Structured / Unstructured Market Trials Weekly Update – Friday Meeting October 25, 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 Preliminary Results Oct 21 – 25 (5 min) 9:00 – 9:05A Analysis Oct 14 – 18 (30 min) 9:05 – 9:35A Settlements (10 min) 9:35 – 9:45A Announcements & Outstanding Questions (10 min) 9:45 – 9:55A Look-Ahead Oct 28 – Nov 3 (20 min) 9:55 – 10:15A Updates (10 min) 10:15 – 10:25A Release Scorecard Migration Report Known Issues Log Questions (10 min) 10:25 – 10:35A 3

Preliminary Results from Oct Alan Adams Scheduled Scenarios 24 – Re-pricing Settlements ‘Scenario’ – DA Market Fails for OD Questions?

Analysis: Oct 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 14 – 18 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

Settlements Charge Type Scorecard The Settlements Charge Type Scorecard for the week of October 25 is posted.Settlements Charge Type Scorecard Includes Operating Days October 7 through October Tony Alexander

Settlements Charge Type Scorecard 7 Tony Alexander Charge Type% MPs Hit Scenario% MPs Hit DaEnergyHrlyAmt100%1‘Base’ Energy and Operating Reserve Settlement98% RtEnergy5MinAmt100%2Make-Whole Payment50% DaRegUpHrlyAmt100%3Regulation Non-Performance83% DaRegDnHrlyAmt100%4Contingency Reserve Deployment Failure96% DaSpinHrlyAmt100%5Day Ahead Non-Asset Energy46% DaSuppHrlyAmt100%6Real Time Non-Asset Energy61% RtRegUp5minAmt100%7‘Base’ Energy Import/Export98% RtRegDn5minAmt100%8 Energy Import/Export – Make Whole Payment Distribution57% RtSpin5minAmt100%9Real Time Regulation Adjustment100% RtSupp5minAmt100%10Out Of Merit Energy and Reserve100% DaRegUpDistHrlyAmt100%11‘Base’ Virtual Energy Transaction18% DaRegDnDistHrlyAmt100%12‘Base’ TCR Auction Settlements91% DaSpinDistHrlyAmt100%13TCR Auction Settlement - End of Month91% DaSuppDistHrlyAmt100%14‘Base’ TCR Settlement99% RtRegUpDistHrlyAmt100%15TCR Settlement - End of Month97% RtRegDnDistHrlyAmt100%16Miscellaneous39% RtSpinDistHrlyAmt100%17 RtSuppDistHrlyAmt100% RtRegAdj5minAmt100% DaOclDistHrlyAmt98% RtOclDistHrlyAmt100%

Settlements Charge Type Scorecard 8 Tony Alexander DaMwpCpAmt65% DaMwpDistHrlyAmt59% RtMwpDistHrlyAmt98% RtMwpCpAmt57% RtRegNonPerf5minAmt85% RtRegNonPerfDistHrlyAmt100% RtCRDeplFailAmt100% DaNEnergyHrlyAmt46% RtNEnergy5minAmt61% RtCRDeplFailDistHrlyAmt65% RtOom5minAmt100% DaVEnergyHrlyAmt25% RtVEnergy5minAmt25% DaVTxnFeeAoAmt28% ArrAucTxnDlyAmt91% ArrUpliftDlyAmt91% ArrPaybackMnthlyAmt91% RtRnuHrlyAmt45% TcrFundHrlyAmt99% TcrUpliftDlyAmt99% TcrPaybackMnthlyAmt97% TcrAucTxnDlyAmt99% MiscDlyAmt39%

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”. 9 Tony Alexander

Charge types not using stubbed data 10 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 MiscDlyAmt

