Southwest Power Pool Transmission Congestion Rights TCR System Market Participant User Manual. Version 3.4 Last Updated: February 2015

Transcription

1 Southwest Power Pool Transmission Congestion Rights TCR System Market Participant User Manual Version 3.4 Last Updated: February 2015

2 Copyright Nexant, Inc. All rights reserved. Nexant, Inc. P a g e ii Version 3.4

3 Non-Disclosure Release Disclaimer: The intent of this Transmission Congestion Right (TCR) Market Participant User s Manual is to provide Market Participants and Asset Owners with an introduction to the Southwest Power Pool, Inc. (SPP) TCR system and its user interfaces. As such, this user manual is not intended to be a complete reference source of information about the SPP TCR system, or its interfaces, or any of its other component subsystems, nor is this user manual intended to provide any guidance with respect to nomination and bidding strategies in the SPP LTCR/ARR allocations and TCR auctions respectively. SPP provides the information contained herein as is and makes no warranties of any kind, expressed or implied, with respect to the accuracy, completeness, or usefulness of any information contained in this user manual. In no event shall SPP or its agents or suppliers be liable for any direct, indirect, incidental, punitive, special, or consequential damages of any kind whatsoever resulting from any user manual informational omissions or errors. Market Participants bear full responsibility for acquiring any and all information regarding participation in the SPP LTCR/ARR allocations and TCR auctions, and participate in them at their own risk. SPP reserves the right, at its sole discretion and without any obligation, to make improvements to, or correct any error or omissions in any portion of the LTCR/ARR and TCR Market Participant User s Manual. Nexant, Inc. P a g e iii Version 3.4

4 Revision History Version Description Revised by: Issued Date Effective Date 1.0 Initial Draft Nexant October 31, 2012 July 1, Initial Review TCR Team October 31, 2012 November 1, LTCR Update Nexant September 31, 2014 January 5, LTCR Update Nexant November 14, 2014 January 5, 2015 after review by SPP team 3.2 Update TCR Team December 11, 2014 January 19, Additional LTCR Nexant January 16, 2015 January 19, 2015 Updates after review by SPP team 3.4 Update TCR Team February 2, 2015 February 2, 2015 Nexant, Inc. P a g e iv Version 3.4

5 TABLE OF CONTENTS 1. Overview of this User Manual Introduction What is an ARR? What is a TCR? What is an LTCR? SPP TCR System Interfacing with SPP TCR System Who is this User s Manual for? SPP TCR System Overview Overview TCR System Components Long-term (LTCR) Allocation Time Line ARR Allocation Time Line TCR Auction Time Line SPP Portal Web Site Portal Navigation Accessing the SPP Portal TCR System Interface TCR System Basics Access to the TCR System TCR System Interfaces TCR System Web Pages Overview of the TCR Interface Functions of the TCR Interface LTCR Nomination Portfolio List and LTCR Nomination Editor Overview of the LTCR Nomination Portfolio List and LTCR Nomination Editor Available Nomination Portfolio Information on the LTCR Nomination Available Nomination Information on the LTCR Nomination Editor LTCR Nomination Portfolio List and LTCR Nomination Editor Functions View Data LTCR Nomination Editor Features Paging Mechanism Editor Actions Role Based Access Control within the LTCR Editor ARR Nomination MUI Editor Overview of the ARR Nomination Editor Available Nomination Information on the Nomination Editor ARR Nomination Editor Functions View Data ARR Nomination Editor Features Paging Mechanism Editor Actions Round 3 Nomination Editor Role Based Access Control within the ARR Editor Managing TCR Portfolios Overview of A TCR Portfolio Valid TCR Portfolio Managing Auction Portfolios on the Private TCR Interface View Existing Portfolios Create Auction Portfolios by File Upload Download Portfolios Nexant, Inc. P a g e v Version 3.4

6 9.3.4 Delete Portfolios Submit Portfolios to Auction Retract Portfolios from Auction Auction Portfolio Statuses Managing TCR Bids Overview of TCR Bids Valid TCR Bids Portfolio Editor Managing TCR Bids/Sell Offers/Self-converting ARRs with the Portfolio Editor View Existing Portfolios Add TCR Buy Bids Add TCR Sell Offers Add Self-converting ARRs Modify TCR Bids/TCR Sell Offers/Self-converting ARRs Delete TCR Bids/TCR Sell Offers/Self-converting ARRs Save TCR Bids in the Portfolio Role Based Access Control with TCR Bid Portfolios Trading in Secondary Market Overview of Secondary Market Accessing the Secondary Market Secondary Market Public posting display Posting a Secondary Market Trade Go to Offers Submit a Buy Offer Submit a Sell Offer Accepting a Secondary Market Trade Responding to a Buy Bid posting Responding to a Offer to Sell posting Secondary Market Trade Activity Flows Role Based Access Control within the TCR Secondary Market Public and Private Downloads Available Public Information on the TCR Download Interface Download and View General Data Download and view the Existing TCRs in XML or CSV formats Selecting a model to download Download and View Network Data Download and view Contingencies in XML or CSV formats Download and view Flowgates in XML or CSV formats Download and view Monitored Branches in XML or CSV formats Download and view Parallel Flows in XML or CSV formats Download and view Scheduled Outages in XML or CSV formats Download and View Market Data Download and view Sources and Sinks data in XML or CSV formats Download and view Base Loading TCRs data in XML or CSV formats Download and View Results (Allocation) Data Download and view Binding Constraints in XML or CSV formats Download and View Results (Auction) Data Download/view Auction Clearing Prices in XML or CSV formats Download and view Results for an auction in XML or CSV formats Download/view Auction Binding Constraints in XML or CSV formats Download and View Historical Nomination/Bid Information Download and view Historical Bid and Offers Data for an auction Download and view Historical Nomination Data for an allocation Available Private Information on the TCR Download Interface Nexant, Inc. P a g e vi Version 3.4

7 Private General Data Downloading and Viewing Download and view existing ARRs in XML or CSV formats Download and view existing TCRs in XML or CSV formats Private Long-term (LTCR) Allocation Market Data Downloading and Viewing Download and view Aggregated LTCRs in XML or CSV formats Download and view TCRs converted from LTCRs in XML or CSV formats Download and view LTCR Transmission Service Reservations in XML or CSV formats Private ARR Allocation Market Data Downloading and Viewing Download and view Aggregated ARRs in XML or CSV formats Download and view Transmission Service Reservations in XML or CSV formats Long-term (LTCR) Allocation Results Data Downloading and Viewing Download and view Long-term (LTCR) Allocation Results in XML or CSV formats ARR Allocation Results Data Downloading and Viewing Download and view ARR Allocation Results in XML or CSV formats TCR Auction Results Data Downloading and Viewing Download and view TCR Bids and Offers Results in XML or CSV formats Download and view Self-converted ARRs Message Board Overview of the Message board Public and Private Message Board Nexant, Inc. P a g e vii Version 3.4

8 ABBREVIATIONS AND ACRONYMS AO ARR CARR CMS CSV DB EMS GUI LTCR MOI MP MUI NITS OATT OASIS OTDF PAR PTDF PTP TCR XML Asset Owner Auction Revenue Right Candidate ARR Credit Management System Comma Separated Values Database Energy Management System Graphical User Interface Long-Term Congestion Right Market Operator Interface Market Participant Market User Interface Network Integration Transmission Service Open Access Transmission Tariff Open Access Same-Time Information System Outage Transfer Distribution Factor Phase Angle Regulator Power Transfer Distribution Factor Point to Point TCR Transmission Congestion Right Extensible Markup Language Nexant, Inc. P a g e viii Version 3.4

9 1. Overview of this User Manual TCR System Market Participant User Manual This Southwest Power Pool (SPP) TCR Market Participants User s Manual is organized in chapters, which cover the following topics: Introduction gives an overview of ARRs, TCRs, LTCRs, the SPP LTCR & ARR allocations and TCR auctions. SPP TCR System Overview gives an overview of SPP TCR system and its components SPP Portal Web Site gives an overview of how to access SPP portal LTCR Nomination Editor describes how to manage Candidate LTCR nominations via the Private TCR interface ARR Nomination Editor describes how to manage Candidate ARR nominations via the Private TCR interface Managing TCR Portfolios describes how to manage self-converting ARR and TCR auction portfolios via the Private TCR interface Managing TCR Bids describes how to manage self-converting ARR and TCR bids via the Private TCR interface Trading in Secondary Market describes how to trade TCRs on the secondary market via the Private TCR interface Public and Private Downloads of the TCR Interface describes the download reports available from the SPP portal TCR interface Message Board describes the functions of the message board and how to use it. The SPP Commercial Model calls for multiple Asset Owners to be represented by a single Market Participant. Access to the TCR System and ownership of LTCRs, ARRs and TCRs are in the name of Asset Owners. Hence, this user manual will refer to Asset Owners throughout the document, except when an explicit reference to a Market Participant is required. Nexant, Inc. P a g e 1 Version 3.4

10 2. Introduction 2.1 What is an ARR? An Auction Revenue Right (ARR) is a financial instrument that entitles an Asset Owner to a share of the revenues generated in the annual or monthly TCR Auctions. ARRs are initially allocated to Asset Owners based on firm historical usage of the transmission network. SPP will conduct studies annually and monthly to allocate ARRs based on nominations from transmission service reservations and grandfathered agreements. Thus, the Asset Owner can acquire an ARR from two sources: The Annual ARR Allocation Monthly ARR Allocation 2.2 What is a TCR? A Transmission Congestion Right (TCR) is a financial instrument that entitles the holder to receive compensation for or requires the holder to pay certain congestion related transmission charges that arise when the transmission system is congested and differences in LMPs result from the re-dispatch of resources out of economic merit order to relieve that congestion. A TCR is based on transmission congestion charges calculated in the day-ahead market. An Asset Owner can acquire a TCR from several sources: The Annual TCR Auction The Monthly TCR Auction The TCR Secondary Market A TCR is structured to hedge an Asset Owner for the uncertain cash flow resulting from congestion of the transmission system. TCRs do not apply to the real-time market. SPP will annually and on a monthly basis conduct a TCR auction to provide Asset Owners with the opportunity to purchase TCRs or to sell previously acquired TCRs. SPP will also facilitate a Secondary Market to support trading of TCRs. To buy and sell TCRs in a SPP auction or on the SPP TCR Secondary Market, an Asset Owner must meet SPP creditworthiness criteria. Nexant, Inc. P a g e 2 Version 3.4

11 2.3 What is an LTCR? A Long-Term Congestion Right (LTCR) is the right providing a full year obligation that carries over into perpetuity based on continuous qualification, in compliance with FERC Order 681. LTCRs are allocated to Asset Owners based on firm transmission service reservations and grandfathered agreements. After allocating LTCRs, each LTCR is directly converted to 14 resulting TCRs. SPP will conduct a study annually to allocate LTCRs. An Asset Owner can acquire an LTCR from the following source: The Annual Long-term (LTCR) Allocation 2.4 SPP TCR System The SPP TCR system is used to conduct Long-Term (LTCR) allocations, ARR allocations & TCR auctions and support TCR bilateral trading in the Secondary Market. An Asset Owner can use the TCR system to: Nominate MWs for each of their candidate LTCRs on the TCR System Market User Interface (MUI). Obtain information about the two LTCR nomination rounds (Round 1 and Round 2) including both the details and summaries for the most relevant indicators. Download and upload the candidate LTCR list for a round and set the nominated MW. View full description of his/her candidate LTCRs for the nomination process. Review the results of Long-Term (LTCR) allocations Nominate MWs for each of their candidate ARRs on the TCR System Market User Interface (MUI). Obtain information about the three ARR nomination rounds (Round 1, Round 2 and Round 3) including both the details and summaries for the most relevant indicators. Download and upload the candidate ARR list for a round and set the nominated MW. View full description of his/her candidate ARRs for a nomination process, including the maximum MW value associated with each ARR Entitlement. Review the results of ARR allocations Nexant, Inc. P a g e 3 Version 3.4

12 Submit TCR buy bids and sell offers into an annual or single/multi-round monthly TCR auction Participate in the TCR Secondary Market Review and download the applicable public and private data including allocation/auction results Review messages issued by the SPP TCR market operator 2.5 Interfacing with SPP TCR System Asset Owners access the SPP TCR system through a web-based interface termed the SPP portal. 2.6 Who is this User s Manual for? This User s Manual is intended for use by SPP LTCR, ARR and TCR Asset Owners to aid them in performing the following tasks: View and download the public existing TCRs View and download the public auction and allocation information such as network data, the contingency list, monitored lines/transformers, parallel flows, scheduled outages; source/sink definitions; public allocation/auction results View public messages View and download the existing LTCRs, ARRs and TCRs specific to that Asset Owner. View and download private information such as Asset Owner specific aggregated LTCRs, TCRs converted from LTCRs, transmission service reservations and LTCR nominations and allocation results. View and download private information such as Asset Owner specific aggregated ARRs, transmission service reservations, ARR nominations and allocation results. View and download private information such as Asset Owner specific TCR buy bids, sell offfers, and auction results View private messages Nexant, Inc. P a g e 4 Version 3.4

13 Manage, download and upload nomination information about PTP and NITS Candidate LTCRs. Manage, download and upload nomination information about PTP and NITS Candidate ARRs. Manage their auction bids and TCR portfolios, including upload and download of the auction related files Participate in the Secondary Market Nexant, Inc. P a g e 5 Version 3.4

14 3. SPP TCR System Overview 3.1 Overview The TCR System was designed to allow Asset Owners to participate in the SPP LTCR & ARR allocations, TCR auction and TCR Secondary Market. Asset Owners can use the web-based TCR system to nominate for LTCRs/ARRs, purchase, sell, or bilaterally trade TCRs. SPP conducts a Long-Term (LTCR) allocation, an annual ARR allocation/tcr auction process (for four months and three seasons) and monthly ARR allocation/ TCR auctions. The Long-Term (LTCR) allocation is conducted before the annual ARR allocation and consists of two rounds: a surrender/keep round and an incremental selection round. The LTCR process allocates rights for a 24-hour product for an effective period of one year. It allocates LTCRs on a 50% system capacity and directly converts the rights to TCRs. For each ARR allocation/tcr auction (annual or monthly) two separate runs are performed - one for the peak case and one for the off-peak case. Definitions of peak/off-peak classes and seasons can be found in the Integrated Marketplace protocols. ARRs acquired in an ARR allocation and TCRs acquired in a Long-Term (LTCR) allocation or TCR auction will be of the Obligation type only. ARRs acquired in an allocation or TCRs acquired in an auction will be PTP instruments available between any two settlement points, a node (bus) or combination of nodes (buses) designated by SPP (subject to a simultaneous feasibility test). The list of nodes and their aggregates include: Generation Nodes, Load Nodes, Hubs, Load Zones, Interfaces, Receipt Zones, Pseudo-generators, Pseudo-loads, Loop Flow (Parallel Flow) Nodes. All acquired TCRs can be reconfigured, meaning that a Market Participant can submit buy bids and sell offers in the same auction. 3.2 TCR System Components The TCR system has the following key components: TCR Interface. The TCR interface is a web-based market interface subsystem that will allow Nexant, Inc. P a g e 6 Version 3.4

15 Asset Owners to view public data, public allocation/auction results, and associated public announcements and messages. Asset Owners to view and download private data, private allocation/auction results and to view private messages. Asset Owners to manage and submit their Candidate LTCR nominations to a Long-Term (LTCR) allocation Asset Owners to manage and submit their Candidate ARR (CARR) nominations to an upcoming allocation Asset Owners to manage and submit their TCR bids to an upcoming auction Asset Owners to manage and Self-convert ARRs to an upcoming auction Asset Owners to participate in the Secondary Market to bilaterally trade their TCRs Market Operator Interface (MOI). The MOI subsystem is a web-based system through which SPP personnel will operate and manage the TCR System. This interface is not available to Asset Owners. TCR Database. The Database subsystem manages all access to both public and private data in the TCR System. All bid data submitted by Asset Owners are stored in this database. 3.3 Long-term (LTCR) Allocation Time Line SPP will initiate, direct and oversee the Long-Term (LTCR) allocations. A Long-Term (LTCR) allocation (comprising an annual allocation period with a 24-Hour time-of-use specification) will be performed at the beginning of each ARR/TCR planning year and prior to the ARR allocation process for the same annual cycle (the beginning of June in the current year till the end of May in the next year). For the multi-round Long-Term (LTCR) allocation process, the timeline incorporates the following steps: PSS/E files and other auxiliary files are posted when the market operator initiates the Long-Term (LTCR) allocation process. A defined time-period, wherein Asset Owners select to renew or decline previous year LTCRs for the first round of the Long-Term (LTCR) allocation process. Nexant, Inc. P a g e 7 Version 3.4

