1. Structured / Unstructured Market Trials Weekly Update – Friday Meeting October 11, 2013

2. 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

3. Agenda Impact of Scenarios Requiring Retest (15 min) 9:00 – 9:15A Preliminary Results Oct 7 – 11 (5 min) 9:15 – 9:20A Analysis Sept 30 – Oct 4 (40 min) 9:20 – 10:00A Settlements (10 min) 10:00 – 10:10 A Announcements & Outstanding Questions (10 min) 10:10-10:20A MP Perspective – Amber Metzker, SPSM Look-Ahead Oct 14 – Oct 18 (15 min) 10:20 – 10:35A Updates (10 min) 10:35 – 10:45A Release Scorecard Migration Report Known Issues Log Questions (10 min) 10:45 – 10:55A 3

4. Impact of Scenarios Requiring Retest 4 Casey Cathey Scenario 11 – EDR Deployment SPP Analysis: Electric Industry Registry (EIR): 1 MP’s registry was not in-line with SPP commercial model. This did not allow the MP to submit the dynamic schedule to the market. ICCP Model: Control mode and resource MW were “garbage” quality or not modeled in SPP’s data. SPP forced quality to “good.” This allowed set-point to function as intended with good quality feedback. Retest: pending R1.7x and testing of ICCP in 1.7 environment MP Impact to Parallel Operations: Small There are only a few currently modeled EDR’s and most will be deactivated in a future model Once testing is complete, SPP will schedule the EDR test with the one remaining EDR that will be modeled in SPP This does not have a significant impact to the SPP Integrated Marketplace as a whole, only the single modeled EDR.

5. Impact of Scenarios Requiring Retest 5 Casey Cathey Scenario 15 part 2 – Commitment Mismatch - Resource is committed in DA Market but submits a Commit Status of “Outage” after the DA Market SPP Analysis: Part 2 was successful when SPP tested Scenario 15 in June; part 2 did not work during SPP retest on Sept 26 Retest : Pending 1.8 in mid November MP Impact to Parallel Operations: N/A with workaround There is a workaround that can be implemented to check for these scenarios and SPP can override the data in the Market Systems so that these Resources are appropriately handled in the RUC process until the fix is delivered.

6. Impact of Scenarios Requiring Retest 6 Casey Cathey Scenario 33A&B – Ramp Reservation SPP Analysis here: The Ramp Reservation Scenario was completed but not a success MP experienced numerous system issues due to the current design of the Ramp Availability display unable to handle large volume of tags In addition, a User’s Training Guide will be developed and posted to the MP prior to the re-test Retest Update: rescheduled Oct 31 & Nov 1 MP Impact to Parallel Operations: N/A to Market Systems Ramp Reservation is a separate system from the Market Systems This system can be fully tested and implemented apart from the Parallel Operations testing that will be completed

7. Impact of Scenarios Requiring Retest 7 Casey Cathey Scenario 5.1 – DA Capacity Shortage SPP Analysis : Scenario was largely successful but a few issues caused the overall scenario to receive a “Failed” status SPP expected LMPs/MCPs to reflect scarcity pricing; in actuality, the ramp rate penalty factor was incorrect resulting in MECs > $10,000 Block loaded resources where EcoMax=EcoMin, but EmerMax > EcoMax are not being released into emergency ranges Block loaded Resources with EcoMax=EcoMin=0 but EmerMax <> 0 are not being committed. Retest: pending R1.7x MP Impact to Parallel Operations: Small DA Capacity Shortage is an emergency type scenario that will very rarely occur It is not expected that this scenario will occur organically during Parallel Operations and needs significant data overrides to create.

8. Impact of Scenarios Requiring Retest 8 Casey Cathey Scenario 6.1 – DA Capacity Excess SPP Analysis: Scenario had significant issues with creating a solution that followed the protocols This case is currently being reviewed by SPP staff and our vendor to determine the exact cause of the issues Retest: Pending SPP and Vendor analysis MP Impact to Parallel Operations: Small DA Capacity Excess is an emergency type scenario that will very rarely occur It is not expected that this scenario will occur organically during Parallel Operations and needs significant data overrides to create

