Market Trials Weekly Update – Friday Meeting November 8, 2013

Please Help Minimize Call Disruptions Mute your phones Do not dial-in from a recorded line If you record the call, your “holds” affect everyone Do not put the call on hold even if you are on mute Please be courteous of everyone’s time If necessary, SPP will mute all callers and unmute only at certain times for questions Thank you for your attention to this matter! 2

Agenda Analysis Oct 28 – Nov 3 (20 min) 9:00 – 9:20A Settlements (10 min) 9:20 – 9:30A Announcements (5 min) 9:30 – 9:35A Look-Ahead Nov 11 – Nov 17 (15 min) 9:35 – 9:50A Parallel Ops Communication Plan (10 min) 9:50 – 10:00A Updates (10 min) 10:00 – 10:10A Release Scorecard Migration Report Known Issues Log Market Load Profiles (15 min) 10:10 – 10:25A Questions (5 min) 10:25 – 10:30A 3

Analysis: Oct 28 – Nov 3 4 Alan Adams Structured Market Trials Statistics posted to spp.org Structured Market Trials Statistics spp.org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder > Structured Market Trials Presentations, Statistics, MP Meetings Analysis of Oct 28 – Nov 1 Operating Days posted to spp.org Analysis spp.org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder > Structured Market Trials Presentations, Statistics, MP Meetings

Market Settlement System (MSS) Known Issues KIL# 792 Settlements observed an issue related to the Day-Ahead Failure Scenario. The load ratio share, which is used for the various distribution charge types, has a component that uses Day-ahead values---which were not created due to the failure of Day-ahead. Because of this, the distribution amounts using load ratio share defaulted to the RNU bucket. –RtRnuHrlyAmt charges were inflated on the Initial Settlements for October 25 and 26. This was corrected on the Final Settlements. –There is a manual work around. –This is expected to be fixed in December. Tony Alexander 5

Market Settlement System (MSS) Known Issues KIL# 800 When a profile is pulled back on the Home screen for BSS in the portal, it looks like long day has two 1:00’s instead of two 2:00’s. The reporting tab also looks like this if you pull it back. When creating a profile on the ‘Submit Profile’ screen.. it shows correctly the two 2:00’s. –This is related to DST Long Day only. –This is expected to be fixed in December. 6 Tony Alexander

Settlements Charge Type Scorecard The Settlements Charge Type Scorecard for the week of November 8 is posted.Settlements Charge Type Scorecard Includes Operating Days October 21 through November 4. 7 Tony Alexander

Settlements Charge Type Scorecard 8 Charge Type% MPs Hit Scenario% MPs Hit DaEnergyHrlyAmt100%1‘Base’ Energy and Operating Reserve Settlement*98% RtEnergy5MinAmt100%2Make-Whole Payment*54% DaRegUpHrlyAmt100%3Regulation Non-Performance100% DaRegDnHrlyAmt100%4Contingency Reserve Deployment Failure100% DaSpinHrlyAmt100%5Day Ahead Non-Asset Energy*52% DaSuppHrlyAmt100%6Real Time Non-Asset Energy*63% RtRegUp5minAmt100%7‘Base’ Energy Import/Export*98% RtRegDn5minAmt100%8Energy Import/Export – Make Whole Payment Distribution*61% RtSpin5minAmt100%9Real Time Regulation Adjustment100% RtSupp5minAmt100%10Out Of Merit Energy and Reserve100% DaRegUpDistHrlyAmt100%11‘Base’ Virtual Energy Transaction*41% DaRegDnDistHrlyAmt100%12‘Base’ TCR Auction Settlements100% DaSpinDistHrlyAmt100%13TCR Auction Settlement - End of Month100% DaSuppDistHrlyAmt100%14‘Base’ TCR Settlement100% RtRegUpDistHrlyAmt100%15TCR Settlement - End of Month100% RtRegDnDistHrlyAmt100%16Miscellaneous100% RtSpinDistHrlyAmt100%17 RtSuppDistHrlyAmt100% RtRegAdj5minAmt100% DaOclDistHrlyAmt*98% RtOclDistHrlyAmt100% Tony Alexander

