Southwest Power Pool manual_v6.1... · Southwest Power Pool, Inc. (SPP) TCR system and its user...

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Southwest Power Pool Transmission Congestion Rights TCR System Market Participant User Manual Version 6.1 Last Updated: April 19, 2017

Transcript of Southwest Power Pool manual_v6.1... · Southwest Power Pool, Inc. (SPP) TCR system and its user...

Page 1: Southwest Power Pool manual_v6.1... · 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

Southwest Power Pool

Transmission Congestion Rights

TCR System Market Participant User Manual

Version 6.1

Last Updated: April 19, 2017

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TCR System Market Participant User Manual

© Nexant, Inc. P a g e | ii Version 6.1

Copyright 2012-2017 Nexant, Inc. All rights reserved.

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TCR System Market Participant User Manual

© Nexant, Inc. P a g e | iii Version 6.1

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.

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TCR System Market Participant User Manual

© Nexant, Inc. P a g e | iv Version 6.1

Revision History

Version Description Revised by Issued Date Effective Date

1.0 Initial Draft Nexant October 31, 2012 July 1, 2013

2.0 Initial Review TCR Team October 31, 2012 November 1, 2013

3.0 LTCR Update Nexant September 31, 2014 January 5, 2015

3.1 LTCR Update after review by SPP team

Nexant November 14, 2014 January 5, 2015

3.2 Update TCR Team December 11, 2014 January 19, 2015

3.3 Additional LTCR Updates after review by SPP team

Nexant January 16, 2015 January 19, 2015

3.4 Update TCR Team February 2, 2015 February 2, 2015

4.0 Transitional Allocation Update

Nexant May 10, 2015 July 1, 2015

4.1 - MUI download format update - Add description of nomination/bid portfolio submission and retraction confirmation

Nexant August 18, 2015 September 29, 2015

5.0 - Add initial ILTCR Nomination Editor - Update LTCR Nomination Editor to include ILTCR nomination - Add MUI private downloads for initial ILTCR allocations - Update MUI private downloads for LTCR allocations to include ILTCRs

Nexant February 9, 2016 May 26, 2016

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Version Description Revised by Issued Date Effective Date

6.0 - Add EESL validation to third round nomination in an annual ARR allocation and to bid in an annual or monthly auction - Add EESL download - Add Allocation Summary download - Add Submit button to LTCR/Initial ILTCR Nomination Editor and Bid Portfolio Editor - Change status from ‘New’ to ‘New – not saved’ for LTCR and initial ILTCR portfolio

Nexant September 9, 2016 January 5, 2017

6.1 Update SPP Portal Website to include Internet Explorer 11

Nexant April 19, 2017 April 19, 2017

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TABLE OF CONTENTS

1. Overview of this User Manual ....................................................................................................... 1 2. Introduction ................................................................................................................................... 2 2.1 What is an ARR? ....................................................................................................................... 2 2.2 What is a TCR? .......................................................................................................................... 2 2.3 What is an LTCR?...................................................................................................................... 3 2.4 What is an ILTCR?..................................................................................................................... 3 2.5 SPP TCR System ...................................................................................................................... 3 2.6 Interfacing with SPP TCR System ............................................................................................. 4 2.7 Who is this User’s Manual for? .................................................................................................. 4 3. SPP TCR System Overview.......................................................................................................... 6 3.1 Overview .................................................................................................................................... 6 3.2 TCR System Components ......................................................................................................... 6 3.3 Long-term (LTCR) Allocation Time Line .................................................................................... 7 3.4 Initial ILTCR Allocation Time Line .............................................................................................. 8 3.5 ARR Allocation Time Line .......................................................................................................... 9 3.6 TCR Auction Time Line .............................................................................................................. 9 4. SPP Portal Web Site ................................................................................................................... 11 4.1 Portal Navigation...................................................................................................................... 11 4.2 Accessing the SPP Portal ........................................................................................................ 11 4.3 TCR System Interface ............................................................................................................. 12

4.3.1 TCR System Basics ....................................................................................................... 12 4.3.2 Access to the TCR System ............................................................................................ 12 4.3.3 TCR System Interfaces .................................................................................................. 12

4.4 TCR System Web Pages ......................................................................................................... 16 4.5 Overview of the TCR Interface ................................................................................................ 18 4.6 Functions of the TCR Interface ................................................................................................ 18 5. LTCR Nomination Portfolio List and LTCR Nomination Editor ................................................... 20 5.1 Overview of the LTCR Nomination Portfolio List and LTCR Nomination Editor ...................... 20 5.2 Available Nomination Portfolio Information on the ILTCR/LTCR Nomination ......................... 20 5.3 Available Nomination Information on the LTCR Nomination Editor ......................................... 20 5.4 LTCR Nomination Portfolio List and LTCR Nomination Editor Functions ............................... 21

5.4.1 View Data ....................................................................................................................... 28 6. LTCR Nomination Editor Features .............................................................................................. 32 6.1 Paging Mechanism .................................................................................................................. 33 6.2 Editor Actions ........................................................................................................................... 35 6.3 Role Based Access Control within the LTCR Editor ................................................................ 38 7. Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor .............................. 41 7.1 Overview of the Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor . 41 7.2 Available Nomination Portfolio Information on the ILTCR/LTCR Nomination ......................... 41 7.3 Available Nomination Information on the initial ILTCR Nomination Editor .............................. 41 7.4 Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor Functions .......... 42

7.4.1 View Data ....................................................................................................................... 46 8. Initial ILTCR Nomination Editor Features ................................................................................... 48 8.1 Paging Mechanism .................................................................................................................. 48 8.2 Editor Actions ........................................................................................................................... 49 8.3 Role Based Access Control within the Initial ILTCR Editor ..................................................... 52 9. ARR Nomination MUI Editor ....................................................................................................... 54 9.1 Overview of the ARR Nomination Editor ................................................................................. 54 9.2 Available Nomination Information on the Nomination Editor ................................................... 54 9.3 ARR Nomination Editor Functions ........................................................................................... 54

9.3.1 View Data ....................................................................................................................... 57

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10. ARR Nomination Editor Features ................................................................................................ 60 10.1 Paging Mechanism .................................................................................................................. 61 10.2 Editor Actions ........................................................................................................................... 65 10.3 Round 3 Nomination Editor ...................................................................................................... 67 10.4 Role Based Access Control within the ARR Editor .................................................................. 72 11. Managing TCR Portfolios ............................................................................................................ 74 11.1 Overview of A TCR Portfolio .................................................................................................... 74 11.2 Valid TCR Portfolio .................................................................................................................. 74 11.3 Managing Auction Portfolios on the Private TCR Interface ..................................................... 77