9. Impact of Scenarios Requiring Retest 9 Casey Cathey Scenario 6.2 – RUC Capacity Excess SPP Analysis : Case did not properly solve within the required solution tolerances; early hour de-commitments were too extreme. Retest: Analysis ongoing. Retesting to determine a more realistic set of input data. MP Impact to Parallel Operations: Small RUC Capacity Excess is an emergency type scenario that will very rarely occur It is not expected that this scenario will occur organically during Parallel Operations and needs significant data overrides to create

10. Impact of Scenarios Requiring Retest 10 Casey Cathey 16.1 – DA Offer Mitigation SPP Analysis: Systemic issue where the software picks an incorrect Mitigation case’s results for comparison to the unmitigated case’s solution. Did not affect all resources that were mitigated and did not affect all hours for the affected resources. Retest Update: pending R1.7x MP Impact to Parallel Operations: Small Mitigation is not expected to happen on a regular basis It is necessary for the Resource to fail all three of the mitigation tests in order to be mitigated This defect did not affect all resource and all hours

11. Impact of Scenarios Requiring Retest 11 Casey Cathey 16.3 - RTBM Mitigation SPP Analysis: Systemic issue where the software picks an incorrect Mitigation case’s results for comparison to the unmitigated case’s solution. Did not affect all resources that were mitigated and did not affect all hours for the affected resources. Retest Update: pending R1.7x MP Impact to Parallel Operations: Small Mitigation is not expected to happen on a regular basis It is necessary for the Resource to fail of the tests in order to be mitigated This defect did not affect all resource in all hours

12. Impact of Scenarios Requiring Retest 12 Casey Cathey Scenario 21b – RTBM Scarcity Pricing SPP Analysis: System-wide OR with Zonal OR shortage in zones 3 and 4 did not trigger scarcity pricing. During each hour, SPP incrementally changed the requirements in order to achieve scarcity. Some hours do not trigger scarcity pricing until the middle of the hour. Retest Update: pending KIL #736 requested in R1.8 in mid-November MP Impact to Parallel Operations: Small This scenario only occurs when System-wide OR and Zonal shortage in Zones 3 and 4 occur simultaneously The only impact to Market Participants is that pricing does not fully reach the demand curve and is therefore less than would be expected by the protocols The dispatch and clearings are all calculated correctly

13. Preliminary Results from Oct 7 - 11 13 Alan Adams Scheduled Scenarios 22 – Manual and ID RUC Commitment 32 – Day Before Day Ahead RUC 30 – Loss of ICCP – Fri Oct 11, 1P-2P Questions?

14. Analysis: Sept 30 – Oct 4 14 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 Sept 30 – Oct 4 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

15. Market Settlement System (MSS) Known Issues KIL# 695 The three inputs into the TCRPaybackMnthlyAmt appear to be producing incorrect results in ETSE. Also appears to be an issue for the ARR inputs. –This was fixed in September. –ArrPaybackMnthlyAmt, TcrPaybackMnthlyAmt –The Initial Settlement for September 30 Operating Date is correct. 15 Tony Alexander

16. Market Settlement System (MSS) Known Issues KIL# 745 We have identified an issue in a handful of the settlement statements where the settlement engine is calculating the full amount on final settlement (or resettlement) instead of the incremental (or net) amount. –8/11/13 F, 9/4/13 F, 9/5/13 F, 9/5/13 R2, 9/9/13 F, 9/16/13 F, 9/20/13 F –This is expected to be fixed in November. 16 Tony Alexander

17. Market Settlement System (MSS) Known Issues KIL# 748 Duplicate notifications being sent (example SD 10/3 and OD 9/26) –This is related to Daily Settlements. –This is expected to be fixed in November. 17 Tony Alexander

18. Market Settlement System (MSS) Known Issues KIL# 750 Notifications not sent out for SD 10/2 and OD 9/18 Final –This is related to Daily Settlements. –This is expected to be fixed in November. 18 Tony Alexander

19. Settlements Charge Type Scorecard The Settlements Charge Type Scorecard for the week of October 11 is posted.Settlements Charge Type Scorecard Includes Operating Days September 23 through 29. Charge Types and Scenarios hit by MPs are continuing to increase. 19 Tony Alexander

