Parallel Ops GoLive Checkpoint Weekly Update Friday Meeting

Parallel Ops / Go-Live Checkpoint Weekly Update – Friday Meeting January 17, 2014

Agenda • • • IDT Debrief 9: 00 A – 9: 20 A • Updated IDT Schedule and Conditions • IDT Report Review: IDT 1/7 and IDT 1/10 Analysis and Announcements Updates 9: 20 A – 9: 40 A • Multi-Day Tags • Preliminary Scenario Results Look-Ahead 9: 40 A – 10: 00 A • Upcoming IDTs and Scenarios • Weekly Updates: Release Scorecard, Migration Report, Known Issues Log Settlements Update 10: 00 A – 10: 15 A Readiness Update 10: 15 A – 10: 45 A 2

IDT Schedule and Conditions IDT Date IDT Times Conditions Notes 1/21/14 Originally: 3: 30 P-8: 30 P 2 hr IDT begins at 5: 30 P Regulation SPP loses select tie-line measurements. SPP will simulate the loss of real-time data with significant Pretie-line data providers. MPs will not need to take selection Now: 7: 30 A-4: 30 P 7 hr IDT begins at 8: 30 A Tieline Drop EDR any action; this is an internal process for our operators. Testing with specific MPs will occur during this IDT Turnaround Ramp Rate set to 1 1/27/14 Originally: 4: 30 P-10: 30 P 4 hr IDT begins at 5: 30 P Now: 7: 30 A-4: 30 P 7 hr IDT begins at 8: 30 A Tieline Checkout ADI Regulation Pre-selection Turn Around Ramp Rate to Regular Submission 2/25/14 8: 30 A-12: 30 P Regulation Pre-selection 2/28/14 7: 00 P Cutover for March 1 Go-Live 2 hr IDT begins at 9: 30 A 4 hr IDT begins at 8: 00 P Ginny Watson 3

IDT 01/07 Report IDT reports posted to spp. org here 7 calendar days after each IDT spp. org > Integrated Marketplace > Market Trials > Integrated Deployment Test IDT 01/10 Report IDT reports posted to spp. org here 7 calendar days after each IDT spp. org > Integrated Marketplace > Market Trials > Integrated Deployment Test Bryan Wood 4

Announcements January Friday Meetings: Friday January 24: No Regular Friday Meeting IDT 1/27 Prep Call at 3 P Friday January 31: Regular Parallel Ops / Go Live Checkpoint Meeting at 9 A SPP will retest Mitigation Scenarios (16. 1 - DA, 16. 2 - RUC, and 16. 3 - RTBM) on Jan 28 • Any MP who wants to see results of Mitigation needs to fail the behavior test with at least one unit. Units will be picked up in the re-run. • If you are interested in participating in Scenario 16. 3 – RTBM Mitigation, please submit the Resource(s) you would like to see Mitigated via RMS (Parallel Ops Quick Pick) no later than Monday, Jan 27 at 12 P CPT. Ginny Watson 5

Multi-Day Tags for Day Ahead Market • An MP requested that SPP allow Monthly/Multi Day Tags for Day Ahead Market Bids/Offers • The Market Protocols only allow Day Ahead bids/offers up to 7 days prior to OD • MISO has a Multi-day Process • SPP will request an impact assessment for system changes necessary to allow Multi-Day Tags up to 7 days prior • Depending upon cost and member approval this change would be a post Go-live enhancement Shari Brown 6

Shortage & Excess Capacity Scenarios SPP retested Shortage & Excess Capacity Scenarios (5. 1, 5. 2, 6. 1, 6. 2) in lower environments • Defects described on the following slide caused Scenarios to fail • Fixes are due in R 1. 9. 3 – Presuming patch correctly fixes reported issues on time, SPP will retest Scenarios in lower environments by January 24 – Detailed results will be presented to MPs. Jarrett Friddle 7

• Scenario Tracker as of Jan 8 Summary – Scenarios in Parallel Ops: – 4 Scenarios, 2 Partial Scenarios, Dispatch Simulator Test successful: § § § § Scenario 7 Must Offer Scenario 28 a Scenario 15 Commitment Mismatch Part 2 Scenario 24 Scenario 13 DDR w/ Settlements Scenario 29 RSG Scenario 31 BDR w/ Settlements – success pending Settlements Scenario 36 GFA § Dispatch Simulator Test – Note: Dispatch Simulator Test in process again from Jan 15 -17 • Summary – Retests Pending: – 2 entire Scenario retests pending § § – Scenario 11 scheduled for Jan 21; Non-Functional Testing Scenario under analysis 8 individual retest requests pending Ginny Watson 8