16 A defined time-period, wherein Asset Owners submit MW nominations for the Candidate LTCRs for the second round of the Long-Term (LTCR) allocation process to acquire incremental MW of the LTCRs. The SPP market operator conducts the allocation study (the second round Long- Term (LTCR) allocation). Results are posted at the conclusion of the Long-Term (LTCR) allocation run for that round. 3.4 ARR Allocation Time Line SPP will initiate, direct and oversee the ARR allocations. An annual allocation (comprising four independent monthly and three independent seasonal allocation periods for the peak and off-peak times-of-use for a total of fourteen cases) will be performed at the beginning of each ARR/TCR planning year and prior to the TCR auction process for the same time periods. In addition, monthly allocations (peak and off-peak) may have to be performed prior to the beginning of each month. For the multi-round annual and the single-round monthly allocation process, the timeline incorporates the following steps: PSS/E files and other auxiliary files are posted when the market operator initiates the allocation process A defined time-period, wherein Asset Owners submit MW nominations for the Candidate ARRs for a round of the annual allocation process. The SPP market operator conducts the allocation study (a round of a multi-round annual allocation). Results are posted at the conclusion of the allocation run. 3.5 TCR Auction Time Line SPP will initiate, direct and oversee the TCR auctions. An annual auction (comprising four independent monthly and three independent seasonal auction periods for peak and off-peak times of use for a total of fourteen cases) will be performed prior to the beginning of each planning year, following the ARR allocation. In addition, single/multiround monthly auctions (peak and off-peak) will be performed prior to the beginning of each month. For each annual or monthly auction, the timeline incorporates the following steps: Nexant, Inc. P a g e 8 Version 3.4

17 PSS/E files and other auxiliary files are posted when the market operator initiates the auction process. A bidding period is opened during which Asset Owners submit bids for the auction. The SPP market operator conducts the auction (a round of the single or multiround auction). Auction results are posted at the conclusion of the auction round. Nexant, Inc. P a g e 9 Version 3.4

18 4. SPP Portal Web Site Asset Owners interface with SPP TCR system, as well as the other SPP market systems such as Day-Ahead Market System and Settlements, via the SPP portal. The portal is accessed via the Internet, using the following web browsers: Microsoft Internet Explorer Version 9.0 and 10.0 Mozilla Firefox 20 or higher Google Chrome 25 or higher 4.1 Portal Navigation The SPP portal can be navigated by using drop-down menus available in the SPP portal system web pages, control tabs and buttons within these web pages, or through use of the Forward/Back controls of the web browser. 4.2 Accessing the SPP Portal The SPP portal is the single point of entry for Asset Owners to access the SPP market systems. For each Asset Owner an initial account is created by SPP for the Asset Owner s designated Local Security Administrator (LSA). The LSA is responsible for assigning additional user accounts for individuals of the Asset Owner s company. Each of these users is given a digital security certificate to import to their web browser. Each of these users is assigned roles for each market system (e.g., Day-Ahead market system, TCR and Settlements). Users and their assigned roles are managed by SPP and are stored in the SPP Authorization Database. Entering the following secured URL in the web browser, accesses the SPP portal: All Asset Owners that have digital security certificates can access the SPP portal. There is no separate login page to access the SPP portal. If a user does not have a security certificate, that user cannot access the SPP portal, and will receive a message indicating that the page cannot be displayed. Nexant, Inc. P a g e 10 Version 3.4

19 4.3 TCR System Interface TCR System Basics The TCR system is a web-based system that allows Asset Owners to participate in LTCR/ARR allocations, in TCR auctions, in the TCR Secondary Market, as well as view and download system data, allocation/auction results, and view associated messages Access to the TCR System On the SPP portal there will be a navigation tab to the TCR system. From here the users can access the various pages of the TCR system by clicking on different drop down menus. For the TCR system, an Asset Owner can be set up by the LSA with one of the two types of TCR user accounts, both of which provide access to the user s TCR system private pages: The submit role (READ_WRITE) allows full privilege to the Asset Owners to submit LTCR/ARR nominations, TCR bids and participate in the Secondary Market. The submit role (READ_WRITE) can access all the public and private web pages. The view role (READ_ONLY) that provides view-only access to the user s private and public pages. This account does not permit submission of nominations to LTCR/ARR allocations, submission of portfolios to the TCR auctions or to trade TCRs on the secondary market. A user (i.e. a human being) will be navigating through the TCR system as an Asset Owner. The digital certificate issued to the user permits the user to access the TCR system on behalf of one or more Asset Owners. When entering the TCR system, the user has to choose the Asset Owner that he/she wants to act on behalf of prior to the navigation within the TCR system TCR System Interfaces The SPP TCR system Interface has two functions: The public interface, which allows Asset Owners to download and view: General data, which consists of the list of TCRs for all Asset Owners. Nexant, Inc. P a g e 11 Version 3.4

20 Network data, which consists of the contingency list, flowgate definitions, monitored lines/transformers, parallel flows and scheduled outages. This data is available for each allocation/auction. Market data: o Allocation data, which consists of source/sink definitions. o Auction data, which consists of source/sink definitions and base loading TCRs. Market Results data: o Allocation data, which consists of the binding constraints. o Auction data, which includes the auction source/sink clearing prices, auction results and binding constraints. Historical data comprising CARR nominations and auction bid data. Public announcements/messages. The private interface, which allows each Asset Owner to access: LTCR Nomination Editor that permits Asset Owners to submit nominations to the Long-Term (LTCR) allocation. o View total LSE/Non-LSE MW amounts for the various types of entitlements. o Filter, download, upload or view PTP candidate LTCR data (if available) for a Long-Term (LTCR) allocation market and modify nominated MW values for those Candidate LTCRs. Additionally, the participant can view round cap, nomination and allocation summaries for LSE/Non-LSE types of entitlements for each round of the annual Long-Term (LTCR) allocation process. o Filter, download, upload or view Network candidate LTCR data (if available) for a Long-Term (LTCR) allocation market and modify nominated MW values for those candidate LTCRs. Additionally, the participant can view round cap, nomination and allocation summaries for LSE/Non-LSE types of entitlements for each round of the annual Long-Term (LTCR) allocation process. Nexant, Inc. P a g e 12 Version 3.4

21 o Filter or download the list of candidate LTCRs resulting from the nomination pertaining to the Long-Term (LTCR) allocation market and Asset Owner, along with allocation results for those candidates, after the allocation has been posted. ARR Nomination Editor that permits Asset Owners to submit nominations to annual or monthly allocations. o View total Peak and Off-Peak MW amounts for the various types of entitlements. o Filter, download, upload or view PTP candidate ARR data (if available) for an allocation market and modify nominated MW values for those Candidate ARRs. Additionally, the participant can view summaries for this type of entitlement for any round of the annual or monthly process. o Filter, download, upload or view Network candidate ARR data (if available) for an allocation market and modify nominated MW values for those candidate ARRs. Additionally, the participant can view summaries for this type of entitlement for any round of the annual or monthly process. o Filter or download the list of candidate ARRs resulting from the nomination pertaining to the allocation market and Asset Owner, along with allocation results for those candidates, after the allocation has been posted. TCR Bid/Offers page that permits Asset Owners to submit portfolios of buy bids/sell offers/self-converted ARRs to annual or monthly auctions. o Prepare and manage portfolios of buy bids/sell offers and selfconverted ARRs. o View the portfolios that have been submitted to auctions. o Upload and download bid portfolios. Secondary Market View, post and accept bilateral TCR trades. Private downloads o General data, which consists of the list of ARRs and TCRs owned by Asset Owners. Nexant, Inc. P a g e 13 Version 3.4

22 o Market data, which consists of the list of Aggregated LTCRs, TCRs converted from LTCRs, Transmission Service Reservations, Aggregated ARRs and Transmission Service Reservations owned by Asset Owners. o Private Allocation data, which consists of the results of the multi-round annual Long-Term (LTCR) allocation, annual or single round monthly ARR allocation calculations, including the nominated MW value. o Private Auction data, which consists of the results of the single round annual or single/multi-round monthly TCR auction, including the bid curve associated with each of the TCR buy bids/sell offers in the portfolios submitted to an auction. In addition, separate downloads are available for self-converted ARRs. Private messages sent via the Message Board. Nexant, Inc. P a g e 14 Version 3.4

23 4.4 TCR System Web Pages Figure 1 provides an overview of TCR system web pages available from SPP portal public and private TCR interfaces. Public TCR Interface Private TCR Interface Public Downloads LTCR Nominations General Download Existing TCRs Network Download Contingencies Download Flowgates Download Monitored lines and transformers Download Network model in bus/branch model Download Parallel flows Download Scheduled outages Market Download Source / sink data Download Base loading TCRs Results ARR Nominations View nomination summary information Download / edit PTP/NITS Candidate ARRs View Candidate ARR nominations/results TCR Bids / Offers / Self- converting ARRs Secondary Market View nomination summary information Download / edit PTP/NITS Candidate LTCRs View Candidate LTCR nominations/results Portfolio List View, create, delete portfolios; submit/retract portfolios to/from auctions Portfolio Editor View and edit bids in portfolio View, post, accept bilateral TCR trades Download Round source / sink auction clearing prices Download Round binding constraints Download Round ARR results Download Round TCR results Historical Download historical bid data Download historical nomination data Public Messages View public messages Private Downloads General Download Existing TCRs Download Existing ARRs Market Download Aggregated LTCRs, ARRs Download TCRs converted from LTCRs Download Trans. Service Reservations Results Download Round LTCR Allocation Results Download Round ARR Allocation Results Download Round Auction Bids / Offers Download Round Self converted - ARRs Private Messages View private messages Figure 1 TCR System Web Pages for the Public and Private TCR Interfaces Nexant, Inc. P a g e 15 Version 3.4

24 4.5 Overview of the TCR Interface There are two types of information available to the Asset Owners: Public information, which is general information available to any SPP Asset Owner, and Private Information which is confidential information pertinent to only that Asset Owner. 4.6 Functions of the TCR Interface The TCR interface has many features which are all accessible through the six dropdown menus shown in Figure 2. The six dropdown menu items are as follows: LTCR Nominations link to LTCR Nomination Editor pages ARR Nominations link to ARR Nomination Editor pages TCR Bids/Offers link to TCR Bid Portfolio List page Secondary Market link to TCR Secondary Market pages Downloads link to Public and Private Download page Messages link to Message Board Nexant, Inc. P a g e 16 Version 3.4

25 Figure 2 Functions of the TCR Interface Nexant, Inc. P a g e 17 Version 3.4

26 5. LTCR Nomination Portfolio List and LTCR Nomination Editor 5.1 Overview of the LTCR Nomination Portfolio List and LTCR Nomination Editor The LTCR Nomination Portfolio List and LTCR Nomination Editor are accessible only by those Asset Owners who are authorized to participate in the long-term (LTCR) Allocation market. The focus of this chapter is how to nominate, view, download, and upload candidate LTCRs as well as submit/retract the LTCR nomination portfolio to the credit management system via the LTCR Nomination Market User Interface. 5.2 Available Nomination Portfolio Information on the LTCR Nomination For each period of a Long-Term (LTCR) allocation, there is only one LTCR nomination portfolio pre-created by the system. The users can: 1. View status of the LTCR nomination portfolio 2. Download the LTCR nomination portfolio 3. Submit the LTCR nomination portfolio to the specified period of the Long-Term (LTCR) allocation 4. Retract the LTCR nomination portfolio from being submitted to the specified period of the Long-Term (LTCR) allocation 5. View or download the reason that the LTCR nomination portfolio submission is disapproved by the CMS. 5.3 Available Nomination Information on the LTCR Nomination Editor The LTCR Nomination Editor is available to SPP Asset Owners and reflects data specific to that Asset Owner only. For each period of a Long-Term allocation market, users can: 1. Filter, download, view or upload Candidate LTCRs under the category PTP in CSV format. 2. Filter, download, view or upload Candidate LTCRs under the category NITS in CSV format. 3. Modify the Nominated MW for Candidate LTCRs under the category PTP. 4. Modify the Nominated MW for Candidate LTCRs under the category NITS. 5. View or download the error messages from validations of Candidate LTCRs upload or modification of Candidate LTCR nominated MW Nexant, Inc. P a g e 18 Version 3.4

27 5.4 LTCR Nomination Portfolio List and LTCR Nomination Editor Functions LTCR Nominations is comprised of LTCR Nomination Portfolio List page and LTCR Nomination Editor page. The following steps should be used to access the LTCR Nomination Editor for a period of a Long-Term (LTCR) allocation. Step 1: On the LTCR Nomination Portfolio List Interface, select a Long-Term (LTCR) allocation market from the drop-down box underneath the heading Market. The drop-down box will contain a list of the Long-Term (LTCR) allocation markets. See Figure 3. Step 2: Select the round associated with the Long-Term (LTCR) allocation market from the drop-down box underneath the heading Round. The dropdown box will contain a list of applicable rounds for the Long-Term (LTCR) allocation market. See Figure 3. Note that Round 1 is available for all Long- Term (LTCR) allocation markets, except the first year where there are no LTCRs allocated in the previous year. Round 2 is available when the asset owner is eligible for the incremental LTCR nomination (determined by the system prior to the opening of the round 2). Figure 3 LTCR Nomination Portfolio List Interface Steps 1 3 Step 3: In order to see the information linked to the selected Long-Term (LTCR) allocation market and round, click the GO control button next to the Round drop-down box. See Figure 3. The effective start and end dates of the chosen Allocation Market are listed to the right of the selection boxes. Further to its right, the nomination window with the open and close dates is listed. Step 4: A system generated portfolio (containing Candidate LTCRs) will be displayed, once the user clicks the GO control button in the previous step. Only one portfolio is created for a round of the Long-Term (LTCR) allocation market. The auto-generated portfolio name follows the pattern of Nexant, Inc. P a g e 19 Version 3.4

28 [MPName]-LTCR_[PlanningAllocationYear]R[RoundID]. For example, a portfolio bearing the name ABCD-LTCR_ R2 is the portfolio for a Market Participant named ABCD. The portfolio is to be submitted to Round 2 of the Long-Term (LTCR) allocation for the planning year See Figure 4. Once a portfolio is created by the system, it undergoes the following transitions of status : New: Portfolio of Candidate LTCRs has been created, but nominations have not been made or validated. Valid (Not submitted): Candidate LTCRs nominations have been made and they are in compliance with nomination caps. The portfolio has not yet been submitted to the Long-Term (LTCR) allocation. Invalid: Candidate LTCRs nominations have been made but they are not in compliance with nomination caps. The portfolio cannot be submitted to the Long-Term (LTCR) allocation. Pending Credit Check: A valid portfolio has been submitted and is being evaluated for credit by the Credit Management System. Pending Retraction: A request to retract the portfolio from being submitted to the market is being evaluated by the Credit Management System. Rejected: A valid portfolio submission was rejected by the Credit Management System for insufficient credit. Approved: A valid portfolio submission was approved by the Credit Management System. Figure 4 LTCR Nomination Portfolio List Step 4 Nexant, Inc. P a g e 20 Version 3.4

29 The CSV link under the Download column allows the market participant to download the portfolio of Candidate LTCRs for this round of the Long-Term (LTCR) allocation market. A sample file is shown in Figure 12. When the LTCR portfolio advances from New to Valid (Not Submitted) status, as shown in Figure 5, the system will reveal the Submit button under the Submit column if the Nomination Window is open. The Retract column will continue to be blank. Note that the candidate LTCRs can be saved before the nomination window is open. However, the portfolio cannot be submitted to the Long-Term (LTCR) allocation until the nomination window is open. Figure 5 LTCR Nomination Portfolio with Valid (Not Submitted) Status When the user clicks the Submit button, the Status changes to Pending Credit Check, the Submit button is disabled and the Retract column continues to be blank. While in this state, the Credit Management System performs a credit check for the portfolio submitted by the Asset Owner. If the Credit Management System rejects the portfolio, the status changes to Rejected, the Submit button is enabled and the msg link becomes available, as shown in Figure 6, for the user to download the reason why the portfolio is rejected. Nexant, Inc. P a g e 21 Version 3.4

30 Figure 6 LTCR Nomination Portfolio with Rejected Status On the other hand, if the Credit Management System approves the portfolio, the status changes to Approved, the Submit button disappears and the Retract button becomes available as shown in Figure 4. Clicking on the Retract button will retract the portfolio. During this process, the Status of the portfolio changes from Approved to Pending Retraction and all buttons are either disabled or not available. Once the Credit Management System approves the retraction, the status of the portfolio changes to Valid (Not Submitted), the submit button becomes available and the retract button disappears. After this step, the portfolio of LTCR nominations can be modified. Step 5: To navigate to the on line screens for the LTCR Nomination Editor, click the link associated with the portfolio name. The resulting screen will reflect the entitlement, previous year aggregated LTCR MW (available in Round 1) or renewal LTCR MW (available in Round 2) and Candidate LTCR data for the selected LTCR allocated market and round. See Figure 7. Nexant, Inc. P a g e 22 Version 3.4

31 Figure 7 LTCR Nomination > LTCR Editor Step 5 The Summary Panel is a matrix of round specific MW quantities (columns of this matrix) for the various types of entitlements (rows of this matrix). The columns of this matrix are: Round Cap: Round Nomination: Nomination Cap for the set of entitlements for the Asset Owner for this round of this Long- Term (LTCR) Allocation, per SPP Market Protocols. MW nominated by the Asset Owner in this round of the Long-Term (LTCR) Allocation market. Nexant, Inc. P a g e 23 Version 3.4

