1. ESC Use Case Review Joint OASIS Implementation Task Force Paul R
ESC Use Case Review Joint OASIS Implementation Task Force Paul R. Sorenson August 30-31, 2004

2. ESC Use Case Review Use Case Categories Registration Operations
Participants, Users, Facilities, Resources, Subscriptions
Operations
Outages, Load Forecasts, (Operating) Schedules
Transmission Rights Markets
Auctions, Bilateral and Secondary Markets
Energy Markets
Day-ahead Energy, Real-time Energy
Bilateral and Self Schedules
Physical Schedules, Financial Schedules, Self Schedules
Coordination
Coordinate Interchange

3. OASIS II Implementation (Proposed)
ESC Use Case Review
OASIS II Implementation (Proposed)
Stage 1
Target – Fall 2006
Functionality – TBD
Stage 2
Target – Fall 2007
Stage 3
Target – Fall 2008
Functionality - TBD

4. For Staged Implementation
ESC Use Case Review
For Staged Implementation
Re-categorize Use Cases by Functionality
Make Groupings as Autonomous as Possible
Company/User Registration
Publish/Subscribe
Bilateral Transmission Markets
Physical Bilateral Schedules
Self Schedules
Market Resource Registration
Auction Transmission Markets
Financial Bilateral Schedules
Energy Markets

5. Use Case Naming Convention
ESC Use Case Review
Use Case Naming Convention
Submit – Initial entry of data into OASIS
Modify – Change data element(s) submitted
Set – Change to specific data element; acknowledgement/status
View – Generic query function
Post – Unilateral entry of data for viewing

6. ESC Use Case Review Use Case Contents Summary* Actor/Role
Participating Functions
Triggers
Pre-Conditions
Flow of Events*
Alternative Flows*
Post Conditions
Related Use Cases
Assumptions
Data Exchange*
Comments
Revision History

7. Company/User Registration
Request User Credentials
Login
Submit Participant Registration
Modify Participant Registration
Set Participant Registration State
Submit User Registration
Modify User Registration
Set User Registration State
View Registration

8. Publish/Subscribe Registration Submit Subscription Modify Subscription
Notify Subscribers
Post Market Services
View Registration

9. Publish/Subscribe Important Concepts
Generic extension to OASIS dynamic notification
Published events may be broad or very specific
Notify when reservation x is modified
Notify when price at location y changes by more than 2% or $10.00
Once framework established should be easily extended as add new functionality to OASIS

10. Bilateral Transmission Markets
Transmission Rights Market
Assess Transfer Capability
Submit TR Proposal
Modify TR Proposal
Submit TR Deal
Modify TR Deal
Set TR Deal State
Post Transmission Rights
Post Transfer Capability
View TR Market

11. Bilateral Transmission Markets
Important Concepts
Used for primary physical rights markets, and both physical and financial secondary markets
Proposals can be posted by both Buyers and Sellers
OASIS 1A – Offers only posted by Sellers
Deals can be submitted by either Buyer or Seller
OASIS 1A – Requests only posted by Buyers (Customers)
Negotiation can include product, quantity, price, time, etc.
OASIS 1A – Negotiations limited to price
Separate the concept of rights held from the transactions used to acquire those rights

12. Physical Bilateral Schedules
Bilateral and Self Schedules
Submit Bilateral Schedule
Modify Bilateral Schedule
Adjust Bilateral Schedule
Set Bilateral Schedule State
Distribute Schedule
View Bilateral & Self Schedules
Coordination
Coordinate Interchange

13. Physical Bilateral Schedules
Important Concepts
Energy schedule requires balanced Source BA –to- Sink BA transaction (RFI)
Partial/fragment submission and assembly was not proposed
Ancillary commitment schedule for reserves, etc.
GPE may designate specific resource(s) to be used (if required by BA or Market) as part of their review/approval process; may be multiple resources as long as in the same BA
LSE may designate specific resource(s) to be served (if required by BA or Market) as part of their review/approval process; may be multiple loads as long as in the same BA

14. Physical Bilateral Schedules
Important Concepts
Generation, Load and wheeling components may all include market pricing or dispatch options
ALL APPROVALS ARE TIME DEPENDENT
Market participants may approve the entire schedule
Market operators may approve only after market clearing and only for time interval cleared
GPE/LSE may change resources with approval over different time periods (still can’t change Source BA and Sink BA)

15. Physical Bilateral Schedules
Important Concepts

16. Physical Bilateral Schedules
Important Concepts
SUBMITTED: The schedule or contract is valid and has been recorded on OASIS.
ACCEPTED: The Market Participant has acknowledged that the schedule or contract data, for which they are responsible, is entered and correct. OASIS validates that required data is entered before allowing this state change.
MODIFIED: A Market Participant or an Operational Entity has changed some data previously submitted or agreed to by others.
DENIED: A Market Participant or an Operational Entity disagrees with all or part of the schedule or contract.
WITHDRAWN: Original submitter of the schedule or contract has removed it from consideration. This is a final state.
PENDING: All Market Participants involved in the schedule or contract have agreed that it is correct. This state is automatically set by OASIS.
APPROVED: The appropriate Operational Entity (such as MO, BA, or TSP) has acknowledged their intent to implement the schedule or to include the contract in their settlement process.
REJECTED: The appropriate Operational Entity (such as MO, BA, or TSP) has rejected the schedule or contract. This is a final state.
CONFIRMED: All Operational Entities have agreed to implement the schedule.
ADJUSTED: The previously CONFIRMED schedule has been changed.

