NAESB Coordinate Interchange Standard, Version 1 / 0

NAESB Coordinate Interchange Standard, Version 1 / 0
ISAS Meeting San Diego, CA November 17th, 2004

NAESB Version 1 / 0 Coordinate Interchange
Introduction: This Standard identifies market-supported processes necessary to facilitate fair & “equitable” Interchange practices. It specifies the arrangements that need to be made and the data that needs to be communicated to the Interchange Authority (IA) (Sink BA) and to all involved parties of the Request for Interchange (RFI) / Interchange Transaction Tag in order for Interchange to take place between Source and Sink Balancing Authorities (BA). It implements the flow of data and approval mechanisms to facilitate Interchange.

Introduction cont. Although this Standard specifies that NAESB is to determine the protocols needed to implement the Standard, it is not NAESB’s intent to replace the existing ETAG specifications and protocols.

This Standard only covers the business arrangements and data requirements necessary to get the RFI / Tag to the IA (Sink BA) and transition it into Arranged Interchange. The transition from Arranged Interchange to Confirmed Interchange and ultimately to Implemented Interchange will be accomplished in accordance with NERC Standards. The Standard recognizes that FERC approved tariffs may supersede some provisions in this Standard.

The Standard applies Functional Model definitions to provide consistency with NERC’s Reliability Standards. Terms used in this Standard which are defined by the Functional Model are not defined herein. Until such time that the Entities defined by the NERC Functional Model are certified, the existing entities currently performing those functions will continue to do so (only for RC).

Terms defined in the proposed NERC Coordinate Interchange Standard are included for reference only. Although these terms have not been approved as a Standard, the ESS believes these definitions will provide clarity to the various transition states of Interchange. For the purposes of this standard, only these terms are defined as follows: Arranged Interchange – The state where required information is provided to the Interchange Authority Confirmed Interchange - The state where the Interchange Authority has verified the Arranged Interchange and it is provided to the Balancing Authorities.

Interchange – Energy transfers that cross Balancing Authority boundaries. Implemented Interchange- The state where the Balancing Authority enters the Confirmed Interchange into its area control error (ACE) equation’s net scheduled Interchange component Version 0 does not recognize Arranged, Confirmed, Implemented Interchange.

Definitions RFI Standard 1.0 For the purposes of this Standard, the following definitions shall be applied: RFI Standard 1.1 Approval Entities – Those entities responsible for providing active (needs to be clarified)*** approvals during the Market and/or Reliability Periods. Approval Entity – An entity that has approval rights for an Interchange Transaction Tag., this includes the Transmission Service Providers (TSP), scheduling Balancing Authorities (BA), Purchasing-Selling Entities (PSE) providing Generation, and Load Serving Entities (LSE) involved in the Interchange Transaction

RFI Standard 1.2 Interchange Block Accounting Energy accounting that assumes a beginning and ending ramp time of zero minutes. For accounting purposes, this moves the energy associated with the starting and ending ramps into the adjacent starting and ending clock time of the Interchange. Interchange Block Accounting – Energy accounting that assumes a beginning and ending ramp time of zero minutes. For accounting purposes, this moves the energy associated with the starting and ending ramps into the adjacent starting and ending clock time of the Interchange.

RFI Standard 1.3 Market Adjustment – A desired modification to the energy and/or transmission profile during the Confirmed Interchange period. RFI Standard 1.4 Market Assembly – Function responsible for coordinating the submittal of the completed and balanced RFI from the Requesting PSE, or its designee, to the Interchange Authority. RFI Standard 1.5 Market Period – The period of time when a Requesting PSE is making purchase, sale, and transmission service arrangements needed to support a RFI.

Market Period – The period of time beginning when a Requesting PSE is making purchase, sale, and transmission service arrangements needed to support an Interchange Transaction Tag through the time when the Sink BA (Tag Authority) receives the Market Period approvals

RFI Standard 1.6 Reliability Period – The segment of time from when the IA has received the RFI from the requesting PSE, or its designee, to physical implementation (beginning of ramp time)***. Reliability Period – The segment of time beginning with the Sink BA requesting approvals from the reliability Approval Entities until the completion of the physical flow of the energy associated with an InterchangeTransaction Tag. RFI Standard 1.7 Request For Interchange, RFI- A collection of data as defined in the NAESB RFI Datasheet to be submitted to the IA for the purpose of implementing bilateral Interchange.

