<div data-id="scope-and-purpose-of-the-self-assessment-document" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">Scope and Purpose of the Self Assessment Document</div>

<div data-id="review-procedure-and-change-process" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">Review Procedure and Change Process</div>

<div data-id="introduction" style="text-align:left">INTRODUCTION</div>

<div data-id="section-1--introduction-1.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">1.1 Generic Section</div>

<div data-id="section-1--introduction-1.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">1.2 Re-<u class='defined-term'>Qualification</u> Application Section</div>

<div data-id="section-1--introduction-1.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">1.3 Additional information</div>

<div data-id="section-1--introduction" style="text-align:left">SECTION 1 – INTRODUCTION</div>

<div data-id="section-2--project-management-2.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">2.1 Generic Section</div>

<html><head></head><body><div data-id="section-2--project-management-2.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">2.2 Additional Questions for a <u class="defined-term">System</u> developed by a third party</div></body></html>

<div data-id="section-2--project-management-2.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">2.3 Additional information</div>

<div data-id="section-2--project-management" style="text-align:left">SECTION 2 – PROJECT MANAGEMENT</div>

<div data-id="section-3--testing-3.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">3.1 Generic Section</div>

<html><head></head><body><div data-id="section-3--testing-3.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">3.2 Additional Questions for a <u class="defined-term">System</u> developed by a third party</div></body></html>

<div data-id="section-3--testing-3.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">3.3 Additional Information</div>

<div data-id="section-3--testing" style="text-align:left">SECTION 3 – TESTING</div>

<div data-id="section-4--operational-security-and-controls-4.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">4.1 Generic Section</div>

<div data-id="section-4--operational-security-and-controls-4.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">4.2 Additional Questions for IT functions managed by a third party</div>

<div data-id="section-4--operational-security-and-controls-4.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">4.3 Additional information</div>

<div data-id="section-4--operational-security-and-controls" style="text-align:left">SECTION 4 – OPERATIONAL SECURITY AND CONTROLS</div>

<div data-id="section-5--change-management-and-risk-assessment-process-5.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">5.1 Generic Section</div>

<div data-id="section-5--change-management-and-risk-assessment-process-5.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">5.2 Additional Information</div>

<div data-id="section-5--change-management-and-risk-assessment-process" style="text-align:left">SECTION 5 – CHANGE MANAGEMENT AND RISK ASSESSMENT PROCESS</div>

<div data-id="section-6--management-resource-planning-and-local-working-procedures-6.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">6.1 Generic Section</div>

<div data-id="section-6--management-resource-planning-and-local-working-procedures-6.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">6.2 Additional Information</div>

<div data-id="section-6--management-resource-planning-and-local-working-procedures" style="text-align:left">SECTION 6 – MANAGEMENT, RESOURCE PLANNING AND LOCAL WORKING PROCEDURES</div>

<div data-id="section-7--initial-data-population-andor-data-migration-7.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">7.1 Generic Section</div>

<div data-id="section-7--initial-data-population-andor-data-migration-7.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">7.2 Additional Information</div>

<div data-id="section-7--initial-data-population-andor-data-migration" style="text-align:left">SECTION 7 – INITIAL DATA POPULATION AND/OR DATA MIGRATION</div>

<div data-id="section-8--nhhdc-8.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">8.1 Business processes and mitigating controls</div>

<div data-id="section-8--nhhdc-8.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">8.2 Exception Management</div>

<div data-id="section-8--nhhdc-8.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">8.3 Additional information</div>

<div data-id="section-8--nhhdc" style="text-align:left">SECTION 8 – NHHDC</div>

<div data-id="section-9--hhdc-9.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">9.1 Business processes and mitigating controls</div>

<div data-id="section-9--hhdc-9.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">9.2 Exception Management</div>

<div data-id="section-9--hhdc-9.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">9.3 Additional Information</div>

<div data-id="section-9--hhdc" style="text-align:left">SECTION 9 – HHDC</div>

<div data-id="section-10--nhhda-10.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">10.1 Business processes and mitigating controls</div>

<div data-id="section-10--nhhda-10.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">10.3 Additional Information</div>

<div data-id="section-10--nhhda" style="text-align:left">SECTION 10 – NHHDA</div>

<div data-id="section-11--hhda-11.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">11.1 Business processes and mitigating controls</div>

<div data-id="section-11--hhda-11.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">11.2 Exception Management</div>

<div data-id="section-11--hhda-11.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">11.3 Additional Information</div>

<div data-id="section-11--hhda" style="text-align:left">SECTION 11 – HHDA</div>

<div data-id="section-12--smra-12.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">12.1 Business processes and mitigating controls</div>

<div data-id="section-12--smra-12.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">12.2 Exception Management</div>

<div data-id="section-12--smra-12.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">12.3 Additional Information</div>

<div data-id="section-12--smra" style="text-align:left">SECTION 12 – <u class='defined-term'>SMRA</u></div>