32 Round Allocation: The allocated MW corresponding to the Candidate LTCR nominations for this round of the Long-Term (LTCR) Allocation market. The rows of this matrix are: PTP-LSE: NITS-LSE: PTP-Non-LSE: Point to Point (PTP) type of entitlement for the LSE category in this round of the Long-Term (LTCR) Allocation market. Network Integration Transmission Service (NITS) type of entitlement for the LSE category in this round of the Long-Term (LTCR) Allocation market. Point to Point (PTP) type of entitlement for the Non-LSE category in this round of the Long- Term (LTCR) Allocation market. The following tasks illustrate the functions and corresponding information available via the Nomination Interface View Data By selecting either the PTP or NITS tab, the display window will show the corresponding data showing all of the details for valid LTCRs of each type as shown in Figure 8. The columns of the display for the two tabs in Round 1 are: Status Current status of the Candidate LTCR. It bears the values of Valid or Error. The latter status indicates an invalid Candidate LTCR which will prohibit the entire portfolio from being submitted to the LTCR Allocation process. Candidate ID ID of the candidate LTCR belonging to the Asset Owner. This is automatically generated by the system. Entitlement MW The MW associated with the Entitlement. Previous Year LTCR MW MWs from the previous year s aggregated LTCR which has the same path, service type and LSE flag as the current entitlement. Available MW MWs eligible for nomination in this round of the Long-term (LTCR) Allocation. Nexant, Inc. P a g e 24 Version 3.4

33 Nominated MW MWs nominated by the Asset Owner in this round of the LTCR Allocation. This column is automatically populated to be equal to the Available MW when the candidate LTCRs are created by the system. The save button must be clicked even if the Nominated MW is not decremented/modified. This affirmative action triggers the system to validate the total nominated MW with the round cap and to advance the portfolios status from New to Valid (Not Submitted). Allocated MW MWs allocated for this Candidate LTCR after Round 1 is posted. Entitlement ID ID of the Entitlement belonging to the Asset Owner. Summary ID Summary ID of the Transmission Service Reservation as available in the Private Transmission Service Reservation Download. Asset Owner Name of the Asset Owner associated with the Candidate LTCR record. Source Name of the source associated with the Candidate LTCR record. Sink Name of the sink associated with the Candidate LTCR record. LSE/Non-LSE LSE/Non-LSE designation associated with the Candidate LTCR record. The columns of the display for the two tabs in Round 2 are: Status Current status of the Candidate LTCR. It bears the values of Valid or Error. The latter status indicates an invalid Candidate LTCR which will prohibit the entire portfolio from being submitted to the Long-term (LTCR) Allocation process. Candidate ID ID of the candidate LTCR belonging to the Asset Owner. This is automatically generated by the system. Entitlement MW The MW associated with the Entitlement. Renewal LTCR MW MW allocated in Round 1 for this entitlement. Available MW MW eligible for nomination in this round of the Long-Term (LTCR) Allocation. For existing entitlements from the previous year, the available MW is equal to Entitlement MW minus Round 1 renewed LTCR MW, while for all other entitlements, it is equal to the entitlement MW. Nexant, Inc. P a g e 25 Version 3.4

34 Nominated MW MWs nominated by the Asset Owner in this round of the Long-term (LTCR) Allocation. The values in this column are set to zero, when the candidate LTCRs are created by the system and the portfolio is in the New state. The user must nominate and save (i.e. at least one Candidate LTCR with nominated MW greater than zero) for the portfolio status to advance from New to Valid (Not Submitted). Allocated MW MWs allocated for this Candidate LTCR after Round 2 is posted. Entitlement ID ID of the Entitlement belonging to the Asset Owner. Summary ID Summary ID of the Transmission Service Reservation as available in the Private Transmission Service Reservation Download. Asset Owner Name of the Asset Owner associated with the Candidate LTCR record. Source Name of the source associated with the Candidate LTCR record. Sink Name of the sink associated with the Candidate LTCR record. LSE/Non-LSE LSE/Non-LSE designation associated with the Candidate LTCR record. Nexant, Inc. P a g e 26 Version 3.4

35 Figure 8 PTP or NITS tab display Nexant, Inc. P a g e 27 Version 3.4

36 6. LTCR Nomination Editor Features The displays in the LTCR Nomination Editor are contained in scrollable windows. If all the data is not visible, the scroll bars of the browser must be used to view it. In total, there are two displays PTP and NITS. These two displays can be accessed by clicking on the tab corresponding to that display. If the display is currently being shown, its tab will be highlighted in white as shown in Figure 9 where the NITS tab is highlighted. Figure 9 NITS tab highlighted Nexant, Inc. P a g e 28 Version 3.4

37 6.1 Paging Mechanism The LTCR Nomination Editor has a feature of presenting the data in manageable sizes for the PTP or NITS Nomination tabs. When the user has a large amount of data, the system provides for a paging mechanism to present the data in blocks of 200 records. On each page, the Left Arrows (Previous) and Right Arrows (Next) allow the user to traverse the complete set of records. The Right Arrow causes the web page to refresh and bring up the succeeding block of records as shown in Figure 10. This arrow is disabled when the last block is reached. Similarly, the Left Arrow permits the user to navigate to the previous block of records as shown in Figure 11 and the arrow is disabled when the first block of records is reached. Figure 10 Right arrow on the LTCR Nomination Editor displays Nexant, Inc. P a g e 29 Version 3.4

38 Figure 11 Left arrow on the LTCR Nomination Editor displays 6.2 Editor Actions The LTCR Nomination Editor allows the user to carry out seven actions in Rounds 1 and 2 as shown in Figure 15: Upload This button allows the user to upload a csv formatted file of nominations to the LTCR nomination editor. A sample file containing LTCR nominations is shown below in Figure 12. This function is only available to the user with a submit (READ_WRITE) role prior to the end of the nomination window. Nexant, Inc. P a g e 30 Version 3.4

39 Figure 12 Round 2 Nomination File Typically, users download the nomination file from the nomination editor, update the Nominated MW values and upload the file to register the nominations in the system. During the upload process, the system uses the Candidate ID to determine the LTCR being modified and updates the system database with the nominated MW in the file. See Figure 13. Figure 13 Pop-up window during upload of Round 1 and 2 Nomination File Validation of the nominations is conducted during the upload and error messages are available as a download report by clicking the Download Error Report button on the upload confirmation window as shown in Figure 14. When all nominations in the upload file pass the data validations, they will be saved and reflected on the LTCR nomination editor. When at least one nomination in the upload file fails the data validations or the total nominated MW exceeds the global round cap, all LTCR nominations in the upload file are NOT saved. Nexant, Inc. P a g e 31 Version 3.4

40 Figure 14 Error message for failed LTCR nomination upload Save This button instructs the system to save the nominations on the nomination editor. This function is only available to the user with a submit (READ_WRITE) role prior to the end of the nomination window. Validation of the nominations is conducted during the save operation and errors are immediately reported to the user on the screen. Download This button permits the user to download the set of nominations from the nomination editor. The content of the download file is the same as that of the upload file shown in Figure 12. Download Message This button downloads the error messages discovered during the save operation. Note that the errors upon upload are not available in the report downloaded from this button. Back This button navigates back to the LTCR Portfolio Nomination List where the LTCR portfolio can be submitted. Data Filtering and Sorting Data in most columns on the editor can be filtered or sorted by using filtering/sorting feature available on the column header as shown in Figure 15. Data Refreshing The editor page can be refreshed by using refresh icon on the bottom of the editor as shown in Figure 15. Nexant, Inc. P a g e 32 Version 3.4

41 Figure 15 Action Icons on the LTCR Nomination Editor displays 6.3 Role Based Access Control within the LTCR Editor Depending on information contained in the digital security certificate, a user is designated to possessing either a submit (READ_WRITE) or a view (READ_ONLY) role. Functionally the submit and view roles are equivalent, except that a view role (READ_ONLY) is not afforded the opportunity to nominate MW for candidate LTCRs in a Long-Term (LTCR) Allocation. Submit Role (READ_WRITE) Access A user with submit role is allowed to perform the following tasks as seen in Figure 15. Nexant, Inc. P a g e 33 Version 3.4

42 1. View the Candidate LTCRs associated with the Asset Owner 2. Nominate MW for each of the Candidate LTCRs 3. Calculate if the nominated MW amounts meet the round caps, using the Refresh icon. 4. Save nominations to a Long-Term (LTCR) Allocation, using the Save icon. 5. Submit the portfolio of LTCR Nominations to a Long-Term (LTCR) Allocation, using the Submit button on the LTCR Portfolios page. View Role (READ_ONLY) Access In contrast, a user with a View role is presented with the LTCR Editor as seen in Figure 16. From this page the user with view role can perform only view the Candidate ARRs associated with the Asset Owner. Figure 16 LTCR Nomination Editor for a User with View Role The view role differs from the submit role in that the user is not afforded the opportunity to save LTCR nominations to the allocation, as evidenced by the absence of the Save Nexant, Inc. P a g e 34 Version 3.4

43 icon in the LTCR Nomination Editor. In addition, the Submit button on the LTCR Portfolios list page is also not available to a user with the View role. Nexant, Inc. P a g e 35 Version 3.4

44 7. ARR Nomination MUI Editor 7.1 Overview of the ARR Nomination Editor The ARR Nomination editor is accessible only by those Asset Owners who are authorized to participate in the ARR Allocation market. The focus of this chapter is how to view, download, and upload nomination information via the Nomination Market User Interface. 7.2 Available Nomination Information on the Nomination Editor On validation, the Nomination Editor is available to SPP Asset Owners more specifically to the Asset Owner that they represent. These interfaces are private to each Asset Owner and reflect data specific to that Asset Owner only. For each Allocation market and round, users can: 1. Filter, download, view or upload Candidate ARRs under the category PTP in CSV format. 2. Filter, download, view or upload Candidate ARRs under the category NITS in CSV format. 3. Modify the Nominated MW for Candidate ARRs under the category PTP. 4. Modify the Nominated MW for Candidate ARRs under the category NITS. 7.3 ARR Nomination Editor Functions The ARR Nomination Editor page first contains 3 drop-down boxes to select the Market, Period, and Round. From there, the user chooses from the two tabs, PTP and NITS, to select the type of Candidate ARRs. The information displayed in the two tabs will pertain to the allocation market selected in the drop-down boxes. The following steps should be used to change the allocation market currently selected. Step 1: In the ARR Nomination Editor Interface, select an allocation market from the drop-down box underneath the heading Market. The drop-down box will contain a list of the most recent allocation markets created. See Figure 17. Step 2: Select the period associated with the allocation market from the dropdown box underneath the heading Period. The drop-down box will contain a list of applicable periods for the allocation market. See Figure 17. Step 3: The drop-down box underneath the heading Round will contain the rounds associated with the chosen allocation market and period. See Figure 17. Nexant, Inc. P a g e 36 Version 3.4

45 Step 4: In order to see the information linked to the selected allocation market, period and round, click the GO control button next to the Round drop-down box. The User Interface will reflect the entitlement and Candidate ARR data for the selected allocated market, period and round. See Figure 17. The effective start and end dates of the chosen Allocation Market are listed to the right of the selection boxes. Further to its right, the nomination window with the open and close dates is listed. The Summary Panel is a matrix of round specific MW quantities (columns of this matrix) for the various types of entitlements (rows of this matrix). The columns of this matrix are: Round Cap: Round Nomination: Round Allocation: Nomination Cap for the set of entitlements for the Asset Owner for this ARR Allocation, per SPP Market Protocols. MW nominated by the Asset Owner in this round of the ARR Allocation market. The allocated MW corresponding to the Candidate ARR nominations for this round of the ARR Allocation market. The rows of this matrix are: NITS-OFF: PTP-OFF: NITS-ON: PTP-ON: Network Integration Transmission Service (NITS) type of entitlement for the off-peak time of use in this round of the ARR Allocation market. Point to Point (PTP) type of entitlement for the off-peak time of use in this round of the ARR Allocation market. Network Integration Transmission Service (NITS) type of entitlement for the on-peak time of use in this round of the ARR Allocation market. Point to Point (PTP) type of entitlement for the on-peak time of use in this round of the ARR Allocation market. Nexant, Inc. P a g e 37 Version 3.4

46 Figure 17 Nomination > ARR Nomination Editor Functions Step 1 Step 4 The following tasks illustrate the functions and corresponding information available via the Nomination Interface. Nexant, Inc. P a g e 38 Version 3.4

47 7.3.1 View Data By selecting either the PTP or NITS tab, the display window will show the corresponding data showing all of the details for valid ARR s of each type as shown in Figure 18. The columns of the display for the two tabs (in Rounds 1 and 2) are: Status Current status of the Candidate ARR. It bears the values of Valid or Error. The latter status indicates an invalid Candidate ARR which will not be submitted as a nomination to the ARR Allocation process. Entitlement MW The MW associated with the Entitlement. Candidate MW MWs eligible for nomination in this round of the ARR Allocation. Nominated MW MWs nominated by the Asset Owner in this round of the ARR Allocation. Allocated MW MWs allocated for this Candidate ARR after the simultaneous feasibility analysis was executed. Entitlement ID ID of the entitlement belonging to the Asset Owner. Typically two entitlements (peak and off-peak) are created for each transmission service reservation (24 hours) as entered on OASIS. Summary ID Summary ID of the transmission service reservation(s) as available in Private Market Download. Candidate ID ID of the candidate ARR. This is automatically generated by the system. Asset Owner Name of the Asset Owner associated with the Candidate ARR record. Source Name of the source associated with the Candidate ARR record. Sink Name of the sink associated with the Candidate ARR record. Class Time of use associated with the Candidate ARR record. The columns of the display for the two tabs (in Round 3) are: Candidate ID ID of the candidate ARR. This is automatically generated by the system. Nexant, Inc. P a g e 39 Version 3.4

48 Status Current status of the Candidate ARR. It bears the values of Valid or Error. The latter status indicates an invalid Candidate ARR which will not be submitted as a nomination to the ARR Allocation process. Nominated MW MWs nominated by the Asset Owner in this round of the ARR Allocation. Allocated MW MWs allocated for this Candidate ARR after the simultaneous feasibility analysis was executed. Source Name of the source associated with the Candidate ARR record. Sink Name of the sink associated with the Candidate ARR record. Class Time of use associated with the Candidate ARR record. Asset Owner Name of the Asset Owner associated with the Candidate ARR record. Description An optional description that can be entered by the Asset Owner with tags that are meaningful to the Asset Owner (e.g. ID in their own system, worksheet). Nexant, Inc. P a g e 40 Version 3.4

49 Figure 18 PTP or NITS tab display Nexant, Inc. P a g e 41 Version 3.4

50 8. ARR Nomination Editor Features The displays in the ARR Nomination Editor are contained in scrollable windows. If all the data is not visible, the scroll bars of the browser must be used to view it. In total, there are two displays PTP and NITS. These two displays can be accessed by clicking on the tab corresponding to that display. If the display is currently being shown, its tab will be highlighted in white as shown in Figure 19 where the PTP tab is highlighted. Nexant, Inc. P a g e 42 Version 3.4

51 Figure 19 PTP tab highlighted 8.1 Paging Mechanism The Nomination Editor has a feature of presenting the data in manageable sizes for the PTP or NITS Nomination tabs. When the user has a large amount of data, the system Nexant, Inc. P a g e 43 Version 3.4

52 provides for a paging mechanism to present the data in blocks of 200 records. On each page, the Left Arrows (Previous) and Right Arrows (Next) allow the user to traverse the complete set of records. The Right Arrow causes the web page to refresh and bring up the succeeding block of records as shown in Figure 20. This arrow is disabled when the last block is reached. Similarly, the Left Arrow permits the user to navigate to the previous block of records as shown in Figure 21 and the arrow is disabled when the first block of records is reached. Nexant, Inc. P a g e 44 Version 3.4

53 Figure 20 Right arrow on the Nomination Editor displays Nexant, Inc. P a g e 45 Version 3.4

54 Figure 21 Left arrow on the Nomination Editor displays Nexant, Inc. P a g e 46 Version 3.4

55 8.2 Editor Actions The Nomination Editor allows the user to carry out six actions in Rounds 1 and 2 as shown in Figure 25 : Upload This button allows the user to upload a csv formatted file of ARR nominations to the portfolio editor. A sample file containing ARR nominations is shown below in Figure 22. This function is only available to the user with a submit (READ_WRITE) role. Figure 22 Rounds 1 and 2 ARR Nomination File Typically, users download the nomination file from the nomination editor, update the Nominated MW values and upload the file to register the nominations in the system. During the upload process, the system uses the Candidate ID to determine the ARR being modified and updates the system database with the nominated MW in the file. See Figure 23. Figure 23 Pop-up window during upload of Round 1 and 2 Nomination File Validation of the nominations is conducted during the upload and error messages are available as a download report by clicking the Download Error Report button on the upload confirmation window as shown in Figure 24. When all nominations in the upload file pass the data validations, they will be saved and reflect on the nomination editor. When at least one nomination Nexant, Inc. P a g e 47 Version 3.4