11.3.1 View Existing Portfolios .................................................................................................. 79 11.3.2 Create Auction Portfolios by File Upload ....................................................................... 80 11.3.3 Download Portfolios ....................................................................................................... 82 11.3.4 Delete Portfolios ............................................................................................................. 82 11.3.5 Submit Portfolios to Auction ........................................................................................... 82 11.3.6 Retract Portfolios from Auction ...................................................................................... 86 11.3.7 Auction Portfolio Statuses .............................................................................................. 87

12. Managing TCR Bids .................................................................................................................... 89 12.1 Overview of TCR Bids ............................................................................................................. 89 12.2 Valid TCR Bids ......................................................................................................................... 89 12.3 Portfolio Editor ......................................................................................................................... 90 12.4 Managing TCR Bids/Sell Offers/Self-converting ARRs with the Portfolio Editor ..................... 98

12.4.1 View Existing Portfolios .................................................................................................. 98 12.4.2 Add TCR Buy Bids ......................................................................................................... 98 12.4.3 Add TCR Sell Offers....................................................................................................... 98 12.4.4 Add Self-converting ARRs ............................................................................................. 99 12.4.5 Modify TCR Bids/TCR Sell Offers/Self-converting ARRs ............................................ 100 12.4.6 Delete TCR Bids/TCR Sell Offers/Self-converting ARRs ............................................ 101 12.4.7 Save TCR Bids/TCR Sell Offers/Self-converting ARRs in the Portfolio ...................... 101

12.5 Role Based Access Control with TCR Bid Portfolios ............................................................. 101 13. Trading in Secondary Market .................................................................................................... 104 13.1 Overview of Secondary Market .............................................................................................. 104 13.2 Accessing the Secondary Market .......................................................................................... 104 13.3 Secondary Market Public posting display .............................................................................. 106

13.3.1 Posting a Secondary Market Trade ............................................................................. 109 13.3.1.1 Go to Offers ......................................................................................................... 109 13.3.1.2 Submit a Buy Offer ............................................................................................... 110 13.3.1.3 Submit a Sell Offer ............................................................................................... 115

13.3.2 Accepting a Secondary Market Trade.......................................................................... 119 13.3.2.1 Responding to a “Buy Bid” posting ...................................................................... 119 13.3.2.2 Responding to a “Offer to Sell” posting................................................................ 125

13.3.3 Secondary Market Trade Activity Flows....................................................................... 132 13.4 Role Based Access Control within the TCR Secondary Market ............................................ 137 14. Public and Private Downloads .................................................................................................. 138 14.1 Available Public Information on the TCR Download Interface ............................................... 138

14.1.1 Download and View General Data ............................................................................... 139 14.1.1.1 Download and view the Existing TCRs in XML or CSV formats .......................... 140 14.1.1.2 Selecting a model to download ............................................................................ 142

14.1.2 Download and View Network Data .............................................................................. 142 14.1.2.1 Download and view Contingencies in XML or CSV formats ................................ 143 14.1.2.2 Download and view Flowgates in XML or CSV formats ...................................... 144 14.1.2.3 Download and view Monitored Branches in XML or CSV formats ...................... 145 14.1.2.4 Download and view Parallel Flows in XML or CSV formats ................................ 146 14.1.2.5 Download and view Scheduled Outages in XML or CSV formats ....................... 148

14.1.3 Download and View Market Data ................................................................................. 149

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14.1.3.1 Download and view Sources and Sinks data in XML or CSV formats ................ 149 14.1.3.2 Download and view Base Loading TCRs data in XML or CSV formats .............. 150 14.1.3.3 Download and view Electrically Equivalent Settlement Location data in XML or CSV

formats ................................................................................................................. 152 14.1.4 Download and View Results (Allocation) Data ............................................................ 153

14.1.4.1 Download and view Binding Constraints in XML or CSV formats ....................... 154 14.1.5 Download and View Results (Auction) Data ................................................................ 156

14.1.5.1 Download/view Auction Clearing Prices in XML or CSV formats ........................ 157 14.1.5.2 Download and view Results for an auction in XML or CSV formats .................... 158 14.1.5.3 Download/view Auction Binding Constraints in XML or CSV formats ................. 160

14.1.6 Download and View Historical Nomination/Bid Information ......................................... 161 14.1.6.1 Download and view Historical Bid and Offers Data for an auction ...................... 162 14.1.6.2 Download and view Historical Nomination Data for an allocation ....................... 163

14.2 Available Private Information on the TCR Download Interface ............................................. 164 14.2.1 Private General Data Downloading and Viewing ......................................................... 165

14.2.1.1 Download and view existing ARRs in XML or CSV formats ................................ 166 14.2.1.2 Download and view existing TCRs in XML or CSV formats ................................ 167

14.2.2 Private Long-term (LTCR) Allocation Market Data Downloading and Viewing ........... 169 14.2.2.1 Download and view Aggregated LTCRs in XML or CSV formats ........................ 169 14.2.2.2 Download and view (LTCR) Allocation Summary in XML or CSV formats .......... 171 14.2.2.3 Download and view TCRs converted from LTCRs in XML or CSV formats ........ 172 14.2.2.4 Download and view LTCR Transmission Service Reservations in XML or CSV

formats ................................................................................................................. 174 14.2.3 Private ARR Allocation Market Data Downloading and Viewing ................................. 175

14.2.3.1 Download and view Aggregated ARRs in XML or CSV formats ......................... 175 14.2.3.2 Download and view (ARR) Allocation Summary in XML or CSV formats ........... 177 14.2.3.3 Download and view Transmission Service Reservations in XML or CSV formats179

14.2.4 Long-term (LTCR) Allocation Results Data Downloading and Viewing ....................... 180 14.2.4.1 Download and view Long-term (LTCR) Allocation Results in XML or CSV formats

181 14.2.5 ARR Allocation Results Data Downloading and Viewing ............................................. 182

14.2.5.1 Download and view ARR Allocation Results in XML or CSV formats ................. 183 14.2.6 TCR Auction Results Data Downloading and Viewing ................................................ 185

14.2.6.1 Download and view TCR Bids and Offers Results in XML or CSV formats ........ 186 14.2.6.2 Download and view Self-converted ARRs ........................................................... 187

14.2.7 Private Initial ILTCR Allocation Market Data Downloading and Viewing ..................... 188 14.2.7.1 Download and view Aggregated Initial ILTCRs in XML or CSV formats ............. 189 14.2.7.2 Download and view TCRs converted from Intitial ILTCRs in XML or CSV formats190 14.2.7.3 Download and view initial ILTCR Transmission Service Reservations in XML or CSV

formats ................................................................................................................. 191 14.2.8 Initial ILTCR Allocation Results Data Downloading and Viewing ................................ 192

14.2.8.1 Download and view Initial ILTCR Allocation Results in XML or CSV formats ..... 193 15. Message Board ......................................................................................................................... 195 15.1 Overview of the Message board ............................................................................................ 195 15.2 Public and Private Message Board........................................................................................ 195

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ABBREVIATIONS AND ACRONYMS

AO Asset Owner ARR Auction Revenue Right CARR Candidate ARR CMS Credit Management System CSV Comma Separated Values DB Database EMS Energy Management System GUI ILTCR

Graphical User Interface Incremental Long-term Congestion Right

LTCR Long-Term Congestion Right MOI Market Operator Interface MP Market Participant MUI Market User Interface NITS Network Integration Transmission Service OATT Open Access Transmission Tariff OASIS Open Access Same-Time Information

System OTDF Outage Transfer Distribution Factor PAR Phase Angle Regulator PTDF Power Transfer Distribution Factor PTP Point to Point TCR TCR Transmission Congestion Right XML Extensible Markup Language

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1. Overview of this 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, ILTCRs, LTCRs, the SPP Long-term, Initial ILTCR and 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 nominations of Candidate LTCRs and Candidate ILTCRs via the Private TCR interface

Initial ILTCR Nomination Editor describes how to manager nominations of

Candidate Initial ILTCRs 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.