20. 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”. 20 Tony Alexander

21. Charge types not using stubbed data 21 Tony Alexander MPs should validate these Charge Types “Bid to Bill”. DaEnergyHrlyAmtRtRegDnDistHrlyAmtRtNEnergy5minAmt RtEnergy5minAmtRtSpinDistHrlyAmtRtCRDeplFailDistHrlyAmt DaRegUpHrlyAmtRtSuppDistHrlyAmtRtOom5minAmt DaRegDnHrlyAmtRtRegAdj5minAmtDaVEnergyHrlyAmt DaSpinHrlyAmtDaOclDistHrlyAmtRtVEnergy5minAmt DaSuppHrlyAmtRtOclDistHrlyAmtDaVTxnFeeAoAmt RtRegUp5minAmtDaMwpCpAmtRtRnuHrlyAmt RtRegDn5minAmtDaMwpDistHrlyAmtArrAucTxnDlyAmt RtSpin5minAmtRtMwpCpAmtArrUpliftDlyAmt RtSupp5minAmtRtMwpDistHrlyAmtArrPaybackMnthlyAmt DaRegUpDistHrlyAmtRtRegNonPerf5minAmtTcrFundHrlyAmt DaRegDnDistHrlyAmtRtRegNonPerfDistHrlyAmtTcrUpliftDlyAmt DaSpinDistHrlyAmtRtCRDeplFailAmtTcrPaybackMnthlyAmt DaSuppDistHrlyAmtDaNEnergyHrlyAmtTcrAucTxnDlyAmt RtRegUpDistHrlyAmt

22. Announcements & Outstanding Questions Credit Scenarios Rescheduled for the week of Oct 28 –Oct 25: R1.7 is scheduled to go to Production –Oct 28: Scenario 3a No Violation of Credit Limit for OD 10-29 –Oct 29: Scenario 3 Violate the Credit Limit for OD 10-30 Scenarios 33A&B – Ramp Reservation Rescheduled –Oct 31: Scenario 33A Ramp Reservation for OD 10-31 –Nov 1: Scenario 33B Ramp Reservation for OD 11-1 22 Ginny Watson

23. RTBM Studies in Production Improved performance thanks to efforts of SPP IT and SPP RTBM Operators 23 Casey Cathey DayApproved CasesPercent ApprovedAvg Seconds for Solution 9/30/2013 5:0028598.96102.88 10/1/2013 5:0028799.6595.67 10/2/2013 5:0028598.96102.76 10/3/2013 5:0028699.31104.97 10/4/2013 5:0027294.44114.19 10/5/2013 5:0028598.9697.39 10/6/2013 5:0028699.3194.19 10/7/2013 5:0028699.3196.09 10/8/2013 5:0028699.3199.86 10/9/2013 5:0028810080.58

24. MP Perspective Amber Metzker, SPSM 24 Amber Metzker, SPSM

25. Look-Ahead: Oct 14 – Oct 18 25 Oct 14 – Oct 18 Daily Calendar Oct 14 – Oct 18 spp.org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder Includes some Settlements Dates. All details on Settlements Calendar marketplace.spp.org > Public > Settlements > CalendarsSettlements Calendar Scheduled Scenarios 28b – Non-Functional Testing: RTBM Outage 28c – Non-Functional Testing: Markets UI/API Outage during DA Submission 28d – Non-Functional Testing: Markets UI/API Outage during DA Results 28e – Non-Functional Testing: Single Site Outage Official Operating Days Monday – Friday Starting Sun Oct 20: Official ODs 7 Days / Week Friday Maintenance & Saturday reserved for MP Testing Ginny Watson

26. 28b RTBM Outage Scenario Description The RTBM cases execute every 5 minutes to determine the Dispatch set- points and Cleared Reserves on each Resource using a Security Constrained Economic Dispatch. SPP has process in place for different failure scenarios of RTBM Cases –RTBM executing but unable to achieve a valid solution within a 5-minute dispatch interval or Operator does not approve a case for a 5-minute interval or RTBM cases fail for less than 6 intervals –RTBM executing but unable to achieve a valid solution within a 5-minute dispatch interval or Operator does not approve a case for a 5-minute interval or RTBM cases fail for more than 6 intervals *Oct 14, 2:00 – 3:00P CPT: SPP will simulate an RTBM outage –2:15P CPT: Jeremy Reddig of SPP will email the Market Trials Liaisons. –3:00P CPT: RTBM will start working again. Jeremy Reddig will email MT Liaisons. 26 Daniel Baker

