, services, or assets purchased by the regulated utility must be priced at levels that are fair and reasonable to utility customers and that reflect the market value of the product, service, or asset, provided that during the interim period of time prior to implementation of retail access in Texas, products, services, or assets purchased by the regulated utility from its affiliates pursuant to a FERC rate schedule or an SEC service agreement shall be priced at the cost set forth in such rate schedule or service agreement. §25.272(e)(1)(B) 3. Transfers of Assets Except for transfers of jurisdictional assets implementing restructuring legislation, assets transferred from the regulated utility to its affiliates must be priced at levels that are fair and reasonable to utility customers and that reflect the market value of the assets or the utility’s fully allocated cost to provide those assets. §25.272(e)(1)(C) B. Transactions with Competitive Affiliates Transactions between the regulated utility and its competitive affiliates will be made as if the transaction were made with any other disinterested third party in a bargained transaction. The regulated utility must maintain a contemporaneous written record of all transactions with its competitive affiliates, except those involving corporate support services and those transactions governed by tariffs. These records must include the date of the transaction, name of the affiliate involved, name of a utility employee knowledgeable about the transaction, and a description of the transaction. These records will be maintained by the regulated utility for three (3) years, and are subject to review or audit by appropriate state or federal regulatory agencies at any time. §25.272(e)(2) 1. Provision of Corporate Support Services The regulated utility may engage in transactions directly related to the provision of corporate support services with its competitive affiliates, so long as the provision of corporate support services does not allow or provide a means for the transfer of confidential information from the regulated utility to the competitive affiliate, create the opportunity for preferential treatment or unfair competitive advantage, lead to customer confusion, or create significant opportunities for cross-subsidization of the competitive affiliate. §25.272(e)(2)(A)


Tab 3 Page 6 of 14

2. Purchase of Products or Services by The Regulated Utility from its Competitive Affiliate Except for corporate support services, the regulated utility may not enter into a transaction to purchase a product or service from a competitive affiliate that has a per unit value of $75,000 or more, or a total value of $1 million or more, unless the transaction is the result of a fair, competitive bidding process formalized in a contract. §25.272(e)(2)(B) 3. Transfers of Assets Except for jurisdictional asset transfers to facilitate restructuring legislation, any transfer from the regulated utility to its competitive affiliates of assets with a per unit value of $75,000 or more, or a total value of $1 million or more, must be the result of a fair, competitive bidding process formalized in a contract. §25.272(e)(2)(C) 4. Contracts Between Electric Utilities and Their Competitive Affiliates Contracts between the regulated utility and its competitive affiliate must result from a fair, competitive bidding process. The regulated utility must conduct competitive bidding to procure products and services, other than corporate support services, that are offered by a competitive affiliate or to sell to any competitive affiliate assets that have a per unit value of more than $75,000, or a total value of more than $1 million. This requirement does not apply to transfers that facilitate restructuring legislation. (a) Notice The regulated utility must provide reasonable notice of any request for proposals required pursuant to this code of conduct. Such notice must include: notice by publication in trade journals or newspapers as appropriate; notice by mail to persons who previously requested to be notified of the request for proposal, and; conspicuous notice on the regulated utility’s Internet site or other public electronic bulletin board. (b) Independent Evaluator The regulated utility must use an independent evaluator when a competitive affiliate’s bid is included among the bids to be evaluated. If an independent evaluator is required, the regulated utility must maintain a record of communications with the independent evaluator. The independent evaluator shall identify in writing the bids that are most advantageous and warrant negotiation and contract execution, in accordance with the criteria set forth in the request for proposals. The regulated utility retains responsibility for final selection of products or services.