Interchange Transaction Tag (Tag) – An Interchange Transaction being submitted for implementation according to Version NERC Transaction Information Systems Working Group (TISWG) Electronic Tagging Functional Specification

RFI Standard 1.8 Requesting PSE – The PSE submitting the RFI. Under current policy this entity would be called the “Tag Author”***. Requesting PSE – The PSE submitting the Interchange Transaction Tag RFI Standard 1.9 Sink BA – The Balancing Authority responsible for monitoring and/or controlling the load identified as the “sink” of a bilateral Interchange. Sink BA – The Balancing Authority responsible for monitoring and/or controlling the load identified as the sink of a bilateral Interchange Transaction

RFI Standard 1.10 Source BA – The Balancing Authority responsible for monitoring and/or controlling the generation identified as the source of a bilateral Interchange. Source BA – The Balancing Authority responsible for monitoring and/or controlling the generation identified as the source of a bilateral Interchange Transaction . RFI Standard 1.11 Interchange Correction – Modifications to non-reliability data of a Request For Interchange (RFI) while it is Arranged Interchange. This non-reliability data is located in the NAESB RFI Datasheet and is labeled as “correctable”.

Additional Version 0 Definitions: Balancing Authority – The entity responsible for integrating resource plans ahead of time, and for maintaining load-interchange-generation balance within a Balancing Authority Area, and for supporting Interconnection frequency in real time. Balancing Authority Area - An electrical system bounded by interconnection (tie-line) metering and telemetry, where the Balancing Authority controls (either directly or by contract) generation to maintain its Interchange Schedule with other Balancing Authority Areas and contributes to frequency regulation of the Interconnection.

Checkout Process – The method by which any two entities in the utility industry routinely perform a checkout confirmation of schedules for a period of time with each other.

Interchange Transaction - An agreement to transfer energy from a seller to a buyer that crosses one or more Balancing Authority boundaries. Interchange Transaction Tag- An Interchange Transaction being submitted for implementation according to the requirements of the most recent version of the Electronic Tagging Functional Specification. Interchange Transaction Tag (Tag) – An Interchange Transaction being submitted for implementation according to Version NERC Transaction Information Systems Working Group (TISWG) Electronic Tagging Functional Specification

Interconnection –Any one of the three major electric system networks in North America: Eastern, Western, and ERCOT. Load-Serving Entity (LSE) – The entity responsible for securing energy and transmission service and related ancillary services to serve the end-use customer and manages the resource portfolios to meet demand and energy requirements. Market Operator – An entity that administers a market that provides integrates capacity, energy, balancing resources, and other ancillary services. Integrates energy, capacity, balancing, and transmission resources to achieve an economic, reliability-constrained dispatch of resources.

Purchasing-Selling Entity (PSE) – An entity that is eligible to purchase or sell energy or capacity and reserve transmission services. Reliability Coordinator – An entity that provides the security assessment and emergency operations coordination for a group of Balancing Authorities, Transmission Service Providers, and Transmission Operators.. Transmission Service Provider – The entity that administers the transmission tariff and provides transmission services to qualified market participants under applicable transmission service agreements

Business Practices RFI Standard 2.0 All requests to implement bilateral Interchange shall be accomplished by the submission of a completed “Request For Interchange”, RFI, to the Interchange Authority (IA). 1.0 – All requests to implement bilateral Interchange Transactions, and certain Interchange Schedules, shall be accomplished by the submission of a completed Interchange Transaction Tag to the Sink BA

1.1 - Interchange Transaction Tags for Interchange Transactions crossing Interconnections Boundaries shall be in accordance with the most current version of the NAESB Appendix A “Interchange Transaction Tagging Across Interconnection Boundaries”. 1.2 - In the event of E-Tag system component failure, the requirements and procedures contained within Appendix B “Electronic Tagging Service Performance Requirements and Failure Procedures” shall be followed.

1.3 - It shall be the responsibility of the load serving Purchasing-Selling-Entity (PSE), or their designee, to ensure the completed Interchange Transaction Tag has been submitted to the Sink BA and that the Interchange Transaction Tag contains all reliability required information specified in NERC Version 0, Standard 010, Attachment 2. 1.4 - Approval Entities shall only be allowed to take actions against Interchange Transaction Tags as specified in Appendix C “ Interchange Transaction Tag Actions”.

1.5 - A completed Interchange Transaction Tag shall contain, at a minimum, the information specified in Appendix D “Required and Correctable Interchange Transaction Tag Data”. RFI Standard A completed RFI shall contain, at a minimum, the NERC required information specified in the most current version of the NAESB RFI Datasheet. 1.6 - A completed Interchange Transaction Tag shall contain, at a minimum, the information specified in Appendix D “Required and Correctable Interchange Transaction Tag Data. (The NERC Appendix 3A4).