27. 28b RTBM Outage Expected Result RTBM Cases Not Executing or Loss of Market System for <6 Intervals SPP simulates failure of RTBM case execution MP does not receive Dispatch Instructions or Cleared Reserves for its Resource via XML for the intervals Resources still receive set-points from ICCP on a 4-second basis 27 Daniel Baker

28. 28b RTBM Outage Expected Result - continued RTBM Cases Not Executing for 6 Intervals SPP simulates failure of RTBM case execution MP does not receive Dispatch Instructions or Cleared Reserves for its Resource for the intervals and continues to follow ICCP set-point instructions sent by SPP SPP switches to Dispatch Target Adjustment functionality in RTGEN RTGEN will begin deploying the system in a load following manner: –Total required Dispatch Target adjustment:  System Generation Req – [last RTBM solution’s Resource Dispatch Targets (for Resources available for the load following Dispatch Target adjustment) + current output (for Resources not available for the adjustment)]  Available for load following Dispatch Target Adjustment: Resources with Effective Control Mode 1 or 2, good unit MW telemetry, not outaged by active CR event, not a VER / AC EDR – Last RTBM Dispatch Target EDRs must be non-zero to be available for Dispatch Target adjustment 28 Daniel Baker

29. 28b RTBM Outage Expected Result - continued RTBM Cases Not Executing for 6 Intervals RTGEN will begin deploying the system in a load following manner: –Basepoint adjustment for a Resource is limited by Econ Max - Cleared up Reserves in the up direction and Econ Min + Cleared Reg Down in the down direction, except where the resource is permissively blocked –Participation factors for each resource based on its available room in the direction of the system’s Total required Dispatch Target adjustment. Resource’s resulting Dispatch Target adjustments will be added to the previous RTBM Dispatch Target to obtain the total Dispatch Target for the Resource. –SPP operators will make manual Dispatch Target adjustments in RTGEN –Total Dispatch Target and Dispatch Target Adjustment sent to Resource owner via ICCP –Total Dispatch Target added to the current contingency reserve deployment and regulation deployment components to determine the set-point for each resource 29 Daniel Baker

30. 28b RTBM Outage MP Activities * Applicable to MPs with Resources Note that XML notifications with Dispatch Instructions are no longer being received Verify ICCP set-point instructions are being received on a 4-second basis Make sure appropriate RT Market Contacts receive notification from SPP of the interval that RTGEN will begin load following deployment and targets are not being determined by SCED. The liaisons will receive the email. There will also be XML notification sent through the MOI. Verify ICCP set-point instructions are still being received on a 4-second basis. Make sure at least one unit is receiving instructions to move up or down, and that this unit has a non-zero Unit Dispatch Target Adjustment value Make sure appropriate Market Contacts receive notification from SPP that they are returning to normal operations and Dispatch Targets as well as Cleared Reserves will resume sourcing from RTBM. The liaisons will receive the email. There will also be XML notification sent through the MOI 30 Daniel Baker

31. 28c Markets UI/API Outage During DA Submissions Scenario Description Simulate an outage of the Markets UI/API and notifications prior to 1100 on the day prior to the Operating Day *Oct 15: –XX:XX - 10:00A CPT: MPs should submit DA bids/offers. Should be accepted. –10:00A SPP will simulate a Markets UI/API outage by stopping JBOSS on the Markets UI/API and notifications applications servers –10:30A: Rick Pozorski of SPP will send communication to the MT liaisons via email. SPP has stopped the IM Markets UI/API servers to simulate an outage of the notifications systems in conjunction with this scenario. With the UI/API servers stopped, MPs will not receive any UI/API notifications. –10:00 – 10:30A: MPs should continue to submit DA bids/offers. Should fail. –10:30A: SPP will bring the Markets UI/API and notification processes back online –10:30 – 10:45A: Rick Pozorski of SPP will send communication to the Market Trials liaisons via email; SPP has started the IM Markets UI/API servers. MPs will now be able to receive UI/API notifications. –10:30-11:00A: MPs will need to resubmit bids/offers that failed during the outage 31 Wendy Reynolds