Scenario 31 BDR w/ Settlements Results • On the Markets side, this Scenario passed • Market Participant data was correct. • Resource behaved as designed in RTBM and EMS. • Dispatch instructions were observed via XML and Markets UI. • Settlements • KIL #899, which will go into Production later this month, directly impacts the charge types associated with BDRs and DRRs • Settlements is currently testing the resolution for KIL #899 and intend to have it in Production for the Final Settlement Jarrett Friddle 9

Non-Functional Testing Results page 1 of 2 • Planned January 14 th 10: 00 P – 12: 00 A • • Extended 30 minutes to 00: 30 so SPP could research RTBM solutions that were produced Goal of Exercise was to test systems and identify areas that might need additional attention in a failover event. Follow-up analysis and collaboration with vendors are underway to identify, test, and validate solutions. SPP’s planning team will recommend and communicate the next steps including timing and scope to MPs following analysis. • Summary of Expected v. Actual Results • Other than exceptions noted, all systems functioned as expected. Expected Result: EMS automatically fails over is fully functioning with RTGEN for CBA Actual Result: EMS failed over after manual intervention; once the failover was completed, EMS functioned as expected Expected Result: ICCP is fully functioning and sending setpoints Actual Result: ICCP failed over correctly, functioned as expected Expect Result: Marketplace Portal User Interface and API available for data entry and retrieval Actual Result: Marketplace Portal and associated system UIs/APIs failed over correctly. Two external users experienced connectivity issues with the Markets UI. Users were able to reboot and connect. SPP is researching reported errors for additional information to provide to vendors as needed. Casey Cathey 10

Non-Functional Testing Results page 1 of 2 • Summary of Expected v. Actual Results • Other than exceptions noted, all systems functioned as expected. Expect Result: Web Services (RTO_SS) available Actual Result: Remained available, as expected Expected Result: Market System is fully functioning and solving RTBM for approx. 1 hr Actual Result: RTBM missed intervals between 22: 20, 22: 25 and 22: 30 while the failover was occurring. The first study solved at SPP’s backup facility at 22: 35. SPP resources were onsite and continued to research the Market Systems during the exercise. Additional studies missed during the exercise were 23: 10, 23: 30, 23: 35, and 23: 50. SPP is working with the vendor to research and resolve this issue. Expected Result: Email is available for sending and receiving communication Actual Result: Email was unavailable from the backup facility servers and was reverted to SPP’s primary facility while Markets trouble shooting occurred. Microsoft is on-site to assist in identifying solutions. After the exercise was terminated, all systems and applications restored successfully to Chenal operations. Casey Cathey 11

36. 0 – GFA Carve Out Schedules Results • Preliminary Pass – MPs submitted BSS headers for all but one of the GFA Carve Outs – No Import Interchange Transactions for GFA Carve Outs were submitted § Only applies to 4 GFAs § MPs did not submit hourly BSS profiles for these import transactions – SPP has enough data to test the GFA Carve Out process, and appropriate data to successfully test the settlements uplift distribution – MPs should start seeing GFA Carve Out uplift charges on or around 1/22 Jarrett Friddle 12

Look-Ahead: Jan 19 – Jan 31 Parallel Ops Calendar on spp. org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents • Settlements details on the Settlements Calendar marketplace. spp. org > Public > Settlements > Calendars Jan 19 – Jan 25 Schedule: Ramp Sharing Off Mon Jan 20: Tues Jan 21: IDT Prep Call at 3 P IDT Call 7: 30 A – 4: 30 P, 7 hr IDT begins at 8: 30 A Run Scenario #11 EDR Wed Jan 22: IDT Debrief Call at 3 P CWG Thurs Jan 23: CWG Fri Jan 24: No regular P Ops Meeting. IDT Jan 27 Prep Call at 3 P Jan 26 – Jan 31 Schedule: Ramp Sharing On Mon Jan 27: Tues Jan 28: Wed Jan 29: Fri Jan 31: IDT Call 7: 30 A – 4: 30 P, 7 hr IDT begins at 8: 30 A IDT Debrief at 3 P and 16. 1 / 16. 2 Scenario 16. 3 Mitigation Scenario Regular Friday Meeting at 9 A, Parallel Ops Ends Ginny Watson 13