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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. On a regular basis, SPP will conduct studies annually and monthly to allocate ARRs based on nominations from transmission service reservations and grandfathered agreements. As needed, SPP will conduct transitional allocation studies to allocate ARRs based on nominations from transmission service reservations and grandfathered agreeements. Thus, the Asset Owner can acquire an ARR from three sources:

The Annual ARR Allocation

The Transitional 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 Long-term Allocation 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.

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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.

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 evaluate allocated LTCRs and allocate new LTCRs. An Asset Owner can acquire an LTCR from the following source:

The Annual Long-term (LTCR) Allocation

2.4 What is an ILTCR?

An Incremental Long-term Congestion Right (ILTCR) is the right awarded to entities for applicable Sponsored Upgrades at the time the upgrades go into service. If the upgrades occur after the Annual Long-term Allocation for the coming or current annual LTCR period, the ILTCRs will be awarded from an initial ILTCR allocation. The initial ILTCRs will be evaluated for allocation in the next annual LTCR allocation. Asset Owners with candidate ILTCRs will be eligible to renew the ILTCR in the round 1 and nominate the incremental ILTCR MW in round 2 of the Annual Long-term Allocation.

2.5 SPP TCR System

The SPP TCR system is used to conduct Initial ILTCR allocation, Long-Term (ILTCR/LTCR) allocations, ARR allocations and 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 ILTCRs/LTCRs on the TCR System Market User Interface (MUI).

Obtain information about the two ILTCR/LTCR nomination rounds (Round 1 and

Round 2) including both the details and summaries for the most relevant indicators.

Download and upload the candidate ILTCR/LTCR list for a round and set the

nominated MW.

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View full description of his/her candidate ILTCRs/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

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

2.6 Interfacing with SPP TCR System

Asset Owners access the SPP TCR system through a web-based interface termed the SPP portal.

2.7 Who is this User’s Manual for?

This User’s Manual is intended for use by SPP ILTCR, LTCR, ARR and TCR Asset Owners to aid them in performing the following tasks:

View and download the public existing TCRs

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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 =ARRs and TCRs specific to that Asset Owner.

View and download private information such as Asset Owner specific aggregated ILTCRs/LTCRs, TCRs converted from ILTCRs/LTCRs, transmission service reservations and ILTCR/LTCR nominations and allocation results.

View and download private information such as Asset Owner specific aggregated initial ILTCRs, TCRs converted from initial ILTCRs, transmission service reservations and ILTCR nominations and allocation results for an initial allocation.

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

Manage, download and upload nomination information about PTP and NITS Candidate ILTCRs/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

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3. SPP TCR System Overview

3.1 Overview

The TCR System was designed to allow Asset Owners to participate in the SPP LTCR and ARR allocations, TCR auction and TCR Secondary Market. Asset Owners can use the web-based TCR system to nominate for ILTCRs/LTCRs/ARRs, purchase, sell, or bilaterally trade TCRs. SPP conducts an initial ILTCR allocation (when there is/are transmission upgrades), a Long-Term (LTCR) allocation, an annual ARR allocation/TCR auction process (for four months and three seasons), a transitional ARR allocation as needed (for the desired seasons/months) 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 request 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 (annual, transitional or monthly)/TCR auction (annual or monthly) two separate runs are performed - one for the On-Peak case and one for the Off-Peak case. Definitions of On-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 an Asset Owner 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

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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 ILTCR/LTCR nominations to a Long-Term (LTCR) allocation

Asset Owners to manage and submit their Candidate Initial ILTCR

nominations to an initial ILTCR 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.

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A defined time-period, wherein Asset Owners select to renew or decline previous year ILTCRs/LTCRs for the first round of the Long-Term (LTCR) allocation process.

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 ILTCRs/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.

Upon the completion of round 2 of the Long-term allocation,

o Aggregated ILTCRs/LTCRs are created from combining ILTCRs/LTCRs awarded for the same path, LSE/Non-LSE, PTP/NITS service type and asset owner from both rounds of the Long-term allocation.

o Aggregated ILTCRs/LTCRs are converted to TCRs for the 4 monthly and

3 seasonal periods of the particular planning year and On-Peak and Off-Peak time-of-uses.

3.4 Initial ILTCR Allocation Time Line

SPP will initiate, direct and oversee the initial ILTCR allocations when there are transmission upgrades. An initial ILTCR allocation may be conducted to award initial ILTCRs for various effective start dates and end dates for a 24-Hour time-of-use right. There is only one round for the initial ILTCR allocation process and the timeline incorporates the following steps:

Transmission Service Reservations are posted when the market operator initiates the initial ILTCR allocation process. Note that there are no network and market files published for the public downloads for the initial ILTCR allocation.

A defined time-period, wherein Asset Owners submit MW nominations for the

Candidate Initial ILTCRs for the first round of the Initial ILTCR allocation process to acquire the initial ILTCRs.

The SPP market operator reviews and modify the MW or effective start or end dates of the initial ILTCR nominations if required prior to posting the results. No allocation study is performed.

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Results are posted at the conclusion of the initial ILTCR allocation.

Upon the completion of the initial ILTCR allocation,

o ILTCRs and Aggregated ILTCRs are created for each initial ILTCR nominations with awarded MW.

o Aggregated ILTCRs are converted to TCRs for monthly and/or seasonal

periods of the aggregated ILTCRs’ effective dates and On-Peak and Off-Peak time-of-uses.

3.5 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 On-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. As needed, a transitional allocation (comprising the desired seasons/months for the On-Peak and Off-Peak times-of-use) will be performed by SPP. In addition, monthly allocations (On-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 transitional/monthly allocation processes, 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.

3.6 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 On-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/multi-

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round monthly auctions (On-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:

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 multi-round auction).

Auction results are posted at the conclusion of the auction round.

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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, 10.0 and 11.0 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:

https://marketplace.spp.org/ 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.