RFI Standard It shall be the responsibility of the load serving Purchasing-Selling-Entity (PSE), or their designee, to ensure the completed RFI has been submitted to IA. 2.0 - All energy purchase, energy sale, and Transmission service arrangements necessary to create the Interchange Transaction Tag and implement the bilateral Interchange Transaction shall be performed and verified by the Requesting PSE prior to the Interchange Transaction Tag being submitted to the Sink BA.

RFI Standard All energy purchase, energy sale, and Transmission service arrangements necessary to implement the bilateral Interchange shall be performed during the Market Period. 2.0 - All energy purchase, energy sale, and Transmission service arrangements necessary to create the Interchange Transaction Tag and implement the bilateral Interchange Transaction shall be performed and verified by the Requesting PSE prior to the Interchange Transaction Tag being submitted to the Sink BA.

RFI Standard The Requesting PSE shall verify all necessary business and transmission arrangements prior to the RFI being submitting to the IA and shall distribute a copy of the RFI to all involved parties***. At its discretion, the Requesting PSE may defer this responsibility to the Market Assembly Function. 2.0 - All energy purchase, energy sale, and Transmission service arrangements necessary to create the Interchange Transaction Tag and implement the bilateral Interchange Transaction shall be performed and verified by the Requesting PSE prior to the Interchange Transaction Tag being submitted to the Sink BA. RFI Standard In the current ETAG environment, the Market Assembly Function shall be accomplished by the Tagging Authority.

2.1 - The Requesting PSE shall have the right to defer this responsibility to the Market Operator Function. RFI Standard The completed RFI shall be submitted to the IA and to all involved parties in accordance with the timing requirements of the most current version of the NAESB RFI Submission and Response Timetables. 1.3 - It shall be the responsibility of the load serving PSE, or their designee, to ensure the completed Interchange Transaction Tag has been submitted to the Sink BA in accordance with the timing requirements contained in NERC’s Version 0 Standard 010, Attachment 1.

RFI Standard Upon receipt of the RFI by the IA, the RFI transitions into Arranged Interchange RFI Standard The Arranged Interchange shall be assessed by all reliability Approval Entities and those assessments communicated back to the IA in accordance with the timing requirements of the most current version of the NAESB RFI Submission and Response Timetables****. 3.0 - The completed Interchange Transaction Tag, including all updates and market modifications, shall be forwarded by the Sink BA to the appropriate Approval Entity(s) for a Market Period assessment.

In addition to those entities specified by NERC standards, PSEs providing generation and LSEs shall have approval rights RFI Standard The results of that assessment shall be promptly communicated by the IA to all involved parties. 4.0 - The results of the Market Period assessment (approval or denial) by the Approval Entities shall be promptly communicated back to the Sink BA. The Sink BA shall notify the Requesting PSE, and to all other involved parties, the results of the assessment.

RFI Standard All denials of a requested RFI by any reliability Approval Entity shall be communicated to all involved parties and shall be accompanied by the reason for such denial. 4.0 - The results of the Market Period assessment (approval or denial) by the Approval Entities shall be promptly communicated back to the Sink BA. The Sink BA shall notify the Requesting PSE, and to all other involved parties, the results of the assessment. 4.1 - Unless denied by an Approval Entity, the Interchange Transaction is considered approved when all involved parties receive from the Sink BA the results of each Approval Entity’s assessment.

4.2 - All denials of a Transaction Tag by any Approval Entity shall be accompanied by the reason for such denial. RFI Standard Any changes to the status of the RFI shall be communicated by the IA to all involved parties of the RFI, including BAs, IAs, RAs, all PSEs , and the TSPs. 5.0 - Any changes to the status of an Interchange Transaction Tag during the Market Period assessment shall be communicated by the requesting PSE to the Sink BA. RFI Standard In the current ETAG environment this shall be accomplished by the Tagging Authority***

RFI Standard The primary method for submitting a RFI to the IA shall be by electronic means using protocols to be determined by NAESB. 6.0 - The preferred method of submitting the Interchange Transaction Tag to the Sink BA shall be electronic and in accordance with the Version NERC Transaction Information Systems Working Group (TISWG) Electronic Tagging Functional Specification . RFI Standard A backup or redundant electronic system shall be available for immediate use should the primary electronic means become disabled.

6.1 - A backup or redundant electronic system shall be available for immediate use should the primary electronic means become disabled. RFI Standard Submitting a RFI to the IA via facsimile is acceptable only as a last resort when the electronic means and its required backup or redundant system are not available. 6.2 - Submitting an Interchange Transaction Tag to the Sink BA via facsimile is acceptable only as a last resort when the electronic means and its required backup or redundant system are not available.