Look Ahead Reminders • 1/21 IDT Call starts at 7: 30 AM, 7 hour IDT begins at 8: 30 AM – – – Tieline Drop Regulation Pre-Selection EDR Scenario: Applicable MPs are in contact with SPP § This scenario will demonstrate the clearing and dispatch of an EDR resource for all qualified products. • Please submit Spin/Supp as ‘Market’ • 1/27 IDT Call starts at 7: 30 AM, 7 hour IDT begins at 8: 30 AM – – – • Tieline Checkout Regulation Pre-Selection ADI Please submit Spin/Supp as ‘Market’ Bryan Wood / Jarrett Friddle 14

Migration and Maintenance Report posted to spp. org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Wendy Reynolds 15

Release Scorecard posted to spp. org: spp. org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents Ginny Watson 16

Known Issues Log • Please review the Market Trials Known Issues Log on spp. org > Integrated Marketplace > Market Trials > Structured/Unstructured Test > Integrated Marketplace Market Trials Project Documentation Folder Shari Brown 17

Market Trials Useful Resources Integrated Marketplace Parallel Operations Project Documents spp. org > Integrated Marketplace > Market Trials > Parallel Operations Test> Integrated Marketplace Parallel Operations Project Documents • • • Parallel Ops Presentations, Statistics, MP Meetings Folder Parallel Ops Reference Documents Folder Scenarios in Parallel Ops Folder > Scenarios Schedule Parallel Ops Communication Plan Parallel Ops MP Guide Parallel Ops Calendar Known Issues Log Release Scorecard Migration Report Integrated Deployment Test (as part of Parallel Ops) spp. org > Integrated Marketplace > Market Trials > Integrated Deployment Test • • IDT MP Guide Parallel Ops Calendar Additional documents: • Settlements Calendar marketplace. spp. org > Public > Settlements > Calendars • Change Tracker spp. org > Integrated Marketplace > Marketplace Documents • Integrated Marketplace Structured/Unstructured Test Project Documents spp. org > Integrated Marketplace > Market Trials > Structured / Unstructured Test> Integrated Marketplace Structured / Unstructured Test Project Documents 18

Brent Wilcox SETTLEMENTS UPDATE Brent Wilcox 19

Settlements Update - January • • The December release was moved into production on Jan 8 th as scheduled. – Some days in early January were posted late due to the timing of the migration of this release. – A couple of defects were in the December release. A hot fix from Alstom is scheduled to be applied on 1/16. All January Operating Days will be processed using the December release. – Some Jan. initials were processed prior to the hot fix being installed but all Jan. finals processed with the hot fix in place. Brent Wilcox 20

Settlements Update - February • Last statements (1/31 I) will be posted Feb 3 rd. – Please see highlighted section of February calendar for details • Statements will remain on portal until noon on Feb 5 th • Settlement system cutover begins the afternoon of Feb 5 th. Brent Wilcox 21

Settlements Update – February Cont’d • • Market Participants can start to submit their Bilateral Settlement schedules on Feb 22 nd. – Thirty day window will not be followed in this instance. – Any Bilateral Settlement schedules submitted prior to February 22 nd will be deleted as a part of the system cutover Meter windows will open on OD+1 (3/2/14). Brent Wilcox 22

OFFER DATA ACKNOWLEDGEMENT 23

Update Market Offer Data • Markets Test Data vs. Production Level Data – Market Offer data will NOT be purged from the Markets Systems prior to 3/1 § Includes existing offer data submitted since June 2013 Market Trials start -- even MP offer data that was seeded by SPP for testing purposes – Market Participant test offer data MAY become financially binding on 3/1 and beyond if preventative measures aren’t taken before 2/22 Erin Jester 24

Update Market Offer Data • MP Required Action for Updating Market Offer Data 1. Complete Acknowledgement Letter by 2/14 § Market Trials Liaisons received RMS ticket on 1/17 requesting acknowledgement of responsibility to update Market offer data and understanding of risks associated with having non-production ready offer data in the Market Systems after 2/22 § Acknowledgement to be completed via RMS no later than 2/14 1. Escalation will occur for MPs not completing acknowledgement by 2/14 – Update all Market Offer Data in the Markets System by 2/22 § To avoid test data becoming financially binding, update offer and parameter data for DA Resource Offers, RTBM Resource Offers and Mitigated Offers § Market offer data MUST be updated prior to 2/22 to ensure good, production-ready data for Go-Live Erin Jester 25