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4.3 TCR System Interface

4.3.1 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.

4.3.2 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.

4.3.3 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.

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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:

ILTCR/LTCR Nomination Editor that permits Asset Owners to submit nominations to the initial ILTCR allocation or the Long-Term (LTCR) allocation and view the allocated MW when the results are available.

o View round nomination cap, nomination and allocation summaries for

the various types of entitlements (i.e. ILTCR, PTP-Non-LSE, PTP-LSE, NITS-LSE).

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.

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.

o Filter, download, upload or view candidate ILTCR data (if available) for

a Long-Term (LTCR) allocation market and modify nominated MW values for those candidate ILTCRs

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o Filter or download the list of candidate ILTCRs/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, transitional or monthly allocations and view the allocated MW when the results are available.

o View total On-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, transitional 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, transitional 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 self-converted 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

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o General data, which consists of the list of ARRs and TCRs owned by Asset Owners.

o Market data, which consists of the list of Aggregated LTCRs, TCRs

converted from LTCRs, Aggregated Initial ILTCRs, TCRs converted from initial ILTCRs, Transmission Service Reservations for Long-term, Initial ILTCR and ARR Allocations, and Aggregated ARRs owned by Asset Owners.

o Private Allocation data, which consists of the results of the multi-round

annual Long-Term (LTCR) allocation, initial ILTCR allocation, annual or single round transitional/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.

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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.

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· View, Create, Download, Upload and Delete Bid

Portfolios

· Submit Bid Portfolios to Auctions

· Retract Bid Portfolio from Being Submitted to Auctions

· View, Edit, Create, Delete, Upload and Download Bids/

Offers/Self-converting ARRs

· Download and View Error Messages

· Download Aggregated ARRs

· Download Aggregated LTCRs (and ILTCRs)

· Download Aggregated Initial ILTCRs

· Download TSRs

· Download TCRs Converted from LTCRs (and ILTCRs)

· Download TCRs Converted from Initial ILTCRs

· View Nomination Summary Information

· View, Download and Upload Candidate ARRs

· Edit Nominated MW of Candidate ARRs

· Create ARR Nominations (in Round 3 of Annual

Allocation only)

Public Downloads

Network

Market

Results

Public TCR Interface Private TCR Interface

· Download Contingencies

· Download Flowgates

· Download Monitored lines and

transformers

· Download Network model in bus/branch

model

· Download Parallel flows

· Download Scheduled outages

Public Messages

· View public messages

Private Messages

· View private messages

Historical

General

· Download Existing TCRs

· Download Source / sink data

· Download Base loading TCRs

· Download Round source / sink auction

clearing prices

· Download Round binding constraints

· Download Round TCR results

· Download historical bid data

· Download historical nomination data

ARR Nominations

Private Downloads

Market

General

· Download Existing TCRs

· Download Existing ARRs

Results

Secondary Market

Secondary Market

·

View Secondary Market Buy/Sell Listing

· View, post and accept Secondary Market Buy/Sell

trades

· Download Round LTCR Allocation Results

· Download Initial ILTCR Allocation Results

· Download Round ARR Allocation Results

· Download Round Bids and Offers Results

· Download Self-converting ARRs Results

TCR Bids/ TCR Offers/ Self-converting ARRs

ILTCR/LTCR Nominations

Initial ILTCR Nominations

· View Nomination Summary Information

· View, Download and Upload Candidate ILTCRs/LTCRs

· Edit Nominated MW of Candidate ILTCRs/LTCRs

· Submit ILTCRs/LTCRs Portfolio to Allocation

· View, Download and Upload Candidate Initial ILTCRs

· Edit Nominated MW of Candidate Initial ILTCRs

· Submit Initial ILTCRs Portfolio to Allocation

Figure 1 TCR System Web Pages for the Public and Private TCR Interfaces

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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:

ILTCR/LTCR Nominations – link to ILTCR/LTCR Nomination Editor or Initial ILTCR 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

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Figure 2 Functions of the TCR Interface

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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. An asset owner can nominate ILTCRs and/or LTCRs only if its commercial model and transmission service reservation(s) are effective for the entire period of the LTCR allocation. The focus of this chapter is how to nominate, view, download, and upload candidate ILTCRs/LTCRs as well as submit/retract the ILTCR/LTCR nomination portfolio to the credit management system via the ILTCR/LTCR Nomination Market User Interface.

5.2 Available Nomination Portfolio Information on the ILTCR/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. Filter, download, view or upload Candidate LTCRs under the category ILTCR in CSV format.

4. Modify the Nominated MW for Candidate LTCRs under the category PTP.

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5. Modify the Nominated MW for Candidate LTCRs under the category NITS. 6. Modify the Nominated MW for Candidate ILTCRs under the category ILTCR. 7. View or download the error messages from validations of Candidate

ILTCRs/LTCRs upload or modification of Candidate ILTCR/LTCR nominated MW

5.4 LTCR Nomination Portfolio List and LTCR Nomination Editor Functions

ILTCR/LTCR Nominations is comprised of LTCR Nomination Portfolio List page and LTCR Nomination Editor page (if the selected market is a Long-term allocation) or Initial ILTCR Nomination Portfolio List page and Initial ILTCR Nomination Editor page (if the selected market is an initial ILTCR allocation). 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. For asset owners that have entitlements to participate in an initial ILTCR allocation, the drop-down box will also contain a list of the qualified initial ILTCR allocation.

Step 2: Select the round associated with the Long-Term (LTCR) allocation market from the drop-down box underneath the heading “Round”. The drop-down box will contain a list of applicable rounds for the Long-Term (LTCR) allocation market. See

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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

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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 [AssetOwnerName]-LTCR_[PlanningAllocationYear]R[RoundID]. For example, a portfolio bearing the name “ABCD-LTCR_2016-2017R2” is the portfolio for an Asset Owner named “ABCD”. The portfolio is to be submitted to Round 2 of the Long-Term (LTCR) allocation for the planning year 2016-2017. See Figure 4. Once a portfolio is created by the system, it undergoes the following transitions of status : New – note saved: Portfolio of Candidate LTCRs has been created, but

nominations have not been made or validated. The portfolio must be saved for its status to be changed to Valid (Not submitted) or Error.

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.

Error: 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.

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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

The CSV link under the Download column allows the asset owner to download the portfolio of Candidate ILTCRs/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 – not saved” 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 ILTCRs/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.

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Figure 5 LTCR Nomination Portfolio with Valid (Not Submitted) Status

When the user clicks the “Submit” button, the system will prompt a small window for the user to confirm if the user wants to submit the portfolio. Once the submission is confirmed, the Status of the portfolio 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.

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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, the system will prompt a small window for the user to confirm if the user wants to retract the portfolio. Once the retraction is confirmed, 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 ILTCR/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 ILTCR/LTCR MW (available in Round 1) or renewal ILTCR/LTCR MW (available in Round 2) and Candidate ILTCR/LTCR data for the selected LTCR allocation market and round. See Figure 7.