Tab 3 Page 7 of 14

(c) Competitive Bidding Procedures The regulated utility must make a request for proposals available to interested persons by conspicuously posting the request on its Internet site or other public electronic bulletin board. The request for proposals must clearly set forth the eligibility and selection criteria and shall specify the weight to be given to any non-cost selection criteria. The regulated utility must strictly enforce the criteria specified in the request for proposals. (d) Evaluation of Bids The regulated utility or independent evaluator, as appropriate, must evaluate each bid submitted in accordance with the criteria specified in the request for proposals. The regulated utility or independent evaluator may not give preferential treatment or consideration to any bid. (e) Rejection of Bids The regulated utility is not required to accept a bid and may reject any or all bids in accordance with the selection criteria specified in the request for proposals. (f) Filing of Contracts The regulated utility must file with the state regulatory body a signed copy of any contracts entered into with a competitive affiliate as the result of the fair, competitive bidding process described above. A contract must include, at a minimum, the following provisions: the effective date of the agreement and parties to the agreement; the terms of the agreement; a narrative describing the products or services provided to the regulated utility, including a list by specific service of all the affiliated companies who provide or receive these services, or a narrative describing the assets being sold by the utility to the competitive affiliate; the obligations of the parties; the price for those products, services, or assets governed by the contract, and billing and payment procedures.

IV. Safeguards Relating to Provision of Products and Services A. Products and Services Available on a Non-Discriminatory Basis If the regulated utility makes a product or service, other than corporate support services, available to a competitive affiliate, it must make the same product or service available, contemporaneously and in the same manner, to all similarly situated entities, and it shall apply its tariffs, prices, terms, conditions, and discounts for those products and services in the same manner to all similarly situated entities. The regulated utility must process all requests for a product or service from competitive affiliates or similarly situated non-


Tab 3 Page 8 of 14

affiliated entities on a non-discriminatory basis. If the regulated utility’s tariff allows for discretion in its application, the regulated utility may apply that provision in the same manner to its competitive affiliates and similarly situated non-affiliates, as well as to their respective customers. If the regulated utility’s tariff allows no discretion in its application, the regulated utility must strictly apply the tariff. The utility’s customer-specific contracts must treat affiliated and non-affiliated competitors in a similar fashion. The regulated utility may not use customer-specific contracts to circumvent these requirements, nor create a product or service arrangement with its competitive affiliate that is so unique that no competitor could be similarly situated to utilize the product or service. Products or services provided by the utility to its affiliates pursuant to a FERC rate schedule shall be provided in accordance with the terms of such rate schedule. §25.272(f)(1) B. Discounts, Rebates, Fee Waivers, or Alternative Tariff Terms and Conditions If the regulated utility offers its competitive affiliate or grants a request from its competitive affiliate for a discount, rebate, fee waiver, or alternative tariff terms and conditions for any product or service, the regulated utility must make the same benefit contemporaneously available, on a non-discriminatory basis, to all similarly situated non-affiliates, provided that any product or service provided by the regulated utility to affiliates (including any discount, rebate, fee waiver, or alternative tariff terms and conditions) pursuant to a FERC rate schedule shall be provided in accordance with the terms of such rate schedule. The regulated utility will post a conspicuously placed notice on its Internet site for at least 30 consecutive calendar days providing the following information: the name of the competitive affiliate involved in the transaction; the rate charged; the normal rate or tariff condition; the period for which the benefit applies; the quantities and the delivery points involved in the transaction (if any); any conditions or requirements applicable to the benefit; documentation of any cost differential underlying the benefit; and the procedures by which non-affiliates may obtain the same offer. The regulated utility shall maintain records of such information for a minimum of three years, and must make such records available for third party review within 72 hours of a written request, or at a time mutually agreeable to the utility and the third party. The regulated utility may not create any arrangement with its competitive affiliate that is so unique that no competitor could be similarly situated to benefit from the discount, rebate, fee waiver, or alternative tariff terms and conditions. §25.272(f)(2) C. Tying Arrangements Unless otherwise ordered by the PUCT, the regulated utility may not condition the provision of any product, service, pricing benefit, or alternative terms or conditions upon the purchase of any other good or service from the regulated utility or its competitive affiliate. §25.272(f)(3)