56 in the upload file fails the data validations or the total nominated MW exceeds the global round cap, all nominations in the upload file are NOT saved. Figure 24 Error message for failed nomination upload Save This button instructs the system to save the nominations on the nomination editor. This function is only available to the user with a submit (READ_WRITE) role. Validation of the nominations is conducted during the save operation and errors are immediately reported to the user on the screen. Download This button permits the user to download the set of nominations from the nomination editor. The content of the download file is shown in Figure 22. Download Message This button downloads the error messages discovered during the save operation. Note that the errors upon upload are not available in the report downloaded from this button. Data Filtering and Sorting Data in most columns on the editor can be filtered or sorted by using filtering/sorting feature available on the column header as shown in Figure 25). Data Refreshing The editor page can be refreshed by using refresh icon on the bottom of the editor (see Figure 25). Nexant, Inc. P a g e 48 Version 3.4

57 Figure 25 Action Icons on the Nomination Editor displays 8.3 Round 3 Nomination Editor The Round 3 Nomination Editor differs significantly from the Round 1 & 2 nomination editor. In the Round 1& 2 editor, the user is presented with a list of Candidate ARRs that are derived from the entitlements belonging to the Asset Owner. These Candidate Nexant, Inc. P a g e 49 Version 3.4

58 ARRs inherit the characteristics (source, sink, time of use, period) of the entitlement and the user is only permitted to nominate from this entitlement subject to individual and global caps. In sharp contrast, the Round 3 editor is a free spirited editor that allows the user to create Candidate ARRs using sources and sinks (i.e. paths) of their own choice and nominating MW on them subject to global caps. The Round 3 Nomination Editor is shown in Figure 26. The data is presented in tabular form with the following information: Candidate ID A textbox that creates an ID for each of the nominations added and saved. This textbox cannot be edited. Status A textbox that displays the current status of the nomination. The statuses can take on two values Valid and Error. In case of invalid bids, the nomination row can be expanded by clicking the plus icon in the extreme left column. The expanded row will now display additional information about the status of the nomination. Nominated MW MWs nominated by the Asset Owner in this round of the ARR Allocation. Allocated MW MWs allocated for this Candidate ARR after the simultaneous feasibility analysis was executed. Source A text box to denote the name of the source for a Candidate ARR. The data can be entered by selecting the record, then selecting the desired source name under the folder Sources & Sinks in the right central panel and clicking the Set Source button. Sink A text box to denote the name of the sink for a Candidate ARR. The data can be entered by selecting the record, then selecting the desired sink name under the folder Sources & Sinks in the right central panel and clicking the Set Sink button. Class A list box to select either peak (ON) or off-peak (OFF) Asset Owner A text box to denote the name of the owner for a particular TCR. This data is automatically populated with the name of the Asset Owner for whom the bid portfolio is being created. o Description (optional) An optional short description that a market participant may wish to associate with the secondary market transaction. It can be used to store tags or IDs that market participants use within their own systems. Nexant, Inc. P a g e 50 Version 3.4

59 Figure 26 Round 3 Nomination Editor Immediately below the Upper Panel in the Nomination Editor, the user is presented with several functions on a widget bar as shown in Figure 27. Nexant, Inc. P a g e 51 Version 3.4

60 Figure 27 Round 3 Nomination Editor Functions The following functions are available on this widget bar: Add This button adds a single new nomination record to the nomination editor. This function is only available to the user with a submit (READ_WRITE) role. Remove - This button deletes the selected set of nomination records from the nomination editor. Note that multiple rows can be selected by holding down the Shift key. This function is only available to the user with a submit (READ_WRITE) role. Clear All - This button deletes all records from the nomination editor. This function is only available to the user with a submit (READ_WRITE) role. Upload - This button allows the user to upload a csv formatted file of nominations to the nomination editor. A sample file containing nominations is shown below in Figure 28. This function is only available to the user with a submit (READ_WRITE) role. Figure 28 Round 3 Nomination File for Upload Validation of the nominations is conducted during the upload process and error messages are available as a download report by clicking the Download Error Report button on the upload confirmation window as shown in Figure 24. When all nominations in the upload file pass the data validations, they will be saved and shown on the nomination editor. When at least one nomination in the upload file fails the data Nexant, Inc. P a g e 52 Version 3.4

61 validations or the total nominated MW exceeds the global round cap, all nominations in the upload file are NOT saved. Save - This button instructs the system to save the nomination records on the nomination editor. Validation of the nomination set is conducted during the save operation and errors are immediately reported to the user on the screen. This function is only available to the user with a submit (READ_WRITE) role. Download - This button permits the user to download a valid set of nominations from the nomination editor. The content of the download file is shown below in Figure 29. Figure 29 Downloaded Round 3 Nomination File Download Message - This button downloads the error messages discovered during the save operation. Note that the errors upon upload are not available in the report downloaded from this button. 8.4 Role Based Access Control within the ARR Editor Depending on information contained in the digital security certificate, a user is designated to possessing either a submit (READ_WRITE) or a view (READ_ONLY) role. Functionally the submit and view roles are equivalent, except that a view role (READ_ONLY) is not afforded the opportunity to nominate MW for candidate ARRs to an ARR Allocation. Submit Role (READ_WRITE) Access A user with submit role is allowed to perform the following tasks as seen in Figure View the Candidate ARRs associated with the Asset Owner 2. Nominate MW for each of the Candidate ARRs 3. Calculate if the nominated MW amounts meet the round caps, using the Refresh icon. 4. Save/Submit nominations to an ARR Allocation, using the Save icon. Nexant, Inc. P a g e 53 Version 3.4

62 View Role (READ_ONLY) Access The view role differs from the submit role in that the user is not afforded the opportunity to save ARR nominations to the allocation, as evidenced by the absence of the Save icon in the ARR Nomination Editor as seen in Figure 30. Figure 30 ARR Nomination Editor (Round 3) for a User with View Role Nexant, Inc. P a g e 54 Version 3.4

63 9. Managing TCR Portfolios 9.1 Overview of A TCR Portfolio One of the important functions of the TCR interface is to manage TCR portfolios. A TCR portfolio is an efficient and effective package to manage TCR bids and Selfconverted ARRs. Each valid TCR portfolio consists of a set of valid ARR/TCR bids PTP TCR buy bids/sell offers and Self-converted ARRs. All the sources and sinks specified in PTP TCRs are defined by SPP. 9.2 Valid TCR Portfolio A valid TCR portfolio should have a name and should have the following data fields: Bid ID: ID of the TCR Bid TCR ID: ID of the TCR being sold Asset Owner: The name of the Asset Owner who wants to buy or sell the PTP TCR Source: The name of the source for a PTP TCR buy bid/sell offer Sink: The name of the sink for a PTP TCR buy bid/sell offer OPT/OBL: HEDGE Type of the TCR Obligation (OBL) or Option (OPT) Class: Peak market (ON) or off-peak (OFF) time of use indicator Type: Buy bid (BUY) or sell offer (SELL) Period: Name of the period the portfolio is being submitted to. Bid Curve (MW, $/MW): From two to eleven bid curve bid points (one to 10 segments). Eleven is the maximum number of bid points, as specified by SPP. The curves are assumed to be piecewise linear. In addition, buy bid curves must be monotonically non-increasing with respect to MW. Sell offer bid curves must be monotonically non-decreasing with respect to MW. A sample buy bid curve is shown in Figure 31. A sample sell offer curve is shown in Figure 32. The user should note that the first MW breakpoint always begins at 0 MW and that the last MW break point specified implies the maximum MW amount requested to buy or offered for sale. Nexant, Inc. P a g e 55 Version 3.4

64 Offer Price ($/MW) Bid Price ($/MW) TCR System Market Participant User Manual MW Price ($/MW) 3000 Buy Bid Curve MW Figure 31 Sample Buy Bid Curve Sell Offer Curve 3000 MW Price ($/MW) MW Figure 32 Sample Sell Offer Curve Nexant, Inc. P a g e 56 Version 3.4

65 A sample buy bid portfolio text file in CSV format viewed in Excel is shown in Figure 33. A sample sell offer portfolio file in CSV format is shown in Figure 34. A sample selfconvert portfolio file in CSV format is presented in Figure 35. Figure 33 Buy Bid Portfolio in CSV Format Figure 34 Sell Offer Portfolio in CSV Format Nexant, Inc. P a g e 57 Version 3.4

66 Figure 35 Self-Convert Portfolio in CSV Format 9.3 Managing Auction Portfolios on the Private TCR Interface The Portfolio List web pages for submit and view roles of users are shown in Figure 36 and Figure 37, respectively. Nexant, Inc. P a g e 58 Version 3.4

67 Figure 36 Portfolio List Submit Role (READ_WRITE) Nexant, Inc. P a g e 59 Version 3.4

68 Figure 37 Portfolio List View Role (READ_ONLY) The following subsections describe the functions of managing portfolios on the TCR interface. If the functions are unique to the submit role (READ_WRITE) type of user, they will be pointed out explicitly View Existing Portfolios Select the TCR Bids/Offers tab. Select the desired Market, Period and Round using the drop down menus and then click Go. Click the portfolio s name, which is in the column Portfolio Name shown in Figure 36 and Figure 37. Then the web page Portfolio Editor will pop up to Nexant, Inc. P a g e 60 Version 3.4

69 display the detailed TCR bid information. The Portfolio Editor will be covered in detail later in next chapter Create Auction Portfolios by File Upload This function is only available to the user with a submit (READ_WRITE) role. Click the command button Add New to create an empty portfolio or to upload a CSV format portfolio file from the local computer. The user is presented with a pop-up window as shown in Figure 38. Figure 38 Create New Portfolio To create an empty portfolio, enter a valid Portfolio Name and click Create Portfolio (leaving the upload bid file blank). When a portfolio is created without an upload file, the confirmation window, as shown in Figure 39, will display zero number of records and a blank portfolio with status New will be created. When OK button is clicked, a blank portfolio will be loaded on a Portfolio Editor page. Nexant, Inc. P a g e 61 Version 3.4

70 Figure 39 Confirmation message for successful creation of a blank portfolio To upload a portfolio, enter a valid Portfolio Name, browse for the file and then click Create Portfolio. A sample CSV file is shown in Figure 33. A Portfolio Name is a required field when uploading a Portfolio. Without a name, the portfolio will be rejected when uploaded. The Portfolio Description is optional. The portfolio name of an asset owner for a specific Market Name, Period Name and Round must be unique. When a duplicate portfolio name is entered, an error message is prompt on the screen and Create Portfolio button is disabled. Upon upload, the data in the upload file will be validated. If there is at least one validation violation, the entire portfolio will be rejected and the portfolio will not be created. A pop-up window will prompt the TCR participant the number of records that pass the validation and the total number of records in the upload files. Download Error Report button will be available for the TCR participant to download details of all errors. A sample of the pop-up window is shown in Figure 40. Figure 40 Error message for failed Portfolio Creation When all bids in the upload file pass the validations, a portfolio containing bids in the upload file will be created and saved. A confirmation window, as shown in Nexant, Inc. P a g e 62 Version 3.4

71 Figure 41, will display the number of valid bids. When the OK button is clicked, the portfolio containing bids will be loaded on a Portfolio Editor page. Figure 41 Confirmation message for successful creation of a portfolio with bids Download Portfolios Select the CSV link in the Download Column in the page Portfolio List. The new file is saved in the CSV format with the same name as the portfolio. The format of the download file is the same as that of the upload file Delete Portfolios This function is only available to the user with a submit (READ_WRITE) role. Click the command button DELETE to delete the portfolio that is no longer required. The delete button is available for portfolio with status other than Approved. This means the deletion of a portfolio submitted to an auction is not allowed. The portfolio designated for deletion will disappear from the Portfolio List when yes button is clicked on the confirmation pop-up window Submit Portfolios to Auction This function is only available to the user with a submit (READ_WRITE) role. One or more portfolios can be submitted to an upcoming TCR auction only when auction bidding window is open as shown in Figure 42. After the bidding window is closed, portfolios cannot be submitted. Only portfolios having Valid (Not Submitted) status can be submitted to an auction. Asset Owners may submit more than one portfolio to an auction. Note: A given portfolio may contain only bids and/or offers Nexant, Inc. P a g e 63 Version 3.4

72 associated with that Asset Owner and cannot contain bids/offers of multiple Asset Owners associated with a Market Participant. Presently, SPP limits the number of an Asset Owner s bids/offers to 2,000, total, for each auction, period and time-of-use. The Self-converting ARRs do not count towards this bid/offer limit. Figure 42 Portfolio List Submit to Auction Button To submit a portfolio, click the Submit button as shown in Figure 42. The selected portfolio will be validated and submitted to SPP Credit System to evaluate if the market participant has enough credit to cover the submitted bids/offers. While the data and credit validation is performed, the status shown the portfolio list page for this portfolio is Pending Credit Approval. The data validations performed prior to credit validation include: Nexant, Inc. P a g e 64 Version 3.4

73 o Total number of submitted bids and offers must be within 2,000 per asset owner, market, period, round and TOU. o A TCR must be associated with only one sell offer submitted to the specific market, period and round. o An ARR must be associated with only one self-convert submitted to the specific market, period and round. o A TCR in the sell offer is not associated with a secondary market trade in pending for credit check status. When the credit approval is received from the Credit System, the status of the portfolio will be updated to Approve as shown in Figure 43, and the Retract button will become active for that particular portfolio. Figure 43 Portfolio List Retract Button When the credit disapproval is received from the Credit System, the status of the portfolio will be updated to Rejected and the Submit and Delete buttons become enabled. The portfolio can be edited or even re-submitted again. A pending credit approval or submitted portfolio cannot be deleted, as evidenced by the absence of the Delete button in Figure Retract Portfolios from Auction This function is also only available to a user with submit role. The portfolios can be retracted from an upcoming TCR auction only when auction bidding window is open. After this bidding window is closed, portfolios cannot be removed. A portfolio must have been submitted first, to be eligible to be removed. Nexant, Inc. P a g e 65 Version 3.4

74 For the selected portfolio click the Retract button in the table column Retract shown in Figure 43. The status of the portfolio will become Pending Retraction while the Credit System processes the credit adjustment for the portfolio retraction. Once an approval is received from the Credit System, the portfolio will be removed from being submitted to the auction and the Submit link will become active again as shown in Figure 44. Please note that this action does not remove the portfolio from the Portfolio List. Furthermore, the portfolio will stay targeted to that particular auction. Figure 44 Portfolio List After Retraction from an Auction Auction Portfolio Statuses The auction portfolio list page lists the portfolios along with their statuses. The following statuses are supported by the portfolio list page: New An empty portfolio without any bids/offers in it. Valid (Not Submitted) A portfolio with a valid set of bids/offers. The portfolio is not in a Submitted state with respect the auction. Error A portfolio with at least one invalid bid/offer/selfconvert in it. The ID of invalid bid/offer/self-convert shown on Portfolio Editor page is in red. Nexant, Inc. P a g e 66 Version 3.4

75 Pending Credit Approval A portfolio is being submitted to an auction and the Credit System is evaluating the market participant s required credit from submitted bids. Pending Retraction A portfolio is being retracted from being submitted to an auction and the Credit System is adjusting the credit corresponding to the bids in the portfolio. Approved A portfolio with a valid set of bids/offers that has passed the credit check. The portfolio is in a Submitted state with respect to the auction. Rejected A portfolio with a valid set of bids/offers that has not passed the credit check. The portfolio is not in a Submitted state with respect to the auction. The general flow of tasks in managing portfolios is shown in Figure 45. Nexant, Inc. P a g e 67 Version 3.4

76 Correct errors Invalid No Passed Validations? Yes Portfolio deleted Yes Enter the Bid portfolio Editor Create an empty portfolio New Enter new bids Modify existing bids Valid Delete Portfolio? Yes Approved Retract? Yes No Modify portfolio to pass credit checks? Yes No No Submit Portfolio? NO Disapproved No Passed Credit Checks? Submit portfolio to Auction Yes Figure 45 Managing Portfolios Nexant, Inc. P a g e 68 Version 3.4

77 10. Managing TCR Bids 10.1 Overview of TCR Bids The TCR auction supports the following type of TCR bid/offers: Point-to-Point TCR (PTP TCR) submitted by Asset Owners who wish to purchase or sell a PTP TCR in the auction from a valid source to a valid sink. A user can submit as many buy bids, as he or she desires, subject to possible SPP limitations. Similarly a user can submit as many sell offers as he or she desires, provided the user owns that TCR before selling, again, subject to possible SPP limitations 10.2 Valid TCR Bids A valid TCR bid consists of the following information: ID A field containing the ID for each of the Bids added and saved. This textbox cannot be edited. ARR ID ID number of the ARR for sell-converting ARRs (Applicable to Self- Converting tab only). TCR ID ID number of the TCR for sell offers (Applicable to Sell Offer tab only). Asset Owner The name of the Asset Owner who wishes to sell or buy the TCR or self-convert the ARR. Source The name of the source for a PTP TCR Sink The name of the sink for a PTP TCR Bid Curve The bid curve of the TCR which allows up to 11 bid points Class Peak (ON) or off-peak (OFF) case Nexant, Inc. P a g e 69 Version 3.4

78 10.3 Portfolio Editor The Auction Portfolio Editor is the location where Asset Owners manage their auction portfolios, as shown in Figure 46. Figure 46 Portfolio Editor TCR Buy Bids From the Portfolio Editor page, the user can navigate to the TCR Buy Bids tab as shown in Figure 46 as a default tab, TCR Sell Offers tab as shown in Figure 47 or the Self Converting ARRs tab as shown in Figure 48. Nexant, Inc. P a g e 70 Version 3.4