Settlements Charge Type Scorecard 9 DaMwpCpAmt*65% DaMwpDistHrlyAmt*72% RtMwpDistHrlyAmt*100% RtMwpCpAmt*61% RtRegNonPerf5minAmt100% RtRegNonPerfDistHrlyAmt100% RtCRDeplFailAmt100% DaNEnergyHrlyAmt*52% RtNEnergy5minAmt*63% RtCRDeplFailDistHrlyAmt100% RtOom5minAmt100% DaVEnergyHrlyAmt*62% RtVEnergy5minAmt*62% DaVTxnFeeAoAmt*64% ArrAucTxnDlyAmt100% ArrUpliftDlyAmt100% ArrPaybackMnthlyAmt100% RtRnuHrlyAmt*68% TcrFundHrlyAmt100% TcrUpliftDlyAmt100% TcrPaybackMnthlyAmt100% TcrAucTxnDlyAmt100% MiscDlyAmt100% Tony Alexander

Charge Types Not Using Stubbed Data All Charge Types are using upstream data from September 25 Operating Date forward. 43 Charge Types or 100% of the Charge Types for SMT. MPs should validate these Charge Types “Bid to Bill”. 10 Tony Alexander

Charge types not using stubbed data 11 MPs should validate these Charge Types “Bid to Bill”. DaEnergyHrlyAmtRtRegDnDistHrlyAmtRtNEnergy5minAmt RtEnergy5minAmtRtSpinDistHrlyAmtRtCRDeplFailDistHrlyAmt DaRegUpHrlyAmtRtSuppDistHrlyAmtRtOom5minAmt DaRegDnHrlyAmtRtRegAdj5minAmtDaVEnergyHrlyAmt DaSpinHrlyAmtDaOclDistHrlyAmtRtVEnergy5minAmt DaSuppHrlyAmtRtOclDistHrlyAmtDaVTxnFeeAoAmt RtRegUp5minAmtDaMwpCpAmtRtRnuHrlyAmt RtRegDn5minAmtDaMwpDistHrlyAmtArrAucTxnDlyAmt RtSpin5minAmtRtMwpCpAmtArrUpliftDlyAmt RtSupp5minAmtRtMwpDistHrlyAmtArrPaybackMnthlyAmt DaRegUpDistHrlyAmtRtRegNonPerf5minAmtTcrFundHrlyAmt DaRegDnDistHrlyAmtRtRegNonPerfDistHrlyAmtTcrUpliftDlyAmt DaSpinDistHrlyAmtRtCRDeplFailAmtTcrPaybackMnthlyAmt DaSuppDistHrlyAmtDaNEnergyHrlyAmtTcrAucTxnDlyAmt RtRegUpDistHrlyAmt MiscDlyAmt Tony Alexander

Charge Types Not Included In SMT ARR/TCR Annual Charge Types –ArrPaybackYrlyAmt, ArrCloseoutYrlyAmt, TcrPaybackYrlyAmt, TcrCloseoutYrlyAmt Demand Response Load Charge Types –DaDrHrlyAmt, DaDrDistHrlyAmt, RtDr5minAmt, RtDrDistHrlyAmt Other Various Charge Types –RtJoaHrlyAmt, RtRsg5minAmt –MCRRs/MPRR New Charge Types 12 Tony Alexander

UNSTRUCTURED MARKET TRIALS ENDS AND PARALLEL OPERATIONS BEGINS Brent Wilcox 13

Settlements Invoice Posting Alert Invoice will not be posted this week due to the accelerated posting schedule to allow for inclusion of 11/3/2013 Long Day Settlement. The invoicing process will not allow for an initial and final for the same operating day to be posted on the same invoice and the accelerated posting schedule and the need to post 11/3 as a part of Market Trials has created that situation in this invoice period. This will never happen when operating under a normal OD+7 and OD+47 schedule. 14 Brent Wilcox