Tab 3 Page 9 of 14

V. Information Safeguards

A. Proprietary Customer Information The regulated utility must provide a customer with the customer’s proprietary customer information, upon request by the customer. Unless the regulated utility obtains prior affirmative written consent or other verifiable authorization from the customer as determined by the PUCT, it may not release any proprietary customer information to a competitive affiliate or any other entity, other than the customer, an independent service organization, or a provider of corporate support services. The regulated utility must maintain records that include the date, time, and nature of information released when it releases customer proprietary information to another entity. The regulated utility must maintain records of such information for a minimum of three years, and must make the records available for third party review within 72 hours of a written request, or at a time mutually agreeable to the utility and the third party. The regulated utility may provide proprietary customer information to a provider of last resort without customer authorization for the purpose of obtaining service for customers who have been switched to the provider of last resort. §25.272(g)(1) 1. Exception for Law, Regulation, or Legal Process The regulated utility may release proprietary customer information to another entity without customer authorization where authorized or requested to do so by the appropriate state regulatory body or where required to do so by law, regulation or legal process. 2. Exception for release to Governmental Entity A utility may release proprietary customer information without customer authorization to a federal, state, or local governmental entity or in connection with a court or administrative proceeding involving the customer or the regulated utility; provided, however, that the regulated utility must take all reasonable actions to protect the confidentiality of such information, including, but not limited to, providing such information under a confidentiality agreement or protective order, and shall also promptly notify the affected customer in writing that such information has been requested. 3. Exception to Facilitate Transition to Customer Choice In order to facilitate the transition to customer choice, a utility may release proprietary customer information to its affiliated retail electric provider or providers of last resort without authorization of those customers only during the period from September 1, 2001, through December 31, 2001 or during a different period prescribed by the appropriate state regulatory body.


Tab 3 Page 10 of 14

B. Nondiscriminatory Availability of Aggregate Customer Information The regulated utility may aggregate non-proprietary customer information, including, but not limited to, information about a utility’s energy purchases, sales, or operations or about a utility’s energy-related goods or services. However, except in circumstances solely involving the provision of corporate support services, the regulated utility may aggregate non-proprietary customer information for a competitive affiliate only if the utility makes such aggregation service available to all non-affiliates under the same terms and conditions and at the same price as it is made available to any of its affiliates. In addition, no later than 24 hours prior to the regulated utility’s provision to its competitive affiliate of aggregate customer information, the regulated utility must conspicuously post on its Internet site or other public electronic bulletin board for at least 30 consecutive calendar days, providing the following information: the name of the competitive affiliate to which the information will be provided; the rate charged for the information; a meaningful description of the information provided, and the procedures by which non-affiliates may obtain the same information under the same terms and conditions. The regulated utility must maintain records of such information for three (3) years, and must make such records available for third party review within 72 hours of a written request, or at a time mutually agreeable to the utility and the third party. §25.272(g)(2) C. No Preferential Access to Transmission and Distribution Information The regulated utility may not allow preferential access by its competitive affiliates to information about its distribution systems. §25.272(g)(3) D. Other Limitations on Information Disclosure Nothing in the code of conduct is intended to alter the specific limitations on disclosure of confidential information established in statute or rule of the PUCT. §25.272(g)(4) E. Other Information Except as discussed above, the regulated utility may not share information, except for information required to perform allowed corporate support services, with competitive affiliates unless the regulated utility can prove to the state regulatory body that sharing will not compromise the public interest prior to any such sharing. Information that is publicly available, or that is unrelated in any way to utility activities, may be shared. §25.272(g)(5)


Tab 3 Page 11 of 14

VI. Safeguards Relating to Joint Marketing and Advertising

A. Utility Name or Logo Before September 1, 2005, the regulated utility shall not allow the use of its corporate name, trademark, brand, or logo by a competitive affiliate, on employee business cards or in any written or auditory advertisements of specific services to existing or potential residential or small commercial customers located within the utility’s certified service area, whether through radio or television, Internet-based, or other electronic format accessible to the public, unless the competitive affiliate includes a disclaimer with its use of the utility’s corporate name, trademark, brand, or logo. Such disclaimer of the corporate name, trademark, brand, or logo in the material distributed must be written in a bold and conspicuous manner or clearly audible, as appropriate for the communication medium. §25.272(h)(1) B. Joint Marketing, Advertising, and Promotional Activities The regulated utility may not: • provide or acquire leads on behalf of its competitive affiliates; • solicit business or acquire information on behalf of its competitive affiliates; • give the appearance of speaking or acting on behalf of any of its competitive

affiliates; • share market analysis reports or other types of proprietary or non-publicly

available reports, including market forecasts, planning, or strategic reports, with its competitive affiliates; or