79 Figure 47 Portfolio Editor TCR Sell Offers Nexant, Inc. P a g e 71 Version 3.4

80 Figure 48 Portfolio Editor Self-converting ARRs The Portfolio Editor page contains four display panels: the upper panel, the left central panel, the right central panel, and the bottom panel. In each of the four panels contains tool box(s) provided for editing purpose. All of the panels and their associated tool box(s) are described as below. Upper Panel describes the global properties of the portfolio and contains the following tool boxes: Portfolio Name A text box to which to view or input the name of the portfolio currently being managed. Description A text box to view or input the description for the current portfolio Nexant, Inc. P a g e 72 Version 3.4

81 Select Another Portfolio A list box with all existing portfolios listed for selection Left Central Panel where the Asset Owner navigates to the TCR Buy Bids, TCR Sell Offers or the Self-converting ARRs Editor, a tabular form to edit required data fields for the bids and contains the following tool boxes: ID This is a numeric ID generated by the system when the bid is saved. This textbox cannot be edited. TCR ID (for TCR Sell Offers) A textbox that holds the TCR ID for each of the TCR being offered for sale. This textbox cannot be edited and is automatically entered when selecting the desired TCR from the Existing TCRs folder in the right central panel and then clicking the Set TCR button. This field is available under TCR Sell Offers tab only. ARR ID (for Self-Converting ARRs) A textbox that holds ARR ID for each of the ARRs being Self-converted. This textbox cannot be edited and is automatically entered when selecting the desired ARR from the Existing ARRs folder in the right central panel and then clicking the Set ARR button. This field is available under Self-Converting ARRs tab only. MW (for Self-converting ARRs) A text box to input the MW for Selfconversion. This field is automatically entered with zero when selecting and setting an ARR from the Existing ARRs folder in the right central panel. The user has to modify the value to be at least 0.1 and up to available MW of the existing ARR. Bid Curve (for TCR Buy Bids and Sell Offers) A pop up form to input the break points of the piecewise linear bid curve for the current TCR buy bid or sell offer being edited. Clicking the box in the column pops up a bid curve form shown as below in Figure 49. Nexant, Inc. P a g e 73 Version 3.4

82 Figure 49 Bid Curve Pop-up Window The left column and the right column of the bid curve table are the MW amount and the price in $/MW of the break point respectively. Note that the first breakpoint for a buy bid as well as a sell offer is always at 0 MW. Under the bid curve table there are four command buttons: ADD: Add another row in the bid curve table for a new bid curve bid point. DELETE: Delete the selected rows (bid curve bid points) from the bid curve table. SAVE: Save all entered bid curve bid points CANCEL: Cancel all actions since the last saving operation. The MW amount in the last bid point for a sell offer must be less than or equal to the available MW of the existing TCR. Source A text box to denote the name of the source for a PTP TCR. The data can be entered by selecting one or multiple records, then selecting the desired source name under the folder Sources & Sinks in the right central panel and clicking the Set Source button. Sink A text box to denote the name of the sink for a PTP TCR. The data can be entered by selecting one or multiple records, then selecting the desired sink name under the folder Sources & Sinks in the right central panel and clicking the Set Sink button. Class A list box to select either peak (ON) or off-peak (OFF) time-ofuse Nexant, Inc. P a g e 74 Version 3.4

83 Hedge Type (for Self-converting ARRs) A list box to select obligation (OBL) for a PTP TCR and is automatically entered when selecting and setting the ARR from the Existing ARRs folder in the right central panel. The Hedge Type field is available under Self-converting ARRs tab only. Asset Owner A text box to denote the name of the owner for a particular TCR. This data is automatically populated with the name of the Asset Owner for whom the bid portfolio is being created. Description An optional short description that a market participant may wish to associate with the bid. It can be used to store tags or IDs that market participants use within their own systems. Immediately below the Upper Panel in the Bid Portfolio Editor, the user is presented with several functions the following widget bar. The following functions are available on this widget bar: Figure 50 Bid Portfolio Editor Functions Add This button adds a single new bid record to the portfolio editor. It is available only when the portfolio is not in Approved status (submitted to an auction) and the associated auction bidding window is open. This function is only available to the user with a submit (READ_WRITE) role. Remove This button deletes the selected set of bid record from the portfolio editor. Note that multiple rows can be selected by holding down the Shift key. It is available only when the portfolio is not in Approved status (i.e. not submitted to an auction) and the associated auction bidding window is open. This function is only available to the user with a submit (READ_WRITE) role. Clear All - This button deletes all bid records from the portfolio editor. It is available only when the portfolio is not in Approved status (submitted to an auction) and the associated auction bidding window is open. This function is only available to the user with a submit (READ_WRITE) role. Nexant, Inc. P a g e 75 Version 3.4

84 Upload - This button allows the user to upload a csv formatted file of bids to the portfolio editor. A sample file containing buy bids is shown below in Figure 51. This function is only available to the user with a submit (READ_WRITE) role. Validation of the bid set is conducted during the upload and error messages are available as a download report by clicking the Download Error Report button. Figure 51 Bid Portfolio File for Upload If there is no validation error, bids without bid ID in the upload file will be added to the existing bids in the portfolio and bids with bid IDs in the upload file will be used to update the existing bids in the portfolio. All new and updated bids are automatically saved upon the upload process. The upload button is available only when the portfolio is not in Approved status (i.e. not submitted to an auction) and the associated auction bidding window is open. Save - This button instructs the system to save the bid records on the portfolio editor. Validation of the bid set is conducted during the save operation and errors are immediately reported to the user on the screen. It is available only when the portfolio is not in Approved status (submitted to an auction) and the associated auction bidding window is open. This function is only available to the user with a submit (READ_WRITE) role. Download - This button permits the user to download the particular bid portfolio from the portfolio editor. The content of the download file is shown below in Figure 52. The portfolio file downloaded from this page is the same as the portfolio file downloaded from the portfolio list page (described in section 9.3.3). The format of the download file is the same as that of the upload file. All bids in the download file have bid IDs. Nexant, Inc. P a g e 76 Version 3.4

85 Figure 52 Downloaded Bid Portfolio File Download Message - This button downloads the error messages discovered during the save operation. Back This button allows the user to navigate back to the bid portfolio list page of the latest selected auction and period. Right Central Panel a display tree that contains the following TCR information: Static Data Sources/Sinks The folder contains all valid names of PTP TCR sources and sinks that are applicable to the period and the auction. The sources/sinks list is available when TCR Buy Bids tab is selected. Existing TCRs The folder contains all TCRs owned by the asset owner applicable to the particular period. The existing TCRs list is available when TCR Sell Offers tab is selected. Existing ARRs The folder contains all aggregated ARRs owned by the asset owner applicable to the particular period. The existing ARRs list is available when Self-converting ARRs tab is selected Managing TCR Bids/Sell Offers/Self-converting ARRs with the Portfolio Editor Clicking on the TCR Buy Bids tab on the Portfolio Editor page brings up the TCR Editor panel. This panel is used to manage TCR auction bids. The following subsections give the description of those functions performed by TCR users in Portfolio Editor. Nexant, Inc. P a g e 77 Version 3.4

86 View Existing Portfolios From Portfolio Editor select one of the existing portfolios from Select Another Portfolio list box. Then all the bids in this selected portfolio will be loaded in the bid editor table Add TCR Buy Bids This function is only available to the user with a submit (READ_WRITE) role. Click ADD button in Portfolio Editor while TCR Buy Bids tab is open. A new row will appear in the bid table and ready to be edited. Fill all the necessary data fields according to different TCR types As mentioned in the previous section some fields (i.e. Asset Owner,Source, Sink) are inputted by setting the appropriate item under the appropriate folder (i.e. Asset Owner, Source/Sinks) from the right central panel. Click Save button to save new bids Add TCR Sell Offers This function is only available to the user with a submit (READ_WRITE) role. Click ADD button in Portfolio Editor while TCR Sell Offers tab is open. A new row will appear in the sell offer table and ready to be edited. Select this row for assignment of the TCR to be sold. From the right panel, select the TCR from the list of TCRs in Existing TCRs folders and click the Set TCR button to associate the TCR with the new row in the left panel. Modify the bid curve (MW, $/MW pairs). Note that the last MW breakpoint specified implies the maximum MW amount offered for sale. Please note that the user can get more information on an existing TCR by double-clicking on the individual TCR under the Existing TCR folders. The popup screen shows several attributes of the TCR as shown in Figure 53. Nexant, Inc. P a g e 78 Version 3.4

87 Add Self-converting ARRs Figure 53 Existing TCR This function is only available to the user with a submit (READ_WRITE) role. Click ADD button in Portfolio Editor while Self-converting ARRs tab is open. A new row will appear in the self-converting ARR table and ready to be edited. Select this row for assignment of the ARR to be self-converted. From the right panel, select the ARRR from the list of TCRs in Existing ARRs folders and click the Set ARR button to associate the ARR with the new row in the left panel. Modify the MW to be between 0.1 and the available MW of the ARR. Please note that the user can get more information on an existing ARR by double-clicking on the individual ARR under the Existing ARR folders. The popup screen shows several attributes of the ARR as shown in Figure 54. Nexant, Inc. P a g e 79 Version 3.4

88 Figure 54 Existing ARR Modify TCR Bids/TCR Sell Offers/Self-converting ARRs This function is only available to the user with a submit (READ_WRITE) role. Find the TCR bids/tcr sell offers/self-converting ARRs to be modified on the screen Modify the desired data fields using the same procedures described previously. Only ID and Asset Owner are not editable. Repeat the above two steps to modify the bids/offers/self-converts as many as you wish. Click SAVE button in the bottom panel if necessary to save the updated bids/offers/self-converts of the portfolio in the database Delete TCR Bids/TCR Sell Offers/Self-converting ARRs This function is only available to the user with a submit (READ_WRITE) role. Find the bids/offers/self-converts you wish to delete and highlight them Click the DELETE button in the bottom panel to delete those highlighted bids/offers/self-converts from the portfolio. Nexant, Inc. P a g e 80 Version 3.4

89 All bids, offers and self-converts in the portfolio can be deleted altogether by using Clear All button Save TCR Bids in the Portfolio This function is only available to the user with a submit (READ_WRITE) role. Click the SAVE button in the bottom panel. All the bids in the current portfolio are saved in the database Role Based Access Control with TCR Bid Portfolios Depending on information contained in the digital security certificate, a user is designated to possessing either a view role or a submit role. Functionally the view(read_only) and submit roles(read_write) are equivalent, except that a view role(read_only) is not afforded the opportunity to submit bid portfolios to an auction. Submit Role (READ_WRITE) Access A user with submit role is allowed to perform the following tasks: 1. Add new portfolios and then the display will be immediately switched to Portfolio Editor for TCR bid editing. 2. Upload portfolios 3. Download portfolios in XML or CSV formats 4. Submit portfolios to an auction (during the bidding windows for auctions) 5. Remove a portfolio from an auction (during the bidding windows for auctions) 6. Delete a portfolio Within the Bid Portfolio Editor, the user with submit role can perform the following tasks on the selected portfolio: 1. Add new PTP TCR buy bids, sell offers and Self-converts 2. Modify existing PTP TCR buy bids, sell offers and Self-converts 3. Delete existing PTP TCR buy bids, sell offers and Self-converts 4. Save the bids updated in the current portfolio. View Role (READ_ONLY) Access A user with view role can perform the following tasks: 1. View Portfolio List. Nexant, Inc. P a g e 81 Version 3.4

90 2. View the contents of an existing portfolio TCR System Market Participant User Manual The view role differs from the submit role in that the user is not afforded the opportunity to submit or remove a bid portfolio from an upcoming auction. By clicking on one of portfolios in the Portfolio list page, a user with view role automatically enters the Bid Portfolio Editor web-page display shown in Figure 55. Here the user is permitted to view the web pages but is not allowed to make any changes to the portfolio. Figure 55 Auction Portfolio Editor for a User with View Role Nexant, Inc. P a g e 82 Version 3.4

91 11. Trading in Secondary Market 11.1 Overview of Secondary Market The SPP TCR secondary trading market is a bilateral trading system that facilitates the trading of existing TCRs between Asset Owners using a bulletin board system, which is resident in the SPP TCR system. For TCR trades made through the bulletin board, SPP automatically transfers ownership and adjusts each Asset Owner s settlement statements accordingly. The Secondary Market allows trading of existing TCRs only. ARRs cannot be traded on the secondary market. A TCR as originally defined or a portion of the TCR can be traded, as long as the total MW amount of the TCR as well as the original TCR time spans are maintained. With these restrictions, trading in the secondary market has no impact on the simultaneous feasibility of the existing outstanding TCRs and no impact on the market-clearing prices in the TCR auctions. In particular, there is no need for SPP to perform simultaneous feasibility tests for trades in the Secondary Market. When a TCR is traded, the associated firm transmission capability is not reassigned, just the financial entitlements. The following steps are required to trade a TCR in the Secondary Market: An Asset Owner posts a buy bid or a sell offer. An Asset Owner accepts this posting and confirms the trade. The TCR System performs data validations such as a check to ensure that MW in the secondary market trade is within the available MW of TCR. The Credit System executes a credit check to ensure that the trade can be consummated. If the credit requirements are satisfied, the trade is accepted and comes into effect, while if the credit requirements are not satisfied, the trade is denied Accessing the Secondary Market Depending on information contained in the digital security certificate, a user is designated to either as a view (READ_ONLY) or a submit (READ_WRITE). Functionally the view and submit roles are equivalent, except that the view role does not have the opportunity to post a buy/sell offer or accept a trade. Nexant, Inc. P a g e 83 Version 3.4

92 The Secondary Market is a market system designed to facilitate the trading of TCRs by Asset Owners. It operates on a classified advertisement principle, where TCR buy bids and sell offers are posted for other asset owners to peruse. Upon viewing a posting that interests an Asset Owner, the Asset Owner communicates with the entity that posted the item and negotiates the terms of the TCR sale. The money is exchanged outside the purview of the TCR System and the transfer of ownership of the TCR is conducted through the TCR System. The Secondary Market can be accessed through the TCR interface. Figure 56 shows that one of the main menu tabs is labeled Secondary Market. By clicking this link, the user will be taken to the Secondary Market web page shown in Figure 56. Figure 56 The Secondary Market Nexant, Inc. P a g e 84 Version 3.4

93 11.3 Secondary Market Public posting display TCR System Market Participant User Manual The public posting display for the secondary market shown in Figure 56 contains three tabs: Buy/Sell Listing, Offer, and Response. Buy/Sell listing tab lists public TCR buy/sell offers which do not have specified responding AO, with the following information: ID the unique identifier of the transaction for the TCR buy/sell offer. Buy/Sell the flag indicating if the offer is a buy bid or sell offer. Initiating AO The name of the initiating Asset Owner buying AO for a buy bid listing and selling AO for a sell offer listing. Status Status of the TCR buy/sell offer: Posted The buy bid or sell offer of the TCR has been posted. Source The name of the source for a desired TCR buy bid or the posted PTP TCR sell offer Sink The name of the sink for a desired TCR buy bid or the posted PTP TCR sell offer MW The MW amount of the TCR. Start Date The effective starting date of the TCR End Date The effective expiration date of the TCR Class Peak (ON) or off-peak (OFF) for the TCR. Contact The name, address, phone number, address of the designated person regarding this transaction for the purchase or sale of the PTP TCR. It is assumed that this person is authorized to conduct this transaction on behalf of the Asset Owner. Description An optional short description that a market participant may wish to associate with the secondary market transaction. It can be used to store tags or IDs that market participants use within their own systems. Nexant, Inc. P a g e 85 Version 3.4

94 Offers tab editor for Asset Owners to initiate the purchase or sale of TCRs in the secondary market. This tab has two sub-tabs My Buy Offer and My Sell Offer each displaying a table containing the following information: ID The unique id of the transaction for purchase or sale of the TCR. Type States whether or not the offer is PUBLIC or PRIVATE. Responding AO The name of the counter party Asset Owner. The responding AO must be specified when type is PRIVATE. On the other hand, the responding AO must be blank when PUBLIC offer is posted. Status Status of the TCR buy/sell offer: Posted The buy bid or sell offer of the TCR has been posted. Pending AO Response Asset Owners are working on closing the transaction for the TCR Approved TCR exchange was approved. Disapproved TCR exchange was not approved as credit checks failed Error The offer request failed data validation. TCR ID The specific ID of the TCR for sale - applicable only to the My Sell Offer sub-tab Source - The name of the source of the TCR Sink The name of the sink of the TCR MW The MW amount of the TCR Start Date The effective starting date of the TCR End Date The effective expiration date of the TCR Class Peak (ON) or off-peak (OFF) for the TCR. Contact Information The name, address, phone number, address of the designated person regarding this transaction for the PTP TCR buy/sell offer. It is assumed that this person is authorized to conduct this transaction on behalf of the Asset Owner. The contact Nexant, Inc. P a g e 86 Version 3.4