Parallel Operations – Settlement Timeline Settlements is recommending continuing OD+14 or OD+21 Finals during parallel operations. –Discussing with CWG next week. –Discussing with SUG November 19. OD+21 provides more time to correct Meter Data. Provides 33 or 26 additional Daily Final Settlements. Potential for 1 additional Monthly Final Settlement. MP Testing of KIL#745 (Netting) starts a month earlier. 15 Brent Wilcox

Parallel Operations – Settlement Timeline Settlement will continue using an accelerated timeline during Parallel Operations. –Initials (OD +7), Finals (OD +14 or OD+21) Approximate number of Statements –Initials74 –Finals67 or 60 –Total141 or Brent Wilcox

Parallel Operations – Settlement Cutover Settlements Unstructured Market Trials is complete. –Initial Settlements through 11-4 are posted. –Final Settlements through are posted. Parallel Operations cutover is in progress. –From 11-7 to Brent Wilcox

Parallel Operations – Settlement Cutover During Parallel Operations cutover: –Portal will remain active. –Settlement Statements listed above will be available on the Portal. –BSS and Meter Data windows will be closed.  Meter Data can be submitted during cutover. –Meter Agent reports will not be available. –Settlements will continue to accept and respond to RMS tickets. 18 Brent Wilcox

Parallel Operations – Settlement Cutover BSS and Meter Data windows will re-open on Initial Settlement for OD will be posted on Final Settlement for OD will be posted on or Brent Wilcox

Announcements Mon Nov 18, 9-10A – Review Known Issue Log. Register herehere spp.org > Integrated Marketplace > Calendar > Marketplace – November 2013 Beginning Nov 12, MPs should use IM Production WebTrans system –IM Production WebTrans here: –OATI Tagging here: –Tagging URL has not changed; little ‘cutover’ activity for MPs  Cutover only applies to webTrans (Ramp Reservation, Scheduling Displays, etc) –SPP IT and OATI will be making configuration changes to connect IM Prod webTrans system with interfacing systems at SPP and OATI  May cause tags not to be updated with cleared amount or tags to fail because they are interfacing with a different Ramp Reservation System, etc 20 Ginny Watson

Announcements REFERESH YOUR OFFER DATA BY TUESDAY Jodi Woods

Look-Ahead: Nov 11 – Nov Parallel Ops Calendar on spp.org Parallel Ops Calendar Includes 3 Week Look Ahead and Monthly Calendar spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Tues Nov 12: Parallel Ops begins Mock IDT 9:30 – 11:30A CPT Scenario 7 Must Offer for OD Thurs Nov 14: Scenario 28a Nonfunctional Testing – CMS Outage Beginning Nov 16, Saturdays & Sundays in Nov are available for unstructured testing by MPs Ginny Watson

7 Must Offer *Scenario document on spp.org herehere spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents > Scenarios in Parallel Ops Scenario Description Market Participants are required to offer sufficient resources to the Day- Ahead Market to cover their load plus operating reserve obligations. This scenario will test whether Market Participants have satisfied the day-ahead must offer requirement. A Market Participant that fails the initial screen will be contacted by the Market Monitoring Unit (MMU). A review of the Market Participant’s purchases and sales will be done by the MMU. Penalties will calculated and included as a miscellaneous charge type on Settlement Statements. 23 John Hyatt

7 Must Offer Expected Result The MMU will identify MPs with Resources in ‘Not Participating’ or ‘Reliability’ status that have not satisfied their must offer requirement by offering Resources in ‘Market’ or ‘Self’ status. After discussions between the MMU and the MP, the MMU will conclude that there are not sufficient purchases net of sales to bring the MP into compliance with the must offer requirement. A penalty will be calculated using meter data available for the final settlements statement. A penalty distribution amount will be calculated using meter data available for the final settlements statement. MPs final settlement statements will include a miscellaneous charge or credit representing the penalty charge or penalty distribution credit. 24 John Hyatt