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 11 Tony Alexander

Announcements & Outstanding Questions Settlements to clear Database on Nov 6 –BSS, Meter Data, and Settlement Results Database will not be cleared and will remain available to MPs –Meter Agents can continue to pull Meter Agent Reports for any OD up to 11-4 –SPP will clear the ETSE Database (Settlements Calculation Engine DB)  SPP will not be able to produce Finals or Resettlements for any of the ODs up to 11-4  Settlement will start up again with an Initial Settlement for OD to be posted on MPs can continue to bid/offer Nov 4-11 but there will be no Settlements behind any of these activities 12 Ginny Watson

Announcements & Outstanding Questions Participation in Credit Scenarios 3 &3A is strongly recommended –SPP expects every MP who will participate in the virtual market to participate –SPP does not intend on retesting due to MPs not participating –Market Participants (including Financial Only MPs) who do not participate on these Operating Days will appear ‘red’ in SPP’s Readiness Metric TRL- 01 DA Tags must still be entered during Parallel Ops (after Nov 3) –Real Time Tags are mirrored, Day Ahead Tags must be entered 13 Ginny Watson

Announcements & Outstanding Questions Parallel Ops - Mock Deployment Test >>, 9:30-10:30A –New date pending Please submit an RMS Ticket explaining what you liked on Friday calls and what suggestions you have for Parallel Operations’ weekly calls RMS Ticket 14 Ginny Watson

Wind Resource Offer Parameter PSA The Day Ahead and Real Time Econ Min and Emergency Min MWs for Wind Resources will be required to be 0 MWs with the installation of v1.7 of the Market Software today (10/25/2013). –Offers submitted with non-zero Econ/Emer Min MWs will be rejected once the v1.7 Market Software patch is installed. –Some wind resources were not registered with 0 MW minimum outputs. –SPP has overwritten the registration limit to 0 MWs in Prod, so that 0 MW Econ Min offers can be entered. Registration will close the loop on this change. Protocols Dispatchable Variable Energy Resources (1) The Minimum Emergency Capacity Operating Limit and Minimum Economic Operating Capacity Limit submitted as part of the Day-Ahead Market and/or RTBM Resource Offer must be submitted as zero MW. Otherwise, the Resource Offer will be rejected; 15 Jarrett Friddle

Holiday Proposal No SPP staff running DA Market or DA RUC on holidays listed below. Quality of solutions may be less than a normal supported day. Thanksgiving Day 11/28 DA Market and DA RUC: run studies on Wed 11/27 for Thurs 11/28, Fri 11/29 ID-RUC (COP True-UP): run at least every 4 hours RTBM: maintain as normal RTGEN/EMS: maintain as normal Christmas Eve 12/24 & Christmas Day 12/25 DA Market and DA RUC: run Mon 12/23 for Tues 12/24, Wed 12/25, Thurs 12/26 ID-RUC (COP True-Up): run at least every 4 hours RTBM: maintain as normal RTGEN/EMS: maintain as normal New Years Day 1/1 DA Market and DA RUC: run Tues 12/31 for Wed 1/01 and Tues 1/02 ID-RUC (COP True-Up): run at least every 4 hours RTBM: maintain as normal RTGEN/EMS: maintain as normal 16 Carrie Simpson

Integrated Marketplace Training: What’s Next? Special Resource Type Training Module 1 (DVERs, NDVERs, WGRs, and Quick-Start) –Thursday, October 31st, 9 – 11:30 a.m. –Monday, November 5th 2 – 4:30 p.m. Module 2 (BDRs, DDRs, EDRs, and Pseudo-Tied) –Thursday, November 7th, 2 - 4:30 p.m. –Monday, November 18th, 9 – 11:30 a.m. Register via the SPP Learning Center (LMS)SPP Learning Center (LMS) 17 Becky Gifford

Special Resource Types Module 1 Module 1 (DVERs, NDVERs, WGRs, and Quick-Start) This course examines the special requirements and procedures for Variable Energy Resources (VERs) and Quick-Start (QS) Qualified Resources related to: Registration and modeling Offer parameters Commitment, dispatch, and deployment 18 Becky Gifford

