Market Trials Weekly Update – Friday Meeting December 6, 2013

Agenda IDT Debrief: 9:00 – 10:00A IDT Conditions, 9:00-9:10A IDT Report Review: IDT 11/19 and IDT 11/21, 9:10-9:30A IDT 12/3 Preliminary Debrief, slides for reference only IDT 12/5 Preliminary Debrief, 9:30-10:00A Analysis: 10:00 – 10:20A Parallel Ops Participation and QuickStart Reminders, 10:00-10:10A Scenario Analysis, 10:10-10:20A Look-Ahead: 10:20 – 10:50A Announcements and Release Updates, 10:20-10:30A Look-Ahead, 10:30-10:40A Updates, 10:40-10:50A Release Scorecard Migration Report Known Issues Log Settlements: 10:50 – 11:00A 2

IDT Conditions page 1 of 2 3 IDT Conditions posted to spp.org herehere spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test Casey Cathey IDT DateConditionNotes 12/10/13Resource Drop SPP will induce a Resource drop. SPP will coordinate with individual MP. 12/12/13Follow Resource Online SPP will coordinate with a Resource-owning MP such that if they have a planned Resource start, SPP will put it in COP as normal; however, the MP will monitor the start signals from SPP during the start window. There will be no official commitment from SPP, meaning no MWPs. SPP will monitor this condition and report any anomalies from either end. SPP is soliciting MPs to participate in this IDT condition. If you have a Resource already planning on coming online during a regularly scheduled IDT, please let us know via RMS.RMS

IDT Conditions page 2 of 2 4 Casey Cathey IDT DateConditionNotes 12/17/13 Mirroring Off SPP will require additional monitoring and reporting during the 12/17 IDT as this is the first IDT after webMirroring is disabled on 12/16. EDR Pumping Loads 12/19/13Pseudo Tied In Resources An MP requested permission to test a Pseudo Tied In Resource during the 12/19 deployment test. SPP had asked the MP not to include the Resource in deployment testing before 12/19 due to the pseudo- tie issue. 1/7/13Regulation Pre-Selection / Co-Optimize Regulation SPP will exercise Regulation pre-selection during the 01/07 IDT. This will run through normal ID-RUC regulation pre-selection, allow BA Operators to change Resources from certain regulation, etc. 1/9/13ICCP Failover SPP has requested that an MP perform an ICCP failover in the middle of the January 9th IDT. This was a request from the CWG for a real world condition. SPP will coordinate with individual MP.

IDT 11/19 Report IDT reports to be posted to spp.org here 7 calendar days after each IDThere spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test IDT 11/21 Report IDT reports to be posted to spp.org here 7 calendar days after each IDThere spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test 5 Brian Strickland / Carrie Simpson

Deployment Test Debrief Overall the Third Deployment test was another great success –Overall SPP BA ACE and frequency were in acceptable ranges throughout the duration of the test –EIS BA’s had no problems switching from EIS setpoints to IM setpoints and back again –No major problems were reported by SPP or the MPs during the test –Able to start and stop the test on time as scheduled with no delay, reduction or extension 6 For Reference only

Deployment Test Debrief Though a “Success” there are things we can improve upon –MATCHING EIS and IM Offers – Parallel Operations vs. IDTs  During all of Parallel Operations EIS offers, unit parameters and Ancillary Service plans should closely track to those in the IM – The Parallel Operations MP Guide describes a close tolerance between EIS and IM that applies to all of Parallel Operations The Parallel Operations MP Guide  For IDTs SPP needs MPs to start matching offers 4 hours prior to IDTs to allow time to work out any mismatches – by the time the open calls start all mismatches should be worked out  For IDTs getting Ancillary Service plans consistent is critical for all hours of the tests 7 For Reference only

Deployment Test Debrief Though a “Success” there are things we can improve upon –Participants need to be on the calls when they start 60 minutes prior to each IDT  When the calls were initiated there were BAs and MPs that needed to be individually contacted to get them to call in and give a “Go” vote. –Minor problems were addressed quickly and didn’t create any reliability concerns  COP True-up wasn’t dealing with a specific unit correctly and SPP worked with the MP to manually get the unit on-line. 8 For Reference only

Deployment Test Debrief Overall the Fourth Deployment test was another great success –Able to start and stop the test on time as scheduled with no delay, reduction or extension –EIS BA’s had no problems switching from EIS setpoints to IM setpoints and back again  Smooth entry into the test –No major problems were reported by SPP or the MPs during the test  Saw a number of schedule changes throughout the IDT – no issues  Line came of at 0800 – no issues 9 Brian Strickland / Carrie Simpson