• represent to customers or potential customers that it can offer competitive retail

services bundled with its tariffed services. • request authorization from its customers to pass on information exclusively to its

competitive affiliate. §25.272(h)(2)(A) The regulated utility may not engage in joint marketing, advertising, or promotional activities in a manner that favors the competitive affiliate. Such joint marketing, advertising, or promotional activities include, but are not limited to, the following activities: • acting or appearing to act on behalf of a competitive affiliate in any

communications and contacts with any existing or potential customers; • joint sales calls;


Tab 3 Page 12 of 14

• joint proposals, either as requests for proposals or responses to requests for

proposals; • joint promotional communications or correspondence, except that the regulated

utility may allow a competitive affiliate access to customer bill advertising inserts so long as access to such inserts is made available on the same terms and conditions to non-affiliates offering similar services as the competitive affiliate that uses bill inserts;

• joint presentations at trade shows, conferences, or other marketing-type events

within the state in which the utility operates; and • providing links from the utility’s Internet web site to a competitive affiliate’s

Internet web site. §25.272(h)(2)(B) At a customer’s unsolicited request, the regulated utility may participate in meetings with a competitive affiliate to discuss technical or operational subjects regarding the utility’s provision of distribution services to the customer, but only in the same manner and to the same extent the regulated utility participates in such meetings with unaffiliated electric or energy services suppliers and their customers. The regulated utility shall not listen to, view, or otherwise participate in any way in a sales discussion between a customer and a competitive affiliate or an unaffiliated electric or energy services supplier. §25.272(h)(2)(C) C. Requests for Specific Competitive Affiliate Information If a customer or potential customer makes an unsolicited request to the regulated utility for information specifically about any of its competitive affiliates, the utility may refer the customer or potential customer to the competitive affiliate for more information. The regulated utility may only provide the customer or potential customer with the competitive affiliate’s address and telephone number. The utility may not transfer the customer directly to the competitive affiliate via telephone or provide any electronic link. When providing the customer or potential customer information about the competitive affiliate, the utility may not promote its competitive affiliate or its competitive affiliate’s products or services. The regulated utility may not offer the customer or potential customer any opinion regarding the service of the competitive affiliate or any other service provider. §25.272(h)(3) D. Requests for General Information about Products or Services Offered by Competitive Affiliates and their Competitors. If a customer or potential customer requests general information from the regulated utility about products or services provided by its competitive affiliate or its affiliate’s competitors, the regulated utility may not promote its competitive affiliate or any other


Tab 3 Page 13 of 14

service provider. The regulated utility may direct the customer or potential customer to a telephone directory or to the PUCT, or provide the customer with a recent list of suppliers developed and maintained by the PUCT, but the utility may not refer the customer or potential customer to the competitive affiliate. §25.272(h)(4)

VII. Remedies and Enforcement This Internal Code of Conduct has been developed in good faith and is based on the extent to which affiliate relationships are currently known, and will be updated as necessary. §25.272(i)(1) A. Ensuring Compliance for New Affiliates Upon the creation of a new affiliate, the regulated utility and the affiliate are immediately bound by the provisions of this code of conduct, and the regulated utility will notify the PUCT of the creation of the new affiliate. Upon the creation of a new affiliate, the regulated utility will post a conspicuous notice of the new affiliate on its Internet site or other public electronic bulletin board for at least 30 consecutive calendar days. Within 30 days of creation of the new affiliate, the utility will file an update to its internal code of conduct and compliance plan, including all changes due to the addition of the new affiliate, with the appropriate state regulatory body. §25.272(i)(2) B. Compliance Audits The regulated utility will have an audit prepared by independent auditors at least every three (3) years that verifies that it is in compliance with applicable state regulations governing this Internal Code of Conduct. The utility will file the results of each audit with the appropriate state regulatory body within one month of the audit’s completion. The costs of the audits shall not be charged to utility ratepayers. §25.272(i)(3)