95 information is required for Public posting and optional for Private posting. Description An optional short description that a market participant may wish to associate with the secondary market transaction. It can be used to store tags or IDs that market participants use within their own systems. Response tab - editor for Asset Owners to respond to buy or sell offers in the secondary market. This tab has two sub-tabs Respond to Buy Offer and Respond to Sell Offer each displaying a table the following containing the following information: Response ID - The specific ID of the Response. Request ID - The Specific ID of the Request. Type - States whether or not the offer is PUBLIC or PRIVATE. Initiating AO- The name of the Initiating Asset Owner TCR ID- The specific ID of the TCR being used to satisfy a buy request. This is applicable only in the Respond to Buy Offer. Status - Status of the response to the TCR buy/sell offer: Pending AO Response Asset Owners are working on closing the transaction for the TCR Approved TCR exchange was approved. Disapproved TCR exchange was not approved as credit checks failed Error The offer request failed data validation. Source- The name of the source of the TCR being traded Sink- The name of the sink of the TCR being traded MW- The MW amount of the TCR being traded Start Date- The effective starting date of the TCR being traded End Date - The effective expiration date of the TCR being traded Nexant, Inc. P a g e 87 Version 3.4

96 Class - ON (On-peak) or OFF (Off-peak) of the TCR being traded Contact - The name, address, phone number, address of the designated person regarding this transaction for the PTP TCR. It is assumed that this person is authorized to conduct this transaction on behalf of the Asset Owner. The contact for response is optional as it is not displayed in the initiating asset owner s offer page. Description An optional short description that a market participant may wish to associate with the secondary market transaction. It can be used to store tags or IDs that market participants use within their own systems Posting a Secondary Market Trade Asset Owners (Initiators) can post a buy bid or sell offer to the secondary market by the following steps: Go to Offers Click on Offer tab on the left hand side of the screen in between the Buy/Sell Listing, and the Response tabs shown in Figure 56. A Private Posting editor appears as shown in Figure 57. This display is divided into two tabs, a tab entitled My Buy Offers and another tab entitled My Sell Offers. Nexant, Inc. P a g e 88 Version 3.4

97 Figure 57 Posting Editor Submit a Buy Offer To post a new Buy offer, the user must click the Add command button found at the top of the My Buy Offers panel on the Posting display. Doing so will create a blank row (or record) in the My Buy Offer panel as shown in Figure 58. Nexant, Inc. P a g e 89 Version 3.4

98 Figure 58 Add new Buy Offer in My Buy Offer panel Data fields of My Buy Offer Panel include: ID The unique ID of the buy offer. This number is automatically generated by the system when the user posts the offer. Type Public or private type for the posted TCR. If the Private option is chosen, the offer will not be shown in the Public Posting page to Asset Owners other than the initiating and target Asset Owners. Responding AO The name of the responding asset owner for the TCR buy bid. This field is populated by selecting the desired Asset Owner (from the list of Asset Owners) in the right panel and clicking the Set AO button. Nexant, Inc. P a g e 90 Version 3.4

99 If a Public posting is being contemplated, this field will be filled after the other party has signaled its willingness to participate in this transaction. If a private posting is being contemplated, this field will be filled when the bid is being constructed (as the identity of the other Asset Owner is known). Status- The status of the TCR buy bid. Source The name of the source for the PTP TCR buy bid to be posted Sink The name of the sink for the PTP TCR buy bid to be posted MW The MW amount of the TCR buy bid to be posted. Start Date The effective starting date of the buy bid to be posted End Date - The effective expiration date of the buy bid to be posted Class ON (On-peak) or OFF (Off-peak) type of the buy bid to be posted Contact The contact information of the buyer. Description An optional short description that a market participant may wish to associate with the secondary market transaction. It can be used to store tags or IDs that market participants use within their own systems. The Asset Owners can then fill in the necessary information by setting Sources/Sinks data from the right hand panel data structures in the appropriate fields of the editor (using the Set AO, Set Source and Set Sink buttons), typing in desired MW; selecting Start Date and End Date from pop-up menus; and selecting Type and Class from drop-down menus. The Contact Information is required for a public buy offer. In order to fill in Contact Information, the user must click on the symbol in the Contact column, which displays a popup shown in Figure 59. The user must enter the relevant contact information (name, address, phone number & address) and click SAVE to save the information, or CANCEL to close without saving. The optional description field can also be filled. Nexant, Inc. P a g e 91 Version 3.4

100 Figure 59 Private Posting Editor with Contact Information popup Once the information has been entered, click on the SAVE button to post the buy bid in the market postings. The status field of the new private buy offer will be changed to Pending AO Response in the My Buy Offers panel as shown in Figure 60. The status field of the new public buy offer will be changed to Posted in the My Buy Offers panel as shown in Figure 61, after the buy bid has been posted. Nexant, Inc. P a g e 92 Version 3.4

101 Figure 60 Posting Private Buy Offer Nexant, Inc. P a g e 93 Version 3.4

102 Figure 61 Posting Public Buy Offer Submit a Sell Offer To post a new Sell offer, the user must click the Add command button found on the left of the My Sell Offers panel under the Offers Tab. Doing so will create a blank record in the My Sell Offer panel as shown in Figure 62. Nexant, Inc. P a g e 94 Version 3.4

103 Figure 62 Add new Sell Offer in My Sell Offer panel The Asset Owners can then set a TCR from the existing TCRs under the Existing TCRs data structure into the My Offer Details pane and fill in the remaining necessary information: MW The MW amount of the TCR, which may be less than or equal to the original TCR. Start Date The effective starting date of the TCR offer to be posted, which may be after the original start date and prior to the original end date. End Date The effective expiration date of the TCR offer to be posted, which may be prior to the original end date, but not after the original start date. The Contact Information is required for a public sell offer. In order to fill in Contact Information, the user must click on the symbol in the Contact column, which displays a popup shown in Figure 59. The user must enter the relevant contact information (name, address, phone number & address) and click SAVE to save the Nexant, Inc. P a g e 95 Version 3.4

104 information, or CANCEL to close without saving. The optional description field can also be filled. Once the information has been entered, click on the Save button to post the sell offer in the market postings as shown in Figure 63. The status field of this new sell offer will now change to Posted in the Buy/sell Listings tab as shown in Figure 64, after the sell offer has been posted. To see the update to the Public Posting display, the user must click the Public Posting tab at the top right corner of the display. Figure 65 shows the postings after the sell offer has been entered into the system. Figure 63 Private Posting Editor before Post (Sell Offer) Nexant, Inc. P a g e 96 Version 3.4

105 Figure 64 Private Posting Editor after sell offer has been posted Nexant, Inc. P a g e 97 Version 3.4

106 Figure 65 Public Postings with newly created sell offer Accepting a Secondary Market Trade An Asset Owner can either accept a PUBLIC bid to buy A TCR or to sell A TCR on the Secondary Market. If an Asset Owner accepts a bid to buy posting, that Asset Owner must match that bid with its TCR holdings. The matching holding must be of the same kind, i.e. PTP TCR, must have the required MW amount, must have compatible start and end dates, must be of the same class, and must be of the same type, i.e. OBL. Multiple TCR holdings are allowed to satisfy the MW requirements of the posted bid to buy Responding to a Buy Bid posting Nexant, Inc. P a g e 98 Version 3.4

107 Step 1: Selling Asset Owner clicks on a TCR they are willing to fulfill and clicks on the contact information. Step 2: Selling Asset Owner gets in touch with the buying Asset Owner and negotiates the terms of the sale. If buyer agrees to the sale, the user has to assign the seller to the TCR bid. To accomplish this, the buyer must go to the Private Posting site and select the offer from the My Offer Listings panel. Upon selection, the offer will appear in the My Offer Details panel. The buyer must assign the selling Asset Owner to the offer by setting the Asset Owner s name into the Responding AO field. See Figure 66. Figure 66 Assigning Selling MP to the Buy Bid Step 2 Step 3: Once the Selling MP has been assigned to the offer, the user (Buying Asset Owner) must click the Save button at the top of My Buy Offer panel. In Nexant, Inc. P a g e 99 Version 3.4

108 the My Offer Listings panel, the offer status changes from Posted to Pending AO response. See Figure 67. Figure 67 Buy Offer has been assigned to a Seller Step 3 Step 4: Selling Asset Owner must now confirm TCR purchase. To do this, the selling participant must sign into the system and go to the Private Postings display. The user must select the TCR posting from the Responses tab they wish to fulfill. See Figure 68. Step 5: The Asset Owner must select the TCR(s) required to fulfill the buy bid, ensuring that the total MW is equal to the amount necessary to fulfill the bid. The TCR may be selected from the folder Existing TCRs. See Figure 69. Nexant, Inc. P a g e 100 Version 3.4

109 Step 6: The selling Asset Owner must then click the RESPOND command button at the top of the Respond to Sell Offer panel. The bid buy status should change to Accepted or Declined depending on the results of the credit calculations. See Figure 70. Figure 68 Seller has selected the offer they wish to fulfill Step 4 Nexant, Inc. P a g e 101 Version 3.4

110 Figure 69 Seller selects TCRs to fulfill bid Step 5 Nexant, Inc. P a g e 102 Version 3.4

111 Figure 70 Seller has fulfilled buy bid Step 6 Checking the TCR assets of the Asset Owner who responded to the buy bid (i.e. sold one of its TCRs) indicates that three TCRs cover the remaining portion of the original TCR belonging to the Market. If the buying Asset Owner does not have the requisite credit to purchase the TCR, the offer will be Declined and an error message will be displayed describing the required credit to fulfill the purchase and the buyer s available credit. The seller will also be able to see that the offer was Declined but a more generic message, without the buyer s available credit information will be displayed when the seller clicks on the Declined link. Nexant, Inc. P a g e 103 Version 3.4

112 Figure 71 TCR for the time period 04/01/2014 to 04/30/ Responding to a Offer to Sell posting Step 1: Buying Asset Owner clicks on A TCR they are willing to purchase and clicks on the contact information. Step 2: Buying Asset Owner gets in touch with the selling Asset Owner and negotiates the terms of the sale. If seller agrees to the sale, the user has to assign the buyer to the TCR bid. To accomplish this, the seller must go to the Private Posting site and select his/her offer from the My Offers Tab. Upon selection, the offer will appear in the My Offer Details panel. The seller must assign the buying Asset Owner to the offer by (i) selecting the row in the left panel (ii) selecting the AO s name (from the list of AOs in the right panel) and (iii) clicking the Set AO button. See Figure 72. Nexant, Inc. P a g e 104 Version 3.4

113 Figure 72 Assigning Buying MP to the Sell Offer Step 2 Step 3: Once the Buying MP has been assigned to the offer, the user (Selling Asset Owner) must click the ACCEPT command button at the bottom right of the My Offer Details panel. In the My Offer Listings panel, the offer status will go from Posted to Waiting for Counterparty. See Figure 73. Step 4: Buying Asset Owner must now confirm TCR purchase. To do this, the buying participant must sign into the system and go to the Private Postings display. The user must select the TCR posting from My Offer Listings they wish to purchase. See Figure 75. Step 5: The buying Asset Owner must select the Asset Owner from the Asset Owner folder in the folder tree. To finalize the transaction the buying Asset Nexant, Inc. P a g e 105 Version 3.4

114 Owner must click the ACCEPT command button to finalize the transaction. See Figure 76. Step 6: Once the buyer has clicked ACCEPT the status of the sell offer will change to either Accepted or Declined. See Figure 74. If the buying Asset Owner does not have the requisite credit to purchase the TCR, the offer will be Declined and an error message will be displayed describing the required credit to fulfill the purchase and the buyer s available credit. The seller will also be able to see that the offer was Declined but a more generic message, without the buyer s available credit information will be displayed when the seller clicks on the Declined link. Figure 73 Offer changes status Step 3 Nexant, Inc. P a g e 106 Version 3.4

115 Figure 74 Offer status Accepted Nexant, Inc. P a g e 107 Version 3.4

116 Figure 75 Buying MP selects selling offer to fulfill Step 4 Nexant, Inc. P a g e 108 Version 3.4

117 Figure 76 Buying MP adds Asset Owner and Accepts Step 5 Nexant, Inc. P a g e 109 Version 3.4

118 Figure 77 Offer status changes once Transaction is complete Step 6 Checking the TCR assets of the Asset Owner who posted and sold the sell offer indicates that three TCRs cover the remaining portion of the original TCR belonging to the Asset Owner. Nexant, Inc. P a g e 110 Version 3.4

119 Figure 78 The Remaining TCR for time period 04/01/2014 to 04/30/ Secondary Market Trade Activity Flows The buy bid activity flow that covers a comprehensive TCR buy transaction, i.e., posting a TCR buy offer and responding to it, are shown in Figure 79 and Figure 80. The sell bid activity flow that covers a comprehensive TCR sell transaction, i.e., posting a TCR sell offer and responding to it, are shown in Figure 81 and Figure 82. Nexant, Inc. P a g e 111 Version 3.4

120 Buy Offer Activity Flow Posting Market Participant Responding Market Participant Click ADD NEW in My Offer Listing System responds by creating a blank data entry area in My Offer Details Fill in 1. Asset Owner 2. Source 3. Sink 4. MW amount 5. Start & End dates in My Offer Details Select 1. Start & End Dates 2. TOU 3. Hedge Type 4. FTR Type in My Offer Details Click COMMENT field Click CONTACT INFORMATION field in My Offer Details Fill in 1. Comment 2. Contact Information a. Name b. Address c. Phone d. in Pop-ups System responds by pop-ups Note: User needs to enter either Phone or E- mail fields Monitor the Secondary Market on Public Posting Click Post in My Offer Details 1. System adds the buy offer to My Offer Listings panel with status Posted 2. Public Posting includes the buy offer NEXT Figure 79 Buy Bid Activity Flow Nexant, Inc. P a g e 112 Version 3.4

121 Buy Offer Activity Flow Posting Market Participant Responding Market Participant Negotiate NEXT If interested on the buy offer on Public Posting, communicate with the poster 1. Interested parties communicate through the Contact Information media 2. Negotiate and deal Note: Payments are done directly between parties Select Private Posting Select the buy offer from My Offer Listing System responds by moving the offer to My Offer Details 1. Assign the selling MP to the offer by drag/drop its into Market Participant field 2. Click on ACCEPT in My Offer Details System responds by changing status from Posted to Waiting for Other 1. Select Private Posting 2. Choose the buy offer to be fulfilled from MY Offer Listings 1. Select a FTR that could fulfill the posted buy offer from either a. Awarded b. Allocated c. Secondary Market 2. Drag/drop the FTR on the buy offer in My Offer Listing 3. Match the MW amount 4. Click on ACCEPT System responds by changing status from Accepted or Declined Figure 80 Buy Bid Activity Flow Nexant, Inc. P a g e 113 Version 3.4

122 Sell Offer Activity Flow Posting Market Participant Responding Market Participant Click ADD NEW in My Offer Listing System responds by creating a blank data entry area in My Offer Details 1. Select the FTR to be sold from either a. Awarded b. Allocated c. Secondary Market 2. Drag/drop the FTR in the blank data entry area in My Offer Listing 3. Fill in the MW amount 4. Select Start & End dates in My Offer Details Click COMMENT field Click CONTACT INFORMATION field in My Offer Details Fill in 1. Comment 2. Contact Information a. Name b. Address c. Phone d. in Pop-ups System responds by pop-ups Note: User needs to enter either Phone or E- mail fields Monitor the Secondary Market on Public Posting Click Post in My Offer Details 1. System adds the sell offer to My Offer Listings panel with status Posted 2. Public Posting includes the sell offer NEXT Figure 81 Sell Offer Activity Flow Nexant, Inc. P a g e 114 Version 3.4

123 Sell Offer Activity Flow Posting Market Participant Responding Market Participant Negotiate NEXT 1. If interested in the sell offer in Public Posting, communicate with the posting MP 2. Negotiate 1. Interested parties communicate through the Contact Information media 2. Negotiate and deal Note: Payments are done directly between parties Select Private Posting Select the sell offer from My Offer Listing System responds by moving the offer to My Offer Details 1. Assign the buying MP to offer by drag/drop its into Market Participant field 2. Click on ACCEPT in My Offer Details System responds by changing status from Posted to Waiting for Other 1. Select Private Posting 2. Choose the sell offer to be fulfilled from MY Offer Listings 3. Drag/drop the Asset Owner on the buy bid in My Offer Listings 4. Click on ACCEPT System responds by changing status from Accepted or Declined Figure 82 Sell Offer Activity Flow Nexant, Inc. P a g e 115 Version 3.4

124 11.4 Role Based Access Control within the TCR Secondary Market Depending on information contained in the digital security certificate, an Asset Owner enters the TCR Secondary Market as either a submit role (READ_WRITE) or a view role (READ_ONLY). Submit Role (READ_WRITE) A user with submit role is allowed to perform the following tasks in the Secondary Market: 1. View Buy/Sell List postings 2. Post bids to buy 3. Post offers to sell 4. Accept posted bids to buy 5. Accept posted offers to sell View Role (READ_ONLY) A user with view role is only allowed to view Buy/Sell List postings in the Secondary Market. Also, the user may not post bids to buy, post offers to sell, accept posted bids to buy, or accept posted offers to sell. Nexant, Inc. P a g e 116 Version 3.4