Deployment Test Debrief Though a “Success” there are things we can improve upon –Slightly out of balance ~0800 –CPS 2 violation during the test from 0800 – 0810 –MATCHING EIS and IM Offers – Parallel Operations vs. IDTs  During all of Parallel Operations EIS offers, unit parameters and Ancillary Service plans should closely track to those in the IM – The Parallel Operations MP Guide describes a close tolerance between EIS and IM that applies to all of Parallel Operations The Parallel Operations MP Guide  For IDTs SPP needs MPs to start matching offers 4 hours prior to IDTs to allow time to work out any mismatches – by the time the open calls start all mismatches should be worked out 10 Brian Strickland / Carrie Simpson

Deployment Test Debrief Though a “Success” there are things we can improve upon –SPP wants to understand what is preventing MP Resources from following deployments  Please follow deployments  Please communicate any issues with SPP –Participants need to be on the calls when they start 60 minutes prior to each IDT  All BA’s were on the call on time – Thank You!  4 MPs needed to be individually contacted to get them to call in and give a “Go” vote. 11 Brian Strickland / Carrie Simpson

Integrated Marketplace RTBM Submissions Currently, SPP is having to request updates to IM offers just before IDTs to be consistent with EIS offers During Parallel Operations, members should keep Integrated Marketplace offers consistent with EIS offers From the Parallel Operations MP Guide: SPP has begun to track EIS vs IM offer percentages, and will send a reminder each week to all MPs who are not participating consistently 12 Market Participants shall update RTBM submissions as follows: If a unit goes offline or comes online in the EIS market, update RTBM submissions If a unit’s min/max capacity changes by >10% or 5 MW, whichever is greater, in the EIS market, update RTBM submissions If a unit’s offer curve changes by >10% or $2 per 5 MW, whichever is greater, in the EIS market, update RTBM submissions Casey Cathey

Quick Start Resources In Marketplace there a two different types of quick start resources 1.Quick Start resources similar to “Quick Start Status” in EIS Market Dispatched only in the RTBM No Start instruction sent to MPs 2.Resources that can quickly get online (less than 10 minutes) and qualified for off-line supplemental Committed by SPP in RUC or Contingency Reserve Deployment process Start Instructions are sent to MPs 13 Carrie Simpson

Quick Start Resources 14 Carrie Simpson

TRL-01: MP Participation in Parallel Ops Reminder! Participation in Parallel Ops is still being tracked via Readiness Metric TRL-01 –As of 12/6, the metric is RED due to insufficient participation by one BA (KBPU) The status of the Readiness Metrics as of 12/20 will be included in the 12/27 FERC Readiness Filing The status can go back to GREEN if Target Mass participates sufficiently (i.e. in at least 80% of the ODs) during the first part of December –Metric measurement criteria is available in v5.0 of the Readiness Metrics posted in the Readiness folderReadiness folder 15 Erin Jester

OPS-16: MP Response to Deployment Testing Reminder! Participation in Deployment Testing is being tracked via Readiness Metric OPS-16 –In order to be GREEN, one or more of the MP’s online units must respond to dispatch instructions during a deployment test –Participation in IDT calls (pre, post, and test) is required for MPs with online units The status of the Readiness Metrics as of 12/20 will be included in the 12/27 FERC Readiness Filing –Metric measurement criteria is available in v5.0 of the Readiness Metrics posted in the Readiness folderReadiness folder 16 Erin Jester

Preliminary Scenario Results 17 Scenario 24 Re-pricing ran Tuesday Dec 3 SPP recalculated Real-Time LMP and MCP prices for the interval(s) listed below due to bad or missing SCADA for operating day 12/04/2013 Substitute prices will be included on the initial settlements statements 7 days from the OD Repricing on initial settlements statement will be posted on 12/11/2013 Re-calculated prices are available on the IM Portal in the Public Data section Intervals (CPT): : : : : : : : : : : : : : : : :40 Alan Adams

Scenario Results 18 Scenario 15 Commitment Mismatch Part 2 Successfully executed on Nov 25 for OD Nov Resources participated Resources with commit status of “Outage” recommended for Call Off Scenario results were posted to the UI and notifications were generated and sent If MPs did not see their commitment due to the COP True Up process, MPs can check their past commitments in the MUI Resources Offers tab: Date > Resources > Resource Name > Commitment History Alan Adams