32. 28c Markets UI/API Outage During DA Submissions Expected Result Markets UI/API and notifications will be unavailable to MPs Previously submitted bids/offers should not be lost MPs should get an error from Markets UI/API MP Activities *Applicable to all MPs Submit DA Bids/Offers –Marketplace PortalMarketplace Portal 32 Wendy Reynolds

33. 28d Markets UI/API Outage During Publishing of DA Results Scenario Description Simulate an outage of the Markets UI/API during publishing of DA Results *Oct 15, 3:45 – 4:15P CPT: –Markets UI/API and notifications will be unavailable –Rick Pozorski of SPP will send communication to the Market Trials liaisons via email. In conjunction with this Scenario, SPP has stopped the IM Markets UI/API servers to simulate an outage of the notifications system. The DA results are posted, but the results are unavailable to MPs. SPP will notify MPs via the UI/API when the DA Market results are available. *Oct 15, 4:00P CPT: –DA Results will be posted, but notifications will not be sent out because of the Markets UI/API and notifications outage *Oct 15, 4:15P CPT: –Markets UI/API will be available. MPs will receive XML notification that DA results are available. Rick Pozorski of SPP will send communication to the MT liaisons via email. –MPs will call the API for results. DA Market results, including prices, are now available for OD Oct 16. 33 Wendy Reynolds

34. 28d Markets UI/API Outage During Publishing of DA Results Expected Result Markets UI/API and notifications will be unavailable to MPs for 30 minutes MPs should not be able to retrieve DA Results during this time When the Markets UI/API is brought back up, MPs should be able to retrieve results MP Activities *Applicable to all MPs Execute API calls to request DA Results 34 Wendy Reynolds

35. 28e Single Site Outage of Markets System Scenario Description Simulate an outage of one of the dual Market System sites prior to 1100 the day prior to the Operating Day *Oct 17, 10:30A CPT: SPP will simulate a site outage of one of the redundant Market system sites. *Oct 17, 10:40A CPT: SPP will bring the Market systems back online. No notifications will be sent. Expected Result Markets UI/API should remain available to MPs No previously committed bids/offers should be lost MP Activities *Applicable to all MPs Observe normal activity. Submit DA Offers/Bids –Marketplace PortalMarketplace Portal 35 Wendy Reynolds

36. Release Scorecard 36 Release ScorecardRelease Scorecard posted to spp.org: spp.org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder Ginny Watson

37. Migration and Maintenance Report 37 Migration and Maintenance Report Migration and Maintenance Report posted to spp.org spp.org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder Annette Holbert

38. 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 > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder Carrie Simpson Issue #RMS ID #Component Synopsis Severity 752 Markets Systems A resource that has a “Not Participating” status in the DAMAKT is able to be manually committed by the Operator. The SCUC solution respected the “Not Participating” status, however the SCED solution respected the manual commitment and cleared energy on the resource. Severity 3: Medium 753 Markets Systems The online CR ICCP Point is pulling in the total(Online+Offline) CR deployment instead of only the Online CR Deployment. SPP has applied a systematic workaround until the vendor can apply the permanent solution. Severity 3: Medium

39. Scheduled Scenarios 39 Oct 14 - 18 28b – Non-Functional Testing: RTBM Outage 28c – Non-Functional Testing: Markets UI/API Outage during DA Submission 28d – Non-Functional Testing: Markets UI/API Outage during DA Results 28e – Non-Functional Testing: Single Site Outage Oct 21 – 25 7 Unstructured Test Days Ginny Watson

40. Market Trials Useful Resources SMT Hotline: 501-482-2222 for critical & high issues Mon-Fri 8A – 5P Please submit all other inquiries via the Request Management System (RMS)Request Management System (RMS) Settlements Calendar marketplace.spp.org > Public > Settlements > Calendars Integrated Marketplace Market Trials Project Documentation Folder spp.org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder Documents found here include: Daily Calendar, Release Scorecard, Migration Report, Known Issues Log, Market Participant Guidehere SMT Presentations, Statistics, MP Meetings Folder SMT Reference Documents Folder New! Tag Validation Criteria for MT TestingTag Validation Criteria for MT Testing SMT Scenarios Folder New! SMT Scenarios ScheduleSMT Scenarios Schedule Change Tracker spp.org > Integrated Marketplace > Marketplace Documents 40