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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: Nomination Cap for the set of entitlements for

the Asset Owner for this round of this Long-Term (LTCR) Allocation, per SPP Market Protocols.

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Round Nomination: MW nominated by the Asset Owner in this round of the Long-Term (LTCR) Allocation market.

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: ILTCR: Incremental Long-term TCR type of entitlement

in this round of the Long-term (LTCR) Allocation market.

PTP-LSE: Point to Point (PTP) type of entitlement for the

LSE category in this round of the Long-Term (LTCR) Allocation market.

NITS-LSE: Network Integration Transmission Service

(NITS) type of entitlement for the LSE category in this round of the Long-Term (LTCR) Allocation market.

PTP-Non-LSE: 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.

5.4.1 View Data

By selecting PTP, NITS or ILTCR tab, the display window will show the corresponding data showing all of the details for candidate ILTCRs/LTCRs of each type as shown in Figure 8. The columns of the display for the PTP, NITS and ILTCR tabs in Round 1 are:

Status – Current status of the Candidate ILTCR/LTCR. It bears the values of “Valid” or “Error”. The latter status indicates an invalid Candidate ILTCR/LTCR which will prohibit the entire portfolio from being submitted to the LTCR Allocation process.

Candidate ID – ID of the candidate ILTCR/LTCR belonging to the Asset

Owner. This is automatically generated by the system.

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Entitlement MW – The MW associated with the Entitlement.

Previous Year LTCR MW – MWs from the previous year’s aggregated

ILTCR/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.

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 ILTCRs/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 ILTCR/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

ILTCR/LTCR record.

Source – Name of the source associated with the Candidate ILTCR/LTCR record.

Sink – Name of the sink associated with the Candidate ILTCR/LTCR record.

LSE/Non-LSE – LSE/Non-LSE designation associated with the Candidate

LTCR record. This column is not available under ILTCR tab. The columns of the display for the three tabs in Round 2 are:

Status – Current status of the Candidate ILTCR/LTCR. It bears the values of “Valid” or “Error”. The latter status indicates an invalid Candidate ILTCR/LTCR which will prohibit the entire portfolio from being submitted to the Long-term (LTCR) Allocation process.

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Candidate ID – ID of the candidate ILTCR/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 ILTCR/LTCR MW, while for all other entitlements, it is equal to the entitlement MW.

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 ILTCR/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

ILTCR/LTCR record.

Source – Name of the source associated with the Candidate ILTCR/LTCR record.

Sink – Name of the sink associated with the Candidate ILTCR/LTCR record.

LSE/Non-LSE – LSE/Non-LSE designation associated with the Candidate

LTCR record. This column is not available under ILTCR tab.

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Figure 8 PTP, NITS or ILTCR tab display

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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 three displays – PTP, NITS and ILTCR. These three 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 PTP tab is highlighted.

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Figure 9 PTP tab highlighted

6.1 Paging Mechanism

The LTCR Nomination Editor has a feature of presenting the data in manageable sizes for the PTP, NITS or ILTCR 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

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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

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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 ILTCR/LTCR nominations is shown below in Figure 12. Columns Service Type and LSE/Non_LSE are blank for candidate ILTCRs. The last column indicates whether the nomination is for LTCR or ILTCR. This function is only available to the user with a “submit” (READ_WRITE) role prior to the end of the nomination window.

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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 which ILTCR/LTCR nomination 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

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nomination in the upload file fails the data validations or the total nominated MW exceeds the global round cap, all ILTCR/LTCR nominations in the upload file are NOT saved.

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 during the nomination window. Validation of the nominations is conducted during the save operation and errors are immediately reported to the user on the screen.

Submit – This button is used to submit the LTCR nomination portfolio to the

designated Long-Term (LTCR) allocation. If some of nominations are edited prior to this button being clicked, those nominations will be validated and saved before the portfolio is processed for the submission. If the portfolio validations and submission are successful, the portfolio will be sent to the Credit Management System for a credit evaluation and the portfolio list page will be displayed to show the portfolio with ‘Pending Credit Check’ status. If the portfolio validations or submission process fail, an error message will be prompted and the LTCR nomination editor will still be displayed. This button is available to the user with a “submit” (READ_WRITE) role during the nomination window.

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.

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Data Refreshing – The editor page can be refreshed by using refresh icon on

the bottom of the editor as shown in Figure 15.

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 ILTCRs/LTCRs in a Long-Term (LTCR) Allocation.

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Submit Role (READ_WRITE) Access A user with submit role is allowed to perform the following tasks as seen in Figure 15.

1. View the Candidate ILTCRs/LTCRs associated with the Asset Owner 2. Nominate MW for each of the Candidate LTCRs by entering MW on the editor or

uploading the nominations using Upload icon. The upload icon is available only for Submit Role access and when the nomination window is open and the status of the portfolio is either in ‘Valid (Not Submitted)’ or ‘Error’.

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. The save icon is available only for Submit Role access and when the nomination window is open and the status of the portfolio is either in ‘Valid (Not Submitted)’ or ‘Error’.

5. Submit the portfolio of LTCR Nominations to a Long-Term (LTCR) Allocation, using the Submit button on the LTCR Nomination Editor page or 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 ILTCRs/LTCRs associated with the Asset Owner. The view role differs from the submit role in that the user is not afforded the opportunity to save or upload ILTCR/LTCR nominations to the allocation, as evidenced by the absence of the Upload and Save icons in the LTCR Nomination Editor. In addition, the Submit button on the LTCR Nomination Editor page or the LTCR Portfolios list page is also not available to a user with the View role.

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Figure 16 LTCR Nomination Editor for a User with View Role

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7. Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor

7.1 Overview of the Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor

The Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor are accessible through menu “ILTCR/LTCR Nomination” only by those Asset Owners who are authorized to participate in the applicable initial ILTCR Allocation market. An Asset Owner can nominate ILTCRs only if its transmission upgrade(s) is in the commercial model and when the upgrade(s) is in service. The focus of this chapter is how to nominate, view, download, and upload candidate initial ILTCRs as well as submit/retract the initial ILTCR nomination portfolio to the credit management system via the ILTCR/LTCR Nomination Market User Interface.

7.2 Available Nomination Portfolio Information on the ILTCR/LTCR Nomination

For each initial ILTCR allocation, there is only one LTCR nomination portfolio pre-created by the system. The users can:

1. View status of the initial ILTCR nomination portfolio 2. Download the initial ILTCR nomination portfolio 3. Submit the initial ILTCR nomination portfolio to the initial ILTCR allocation 4. Retract the initial ILTCR nomination portfolio from being submitted to the initial

ILTCR allocation 5. View or download the reason that the initial ILTCR nomination portfolio

submission is disapproved by the CMS.