19 Summary – Scenarios in Parallel Ops: –1 Scenario and 2 Partial Scenarios Executed successfully to date:  Scenario 7 Must Offer pending Settlements results  Scenario 28a Successful  Scenario 15 Commitment Mismatch Part 2 Summary – Retests Pending: –13 individual retest requests pending  6 MPs requested retest for Scenario 34  3 MPs requested retest for Scenario 2  1 MP requested retest for Scenario 3  2 MPs requested retest for Scenario 12  1 MP requested retest for Scenario 33 Scenario Tracker as of Dec 4 Ginny Watson

webMirroring Disabled Dec Casey Cathey

Start Practicing Tags 21 Casey Cathey

MOS 1.9 Functionality 22 Functionality Coming in 1.9 FERC Mitigation Changes Pre-RTBM now has Time Coupled scenarios available (previously just non-time coupled, now both are available) RTBM DVER MCE Logic External Interfaces NNLLimits Fixes RRC Additional Functionality RTBM EDR Fixes Markets UI, Validation, and Web Service fixes Internal Scenario Retests with 1.9 New Mitigation FERC Changes Scenarios: 16.1, 16.2, 16.3 KIL #742 Scenarios: 5.1, 5.2, 6.1, 6.2 Known Issues Log Coming in , 817, 781, 139, 262, 467, 724, 752, 837, 786, 787, 793, 796, 822, 820, 815, 813, 812, 810, 806, 805, 804, 827, 742, 771, 789, 794, 823, 811, 848 Carrie Simpson

MOS 1.9 Testing Approach 23 Accelerated installation schedule is planned to comply with the 1/1/14 system wide freeze All regression testing and defect retesting planned to complete by 12/20 (before Holiday breaks) Extended hours and weekend work to sprint through testing to make 12/20 goal 1.9 and 1.9Plus Testing Approach Full regression of new Mitigation FERC Changes Full MCE Regression Standard regression and defect testing across all functional areas Risks: Resource time and capacity constraints for accelerated testing schedule Mitigating risk by working additional hours SPP has seen approximately a 10% defect failure rate from previous releases Pending the failure rate of 1.9 and 1.9Plus, and what defects fail in these releases, there is a potential the system freeze will be at risk If another patch is required after 1.9Plus, it will move testing into January Carrie Simpson

MOS 1.9 Testing Approach 24 MOS 1.9 Install Schedule PROD: 12/30/13 Mos 1.9Plus Install Schedule PROD: 12/30/13 Carrie Simpson

Announcements 25 Second Dual listener working as of R1.8 Scenario 29 RSG will be run Monday Dec 16 – Originally scheduled Tuesday Dec 17 Ginny Watson

Announcements 26 Posting TCR model through True Share now Wendy Reynolds

Announcements 27 IDT Schedule Updates on Parallel Ops Calendar on spp.org Parallel Ops Calendar spp.org > Integrated Marketplace > Market Trials > Integrated Deployment Test (as part of Parallel Ops) IDT Call on Dec 17 2:30a – 8:30a 4hr IDT begins at 3:30a Originally scheduled 12/17 for 9:30P to 12/18 1:30A IDT in January to cross midnight (TBD which one) IDT times listed on the calendar reflect the call start times IDT Calls begin 60 minutes before the IDT officially starts Casey Cathey

Dispatch Simulator 28 *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 0:00 12/06 to 23:59 12/09 MPs should offer their Resources as they expect to do in Production SPP will not be running any COP True-ups Commitments will only come from DBDA, DA Market, DARUC, IDRUC, and MP Self Commitments – MPs should be looking at commitment notifications and understand that this is how SPP expects to run at Go Live SPP will overwrite meter settlement data for the four Operating days Dec 6, 7, 8, and 9 with RTBM setpoint instructions Alan Adams

Look-Ahead: Nov 25 – Dec 1 29 Parallel Ops Calendar Parallel Ops Calendar on spp.org spp.org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Settlements details on the Settlements CalendarSettlements Calendar marketplace.spp.org > Public > Settlements > Calendars Dec 9: IDT Prep Call 3P Dec 10: IDT Call 12:30 – 4:30P Dec 11: Scenario 31 BDR Scenario 13 DDR IDT Debrief and Prep Call 3P Dec 12: IDT Call 5:30A – 10:30A Dec 13: Parallel Ops/Go Live Checkpoint & IDT Debrief 9A IDT Sunday Dec 15 Prep Call Non-Functional Scenario 10:00P – 12:00A Dec 15: IDT Call 11:30A – 5:30P Ginny Watson

Scenario 31 BDR w/ Settlements 30 *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 Verify functionality specific to BDRs MP Activities Verify that BDRs have valid offer data for all products Ensure all required real-time measurements are defined and being submitted to SPP via ICCP Submit hourly DRL forecasts when required for BDR resources Verify that Dispatch Instructions are received via XML the same as other Resources Submit meter data for time that BDR is dispatched Alan Adams