Special Resource Types Module 2 Module 2 (BDRs, DDRs, EDRs, and Pseudo-Tied) This course examines the special requirements and procedures for Demand Response Resources (DRRs), External Dynamic Resources (EDRs), and Pseudo-Tied Resources related to: Registration and modeling Offer parameters Commitment, dispatch, and deployment 19 Becky Gifford

Look-Ahead: Oct 28 – Nov 3 20 Oct 28 – Nov 3 Daily Calendar Oct 28 – Nov 3 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 3a No Violation of Credit Limit – participation expected by all MPs 3 Violate the Credit Limit – participation expected by all MPs 33A Ramp Reservation – Participation expected by MPs who will be settling settlement locations included on Tagged Interchange Transactions 33B Ramp Reservation - Participation expected by who will be settling settlement locations included on Tagged Interchange Transactions 35 Daylight Savings Time Official Operating Days 7 days / week Friday Maintenance & Saturday reserved for MP Testing Ginny Watson

3A Successfully Submit Virtual Bids and Offers Scenario Description MP successfully submits volume of virtual bids and/or offers whose exposure is determined to not exceed the MPs available credit limit Applies to the submission of virtual bids and offers only Expected Result MP should be able to verify their Virtual Bid/Virtual Offer was successfully submitted, successfully credit validated and that they were notified on the final result. MPs will be able to verify: Their successful submission request for a Virtual Bid and/or Virtual Offer The Virtual Bid and/or Virtual Offer submission will pass credit validation based on their available credit limit The resulting transaction notification 21 Alan Adams

3A Successfully Submit Virtual Bids and Offers Expected Result (continued) For Virtual Bids/Offers submitted as part of a batch upload: When a batch upload is submitted successfully, the MP should receive a notification that the transactions did pass credit approval and the amount they submitted was successful All transactions part of a batch upload must pass credit approval in order for the batch upload to be successful. If any transaction as part of a batch upload fails credit validation, the entire batch upload will fail MP Activities *Applicable to ALL MPs, including FINANCIAL ONLY MPs Volume and magnitude of virtual transactions are determined by MP given their credit limit and virtual reference prices on the PortalPortal Marketplaceportal.spp.org > Public > Markets > Day-Ahead Market > Virtual Reference Prices If you access from spp.org look for the MARKETPLACE PORTAL in the header Once the file is opened, the Virtual BID / Virtual OFFER reference prices by settlement location will appear as is MPs are to submit Virtual Bids and/or Virtual Offers and confirm notification that submission was approved 22 Alan Adams

3 Violate the Credit Limit Scenario Description MP submits volume of virtual bids and/or offers whose exposure is determined to exceed the MPs available credit limit Expected Result For those virtual bids/offers which exceed the available credit for the MP, a status of “Disapproved” is returned in the Markets UI with a reason why it was disapproved When a virtual transaction is disapproved due to credit resources, the MP should receive a notification that the transaction did not pass credit approval MP should receive confirmation that their bid/offer was received and that it was disapproved due to insufficient credit. For virtual bids/offers which are submitted as a batch upload and disapproved due to credit reasons, all transactions included in the batch will be disapproved Note – KIL #776: Virtual Bids or Offers rejected due to credit deficiency need to include the deficient dollar amount in the UI/API transaction log as well as the XML Notification (PostTransactionStateChangeSet) 23 Alan Adams

3 Violate the Credit Limit MP Activities *Applicable to ALL MPs, including FINANCIAL ONLY MPs Virtual references prices will be calculated by SPP and distributed via the Portal for all MP use. These Virtual Reference prices can be found on the PortalPortal Marketplaceportal.spp.org > Public > Markets > Day-Ahead Market > Virtual Reference Prices If you access from spp.org look for the MARKETPLACE PORTAL in the header Once the file is opened, the Virtual BID / Virtual OFFER reference prices by settlement location will appear as is MPs are assumed to have a reasonable Credit Limit In preparation for this scenario, SPP will reduce each MPs credit limit after the close of the Day-Ahead Market on OD , the day before the Scenario is to be executed This reduction is to ensure virtual submission will be rejected due to credit limit No RMS request will be necessary for credit limit reduction MPs will be notified by when the credit limit adjustment has been completed 24 Alan Adams