7.3 Available Nomination Information on the initial ILTCR Nomination Editor

The initial ILTCR Nomination Editor is available to SPP Asset Owners and reflects data specific to that Asset Owner only. For each initial ILTCR allocation market, users can:

1. Filter, download, view or upload Candidate Initial ILTCRs in CSV format. 2. Modify the Nominated MW for Candidate Initial ILTCRs. 3. View or download the error messages from validations of Candidate Initial

ILTCRs upload or modification of Candidate Initial ILTCR nominated MW

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7.4 Initial ILTCR Nomination Portfolio List and Initial ILTCR Nomination Editor Functions

ILTCR/LTCR Nominations is comprised of LTCR Nomination Portfolio List page and LTCR Nomination Editor page (if the selected market is a Long-term allocation) or Initial ILTCR Nomination Portfolio List page and Initial ILTCR Nomination Editor page (if the selected market is an initial ILTCR allocation). The following steps should be used to access the initial ILTCR Nomination Editor.

Step 1: Select ILTCR/LTCR Nominations menu and select an initial ILTCR allocation market from the drop-down box underneath the heading “Market”. The drop-down box will contain a list of the Long-Term (LTCR) and/or Initial ILTCR allocation markets. See Figure 17. For Asset Owners that have entitlements to participate in an initial ILTCR allocation, the drop-down box will also contain a list of the qualified initial ILTCR allocation.

Step 2: There is always only “Round 1” in the drop-down box underneath the heading “Round” for an initial ILTCR allocation. In order to see the information linked to the selected initial ILTCR allocation market, click the GO control button next to the “Round” drop-down box. See Figure 17. To the right of the selection boxes, the effective start and end dates of the chosen initial ILTCR Allocation Market are NOT listed because there is no specific period defined for the initial ILTCR allocation. Candidate initial ILTCRs in the portfolio may have various start and end effective dates (depending on when the transmission upgrades become effective). Further to its right, the nomination window with the open and close dates is listed.

Figure 17: Initial ILTCR Nomination Portfolio List Interface Steps 1 – 3

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Step 3: A system generated portfolio (containing Candidate Initial ILTCRs) will be displayed, once the user clicks the GO control button in the previous step. Only one portfolio is created for an initial ILTCR allocation market. The auto-generated portfolio name follows the pattern of [AssetOwnerName]-[InitialAllocationName]. For example, a portfolio bearing the name “ABCD-InitialILTCRAllocation2016” is the portfolio for a Asset Owner named “ABCD”. The portfolio is to be submitted to the initial ILTCR allocation. Once a portfolio is created by the system, it undergoes the following transitions of status : New – not saved: Portfolio of Candidate Initial ILTCRs has been created,

but nominations have not been made or validated. Valid (Not submitted): Candidate Initial ILTCRs nominations have been made

and they are in compliance with nomination caps. The portfolio has not yet been submitted to the initial ILTCR allocation.

Invalid: Candidate Initial ILTCRs nominations have been made but they are not in compliance with nomination caps. The portfolio cannot be submitted to the initial ILTCR 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.

The CSV link under the Download column allows the Asset Owner to download the portfolio of Candidate Initial ILTCRs for this round of the initial ILTCR allocation market. A sample file is shown in Figure 23. When the initial ILTCR portfolio advances from “New” to “Valid (Not Submitted)” status, as shown in Figure 18, 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 initial ILTCRs can be saved before the nomination window is open. However, the portfolio cannot be submitted to the initial ILTCR allocation until the nomination window is open.

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Figure 18 Initial ILTCR Nomination Portfolio with Valid (Not Submitted) Status

When the user clicks the “Submit” button, the system will prompt a small window for the user to confirm if the user wants to submit the portfolio. Once the submission is confirmed, the Status of the portfolio 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 19, for the user to download the reason why the portfolio is rejected.

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Figure 19 Initial ILTCR 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 17. Clicking on the “Retract” button, the system will prompt a small window for the user to confirm if the user wants to retract the portfolio. Once the retraction is confirmed, 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 initial ILTCR nominations can be modified.

Step 5: To navigate to the on line screens for the initial ILTCR Nomination Editor, click the link associated with the portfolio name. The resulting screen will reflect the entitlement and Candidate Initial ILTCR data for the selected initial ILTCR allocation market and round. See Figure 20.

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Figure 20 LTCR Nomination > LTCR Editor Step 5

The following tasks illustrate the functions and corresponding information available via the Nomination Interface.

7.4.1 View Data

The columns of the display for the initial ILTCR nomination editor are:

Status – Current status of the Candidate Initial ILTCR. It bears the values of “Valid” or “Error”. The latter status indicates an invalid Candidate Initial ILTCR which will prohibit the entire portfolio from being submitted to the initial ILTCR Allocation process.

Candidate ID – ID of the candidate initial ILTCR belonging to the Asset

Owner. This is automatically generated by the system.

Entitlement MW – The MW associated with the Entitlement.

Nominated MW – MWs nominated by the Asset Owner.

Allocated MW – MWs allocated for this Candidate Initial ILTCR after Round 1 is posted.

Entitlement ID –ID of the Entitlement belonging to the Asset Owner.

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Asset Owner – Name of the Asset Owner associated with the Candidate Initial ILTCR record.

Source – Name of the source associated with the Candidate Initial ILTCR

record.

Sink – Name of the sink associated with the Candidate Initial ILTCR record.

Start Date – Start effective date of the Candidate Initial ILTCR. End Date - End effective date of the Candidate Initial ILTCR.

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8. Initial ILTCR Nomination Editor Features

Initial ILTCR Nomination Editor has only one tab named ILTCR. The following sections describe features of the initial ILTCR nomination editor.

8.1 Paging Mechanism

The initial ILTCR Nomination Editor has a feature of presenting the data in manageable sizes. 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 21. 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 22 and the arrow is disabled when the first block of records is reached.

Figure 21 Right arrow on the initial ILTCR Nomination Editor displays

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Figure 22 Left arrow on the Initial ILTCR Nomination Editor displays

8.2 Editor Actions

The Initial ILTCR Nomination Editor allows the user to carry out seven actions 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 initial ILTCR nominations is shown below in Figure 23. This function is only available to the user with a “submit” (READ_WRITE) role prior to the end of the nomination window.

Figure 23 Initial ILTCR Nomination File

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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 which initial ILTCR nomination being modified and updates the system database with the nominated MW in the file. See Figure 24.

Figure 24 Pop-up window during upload of Initial ILTCR 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 25. When all nominations in the upload file pass the data validations, they will be saved and reflected on the initial ILTCR 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 initial ILTCR nominations in the upload file are NOT saved.

Figure 25 Error message for failed initial ILTCR 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.