Scenario 13 DDR w/ Settlements 31 *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 Verify functionality specific to DDRs MP Activities Verify that DDRs have valid offer data for all products Offers should be such that DDR will clear and be dispatched Ensure that all required real-time measurements are defined and being submitted via ICCP Submit hourly DRL forecasts when required for BDR and Calculated DDR resources Verify that Dispatch Instructions are received via XML the same as other Resources Alan Adams

Non-Functional Testing 32 *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 SPP will simulate an outage at the Chenal facility for Reliability and Markets redundancy Non-Functional Test includes critical Tier 0 and Tier 1 components to demonstrate that those systems can be entirely supported and function independently in the back-up Operations Data Center in Maumelle Expected Result EMS is fully functioning with RTGEN for CBA ICCP is fully functioning and sending setpoint instructions Marketplace Portal User Interface and API is available for data entry and retrieval Web Services (RTO_SS) is available Markets system is fully functioning and solving RTBM for approximately one hour is available for sending and receiving communication Casey Cathey

Non-Functional Testing 33 MP Activities MPs should continue normal operations with no expected downtime. If any unexpected results occur, please submit a detailed RMS Ticket herehere Verify the following during Non-Funct Testing Dec 13 at 10P – Dec 14 at 12A CPT ICCP setpoint instructions are received XML notifications are received Marketplace Portal User Interfaces and API’s are available for data entry and retrieval Casey Cathey

Schedule Dec Dec 9: IDT Prep Call 3P Dec 10: IDT Call 12:30 – 4:30P (2 hr test begins at 1:30P) Dec 11: Scenario 31 BDR Scenario 13 DDR IDT Debrief and Prep Call 3P Dec 12: IDT Call 5:30A – 10:30A (3 hr test begins at 6:30A) Dec 13: Parallel Ops/Go Live Checkpoint & IDT Debrief 9A IDT Sunday Dec 15 Prep Call Non-Functional Scenario 10:00P – 12:00A Dec 15: IDT Call 11:30A – 5:30P (4 hr test begins at 12:30P) Ginny Watson

Schedule Dec Dec 16: Scenario 29 RSG webMirroring Disabled IDT Debrief and Prep Call 3P Dec 17: Scenario 11 EDR IDT Call 2:30A – 8:30A (4 hr test begins at 3:30A) Dec 18: CWG IDT Debrief and Prep Call 3P Dec 19: IDT Call 5:30A – 9:30A (2 hr test begins at 6:30A) Dec 20: Parallel Ops/Go Live Checkpoint & IDT Debrief 9A MP Readiness Cert Form Ginny Watson

Migration and Maintenance Report 36 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 Wendy Reynolds

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

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 #Component Synopsis Severity 852 Markets Systems During Model uploads, resources maybe removed or added into a model. When RTBM solves for the first interval with new resources, IE 00:05, an issue with RTGEN could occur since the new resource does not have a 'Next' and 'Past' breakpoints since there was no solution for the new resource in the past two solutions To correct this issue, SPP requests that when Caseid and Intervaltime (RTGENDATA_TIME) for 'Next' and 'Past' breakpoints are valid (NOT 'NA') and if a resource doesn't have valid 'Next' and 'Past' solutions information (NA), then MDB should set the 'Next' and 'Past' breakpoint info to 'Far' breakpoint solution information. Severity 2: High 844 Markets UI The Reserve Notification publish job takes up to two minutes to complete. This job is responsible for publishing XML notifications for Real-Time Cleared OR offers. Severity 2: High

Known Issues Log 39 Carrie Simpson Issue #Component Synopsis Severity 848 Markets UI The Markets UI is missing Resource Offer Mitigation displays for BDR and DRRs. When viewing the Parameters (Daily) and Parameters (Hourly) pages for BDRs and DRRs, the UI should present the user with options to submit for Day-Ahead (DA), Real-Time (RT) and Mitigation (MI), but the Mitigation displays are not available. Severity 3: Medium

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 40

Settlements Status The November ETSE release was moved into production 12/5/2013. –Included the following charge types: DaDRHrlyAmt, DaDRDistHrlyAmt, RtDR5minAmt, RtDRDistHrlyAmt –DaGFAAoAmt, DaGFAAoMnthlyAmt, DaGFAAoYrlyAmt, RtRnuMnthlyAmt, RtRnuYrlyAmt were also included but (as previously communicated) due to recent FERC changes the final version of these will be in the December release –The 12/1 initial and the 11/23 final are the first Operating Days processed using this new release 41 Brent Wilcox

Settlements Status The December release is due from Alstom today (12/6/2013). This release is what we will take into the code freeze (installed into production early January). 42 Brent Wilcox