7 Must Offer MP Activities To fail the must offer requirement and be assessed a penalty, MPs should offer at least one Resource in ‘Not Participating’ or ‘Reliability’ status; and offer Resources in ‘Market’ or ‘Self’ at levels that are not sufficient to satisfy the 90% threshold. Monitor for any Notifications issued by the SPP MMU. If the MP failed the must offer requirement, then the MP should review the final Settlement Statement for a Miscellaneous charge. If the MP did not fail the must offer requirement, then the MP should review the final Settlement Statement for a Miscellaneous credit. 25 John Hyatt

28a Non-functional Testing: CMS Outage *Scenario document on spp.org herehere spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents > Scenarios in Parallel Ops Scenario Description Simulate an unexpected outage of the Credit Management System (CMS) during the submission of Day Ahead (DA) Bids and offers Expected Result MPs will see a delay in approvals of offers/bids Offers/Bids will be manually approved after the DA market bidding window has closed MP Activities 10:30 – 11:30A: MPs should submit DA Virtual Bids/Offers An XML Notification will be sent. MPs will be able to find the notification on the Markets UI/API. 26 Wendy Reynolds

Dispatch Simulator Scenario Description During Structured Market Trials SPP has utilized a COP True-up process to match commitments in EIS with IM in order to appropriately dispatch resources based on real time commitments. –Can cause confusion since there is no tie between DA Market/RUC and RTBM –MPs receive multiple commitment notifications between the DA Market, RUC and COP True-up SPP’s vendor created a Dispatch Simulator to mimic the response of Resources to SPPs commitment and dispatch –Primarily used for testing purposes before EMS was integrated with RTBM The Simulator provides a perfect response of Resources to the SPP energy setpoint instructions The Simulator will be turned on for four Operating Days in December –December 6, 2013 – December 9, 2013 –A detailed Scenario document will be posted by 11/15/ Alan Adams

Parallel Ops Friday Meetings Fridays after a Thursday IDT: 9-11A 9-10A: IDT debrief 10-11A: 20 min Analysis*, 20 min Look-Ahead, 20 min Settlements* Updates Fridays (no Thursday IDT): 9-10A 9-10A: 20 min Analysis*, 20 min Look-Ahead, 20 min Settlements* Updates *Less detail will be provided Statistics and standard operational performance updates will be posted but will no longer be presented during the call. Agenda adjusted for CWG Checkpoints Nov 22, Dec 13, Dec 20, Jan 24, Feb 14, Feb Ginny Watson

Statistics – Parallel Ops 29 Alan Adams The following metrics will no longer be included in the Statistics file during Parallel Operations. They can be found in the Portal locations, the format of post Go-Live reporting CategoryDataPortal Location RTBM LMP & MCP Contour Maps with Table and Downloadable files Public – Markets – RTBM – Contour Maps/LMP/MCP RTBMReal-Time Binding ConstraintsPublic – Markets – RTBM – Binding Constraints DA Operating Reserve requirements (SPP BA OR Requirements by product) on OASIS DALMP - Day-Ahead Hourly LMPs by BusPublic – Markets – DA – LMP By Bus DA Day-Ahead Hourly LMP per Settlement Location, MEC, MCC, and MLC Public – Markets – DA – LMP By Location DA Day-Ahead MCP for Regulation-Down, Regulation-Up, Spinning, and Supplemental Public – Markets – DA – MCP DADay-Ahead Binding ConstraintsPublic – Markets – DA – Binding Constraints DADemand BidsPublic – Markets – DA – Market Clearing OpsSystem-wide Day-Ahead Wind Forecast Public – Operational Data – Day-Ahead Wind Forecast Ops System-wide Short-Term Wind Generation Forecast vs. Actual Public – Operational Data – Short-Term Wind Forecast OpsSystem-wide Load Forecast vs. ActualPublic – Operational Data – STLF/MTLF OpsDay-Ahead Market ClearingPublic – Markets – DA – Market Clearing OpsNSIPublic – RTBM – NSI Graph