VIII. The Regulated Utility’s Informal Complaint Process The regulated utility has established a complaint procedure for addressing alleged violations of the Internal Code of Conduct. All complaints must be in writing and be referred to the utility’s designated complaint officer. The complaint must contain the name of the complainant and a detailed factual report, including all relevant dates, companies involved, employees involved, and the specific claim. The Designated Complaint Officer shall acknowledge receipt of the complaint in writing within five working days of receipt. The Designated Complaint Officer will provide a written report communicating the results of the preliminary investigation to the complainant within thirty (30) days after receipt of the complaint, including a description of any course of action that will be taken. In the event the utility and the complainant are unable to resolve the complaint, the complainant may file a formal complaint with the appropriate state or federal regulatory body. The regulated utility must notify the complainant or his or her right to file a formal complaint with the appropriate state regulatory body, and


Tab 3 Page 14 of 14

shall provide the complainant with the address and telephone number of the appropriate state regulatory body. The informal complaint process is not a prerequisite for filing a formal complaint with the appropriate state regulatory body. §25.272(i)(4)

IX. Training All affected employees will receive appropriate training to facilitate implementation of this Internal Code.


Tab 4 Page 1 of 1

Customer Information Request & Consent Process

See Code of Conduct Compliance Plan, Attachment 6


Tab 5 Page 1 of 1

Sharing Customer Information Role Play Scenario

Situation: Customer has a list of specific Retail Energy Providers (REP) or other individuals and has requested specific proprietary (established) customer information (billing and usage history for example) to be supplied to the list of providers.

Agent: Thank you for calling Entergy. This is Ms./Mr. _____. How may I help you? Customer: Would you please provide my billing and usage history information for the last 12 months to this list of Retail Energy Providers? (Customer gives you the list information) Agent: Yes, I would be happy to. May I have your name and/or account number, please? Customer: I’m Louise Adams and my account number 56789. Agent: Thank you, Ms. Adams. As a regulated utility, we are required to let you know that this information is kept confidential and will only be provided to those companies or individuals you designate per your written request. In order to satisfy your request, it will be necessary to complete and sign a form requesting this information. You may access this form on our web-site or this form may be mailed to you. Which do you prefer? Customer: Why don’t you just mail it to me. When I have completed the form, should I just mail it back to you?

Agent: Yes, Ms. Adams, you simply mail the completed form to the address that will be provided and we will then supply the information to the requested parties. Is there anything else I can help you with today? Customer: No, thank you. Agent: Thank you for calling Entergy, Ms. Adams.


Tab 6 Page 1 of 1

Aggregate Information Sharing Process



Tab 7 Page 1 of 4

Price List for

Requested/Supplied

Information

Accessible Utility Information


Tab 7 Page 2 of 4

SECTION IV RULES AND REGULATIONS

ENTERGY GULF STATES, INC. Sheet No.: 32 Electric Service Effective Date: 8-13-99

Texas Revision: 0 Supersedes: New Schedule

ACCESSIBLE UTILITY INFORMATION Schedule Consists of: One Sheet Plus Attachment A

PROCEDURE FOR OBTAINING ACCESSIBLE UTILITY INFORMATION

Pursuant to PUCT Substantive Rule 25.223, Entergy Gulf States, Inc. maintains a system that provides utility information (Accessible Utility Information) in either electronic and/or paper form. The Company maintains a publicly available price list, including reproduction and shipping costs, and description of available information. The access plan coordinator will oversee the dissemination of the information to the requesting party. The procedure to be followed by the requesting party in obtaining the Accessible Utility Information is as follows:

1. Any of the items listed on Attachment A, Summary Table of Accessible Utility Information, may be requested via mail to the following address:

Access Plan Coordinator Entergy Gulf States, Inc. 919 Congress Street, Suite 840 Austin, Texas 78701

2. The requesting party will submit a request for information with a check or money order

payable to Entergy Gulf States, Inc. for the price quoted on Attachment A. The requesting party will also provide the mailing address to which the requested information is to be sent.


