Form

SOC 1 Type 2 Audit Report Request

THE 10/1/19 TO 9/30/20 SOC 1 TYPE 2 REPORT WILL BE AVAILABLE FOR DISTRIBUTION MID NOVEMBER

THE 10/1/20 to 12/31/20 GAP LETTER WILL BE AVAILABLE FOR DISTRIBUTION IN JANUARY 2021

Please use the below form to request a copy of The New York Independent System Operator, Inc.’s (“NYISO”) SOC 1 Type 2 Audit Report (“Report”). An electronic copy of the Report will be sent to the e-mail address listed below after verification by the NYISO that the requester is a NYISO-approved Market Participant (“MP”) or authorized ISO-NE JESS user.

The Report is intended solely for the information and use of NYISO MPs or authorized ISO-NE JESS user that used the system during some or all of the specified period, and the independent auditors of such user entities (collectively, the “Authorized Parties”). The Report is not intended to be used and should not be relied upon by anyone other than the Authorized Parties.

ALL DATA FIELDS MUST BE COMPLETED.

REPORTS WILL ONLY BE PROVIDED TO NYISO APPROVED MPs or authorized ISO-NE JESS users.

To request previous reports, please contact Stakeholder Services at (518) 356-6060 or market_services@nyiso.com.

First and last name

Please read the following carefully. By clicking the "I Accept" button below, I understand, acknowledge, and agree to the following:

1. I am an employee or authorized representative of the NYISO MP/NE-ISO JESS user listed above (“Requesting user”).

2. I agree not to: copy the Report, distribute the Report to another party except for Requesting user’s financial statement auditor, refer to the report in any marketing or promotional literature, or post the Report in any public forum or on a Web site.

3. I agree to use the document solely for Requesting user own information and for purposes not inconsistent with the purpose of the Report.

4. I will be responsible for any damages caused by my use of the Report or a breach of the terms of this Agreement.

5. The Report is intended solely for the information and use of NYISO MPs/ISO-NE JESS user that used the NYISO system during some or all of the specified period, and the independent auditors of such user entities, and is not intended to be used and should not be relied upon by anyone other than the Authorized Parties.