Parallel Ops Communication Plan Parallel Ops Communication Plan on spp.org spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents SPP will continue to distribute general information through the MT Liaison and Settlements Liaison distribution lists SPP will send Critical Messages via Message911 –Critical Messages will also be posted on the Marketplace PortalMarketplace Portal 9A Friday Meeting. Register on the SPP Calendar herehere –Dial-In: Participant: WebEx WebEx 30 Ginny Watson

IDT Communication Plan Prior Day: Pre-Test Call –1 hour conference calls to review sequence of events during IDT Day Of: Open Conference Call throughout IDT –Calls begin 1 hour before IDT begins and end 1 hour after IDT complete –one conference bridge for all Stakeholders to join  Dial-In: Participant:  Separate conference bridge for SPP Real-Time operations personnel and current EIS BA Real-Time operations personnel –MPs will be immediately notified of adverse circumstances –SPP may reschedule testing in event of postponement. Rescheduling will be communicated via Day After: Debrief Call –If IDT is Thursday, Debrief will occur at 9A Friday Market Trials Call –Debrief Calls will be combined with Pre-Test Calls when possible 31 Ginny Watson

Parallel Ops / IDT Communication Plan Submit general inquiries and report issues via RMSRMS –“Parallel Operations” Quick Pick for questions related to Parallel OPs Scenarios, Calendar, Parallel Ops issues and questions, and IDTs –“Operations Inquiry” Quick Pick for questions related to after the fact DA Market Commitment questions and information on economic commitment decisions or dispatch instructions Knowledge Base Articles on RMS answer general MT questionsRMS 32 Ginny Watson

Parallel Ops Communication Plan MT Hotline ( ) Nov 12-27, M-F 8A – 5P f or Critical and High Issues –Closes Nov 29 EOD –Critical: 1+ systems, or a function within a system, are rendered inaccessible or stop functioning all together –High: 1+ key functions within a system are non-operational, or a severe error exists in its processing and there is no workaround Beginning Nov 12, contact the SPP desks ( ) critical or high issues –DA, RUC, RTBM and Balancing desks will be supported 24 x 7 –Examples on the following slide Defects will follow established Defect Management Process –MP may discover and report a defect via RMSRMS –SPP Program resources will review defects internally; log defects; assign severity –Defects impacting MPs will be published in the Known Issues Log 33 Ginny Watson

Parallel Ops / IDT Communication Plan 34 Ginny Watson AvailabilityCall OptionWhen should I call a specific desk? Balancing Desk24x72 I have any real time issues or questions concerning NSI, Tie Lines or Frequency. I have a real time Load related issue that might impact capacity or operating reserves. I have an ICCP real time related issues. I have a Real Time Reserve Sharing Event questions. Any activities of EIS BAs that could impact SPP BA. Events that impact real time reporting requirements. RTBM Desk24x75 I have a real time Resource related issue that might impact capacity, operating reserves and/or economic dispatch. I have any real time operational discrepancies concerning economic dispatch (XML dispatch, resource plan information, AS offer information). Tariff and Interchange Desk 8am-5pm Monday- Friday6 My tags are getting denied but I have to have them in by a certain deadline. My transmission requests are getting denied but I have to have them in by a certain deadline. RUC Desk24x77 I have a unit commitment related question or information to communicate to SPP (new commitments, changes to existing commitments, startup issues, shutdown issues). I have a real time Contingency Reserve Deployment question/issue. DA Desk 6am-6pm 7 days a week8 I can't get my DA Bid Offer in by a certain deadline. I have a question concerning the current day's DA Market clearing process. Reliability Coordination Desk During IDTs OnlyN/A For Reliability Coordination issues during IDT the IDT conference calls and normal process will be leveraged.