Tab 7 Page 3 of 4

ATTACHMENT A TO PROCEDURE FOR OBTAINING ACCESSIBLE UTILITY INFORMATION

SUMMARY TABLE OF AVAILABLE INFORMATION

Reference Number

Title/Brief Description

Format

Price* CLI001 Annual Summary of Load Information for Texas EGSI

Economic As-Available Power Service Customers Diskette $5.00

CLI002 Annual Summary of Load Information for Texas EGSI General Service Customers

Diskette $5.00

CLI003 Annual Summary of Load Information for Texas EGSI Interruptible Service Customers

Diskette $5.00

CLI004 Annual Summary of Load Information for Texas EGSI Large General Service Customers

Diskette $5.00

CLI005 Annual Summary of Load Information for Texas EGSI Large Industrial Power Service Customers

Diskette $5.00

CLI006 Annual Summary of Load Information for Texas EGSI Residential Customers

Diskette $5.00

CLI007 Annual Summary of Load Information for Texas EGSI Small General Service Customers

Diskette $5.00

CLI008 Annual Summary of Load Information for Texas EGSI Standby and Maintenance Service Customers

Diskette $5.00

CLI009 Monthly Detail of Bill Frequency Information for Texas EGSI General Service Customers

Paper $0.10/page

CLI010 Monthly Detail of Bill Frequency Information for Texas EGSI Residential Customers

Paper $0.10/page

CLI011 Monthly Detail of Bill Frequency Information for Texas EGSI Small General Service Customers

Paper $0.10/page

CLI012 Monthly Summary of Load Information for Texas EGSI Economic As-Available Power Service Customers

Diskette Paper

$5.00 $0.10/page

CLI013 Monthly Summary of Load Information for Texas EGSI General Service Customers

Diskette Paper

$5.00 $0.10/page

CLI014 Monthly Summary of Load Information for Texas EGSI Interruptible Service Customers

Diskette Paper

$5.00 $0.10/page

CLI015 Monthly Summary of Load Information for Texas EGSI Large General Service Customers

Diskette Paper

$5.00 $0.10/page

CLI016 Monthly Summary of Load Information for Texas EGSI Large Industrial Power Service Customers

Diskette Paper

$5.00 $0.10/page

CLI017 Monthly Summary of Load Information for Texas EGSI Residential Customers

Diskette Paper

$5.00 $0.10/page

CLI018 Monthly Summary of Load Information for Texas EGSI Small General Service Customers

Diskette Paper

$5.00 $0.10/page

CLI019 Monthly Summary of Load Information for Texas EGSI Standby and Maintenance Service Customers

Diskette Paper

$5.00 $0.10/page

CLI020 Monthly Summary of Bill Frequency Information for Texas EGSI General Service Customers

Paper $0.10/page

CLI021 Monthly Summary of Bill Frequency Information for Texas EGSI Residential Customers

Paper $0.10/page

CLI022 Monthly Summary of Bill Frequency Information for Texas EGSI Small General Service Customers

Paper $0.10/page

*Plus postage


Tab 7 Page 4 of 4

SUMMARY TABLE OF ACCESSIBLE UTILITY INFORMATION

Continued

Reference Number

Title/Brief Description

Format

Price* MR001

Results – Focus Group Research – Ice Storm Follow-up with Residential Customers

Paper $0.10/page

MR002

Ice Storm Follow-up with Commercial Customers in Conroe, Texas

Paper $0.10/page

MR003

Results – Focus Group Research – New Offer Process – Locate

Paper $0.10/page

MR004

Results – Focus Group Research – New Offer Process – General Purpose Credit Cards

Paper $0.10/page

MR005

Results – Focus Group Research – New Offer Process – Extended Appliance Warranties

Paper $0.10/page

MR006

Unbundling Focus Groups with Residential and Commercial Customers in Texas

Paper $0.10/page

MR007 Low Income Focus Groups – Beaumont Paper $0.10/page MR008 Texas Quality Service Message Development

Research Paper $0.10/page

MR009 Entergy Business Center Pilot Research Paper $0.10/page MR010 Customers’ Readership of Entergy Bill Inserts Paper $0.10/page MR011 Entergy Texas “Time of Day” Rate Study Paper $0.10/page MR012 Entergy Business Center – Internal Customer