<div data-id="section-13--not-used" style="text-align:left">SECTION 13 – NOT USED</div>

<div data-id="section-14--not-used" style="text-align:left">SECTION 14 – NOT USED</div>

<div data-id="section-15--cva-moa-15.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">15.1 Business processes and mitigating controls</div>

<div data-id="section-15--cva-moa-15.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">15.2 Exception Management</div>

<div data-id="section-15--cva-moa-15.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">15.3 Additional Information</div>

<div data-id="section-15--cva-moa" style="text-align:left">SECTION 15 – CVA MOA</div>

<div data-id="section-16--meter-administrator-16.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">16.1 Business processes and mitigating controls</div>

<div data-id="section-16--meter-administrator-16.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">16.2 Exception Management</div>

<div data-id="section-16--meter-administrator-16.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">16.3 Additional Information</div>

<div data-id="section-16--meter-administrator" style="text-align:left">SECTION 16 – METER ADMINISTRATOR</div>

<div data-id="section-17---umso-17.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">17.1 Business processes and mitigating controls</div>

<div data-id="section-17---umso-17.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">17.2 Exception Management</div>

<div data-id="section-17---umso-17.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">17.3 Additional information</div>

<div data-id="section-17---umso" style="text-align:left">SECTION 17 - UMSO</div>

<div data-id="section-18--supplier-18.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">18.1 Business processes and mitigating controls</div>

<div data-id="section-18--supplier-18.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">18.2 Exception Management</div>

<div data-id="section-18--supplier-18.3" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">18.3 Additional information</div>

<div data-id="section-18--supplier" style="text-align:left">SECTION 18 – SUPPLIER</div>

<div data-id="section-19--virtual-lead-party-19.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">19.1 Business processes and mitigating controls</div>

<div data-id="section-19--virtual-lead-party-19.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">19.2 Additional information</div>

<div data-id="section-19--virtual-lead-party" style="text-align:left">SECTION 19 – VIRTUAL LEAD PARTY</div>

<div data-id="section-20--ldso-20.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">20.1 Business processes and mitigating controls</div>

<div data-id="section-20--ldso-20.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">20.2 Exception Management</div>

<div data-id="section-20--ldso" style="text-align:left">SECTION 20 – <u class='defined-term'>LDSO</u></div>

<div data-id="section-21--appendices-21.1-1" style="text-align:left">1. Overview to Testing</div>

<div data-id="section-21--appendices-21.1-2" style="text-align:left">2. Capacity Planning and Testing</div>

<div data-id="section-21--appendices-21.1-3" style="text-align:left">3. NHHDC Testing Requirements</div>

<div data-id="section-21--appendices-21.1-4" style="text-align:left">4. HHDC Testing Requirements</div>

<div data-id="section-21--appendices-21.1-5" style="text-align:left">5. NHHDA Testing Requirements</div>

<div data-id="section-21--appendices-21.1-6" style="text-align:left">6. HHDA Testing Requirements</div>

<div data-id="section-21--appendices-21.1-7" style="text-align:left">7. <u class='defined-term'>SMRA</u> Testing Requirements</div>

<div data-id="section-21--appendices-21.1-10" style="text-align:left">10. CVA MOA Testing Requirements</div>

<html><head></head><body><div data-id="section-21--appendices-21.1-11" style="text-align:left">11. <u class="defined-term"><u class="defined-term">Meter</u> Administrator</u> Testing Requirements</div></body></html>

<div data-id="section-21--appendices-21.1-12" style="text-align:left">12. Unmetered Supplies Operator Testing Requirements</div>

<html><head></head><body><div data-id="section-21--appendices-21.1-13" style="text-align:left">13. <u class="defined-term">Supplier</u> Testing Requirements</div></body></html>

<html><head></head><body><div data-id="section-21--appendices-21.1-14" style="text-align:left">14. Virtual <u class="defined-term">Lead <u class="defined-term">Party</u></u> Testing Requirements</div></body></html>

<html><head></head><body><div data-id="section-21--appendices-21.1-15" style="text-align:left">15. <u class="defined-term">Licensed Distribution <u class="defined-term">System</u> Operator</u> Testing Requirements</div></body></html>

<div data-id="section-21--appendices-21.1" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">21.1 APPENDIX 1 - TESTING REQUIREMENTS</div>

<div data-id="section-21--appendices-21.2-1" style="text-align:left">1. Disaster Recovery planning and testing to ensure business continuity</div>

<div data-id="section-21--appendices-21.2" style="margin-left:0.39in;text-align:left;text-indent:-0.39in">21.2 APPENDIX 2 - GUIDANCE NOTES ON COMPLETING THE SELF ASSESSMENT DOCUMENT (SAD)</div>

<div data-id="section-21--appendices" style="text-align:left">SECTION 21 – APPENDICES</div>

CONTENTS

Self Assessment Document (SAD): Qualification Process for SVA Parties, SVA Party Agents and CVA MOAs V5.0

Defined Terms

Cross-references