3 Violate the Credit Limit MP Activities - continued *Applicable to ALL MPs, including FINANCIAL ONLY MPs MPs will submit virtual transactions for the DA Market for OD to intentionally exceed available credit –Volume and magnitude of virtual transactions are insignificant. –All credit limits will be set to $0.00 Submitted offer/bid prices must be less than $1000/MW –Maximum virtual bids and/or virtual offers are limited to $ /MW –Submitting a bid or offer in excess of $1000/MW will result in an error related to the maximum dollar limit and not the credit limit violation error expected for this scenario MPs are to confirm notification that submission was rejected with explanation why On October 29 th after 12:00, each MP will have their credit limit returned to the original value prior to the credit limit reduction by SPP. No RMS request required. –MPs will be notified by that the credit limit adjustment has been completed 25 Alan Adams

33 Ramp Reservation Wed Oct 30, 9A – 10A: MP Q & A Register herehere Bridge: – Participant: (no webex) Thurs Oct 31, 9A – 11A: Open Bridge Line for Issues & Problem Resolution Register herehere Bridge: – Participant: (no webex) Nov 1, 9A – 11A: Open Bridge Line for Issues & Problem Resolution Register herehere Bridge: – Participant: (no webex) 26 Shari Brown

33 Ramp Reservation Scenario Description This Scenario will allow the MPs to use the new Ramp Reservation System (RRS). MPs reserve ramp under their “Purchasing and Selling Entity (PSE)” code. MPs may view Ramp Reservations created by their respective “PSE”. This scenario applies to MPs who will be settling settlement locations that are included on Tagged Interchange Transactions MPs that choose to reserve ramp in the Integrated Marketplace will be able to reserve ramp up to seven days prior to the Day Ahead market deadlines and again until one hour prior to the Real Time Operating Hour Please review the Ramp Reservation User Guide prior to the ScenarioRamp Reservation User Guide 27 Shari Brown

33 Ramp Reservation Expected Result MP will create a Ramp Reservation and see the result of the Reservation on the SPP Balancing Authority Ramp Availability. MP will also see the result of a tag created with an associated Reservation. The scenario will provide the MP the ability to see results when Ramp is available for the MP’s use and when Ramp is not available for the MP’s use Although an MP can enter a Ramp Reservation for large MWs, please use Ramp Reservations that would represent realistic TSR/Tagging Activity 28 Shari Brown

33A – Ramp Availability Scenario MP Activities – 33A Create a Reservation for period when Ramp is available for the MPs *Applicable to MPs who will be settling settlement locations included on Tagged Interchange Transactions Tested on OD Thurs MP will access the system to create a Ramp Reservation between 9A and 11A. Please do not enter a tag for this Scenario outside of the Scenario timeframe. MPs can choose to enter a DA tag or a Real Time Fixed tag –1. Log into WebTrans –2. Create a Ramp Reservation for the next OD –3. Click the “Check” Option to view Ramp availability –4. Click the “Commit” Option to complete the Ramp Reservation –5. View the “Ramp Availability” display to view results after the reservation is submitted and approved –6. Log into E-Tag –7. Create an e-tag for the period of the Ramp Reservation for less than the full amount of reserved ramp. –8. Submit tag –9. Upon approval of the tag: view results of remaining Ramp Reservation –10. Optional: create an additional tag for the period to use remaining reserved ramp. 29 Shari Brown

33B – Ramp Availability Scenario MP Activities – 33B Create a Reservation for period when Ramp is unavailable for the MPs *Applicable to MPs who will be settling settlement locations included on Tagged Interchange Transactions Tested on OD Fri 11-1 MP will access the system to create a Ramp Reservation between 9A and 11A. Please do not enter a tag for this Scenario outside of the Scenario timeframe. MPs can choose to enter a DA tag or a Real Time Fixed tag –1. Log into WebTrans –2. Create a Ramp Reservation for the next OD –3. Click the “Check” Option to view Ramp availability –4. Click the “Commit” Option to complete the Ramp Reservation –5. View the “denial” of Ramp Reservation 30 Shari Brown