Feedback Survey Paper $0.10/page

MR013

Relationship Study – Texas Consumer and Small Business and Business Market

Paper $0.10/page

MR014 Texas Deliberative Poll Survey Results Summary Paper $0.10/page MR015 Transaction Survey Paper $0.10/page MMT001 Annual Load Profiles for Commercial and Industrial

Segments Diskette $5.00

MMT002 Commercial Audit Final Report Paper $0.10/page MMT003 Business Market Loadshape Report Diskette

Paper $5.00 $0.10/page

*Plus postage


Tab 8 Page 1 of 1

Employee Migration Process and Form



Tab 9 Page 1 of 1

Specific Competitive Affiliate

Information Requests

Process and Form


Specific Competitive Affiliate InformationRole Play Scenario

Situation: Customer calls into the Regulated Call Center and makes anunsolicited or uninvited request for information specifically about the utility'scompetitive affiliate (Entergy Retail for example).

Agent: Thank you for calling Entergy. This is Ms. . How may Ihelp you?

Customer: I understand that Entergy Solutions L TD provides variousservices. Could you tell me more about Entergy Solutions and/or theservices they provide?

Agent: Sure, could I get your name please?

Customer: My name is Karen Smith, but I'm not a customer with yourcompany.

Agent: Thank you, Ms. Smith. Entergy Solutions L TO is Entergy'scompetitive affiliate. Here is Entergy Solutions L TO address and telephonenumber. They should be able to answer any of your questions. Is thereanything else I can help you with?

10055 Grogans Mill RoadSuite 150The Woodlands, TX 773801-866-368-3749 -1-866-ENTERGY

Customer: No, that's alii needed.

Agent: Thank you for calling Entergy, Ms. Smith.

Version 050102

Code of Conduct Compliance PlanAttachment 13

Tab 10Page 1 of 1


Tab 11 Page 1 of 1

General Information About

Competitive Products or Services

Process


Code of Conduct Compliance PlanAttachment 13

Tab 12Page 1 of 1

General Competitive Affiliate InformationRole Play Scenario

Situation: Customer calls the Entergy Customer Service Agent abouthis service and then makes a general comment or request regardingcompetitive products and services.

Agent: Thank you for calling Entergy. How may I help you?

Customer: I just wanted to see what time of the month my meterwould be read this month.

Agent: I can look that up for you. May I have the account number::Inri thA n::lmA thA ar.count is in. nlAasA?

Customer: The account is in my name, Harold Davis, and myaccount number is 123456.

Agent: Thank you, Mr. Davis. My records indicate that your meteris scheduled to be read between the 20th and 26th of this month. Isthere anything else I can help you with?

Customer: Yes, there is. I have recently heard of somecompetitive products and services that are, or will be, available.Can you give me some information about them?

Agent: We are allowed to provide you with a list of potential RetailEnergy Providers. This list is maintained by the Commission(PUCT) and is available as a mail out or you can obtain it from ourweb-site. Would you like a copy of this list, Mr. Davis?

Customer: Yes, why don't you mail me a copy.

web-site. Would you like a copy of this list, Mr. Davis?

Customer: Yes, why don't you mail me a copy.

Agent: I'll have that information mailed out to you and you shouldbe receiving it within 5 days. Can I be of any further assistance?

Customer: Thanks, that's all.

Agent: Thank you for calling Entergy, Mr. Davis.


Tab 13 Page 1 of 1

Provision of Discounts, Rebates, or

Fee Waiver Process and Form



Tab 14 Page 1 of 1

Deviations From Internal Code

Process and Form



Tab 15 Page 1 of 1

Informal Complaint Process and Form



Tab 16 Page 1 of 1

Internal Disciplinary Measures

for Violations To Internal Code



Tab 17 Page 1 of 1

Request for Utility Products and Services Process



Tab 18 Page 1 of 1

Competitive Affiliate Transaction Process


Documents

Affiliate Rules Training - Entergy Texas · Plan men t 13. GenCo ETR GenCo GenCo COMPETITIVE REGULATED COMPETITIVE Safeguards REP. O ut a ge , ... Texas Affiliate Rules Training l