125 12. Public and Private Downloads 12.1 Available Public Information on the TCR Download Interface The TCR Public download interface is available to all SPP Asset Owners and the same information is presented to all of them. At any time using the General Tab, users can: 1. Download and view general information such as Existing TCRs in CSV and XML formats Using the Network Tab, for each period of an ARR/Long-Term (LTCR) allocation or TCR auction, users can: 1. Download and view the contingency list in CSV and XML formats 2. Download and view Flowgate definitions in CSV and XML formats 3. Download and view Monitored Lines and Transformers list in CSV and XML formats. 4. Download and view Parallel Flows in CSV and XML formats 5. Download and view the Scheduled Outages in CSV and XML formats Using the Market Tab, prior to an ARR/Long-Term (LTCR) allocation, users can: 1. Download and view Source and sink definitions in CSV and XML formats Using the Market Tab, prior to a TCR auction, users can: 1. Download and view Baseloading TCRs in CSV and XML formats. 2. Download and view Source and sink definitions in CSV and XML formats Using the Results Tab, after the Long-term (LTCR) Allocation, each round of the annual/monthly ARR allocation has been run, users can: 1. Download and view Binding Constraints in CSV and XML formats Using the Results Tab, after a TCR auction round in the annual or monthly auction is completed, users can: 1. Download and view Auction clearing prices for sources/sinks in CSV and XML formats 2. Download and view Auction results (TCRs) in CSV and XML formats Nexant, Inc. P a g e 117 Version 3.4

126 3. Download and view Binding Constraints in CSV and XML formats Using the Historical Tab, users can: 1. Download and view all ARR Nominations submitted to an allocation in CSV and XML formats. 2. Download and view buy bids and sell offers submitted to an auction in CSV and XML formats. Recent allocation/auction markets may not be available for historical nomination/bid download (see SPP Market protocols for the time delay in making the historical nomination/bid data available for download after the market results are posted) Download and View General Data By clicking the General tab on Public TCR interface the users will enter the General Data download page shown in Figure 83. Data is generally available in CSV formatted files, which are easily read by software packages such as Microsoft EXCEL, or in XML formatted files. Details of the CSV formatted data files are described below and are viewed using Microsoft EXCEL. Details of the corresponding XML formatted files can be found in the document entitled: SPP TCR MUI XML Reference. Nexant, Inc. P a g e 118 Version 3.4

127 Figure 83 General Data Available from the Public TCR Interface Download and view the Existing TCRs in XML or CSV formats Check the box for XML and/or CSV formats and click the Download button to download the existing TCRs list in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample existing TCRs list in CSV format is shown in Figure 84. Nexant, Inc. P a g e 119 Version 3.4

128 Figure 84 Sample Existing TCR List in CSV Format The following information is available from this file: TCR_ID The unique ID of the TCR SegmentID The segment number of a profiled TCR. MarketParticipant Name of the Asset Owner who owns the PTP TCR Category Flag denoting the type of the TCR Point-to-Point (PTP) Source Name of the Source for the PTP TCR Nexant, Inc. P a g e 120 Version 3.4

129 Sink Name of the Sink for the PTP TCR StartDate The beginning date of the time period for which the TCR is considered valid. EndDate The end date of the time period for which the TCR is considered valid. HedgeType -- obligation (OBL) of the PTP TCR. Class Peak market (ON) or off-peak (OFF) time of use of the PTP TCR MW The MW value associated with the TCR Selecting a model to download In the remaining tabs (Network, Market, Results and Historical) of the Public Downloads, the user has to select both a particular Market Term (Long-term Allocation, Annual Allocation, Monthly Allocation, Annual Auction or Monthly Auction) from a drop down list and the specific Market name from the second drop down list. Where applicable, the user has to further select the market round. Each downloaded zip file will contain the relevant information for all periods associated with that market Download and View Network Data By clicking the Network tab on Public TCR interface the users will enter the Network Data download page shown in Figure 85. Nexant, Inc. P a g e 121 Version 3.4

130 Figure 85 Network Data on the Public TCR Interface Download and view Contingencies in XML or CSV formats Check the box associated with the Contingencies data category as shown in Figure 85 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample contingency list in CSV format is shown in Figure 86. Nexant, Inc. P a g e 122 Version 3.4

131 Figure 86 Sample Contingency List in CSV Format The following information is available from this file: Contingency The name of the contingency Device Name The name of the device which is inaged or outaged in the contingency Device Type The type of the device (Line, Transformer) Action Whether the device is inaged (put IN service) or outaged (taken OUT of service) Class The time period of use - Peak (ON) or Off-peak(OFF) Download and view Flowgates in XML or CSV formats Check the box associated with the Flowgates data category as shown in Figure 85 for XML and/or CSV formats and click the Download button to download the flowgate data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample flowgate list in CSV format is shown in Figure 87. Nexant, Inc. P a g e 123 Version 3.4

132 Figure 87 Sample Flowgate List in CSV Format The following information is available from this file: Name The name of the flowgate Type The type of flowgate (PTDF or OTDF) Contingency Name The device name of the flowgate contingency, if any. The contingency is applicable only to OTDF flowgates. Limit MW flow limit on the flowgate Class States whether the flowgate MW limit is valid during Peak (ON) or Off- Peak (OFF) hours. Device Name The name of the device which is a component of the flowgate FlowDirection The direction of the flow on the device component Nexant, Inc. P a g e 124 Version 3.4

133 Download and view Monitored Branches in XML or CSV formats Check the box associated with the Monitored Lines and Transformers data category as shown in Figure 85 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample list of monitored lines and transformers in CSV format is shown in Figure 88. Figure 88 Sample Monitored Lines and Transformers List in CSV Format The following information is available from this file: DeviceName The name of the device name DeviceType The type of device (Line or Transformer) BaseCaseRating MW Rating of branch to be observed in the base case. EmergencyRating MW Rating of branch to be observed in the contingency cases. Nexant, Inc. P a g e 125 Version 3.4

134 Class Time of use designation - peak (ON) or off-peak (OFF) where the branch is to be monitored Download and view Parallel Flows in XML or CSV formats Check the box associated with the Parallel Flows data category as shown in Figure 85 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample parallel flows list in CSV format is shown in Figure 89. Figure 89 Sample Parallel Flows list in CSV Format The following information is available from this file: Name Name associated with the Parallel Flow Source The name of the source associated with the PTP TCR Parallel Flow Sink The name of the sink associated with the PTP TCR Parallel Flow Nexant, Inc. P a g e 126 Version 3.4

135 Flowgate -- The name of the Flowgate TCR System Market Participant User Manual HedgeType Option or Obligation type of the Loop Flow TCR. Class -- The time period of use - Peak (ON) or Off-peak (OFF) where the Parallel Flow TCR is valid MW The MW value associated with the parallel flow Download and view Scheduled Outages in XML or CSV formats Check the box associated with the Scheduled Outages data category as shown in Figure 85 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample scheduled outage list in CSV format is shown in Figure 90. Figure 90 Sample Scheduled Outages List in CSV Format The following information is available from this file: Name Designated name for the Outage DeviceName The name of the transmission line or transformer being outaged. DeviceType Type of device (Line or Transformer) Class The time period of use - Peak (ON) or Off-peak (OFF) Nexant, Inc. P a g e 127 Version 3.4

136 Download and View Market Data TCR System Market Participant User Manual By clicking the Market tab on Public TCR interface the users will enter the Market Data download page shown in Figure 91. Figure 91 Market Data on the Public TCR Interface The user selects the market data to download by selecting the Market Term from the drop down list on the left and the required Market from the drop down list on the right Download and view Sources and Sinks data in XML or CSV formats Check the box associated with the Sources and Sinks data category as shown in Figure 91 for XML and/or CSV formats and click the Download button to download the sources and sinks data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample source/sink list in CSV format is shown in Figure 92. Nexant, Inc. P a g e 128 Version 3.4

137 Figure 92 Sample Source/Sink Data in CSV Format The following information is available from this file: Name The name of the Source/Sink. Type The source/sink type (Generator Node, Load Node, Load Zone, Hub, Fixed Aggregate, Interface, Loop Flow Node, Pseudo-Tie Generator Node, Pseudo-Tie Load Node, Demand Node Type 1, Demand Node Type 2, External Asynchronous Resource Node, Stored Energy Resource) Class States whether the source/sink is valid during the peak (ON) hours or off-peak (OFF) hours. PriceNode The name of the elemental Pnode associated with the source/sink. BusName The name of the bus associated with the source/sink associated with the source/sink. This bus name is the augmented name from the PSS/E file. participationfactor The MW contribution to the settlement location Download and view Base Loading TCRs data in XML or CSV formats Check the box associated with the Base Loading TCRs data category as shown in Nexant, Inc. P a g e 129 Version 3.4

138 Figure 91 for XML and/or CSV formats and click the Download button to download the base loading TCR data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample Base Loading TCRs list in CSV format is shown in Figure 93. Figure 93 Sample Base Loading TCRs Data in CSV Format The following information is available from this file: TCR ID The ID of the previously awarded TCR. Market Participant The name of the Market Participant who owns the TCR Source The name of the TCR source. Sink The name of the TCR sink. MW The MW associated with the TCR. HedgeType The Hedge Type of the TCR (Obligation, Option). Class States whether the source/sink is valid during the peak (ON) hours or off-peak (OFF) hours. Origin Describes the origin of the TCR Download and View Results (Allocation) Data By clicking the Results tab on the Public TCR interface the users will enter the Result download page, and the user is presented with a screen shown in Figure 94. Nexant, Inc. P a g e 130 Version 3.4

139 The user selects the market (either auction or allocation) data to download by selecting a Market Type and Term from the drop down list on the left, the required Market from the drop down list in the middle, and the required Round from the drop down list on the right (when Allocation has been selected from Market Type and Term). Figure 94 Allocation Results on the Public TCR Interface Download and view Binding Constraints in XML or CSV formats Check the box associated with the Binding Constraints data category as shown in Figure 94 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample allocation binding constraints list in CSV format is shown in Figure 95. Nexant, Inc. P a g e 131 Version 3.4

140 Figure 95 Sample Allocation Binding Constraint List in CSV Format The following information is available from this file: DeviceName Name of the binding constraint (transmission line, transformer, flowgate constraint associated with a nomogram) DeviceType Type of device that is binding Line, Transformer, Flowgate, Nomogram Direction The direction of the flow on the component device. It can take on the values of From-To, To-From. Limit The MW flow limit on the device Flow The MW flow on the device Violation% Percentage violation of the limit. For hard constraints, this value will be zero and for soft constraints, this value will be a positive number. Contingency The name of the contingency associated with the constraint that is binding. Class The time period of use - Peak (ON) or Off-peak (OFF) where the binding constraint is valid Round- The round associated with the binding constraint. LTCR Iteration This field is used for binding constraints from Long-Term (LTCR) allocations only. It indicates iteration number 1 or 2 of simultaneous feasibility analysis executed in round 2 of the Long-Term allocation. Nexant, Inc. P a g e 132 Version 3.4

141 Download and View Results (Auction) Data TCR System Market Participant User Manual By selecting an Auction option from the Market Type and Term dropdown list within the Results tab, the user is presented with a screen shown in Figure 96. The user must also select a Market name from the Market dropdown list and a Round number from the Round dropdown list. Figure 96 Auction Results Available from the Public TCR Interface Download/view Auction Clearing Prices in XML or CSV formats Check the box associated with the Auction clearing prices (i.e. source/sink clearing prices) data category as shown in Figure 96 for XML and/or CSV formats and click the Download button to download the auction clearing price data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using Nexant, Inc. P a g e 133 Version 3.4

142 an unzipping tool. A sample auction clearing price list in CSV format is shown in Figure 97. Figure 97 Sample Auction Clearing Price List in CSV Format The following information is available from this file: SourceSink The name of the source or the sink Class The time period of use Peak (ON) or off-peak (OFF) market for which the source/sink clearing price is calculated Clearing Price The clearing price of the source/sink in $/MW Round The round number of the auction Download and view Results for an auction in XML or CSV formats Check the box associated with the Auction Results data category as shown in Figure 96 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample auction results list in CSV format is shown in Figure 98. Nexant, Inc. P a g e 134 Version 3.4

143 Figure 98 Sample Public Auction Results in CSV Format The following information is available from this file: TCR ID The unique id of the TCR Category Flag denoting the type of the TCR Point-to-Point (PTP) MarketParticipant Name of the Market Participant who owns the PTP TCR Source The name of the source for a PTP TCR. Sink The name of the sink for a PTP TCR StartDate The starting date corresponding to the TCR EndDate The ending date corresponding to the TCR HedgeType PTP TCR type - obligation (OBL). Type Buy bid (BUY) or Sell offer (SELL). Class The time period of use - peak (ON) or off-peak (OFF) market where the PTP TCR was awarded Round The bidding round of the auction where the PTP TCR was awarded. MW The MW amount of the TCR bought or sold to the nearest tenth of a MW. Nexant, Inc. P a g e 135 Version 3.4

144 Clearing Price The clearing price of the TCR buy bid or sell offer in $/MW. The clearing price may be positive or negative Download/view Auction Binding Constraints in XML or CSV formats Check the box associated with the Auction binding constraints data category as shown in Figure 96 for XML and/or CSV formats and click the Download button to download the auction clearing price data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample auction clearing price list in CSV format is shown in Figure 99. Figure 99 Sample Auction Binding Constraints in CSV Format The following information is available from this file: DeviceName The name of the congested device DeviceType The type of device in the binding constraint. It can be transmission line (Line), transformer (Transformer), flowgate (Flowgate) or nomogram (nomogram). Direction Direction of MW flow on the congested device. It can take on the values of From_To, To_From. Limit The flow limit of the binding constraint. If the limit goes soft (i.e. relaxed), the flow on this binding constraint may be larger than its corresponding limit. Flow: - The MW flow on the device. Nexant, Inc. P a g e 136 Version 3.4

145 Violation% Percentage violation of the limit. For hard constraints, this value will be zero and for soft constraints, this value will be a positive number. Contingency The name of the contingency associated with the constraint that is binding. Class The time period of use - peak (ON) or off-peak (OFF) where the constraint is binding Marginal Cost The clearing or shadow price of the binding constraint in $/MW Round The round of the auction where the constraint was binding Download and View Historical Nomination/Bid Information By clicking the Historical tab on the Public section of the TCR interface the users will enter the Historical Data download page shown in Figure 100 and from which users will be able to download all available historical nomination/bid data for allocations/auctions. This data will be available six months after the end date of the effective period of the allocation/auction, and will be available in a XML or CSV formatted file. The user selects the market (either auction or allocation) data to download by selecting a Market Type and Term from the drop down list on the left and the required Market from the drop down list on the right. Nexant, Inc. P a g e 137 Version 3.4

146 Figure 100 Historical Auction Data Available from the Public TCR Interface Download and view Historical Bid and Offers Data for an auction Check the box associated with the Historical Bids and Offers data category as shown in Figure 100 for XML and/or CSV formats and click the Download button to download the historical bid and offers data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample historical bids and offers data in CSV format is shown in Figure 101. Nexant, Inc. P a g e 138 Version 3.4

147 Figure 101 Sample Historical Bid Data in CSV Format The following information is available from this file: Source The name of the source for a PTP TCR bid. Sink The name of the sink for a PTP TCR bid HedgeType PTP TCR bid type - option (OPT) or obligation (OBL). Class The time period of use - peak (ON) or off-peak (OFF) where the PTP TCR bid is valid Type Indicator if the bid is buy (BUY) or a sell offer (SELL) Nexant, Inc. P a g e 139 Version 3.4

148 Round Indicates the round of the buy bid/sell offer MW The MW amount of the TCR bid curve bid curve point i PricePerMW Bid price in $/MW for the bid curve point i Download and view Historical Nomination Data for an allocation Check the box associated with the Historical Nomination Data category as shown in Error! Reference source not found. for XML and/or CSV formats and click the Download button to download the historical nomination data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample historical nomination data file in CSV format is shown in Figure 102. Figure 102 Sample Historical Nomination Data in CSV Format The following information is available from this file: Source The name of the source for a Candidate ARR. Sink The name of the sink for a Candidate ARR HedgeType Candidate ARR type - obligation (OBL). Class Peak market (ON) or off-peak (OFF) market where the Candidate ARR is valid Nominated MW The nominated MW amount of the Candidate ARR Nexant, Inc. P a g e 140 Version 3.4

149 Round The name of the tier of the Candidate ARR. This field can take on the values of Round 1, Round 2 and Round Available Private Information on the TCR Download Interface The TCR Private download interface is available to all SPP Asset Owners and presents confidential information pertinent to a particular Asset Owner. At any time, users can: 1. Download and view general information such as Existing ARRs in CSV and XML formats 2. Download and view general information such as Existing TCRs in CSV and XML formats Prior to an allocation, users can: 1. Download and view Transmission Service Reservations in CSV and XML formats Prior to an auction, users can: 2. Download and view Aggregated ARRs in CSV and XML formats After each round of the annual allocation has been run, users can: 1. Download and view Allocation results (ARRs) in CSV and XML formats After an auction round is completed, users can: 1. Download and view Auction results (TCRs) in CSV and XML formats Private General Data Downloading and Viewing By clicking the General Data tab on the Private section of the Downloads drop-down menu, the user enters the private General Data downloads page, which is shown in Figure 103. Nexant, Inc. P a g e 141 Version 3.4