MP GO-LIVE VALIDATION CHECKLIST 26

MP Go-Live Validation Checklist • Go-Live Validation Checklist posted to Readiness workstream folder on 1/17 • Tool to identify applicable tests and perform internal, independent validations of systematic and functional readiness to cutover to Go-Live • Tool should be used now and after the February Maintenance Window (2/22), prior to Go-Live (3/1) • Go-Live Checklist is not to be returned to SPP. Only for MP use in confirming internal readiness. • Any issues discovered while validating readiness should be addressed immediately via RMS Erin Jester 27

MP Go-Live Validation Checklist • Populate the following table based on MP & Asset Types • Based on your selections, applicable tests will be identified that you will want to verify internally prior to Go-Live. Erin Jester 28

Erin Jester READINESS UPDATE Erin Jester 29

General Readiness Updates • Go-Live Approach (similar to TCR) will be posted the week of January 20 to the Readiness folder – Will include the MP Go-Live Validation Checklist • i. Dashboard will be updated today (January 17) per the established schedule – Total Number of Readiness Metrics: 50 § Number Complete (Blue): 36 § Number on Track (Green): 7 § Number at Risk (Yellow/Red): 6 § Number Not Started (Gray): 1 Erin Jester 30

Parallel Ops Exit Criteria Status • POX-01 (Scenario Completion) changed from yellow to green for the first two weeks of January – • ID Scenario completion will continue to be tracked There are three “at risk” Parallel Ops criteria: Metric Name OPS-15 CROW Outage POX-20 Submission POX-21 OPS-17 ICCP Model Validation POX-22 OPS-18 ICCP Control Status Tracking Status Variance 12/28 -1/11: 15/15 of resource-owning MPs who have Yellow reported outages have not reported them through SCADA and CROW within 30 minutes. 1/41 of MPs ICCP models are not validated, but is expected Yellow to be in service shortly. 12/15 -1/4: 26% of MPs submitted control modes correctly 100% of the time. Yellow SPP is adjusting how OPS-18 is reported, and metrics are expected to improve once these changes are made. See ICCP Control Status slides) Erin Jester 31

OPS- 15: At Risk Readiness Metric Data as of January 11, 2014* Metric ID Metric Title OPS-15 CROW Outage Submission Entity Status MP Red • 4. 23% of the total outages reported by resource-owning MPs were reported within 30 minutes. • 1. 41% of the total outages reported by resource-owning MPs were reported between 30 minutes to 1 hour. • 94. 37% of the total outages reported by resource-owning MPs were reported beyond 1 hour. *Based on data from January 5 -11, 2014 Erin Jester 32

CROW Topics for Discussion at CWG • • CROW Outage Submission Benefits – Avoid penalties – Avoid commitments that are not physically possible CROW Outage Submission Impacts – • Examples of what happens within the IM when incorrect outages exist. CROW Outage Submission Penalties – Discuss the RUC Make-Whole-Payment Distribution Amount penalties for DA and RUC Erin Jester 33

CROW Hot Topic Calls • The intent is to minimize SPP’s potential for incorrect commitments. • Help the members meet the Criteria requires. (Entry of an outage to CROW within 30 minutes of the actual outage) • CROW Hot Topic Net Conferences are scheduled for 9: 30 AM – 10: 30 AM CST on 1/28/2014 3: 00 PM – 4: 00 PM CST on 1/30/2014 Register via the SPP Learning Center Erin Jester 34

CROW Recommendation • Resource owning Market Participants should attempt to meet the OPS-15 metric prior to the end of Parallel Operations on 1/31. • • Provides confidence that starting the Marketplace 3/1 with outage communication coordination will not adversely impact economics and reliability due to outage mismatches in CROW versus Real-time situation. Resource-owning MPs may continue and are encouraged to practice meeting OPS-15 throughout the February Extended Maintenance Window Erin Jester 35

Update on Attachment AH • Received all but 3, and a couple additional require updates: RMS MP Status 6147 APX No response after initial contact 6173 Calpine Contact unavailable this week; will follow-up 6201 ETEC Expected this week 6227 Golden Spread Update required 6246 TEA Update required Erin Jester 36