35 Daylight Savings Time Scenario Description Twice a year Daylight Savings creates a “Short Day” that contains only 23 hours and a “Long Day” that contains 25 hours. SPP systems are designed to handle both situations. This scenario will test the “Long Day” on Nov 3, 2013 Expected Result MPs should be able to submit all required data There should be the option to submit 25 hours worth of data with a granularity of hourly (or less) for all submissions SPP shall accept 25 hours worth of data for all hourly (or less) submissions SPP shall process all 25 hours worth of data through its systems correctly SPP shall publish all results for the 25 hours correctly MPs should be able to query all results and correctly see all 25 hours worth of data from all SPP systems 31 Alan Adams

35 Daylight Savings Time MP Activities MPs should interact with all of the systems below if they will be utilizing them in the Integrated Marketplace Market User Interface and API (available 7 days prior to the operating day. For 11/3, MPs may begin submitting bids and offers on 10/27). Submit at least one Bid and Offer for each parameter that is an hourly for the hour prior, the duplicate hour (HE 0200) and the subsequent hour Market Notifications: Review all notifications where appropriate to ensure timestamps are correct Scheduling: Submit DA Market dispatchable and Up to TUC schedules prior to the close of the DA Market to ensure that schedules are created for the extra hour correctly Ramp Reservation System: Submit for Ramp for extra hour to ensure it is recognized by the system 32 Alan Adams

35 Daylight Savings Time MP Activities - continued Day Before Day Ahead will run on 11-1 for 11-3: Review results of study Day Ahead will run on 11-2 for 11-3: Review results of study RUC will run on 11-2 for 11-3: Review results of study RTBM: Review both XML dispatch instructions to ensure timestamps are correct RTGEN: Review ICCP timestamps to ensure they are correct Settlements: Settlement statements; Bilateral Settlements Schedules; Invoices Public Data: Virtual Reference Prices; Binding Constraints; DA LMP Prices by Bus, By Location; DA MCP; Market Clearing; RT LMP Prices by Bus, By Location; RT MCP; MTLF vs Actual; STLF vs Actual; Day Ahead Wind Forecast; Short Term Wind Forecast 33 Alan Adams

Release Scorecard 34 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

Migration and Maintenance Report 35 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

Known Issues Log 36 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 Nikki Eason / Shari Brown Issue #RMS ID #Component Synopsis Severity 781 Markets UI For JOUs registered under the Combined resource option, the Markets UI/API should validate the Quick Start Max Limit is less than or equal to the registered Max Limit. This differs from the validation used for non-JOUs which verifies the Quick Start Max is less than or equal to the Eco Max. Severity 3: Medium 783Markets UI VRLs that include resource names such as ramp rate violations are only being displayed in the UI and API for the Asset Owner of the resource. The UI and API should show the ramp rate violation but mask the resource name (display as UNOWNED) if it is not owned by the AO. Severity 3: Medium 784Markets UI The GetEnergyMitigatedParameterSet and GetEnergyMitigatedParameterSetByDay API calls always return null for Maximum Weekly Starts even when the Markets system has a different value for the resource. Severity 3: Medium 785 Ramp Reservation System In RRS there is an issue when changing multiple date ranges in a filter display Severity 3: Medium

Scheduled Scenarios 37 Oct 28 – Nov 3 3a No Violation of the Credit Limit 3 Violate the Credit Limit 33A & B Ramp Reservation 35 Daylight Savings Time Nov 4 – Nov 11 Note: No Settlements behind these days Ginny Watson

Market Trials Useful Resources SMT Hotline: 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 Tag Validation Criteria for MT Testing SMT Scenarios Folder SMT Scenarios Schedule Change Tracker spp.org > Integrated Marketplace > Marketplace Documents 38