Parallel Ops Communication Plan The latest documents on spp.org will be posted to: Parallel Operations Folder on spp.org Parallel Operations Folder spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Parallel Ops Presentations, Statistics, MP Meetings Folder Parallel Ops Reference Documents Folder Scenarios in Parallel Ops Folder Scenarios Schedule - starting 11/15 updated version will only appear in P Ops folder Scenarios Schedule Parallel Ops Communication Plan Parallel Ops MP Guide Parallel Ops Calendar Known Issues Log – starting 11/15 updated version will only appear in P Ops folder Known Issues Log Release Scorecard – starting 11/15 updated version will only appear in P Ops folder Release Scorecard Migration Report - starting 11/15 updated version will only appear in P Ops folder Migration Report Integrated Deployment Test Folder on spp.org Integrated Deployment Test Folder spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test IDT MP Guide IDT Activities Parallel Ops Calendar Documents in Structured Market Trials Folder still available for your reference.Structured Market Trials Folder 35 Ginny Watson

Release Scorecard 36 Release Scorecard Release Scorecard posted to spp.org: spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Ginny Watson

Migration and Maintenance Report 37 Migration and Maintenance Report Migration and Maintenance Report posted to spp.org spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Annette Holbert

Known Issues Log 38 Please review the Market Trials Known Issues Log on spp.org Market Trials Known Issues Log spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Carrie Simpson Issue #RMSComponent Synopsis Severity 799 Markets Systems Fall DST: Market Control issues around Fall DST. DA case will not run with SFT enabled for the hour before DST transition(01: :00*). The wrong interval is being sent to MKTNET causing a failure. RTBM cases are running for the wrong interval or not at all during the hour before the transition and the transition hour (01: :00* and 01:00* - 02:00). *This is not needed before go live Severity 1: Critical 798 Markets Systems Fall DST: MCE crashes when trying to write out ITE file for extra 25th hour. When setting up a RUC case for the 25 hour day, the clearing engine is failing when the extra hour is reached. *This is not needed before go live Severity 2: High Markets UI Fall DST: In the Markets UI and API, hour ending 24 is missing for the Fall DST transition day on the Mid-Term Non-Conforming Load display. *This is not needed before go live Severity 3: Medium 794 Markets Systems When quickstart resource in RTBM, is offline and submitting a control status of 'Regulating'/'Follow Dispatch', the quick start resource should be able to clear energy or offline supp if qualified. The offline supp clearing of a quickstart should ensure that its achievable target mw is 0 before making it eligible for offline supp Severity 2: High 796Markets UI GetMarketVRLSetByDay returning multiple iteration of RampRateViolationLimit incorrectly. It appears to be repeating each hour rather than showing the single entry as in the database. Severity 3: Medium

Schedule 39 Nov 12 –17 Nov 12: Mock IDT Nov 13: #7 Must Offer Nov 14: #28a NFT CMS Outage Scenario 28a Nov Nov 18: Known Issues Log Call 9-10A Nov 18: IDT Prep Call Nov 19: IDT 8:00A (test begins at 9:30A) Nov 20: IDT Debrief and Prep Call Nov 20 Nov 21: IDT 8:30A (test begins at 9:30A) Nov 22: IDT Debrief and Market Trials Call 9:00A Ginny Watson

IDT Previous Year Load Profiles 40 Market Load Profiles Presentation Market Load Profiles Presentation posted to spp.org spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test (as part of Parallel Ops) George Kelly

Market Trials Useful Resources Integrated Marketplace Parallel Operations Project Documents spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Parallel Ops Presentations, Statistics, MP Meetings Folder Parallel Ops Reference Documents Folder Scenarios in Parallel Ops Folder > Scenarios Schedule Scenarios in Parallel Ops Folder Scenarios Schedule Parallel Ops Communication Plan Parallel Ops MP Guide Parallel Ops Calendar Known Issues Log Release Scorecard Migration Report Integrated Deployment Test (as part of Parallel Ops) spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test IDT MP Guide Parallel Ops Calendar Additional documents: Settlements Calendar marketplace.spp.org > Public > Settlements > Calendars Settlements Calendar Change Tracker spp.org > Integrated Marketplace > Marketplace Documents Change Tracker Integrated Marketplace Structured/Unstructured Test Project Documents spp.org > Integrated Marketplace > Market Trials > Structured / Unstructured Test> Integrated Marketplace Structured / Unstructured Test Project Documents 41