150 Figure 103 Private General Data Downloads Download and view existing ARRs in XML or CSV formats Check the box associated with the Existing ARRs data category as shown in Figure 103 for XML and/or CSV formats and click the Download button to download the existing ARRs data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample Existing ARRs list in CSV format is shown in Figure 104. Nexant, Inc. P a g e 142 Version 3.4

151 Figure 104 Sample Private Existing ARRs in CSV Format The following information is available from this file: ARR_ID The unique id for the PTP ARR AssetOwner The name of the Asset Owner who owns the ARR ServiceType Flag denoting the type of the ARR Point-to-Point (PTP) Source The name of the PTP ARR s source Sink The name of the PTP ARR s sink StartDate The starting date that the ARR is valid EndDate The ending date that the ARR is valid Nexant, Inc. P a g e 143 Version 3.4

152 HedgeType ARR type - obligation (OBL). TCR System Market Participant User Manual Class The time period of use - Peak (ON) or off-peak (OFF) market where the ARR is valid MW The MW value associated with the ARR Market The market from where the Asset Owner received the ARR Round The allocation round from where the Asset Owner received the ARR, e.g. Round 1, Round 2, and Round Download and view existing TCRs in XML or CSV formats Check the box associated with the Existing TCRs data category as shown in Figure 103 for XML and/or CSV formats and click the Download button to download the contingencies data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample Existing TCRs list in CSV format is shown in Figure 105. Figure 105 Sample Private Existing TCRs in CSV Format Nexant, Inc. P a g e 144 Version 3.4

153 The following information is available from this file: TCR ID The unique id for the PTP TCR SegmentID The segment number of a profiled TCR. Description The description associated with TCR TCR System Market Participant User Manual AssetOwner The name of the Asset Owner who owns the PTP TCR Category Flag denoting the type of the TCR Point-to-Point (PTP) Source The name of the PTP TCR s source Sink The name of the PTP TCR s sink StartDate The starting date that the TCR is valid EndDate The ending date that the TCR is valid HedgeType PTP TCR type - obligation (OBL) Class The time period of use - Peak (ON) or off-peak (OFF) market where the PTP TCR is valid MW The MW value associated with the TCR MarketType The type of market from where the Asset Owner received the TCR, i.e. Auction, Secondary Market, Self-converted TCR or LTCR Private Long-term (LTCR) Allocation Market Data Downloading and Viewing After selecting the market term Long-term Allocation and choosing the Market, clicking the Market Data tab on the Private section of the Downloads drop-down menu, the user enters the private Market Data downloads page, which is shown in Figure 106. Nexant, Inc. P a g e 145 Version 3.4

154 Figure 106 Private Market Data Downloads Download and view Aggregated LTCRs in XML or CSV formats Check the box associated with the Aggregated LTCRs data category as shown in Figure 106 for XML and/or CSV formats and click the Download button to download the aggregated LTCRs data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample Aggregated LTCR list in CSV format is shown in Figure 107. Nexant, Inc. P a g e 146 Version 3.4

155 Figure 107 Sample Private Aggregated LTCRs in CSV Format The following information is available from this file: Aggregated LTCR ID The unique id for the aggregated LTCR. Note that each aggregated LTCR is associated with one or more component LTCRs. Source The name of the aggregated PTP LTCR s source Sink The name of the aggregated PTP LTCR s sink StartDate The starting date that the aggregated LTCR is valid EndDate The ending date that the aggregated LTCR is valid Service Type Service Type PTP or NITS. LSE Flag The designation of LSE or Non-LSE associated with the aggregated LTCR. Class The time period of use 24-HOURS for all aggregated LTCRs Aggregated MW The MW value associated with the aggregated LTCR Nexant, Inc. P a g e 147 Version 3.4

156 LTCR_ID The ID of a component LTCR that was allocated in this Long-Term (LTCR) allocation market. Round The allocation round from where the Asset Owner received the component LTCR, e.g. Round 1 or Round 2. MW The MW value associated with the component LTCR. This is MW allocated from each round of the Long-Term (LTCR) allocation for the same asset owner, source, sink, service type and LSR flag Download and view TCRs converted from LTCRs in XML or CSV formats Check the box associated with the TCRs converted from LTCRs data category as shown in Figure 106 for XML and/or CSV formats and click the Download button to download the TCRs converted from LTCRs in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample list in CSV format is shown in Figure 108. Figure 108 Sample Private TCRs converted from LTCRs in CSV Format The following information is available from this file: TCR ID The unique id of the TCR converted from the LTCR. Note that an LTCR valid for a year and 24-HOURS time-of-use is converted to 14 TCRs for 7 different periods and 2 different time-of-uses. Nexant, Inc. P a g e 148 Version 3.4

157 Aggregated LTCR ID The ID for the aggregated LTCR from which the TCRs are being created. Asset Owner The Asset Owner owning the TCR and LTCR. Source The name of the TCR s source Sink The name of the TCR s sink StartDate The starting date that the TCR is valid EndDate The ending date that the TCR is valid HedgeType TCR type - obligation (OBL). Class The time period of use - Peak (ON) or off-peak (OFF) market where the TCR is valid MW The MW value associated with the TCR Download and view LTCR Transmission Service Reservations in XML or CSV formats Check the box associated with the LTCR Transmission Service Reservations data category as shown in Figure 106 for XML and/or CSV formats and click the Download button to download the LTCR transmission service reservations data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample LTCR Transmission Service Reservations list in CSV format is shown in Figure 109. Figure 109 Sample LTCR Transmission Service Reservations in CSV Format Nexant, Inc. P a g e 149 Version 3.4

158 The following information is available from this file: Summary_ID The unique summary id for the LTCR Transmission Service Reservation on OASIS Transmission Customer The name of the Transmission Owner (i.e. Asset Owner) who owns this reservation Source The name of the LTCR Transmission Service Reservation s source Sink The name of the LTCR Transmission Service Reservation s sink StartDate The starting date that the LTCR Transmission Service Reservation is valid EndDate The ending date that the LTCR Transmission Service Reservation is valid ServiceType Service Type of the LTCR Transmission Service Reservation Point-to-Point (PTP) and Network Integrated Transmission Service (NITS). MW The MW value associated with the LTCR Transmission Service Reservation LTCR Flag Flag indicating that the Transmision Service Reservation is of LTCR type. LSE Flag Flag indicating if the TSR is of type LSE or Non-LSE. LTCR ID (previous year) The ID of the LCTR in the previous year if available. LTCR MW MW of the previous year LTCR if available. Transmission Provider The name of the Transmission Provider of this transmission service OASIS_ID The unique OASIS ID for the Transmission Service Reservation on OASIS Private ARR Allocation Market Data Downloading and Viewing By clicking the Market Data tab on the Private section of the Downloads drop-down menu, the user enters the private Market Data downloads page, which is shown in Figure 110. Nexant, Inc. P a g e 150 Version 3.4

159 Figure 110 Private Market Data Downloads Download and view Aggregated ARRs in XML or CSV formats Check the box associated with the Aggregated ARRs data category as shown in Figure 110 for XML and/or CSV formats and click the Download button to download the aggregated ARRs data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample Aggregated ARRs list in CSV format is shown in Figure 111. Nexant, Inc. P a g e 151 Version 3.4

160 Figure 111 Sample Private Aggregated ARRs in CSV Format The following information is available from this file: AggregatedARR_ID The unique id for the aggregated PTP ARR. Note that each aggregated ARR is associated with one or more component ARRs. Source The name of the aggregated PTP ARR s source Sink The name of the aggregated PTP ARR s sink StartDate The starting date that the aggregated ARR is valid EndDate The ending date that the aggregated ARR is valid HedgeType Aggregated ARR type - obligation (OBL). Class The time period of use - Peak (ON) or off-peak (OFF) market where the aggregated ARR is valid AggregatedMW The MW value associated with the aggregated ARR ARR_ID The ID of a component ARR that was allocated in one of the rounds of this allocation market. Nexant, Inc. P a g e 152 Version 3.4

161 OriginalMarket The name of the allocation market where the component ARR was allocated. Round The allocation round from where the Asset Owner received the component ARR, e.g. Round 1, Round 2, and Round 3. MW The MW value associated with the component ARR Download and view Transmission Service Reservations in XML or CSV formats Check the box associated with the Transmission Service Reservations data category as shown in Figure 110 for XML and/or CSV formats and click the Download button to download the transmission service reservations data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample Transmission Service Reservations list in CSV format is shown in Figure 112. The download file for an annual allocation will include LTCR and non-ltcr Transmission Service Reservations. Figure 112 Sample of LTCR and non-ltcr Transmission Service Reservations in CSV Format The following information is available from this file: Summary_ID The unique summary id for the Transmission Service Reservation on OASIS Transmission Owner The name of the Transmission Owner (i.e. Asset Owner) who owns this reservation Source The name of the Transmission Service Reservation s source Nexant, Inc. P a g e 153 Version 3.4

162 Sink The name of the Transmission Service Reservation s sink StartDate The starting date that the Transmission Service Reservation ARR is valid EndDate The ending date that the Transmission Service Reservation ARR is valid ServiceType Service Type of the Transmission Service Reservation Point-to- Point (PTP) and Network Integrated Transmission Service (NITS). MW The aggregated MW value of the Transmission Service Reservations under the associated Summary_ID LTCR Flag Flag indicating that the Transmission Service Reservation is of Non-LTCR type. LSE Flag Flag indicating if the TSR is of type LSE or Non-LSE. It is blank for non-ltcr reservations. LTCR ID (previous year) The ID of the LCTR in the previous year. It is blank for non-ltcr reservations and for LTCR reservations that have no associated aggregated LTCR allocated in the previous year. LTCR MW MW of the previous year LTCR. It is blank for non-ltcr reservations and for LTCR reservations that have no associated aggregated LTCR allocated in the previous year. Transmission Provider The name of the Transmission Provider of this transmission service OASIS_ID The unique OASIS ID for the Transmission Service Reservation on OASIS Long-term (LTCR) Allocation Results Data Downloading and Viewing On the Private Downloads interface, under the Results tab, by selecting a Long-term (LTCR) Allocation market with the Market Term dropdown menu, choosing the appropriate market name and the round, the user is presented with the following display for the Private Long-term (LTCR) Allocation Data as shown in Figure 113. Nexant, Inc. P a g e 154 Version 3.4

163 Figure 113 Private Long-term (LTCR) Allocation Data Downloads Download and view Long-term (LTCR) Allocation Results in XML or CSV formats Check the box associated with the Long-term (LTCR) Allocation Results data category as shown in Figure 113 for XML and/or CSV formats and click the Download button to download the allocation results data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample private allocation results list in CSV format is shown in Figure 114. Figure 114 Sample Private Long-term (LTCR) Allocation results in CSV Format The following information is available from this file: Candidate_LTCR_ID The unique id for the Candidate LTCR LTCR_ID The unique id of the allocated LTCR Description A short description of the Candidate LTCR AssetOwner The name of the Asset Owner who owns the Candidate LTCR Nexant, Inc. P a g e 155 Version 3.4

164 Source The name of the Candidate LTCR s source Sink The name of the Candidate LTCR s sink TCR System Market Participant User Manual StartDate The starting date that the Candidate LTCR is valid EndDate The ending date that the Candidate LTCR is valid Service Type Network integration transmission service (NITS) or point to point transmission (PTP). LSE Type Candidate LTCR type LSE or Non-LSE. Class The time period of use 24-HOURS for all Candidate LTCRs. NominatedMW The MW amount requested for the Candidate LTCR by the Asset Owner during the LTCR Nomination Process. AllocatedMW The MW amount assigned to the Candidate LTCR after the Allocation. Round The Round in which the Candidate LTCR is nominated ARR Allocation Results Data Downloading and Viewing On the Private Downloads interface, under the Results tab, by selecting an ARR Allocation market with the Market Term dropdown menu, choosing the appropriate market name and the round, the user is presented with the following display for the Private ARR Allocation Data as shown in Figure 115. Nexant, Inc. P a g e 156 Version 3.4

165 Figure 115 Private Allocation Data Downloads Download and view ARR Allocation Results in XML or CSV formats Check the box associated with the ARR Allocation Results data category as shown in Figure 115 for XML and/or CSV formats and click the Download button to download the allocation results data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample private allocation results list in CSV format is shown in Figure 116. Nexant, Inc. P a g e 157 Version 3.4

166 Figure 116 Sample Private Allocation results in CSV Format The following information is available from this file: Candidate_ID The unique id for the Candidate ARR ARR_ID The unique id of the allocated ARR Description The description associated with Candidate ARR AssetOwner The name of the Asset Owner who owns the Candidate ARR Source The name of the Candidate ARR s source Sink The name of the Candidate ARR s sink StartDate The starting date that the Candidate ARR is valid EndDate The ending date that the Candidate ARR is valid Service Type Network integration transmission service (NITS) or point to point transmission (PTP). HedgeType Candidate ARR type obligation (OBL). Class The time period of use - Peak (ON) or off-peak (OFF) market where the Candidate ARR is valid Nexant, Inc. P a g e 158 Version 3.4

167 NominatedMW The MW amount requested for the Candidate ARR by the Asset Owner during the ARR Nomination Process. AllocatedMW The MW amount assigned to the Candidate ARR after the Allocation. Round The Round in which the Candidate ARR is nominated TCR Auction Results Data Downloading and Viewing On the Private Downloads interface, under the Results tab, by selecting a TCR Auction market with the Market Term dropdown menu, choosing the appropriate market name and the round, the user is presented with the following display for the Private Auction Data as shown in Figure 117. Figure 117 Private Auction Data Downloads Nexant, Inc. P a g e 159 Version 3.4

168 Download and view TCR Bids and Offers Results in XML or CSV formats Check the box associated with the Bids and Offers Results data category as shown in Figure 117 for XML and/or CSV formats and click the Download button to download the auction results data in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample private auction results list in CSV format is shown in Figure 118. Figure 118 Sample Private Bids and Offers data in CSV Format The following information is available from this file: BidID The ID of the auction bid TCR ID The unique id of the PTP TCR associated within the Bid Description Short description associated with TCR Bid Category Flag denoting the type of the TCR Point-to-Point (PTP) Portfolio The name of the portfolio containing the bids AssetOwner The name of the asset owner associated with the PTP TCR Source The name of the source associated with the PTP TCR Sink The name of the sink associated with the PTP TCR StartDate The starting date that the TCR is valid Nexant, Inc. P a g e 160 Version 3.4

169 EndDate The ending date that the TCR is valid HedgeType TCR type Obligation (OBL). Type States that the type of the bid BUY or SELL TCR System Market Participant User Manual Class Peak market (ON) or off-peak (OFF) market where the TCR is valid Round the round of the auction for which the results are published. AwardedMW The MW amount of the TCR awarded to the nearest tenth of a MW. ClearingPrice The clearing price of the TCR awarded in $/MW. The clearing price may be positive or negative. MW The bid MW amount (part of the bid curve) PricePerMW The bid price in $/MW (part of the bid curve) Download and view Self-converted ARRs Click on the CSV Format link in the Download Type column of the Self Converted ARRs category shown in Figure 117 to download the private Self-converted ARRs data in a CSV formatted text file. The download will be in a zipped format, which can be viewed using an unzipping tool. A sample private Self-converted ARR results file is shown in Figure 119. Figure 119 Sample Private Self-converted ARR in CSV Format Nexant, Inc. P a g e 161 Version 3.4

170 The following information is available from this file: BidID The ID of the BID ARR ID The ID of the ARR which was self converted in the auction TCR ID The unique id of the PTP TCR associated within the Bid Portfolio The name of the portfolio containing the bids AssetOwner The name of the asset owner associated with the PTP TCR Source The name of the source associated with the PTP TCR Sink The name of the sink associated with the PTP TCR StartDate The starting date that the TCR is valid EndDate The ending date that the TCR is valid HedgeType TCR type Option or Obligation. Class Peak market or off-peak market where the TCR is valid Round the round of the auction for which the results are published. SelfConvertedMW The amount of MW that was self converted for the market AwardedMW The MW amount of the TCR awarded to the nearest tenth of a MW. SettledMW The MW amount of the ARR that was settled. ClearingPrice The clearing price of the TCR awarded in $/MW. The clearing price may be positive or negative. Click on the XML Format link in the Download Type column of the Self-converted ARR category shown in Figure 117 to download this data in a XML formatted text file. Nexant, Inc. P a g e 162 Version 3.4

171 13. Message Board 13.1 Overview of the Message board The primary function of the message board is to provide an easy way for the Market Operators to communicate with the Market Users. While The Market User cannot send messages, it provides a medium for which vital information can be transferred. The Messages are all classified by importance, and that is indicated by color of the text, Green text indicates a message of low importance, Yellow indicates medium importance, and Red text indicates a message of high importance Public and Private Message Board Public messages are messages from the Market Operator to all Asset Owners while Private messages are messages written to an individual Asset Owner. These two message boards are located separately in their respective tabs on the Message drop down menu, shown below in Figure 120. Figure 120 illustrates some of the Public messages sent to the Asset Owners. Figure 121 provides an example of the Private messages sent to the Asset Owners. Nexant, Inc. P a g e 163 Version 3.4

172 Figure 120 Public Message board Figure 121 Private Message board Nexant, Inc. P a g e 164 Version 3.4