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Submit – This button is used for submitting the initial ILTCR nomination portfolio to the designated initial ILTCR allocation. If some of nominations are edited prior to this button being clicked, those nominations will be validated and saved before the portfolio is processed for the submission. If the portfolio validations and submission are successful, the portfolio will be sent to the Credit Management System for a credit evaluation and the portfolio list page will be displayed to show the portfolio with ‘Pending Credit Check’ status. If the portfolio validations or submission process fail, an error message will be prompted and the initial ILTCR nomination editor will still be displayed. This button is available to the user with a “submit” (READ_WRITE) role during the nomination window.

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 23.

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 Initial ILTCR Portfolio Nomination List where the initial ILTCR 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 26.

Data Refreshing – The editor page can be refreshed by using refresh icon on

the bottom of the editor as shown in Figure 26.

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Figure 26 Action Icons on the initial ILTCR Nomination Editor displays

8.3 Role Based Access Control within the Initial ILTCR 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 initial ILTCRs in an initial ILTCR Allocation. Submit Role (READ_WRITE) Access A user with submit role is allowed to perform the following tasks as seen in Figure 26.

1. View the Candidate Initial ILTCRs associated with the Asset Owner 2. Nominate MW for each of the Candidate LTCRs by entering MW on the editor or

uploading the nominations using Upload icon. The upload icon is available only for Submit Role access and when the nomination window is open and the status of the portfolio is either in ‘Valid (Not Submitted)’ or ‘Error’.

3. Calculate if the nominated MW amounts meet the round caps, using the Refresh icon.

4. Save nominations to an initial ILTCR Allocation, using the Save icon. The save icon is available only for Submit Role access and when the nomination window is open and the status of the portfolio is either in ‘Valid (Not Submitted)’ or ‘Error’.

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5. Submit the portfolio of LTCR Nominations to an initial ILTCR Allocation, using the Submit button on the Initial ILTCR Portfolios page or the initial ILTCR nomination editor.

View Role (READ_ONLY) Access In contrast, a user with a View role is presented with the initial ILTCR Editor as seen in Figure 27. From this page the user with view role can perform only view the Candidate Initial ILTCRs associated with the Asset Owner. The view role differs from the submit role in that the user is not afforded the opportunity to save or upload initial ILTCR nominations to the allocation, as evidenced by the absence of the Upload and Save icons in the LTCR Nomination Editor. In addition, the Submit button on the Initial ILTCR Portfolios list page is also not available to a user with the View role.

Figure 27 LTCR Nomination Editor for a User with View Role

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9. ARR Nomination MUI Editor

9.1 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. An Asset Owner can nominate ARRs only if its commercial model and transmission service reservation(s) are effective for the entire period of the ARR allocation. The focus of this chapter is how to view, download, and upload nomination information via the Nomination Market User Interface.

9.2 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.

9.3 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 28.

Step 2: Select the period associated with the allocation market from the drop-down box underneath the heading “Period”. The drop-down box will contain a list of applicable periods for the allocation market. See Figure 28.

Step 3: The drop-down box underneath the heading “Round” will contain the

rounds associated with the chosen allocation market and period. See Figure 28.

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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 28.

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: Nomination Cap for the set of entitlements for the Asset

Owner for this ARR Allocation, per SPP Market Protocols. Round Nomination: MW nominated by the Asset Owner in this round of the ARR

Allocation market. Round Allocation: 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: Network Integration Transmission Service (NITS) type of

entitlement for the Off-Peak time of use in this round of the ARR Allocation market.

PTP-OFF: Point to Point (PTP) type of entitlement for the Off-Peak time

of use in this round of the ARR Allocation market. NITS-ON: Network Integration Transmission Service (NITS) type of

entitlement for the On-Peak time of use in this round of the ARR Allocation market.

PTP-ON: Point to Point (PTP) type of entitlement for the On-Peak time

of use in this round of the ARR Allocation market.

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Figure 28 Nomination > ARR Nomination Editor Functions Step 1 – Step 4

The following tasks illustrate the functions and corresponding information available via the Nomination Interface.

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9.3.1 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 29. 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 (On-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.

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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).

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Figure 29 PTP or NITS tab display

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10. 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 30 where the PTP tab is highlighted.

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Figure 30 PTP tab highlighted

10.1 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

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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 31. 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 32 and the arrow is disabled when the first block of records is reached.

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Figure 31 Right arrow on the Nomination Editor displays

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Figure 32 Left arrow on the Nomination Editor displays

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10.2 Editor Actions

The Nomination Editor allows the user to carry out six actions in Rounds 1 and 2 as shown in Figure 36 :

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 33. This function is only available to the user with a “submit” (READ_WRITE) role.

Figure 33 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 34.

Figure 34 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 35. 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

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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 35 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 33.

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 36).

Data Refreshing – The editor page can be refreshed by using refresh icon on

the bottom of the editor (see Figure 36).

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Figure 36 Action Icons on the Nomination Editor displays

10.3 Round 3 Nomination Editor

The Round 3 Nomination Editor differs significantly from the Round 1 and 2 nomination editor. In the Round 1and 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

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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 subject to Electrically Equivalent Settlement Location (EESL) restriction and nominating MW on them subject to global caps. The Round 3 Nomination Editor is shown in Figure 37. 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 and 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 and Sinks in the right central panel and clicking the “Set Sink” button.

Class – A list box to select either On-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 an Asset Owner

may wish to associate with the secondary market transaction. It can be used to store tags or IDs that Asset Owners use within their own systems.

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Figure 37 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 38.

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Figure 38 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 39. This function is only available to the user with a “submit” (READ_WRITE) role.

Figure 39 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 35. 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

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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 40.

Figure 40 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.

The validation of the source-sink path used for the nominations is specifically applied to the third round of an annual ARR allocation. Settlement locations in the same ESSL group are not allowed to be used for source and sink in the same nomination providing the time-of-use of the nomination is the same as the time-of-use of the ESSL group. Figure 41 demonstrate the error message for the EESL validation on the nomination in round 3 of an annual ARR allocation.

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Figure 41 Nomination in Round 3 fails the EESL validation

10.4 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 36.

1. 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.

View Role (READ_ONLY) Access

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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 42.

Figure 42 ARR Nomination Editor (Round 3) for a User with View Role

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11. Managing TCR Portfolios

11.1 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 Self-converted 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. An asset owner can view/create/modify/submit/retract a TCR portfolio only if its commercial model is effective for the entire period of the auction.

11.2 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 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: On-Peak (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 (decreasing) with respect to MW. Sell offer bid curves must be monotonically non-decreasing (increasing) with respect to MW. A sample buy bid curve is shown in Figure 43. A sample sell offer curve is shown in Figure 44. 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.