RFI Standard Until such time as NERC and/or NAESB establish replacement protocols, the preferred method of submitting data to the IA shall be the most current version of the NERC E-Tag Specifications. 6.0 - The preferred method of submitting the Interchange Transaction Tag to the Sink BA shall be electronic and in accordance with the Version NERC Transaction Information Systems Working Group (TISWG) Electronic Tagging Functional Specification

RFI Standard Corrections to the Arranged Interchange shall be allowed until the Arranged Interchange has been approved by the reliability Approval Entities. 7.0 - Interchange Transaction Tag corrections to the Tag for non-reliability related data shall be allowed prior to the Interchange Transaction Tag’s approval/denial by the Approval Entities.

RFI Standard Timing for corrections shall be in accordance with the NAESB RFI Submission and Response Timetables. 7.1 - Timing for market related corrections shall be in accordance with NERC’s Version 0, Standard 013, Attachment 1. RFI Standard Market adjustments made to the Confirmed Interchange by the PSE, or their designee, must be submitted to the IA and the reliability Approval Entities*** 8.0 - The Requesting PSE shall have the right to modify an Interchange Transaction that is in progress or scheduled to be started. Modifications may include changes in contracts, economic decisions, or other market-based influences.

RFI Standard Timing of the approval assessment on the Market Adjustment by the reliability Approval Entities shall be in accordance with the NAESB RFI Submission and Response Timetables. If the adjustment is denied by any Approval Entity, the original request remains valid for the original RFI duration period. 8.1 - Interchange Transaction Tag modifications made to the “Implemented” Interchange Transaction Tag or its committed transmission reservation for market-related issues by the Requesting PSE, or its designee, must be submitted to the Sink BA and all affected parties within the time requirements of NERC’s Version 0, Standard 013, Attachment 1.

8.2 - The Requesting PSE shall have the right to increase or decrease the Interchange Transaction Tag’s energy and committed transmission(s) profile to reflect a desire to flow more or less energy or commit more or less transmission than originally requested. In the case of an increase, the Requesting PSE must provide the necessary transmission capacity must be available from either the earlier Transaction or is provided with the increase which must be approved by all Approval Entities. 8.3 - The Requesting PSE shall have the right to extend the Interchange Transaction Tag’s energy profile to reflect a desire to flow energy during hours not previously specified. The Requesting PSE must provide the necessary transmission capacity which must be provided with the extension approved by all Approval Entities.

RFI Standard All parties involved in the bilateral Interchange shall have, or arrange to have, personnel on site and immediately available 24 x 7 for notification of changes to the Request for Interchange. RFI Standard The personnel shall be available from the beginning of the Market Period through the implementation of the Confirmed Interchange***. 9.0 - All parties involved in the bilateral Interchange Transaction shall have, or arrange to have, personnel and facilities on site and immediately available for notification of changes to the Interchange Transaction Tag from the beginning of the Market Period until the time when the energy flow of the Transaction has been completed.

RFI Standard Unless provided for under a FERC approved market mechanism, energy accounting for all RFIs shall be accomplished via Interchange Block Accounting. Unless provided for under a FERC approved market mechanism, energy accounting for all Interchange Transactions shall be accomplished via Interchange Block Accounting. RFI Standard Settlement of losses shall be either handled as financial or as payment in-kind. Settlement of losses shall be either handled as financial or as payment in-kind in accordance with the Transmission Service Provider tariff.

RFI Standard For losses handled as payment in-kind, the PSE, or its designee, shall communicate to the IA, via a RFI (either the original RFI or separate RFIs), the MW losses and the entity the losses are with for each TSP/BA along the Interchange path. For losses handled as payment in-kind, the Requesting PSE, or its designee, shall communicate to the Sink BA, via an Interchange Transaction Tag (either the original or a separate Interchange Transaction Tag), the MW losses and the entity the losses are with for each TSP/BA along the Interchange path.

All RAs, BAs, TSPs, PSEs, and other entities involved in an Interchange Transaction shall not disclose the Interchange Transaction information to any PSE not involved in the Interchange Transaction. After a curtailment of an Interchange Transaction Tag has ended, the Sink BA shall return the Interchange Transaction Tag profile to the originally requested level, unless otherwise specified by the entity submitting the Interchange Transaction Tag. RFI Standard Default ramp rates for the North American Interconnection shall be as follows:

RFI Standard Default ramp rate for the Eastern Interconnection shall be 10 minutes equally across the start and end times of the RFI unless otherwise agreed to by all parties involved in the RFI . RFI Standard Default ramp rate for the Western Interconnection shall be 20 minutes equally across the start and end times of the RFI unless otherwise agreed to by all parties involved in the RFI.

NAESB/NERC Version 1 Coordinate Interchange

NAESB Coordinate Interchange Standard, Version 1 / 0

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NAESB Coordinate Interchange Standard, Version 1 / 0

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