17. Physical Bilateral Schedules
Important Concepts
MP sends schedule/contract to OASIS. OASIS performs validation. If it is valid, it is added to database with state of SUBMITTED.
Each MP indicates their agreement that the schedule/contract is correct by setting the state (for that MP) to ACCEPTED.
Any party to the schedule/contract (MP or OE) may change it. OASIS will then reset the state for all parties to MODIFIED. (The MP making the change may set their state to ACCEPTED if all required data is entered.)
Any party to the schedule/contract (MP or OE) may set the state to DENIED to indicate disagreement with all or part of the schedule/contract. This state is used to communicate what information is incorrect or incomplete.
Original submitter may remove the schedule/contract from consideration by setting the state to WITHDRAWN.
Once the state for all MP parties has reached ACCEPTED, OASIS will set the state to PENDING. (Note: If the state is PENDING for any entity, it must be PENDING for all entities.) At this point, the OE(s) for this market area considers the schedule for clearing/implementation, and the MO considers the contract for settlement.

18. Physical Bilateral Schedules
Important Concepts
If OE can implement the schedule as stated, they set the state to APPROVED.
If MO will use the contract for settlement, they set the state to APPROVED.
Both Self Schedules and Bilateral Contracts default to CONFIRMED after they are APPROVED. This is because only one balancing area or market area is involved.
If OE can implement part of the schedule, they change it accordingly. There are two options for the state change at this point. It is controlled by a flag previously set by the MPs:
If MPs want to review OE changes, the state is set to MODIFIED.
If MPs have agreed to accept whatever is available, the state is set to APPROVED.
If OE cannot implement the schedule, they set the state to REJECTED.
OASIS monitors APPROVED schedules to determine whether they can be CONFIRMED.
If the schedule is internal (handled by a single OE), it is immediately set to CONFIRMED.
If the schedule is external (handled by multiple OEs), OASIS will set the state to CONFIRMED when all responsible OEs have set the state to APPROVED for their area.
If an Operational Entity needs to change a CONFIRMED schedule, they set the state to ADJUSTED. If other OEs are involved, they need to change and re-approve the schedule for their area.

19. Bilateral and Self Schedules
Submit Self Schedule
Modify Self Schedule
Adjust Self Schedule
Set Self Schedule State
View Bilateral & Self Schedules

20. Self Schedules Important Concepts
Unbalanced generation or load schedule by definition
Always within bounds of single BA or Market
Market Participant submits to BA or Market Operator
Ancillary commitment schedule for reserves, etc.

21. Market Resource Registration
Submit Facility Registration
Modify Facility Registration
Set Facility Registration State
Submit Resource Registration
Modify Resource Registration
Set Resource Registration State
Post Market Services
View Registration

22. Market Resource Registration
Important Concepts
Facility is a physical asset with ratings, etc.
Resource is a commercial asset that may be bid into the market (i.e., plant, hub, etc.)
Resource may be associated with one or more facilities
May be a totally back-office function for certain markets

23. Auction Transmission Markets
Transmission Rights Market
Assess Transfer Capability
Create TR Allocation
Post TR Auction Announcement
Submit TR Auction Offer
Modify TR Auction Offer
Submit TR Auction Bid
Modify TR Auction Bid
Clear TR Auction
Set TR Auction Bid/Offer State
Post Transmission Rights
Post Transfer Capability
View TR Market

24. Auction Transmission Markets
Important Concepts
Used primarily for financial rights markets
Not necessarily restricted to financial rights

25. Financial Bilateral Schedules
Bilateral and Self Schedules
Submit Bilateral Contract
Modify Bilateral Contract
Set Bilateral Contract State
Submit Bilateral Schedule
Modify Bilateral Schedule
Adjust Bilateral Schedule
Set Bilateral Schedule State
Distribute Schedule
View Bilateral & Self Schedules

26. Financial Bilateral Schedules
Important Concepts
Purely financial in nature
Contracts will contain one or more bilateral schedules
Use the same constructs as Physical Bilateral Scheduling for schedule amounts
Counter-party and Market Operator approvals required

27. Energy Markets Energy Markets Operations Submit Energy Market Offer
Modify Energy Market Offer
Submit Energy Market Bid
Modify Energy Market Bid
Clear DAM
Clear RTM
Assess Resource Adequacy
Post Market Results
View Energy Market Results
Monitor Market Compliance
Invoke Market Mitigation Measures
Post Market Mitigation Invocation
Operations
Submit Outage
Modify Outage
Set Outage State
Submit Load Forecast
Modify Load Forecast
Set Load Forecast State
Create System Load Forecast
Create Unit Commitment
Determine Schedules
Post Schedule
Dispatch Generation
Follow Dispatch Orders
Declare Abnormal Condition
Post Reliability Directive
Post Operations Data
View Operations Data

28. Energy Markets Important Concepts
Patterned after FERC SMD and existing LMP markets
Day-ahead and Real-time markets
Ancillary Services as well as Energy

29. ESC Use Case Review What Goes Where? Stage 1 Stage 2 Stage 3
Bilateral Transmission Markets
Financial Bilateral Schedules
Market Resource Registration
Self Schedules
Publish/Subscribe
Auction Transmission Markets
Energy Markets
Company/User Registration
Physical Bilateral Schedules