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MW Price ($/MW)

0 2800

100 2800

100 2000

250 2000

350 400

400 400

Figure 43 Sample Buy Bid Curve

MW Price ($/MW)

0 600

100 600

100 1000

200 2000

200 2900

400 2900

Figure 44 Sample Sell Offer Curve

0

500

1000

1500

2000

2500

3000

0 200 400 600

Bid

Pri

ce (

$/M

W)

MW

Buy Bid Curve

0

500

1000

1500

2000

2500

3000

0 200 400 600

Off

er

Pri

ce (

$/M

W)

MW

Sell Offer Curve

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A sample buy bid portfolio text file in CSV format viewed in Excel is shown in Figure 45. A sample sell offer portfolio file in CSV format is shown in Figure 46. A sample self-convert portfolio file in CSV format is presented in Figure 47.

Figure 45 Buy Bid Portfolio in CSV Format

Figure 46 Sell Offer Portfolio in CSV Format

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Figure 47 Self-Convert Portfolio in CSV Format

11.3 Managing Auction Portfolios on the Private TCR Interface

The Portfolio List web pages for “submit” and “view” roles of users are shown in Figure 48 and Figure 49, respectively.

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Figure 48 Portfolio List – Submit Role (READ_WRITE)

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Figure 49 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.

11.3.1 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 48 and Figure 49. Then the web page Portfolio Editor will pop up to

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display the detailed TCR bid information. The Portfolio Editor will be covered in detail later in next chapter.

11.3.2 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 50.

Figure 50 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 51, 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.

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Figure 51 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 45.

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 52.

Figure 52 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

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Figure 53, 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 53 Confirmation message for successful creation of a portfolio with bids

11.3.3 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.

11.3.4 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.

11.3.5 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 54 and Figure 55, submit button is available during the bidding window on the auction portfolio list page and on the bid portfolio editor. After the bidding window is closed, portfolios cannot be submitted. Only portfolios having “Valid (Not Submitted)” status can be submitted to an

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auction from the portfolio list page. Asset Owners may submit more than one portfolio to an auction from the portfolio list page. From the bid portfolio editor, the specific portfolio can be submitted to the auction. Note: A given portfolio may contain only bids and/or offers 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 54 Portfolio List – Submit to Auction Button

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Figure 55 Submit Button Available on Bid Portfolio Editor

To submit a portfolio from the portfolio list page, click the “Submit” button as

shown in Figure 54. The system will prompt a small window for the user to confirm if the user wants to submit the portfolio. Once the submission is confirmed, the selected portfolio will be validated and submitted to SPP Credit System to evaluate if the Asset Owner has enough credit to cover the submitted bids/offers.

To submit a portfolio from the bid portfolio editor, click the “Submit” button above Buy Bids/Sell Offers/Self-converting ARRs tabs as shown in Figure 55. If there are bids/offers/self-converts that are not saved, by clicking the submit button on the editor, they will be validated and saved before the portfolio is processed for submission. If the portfolio passes the submission validations and the portfolio information is successfully sent to the SPP Credit System, a message will be prompted and the portfolio list page will be loaded when the user clicks OK on

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the notification window. If one of the validations fails, an error message will be prompted and the portfolio editor will still be displayed.

The data validations performed prior to credit validation include:

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.

While the data and credit validation is performed, the status shown the portfolio list page for this portfolio is ‘Pending Credit Approval’.

When the credit approval is received from the Credit Management System, the status of the portfolio will be updated to ‘Approve’ as shown in Figure 56, and the “Retract” button will become active for that particular portfolio.

Figure 56 Portfolio List – Retract Button

When the credit disapproval is received from the Credit Management 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.

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A ‘pending credit approval’ or ‘submitted’ portfolio cannot be deleted, as evidenced by the absence of the “Delete” button in Figure 56.

11.3.6 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.

For the selected portfolio click the “Retract” button in the table column “Retract” shown in Figure 56. The system will prompt a small window for the user to confirm if the user wants to retract the portfolio.

After the portfolio retraction is confirmed, the status of the portfolio will become

‘Pending Retraction’ while the Credit Management System processes the credit adjustment for the portfolio retraction.

Once an approval is received from the Credit Management System, the portfolio will be removed from being submitted to the auction and the “Submit” link will become active again as shown in Figure 57. 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 57 Portfolio List – After Retraction from an Auction

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11.3.7 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/self-

convert in it. The ID of invalid bid/offer/self-convert shown on Portfolio Editor page is in red.

Pending Credit Approval A portfolio is being submitted to an auction and the

Credit Management System is evaluating the Asset Owner’s required credit from submitted bids.

Pending Retraction A portfolio is being retracted from being submitted to an auction and the Credit Management 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 58.

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Figure 58 Managing Portfolios

Enter the Bid portfolio Editor

Create an empty portfolio

New

Passed Validations?

Correct errors

Valid

Yes

Submit portfolio to Auction

Passed Credit

Checks?

Approved

Yes

Disapproved No

Delete Portfolio?

Portfolio deleted

Retract? Yes

No

Enter new bidsModify existing

bids

Invalid No

Submit Portfolio?

No

Yes

Yes

NoModify portfolio to pass credit

checks?

NO

Yes

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12. Managing TCR Bids

12.1 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

12.2 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 – On-Peak (ON) or Off-Peak (OFF) case

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12.3 Portfolio Editor

The Auction Portfolio Editor is the location where Asset Owners manage their auction portfolios, as shown in Figure 59.

Figure 59 Portfolio Editor – TCR Buy Bids

From the Portfolio Editor page, the user can navigate to the TCR Buy Bids tab as shown in Figure 59 as a default tab, TCR Sell Offers tab as shown in Figure 60 or the Self Converting ARRs tab as shown in Figure 61.

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Figure 60 Portfolio Editor – TCR Sell Offers

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Figure 61 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

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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 Self-

conversion. 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 62.

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Figure 62 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 and 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 and Sinks in the right central panel and clicking the “Set Sink” button.

Class – A list box to select either On-Peak (ON) or Off-Peak (OFF)

time-of-use

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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 an Asset Owner may

wish to associate with the bid. It can be used to store tags or IDs that Asset Owners 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 63 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.

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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 64. 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 64 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.

Submit – This button is used for submitting the portfolio to the

designated auction. If there are bids/offers/self-converts that are not saved, by clicking the submit button on the editor, they will be validated and saved before the portfolio is processed for submission. If the portfolio passes the submission validations and the portfolio information is successfully sent to the SPP Credit System, a message will be prompted and the portfolio list page will be loaded when the user clicks OK on the notification window. If one of the validations fails,

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an error message will be prompted and the portfolio editor will still be displayed

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 65. 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.

Figure 65 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.

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The existing ARRs list is available when Self-converting ARRs tab is selected.

12.4 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.

12.4.1 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.

12.4.2 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.

12.4.3 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.

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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 pop-up screen shows several attributes of the TCR as shown in Figure 66.

Figure 66 Existing TCR

12.4.4 Add Self-converting ARRs

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 ARR 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.

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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 pop-up screen shows several attributes of the ARR as shown in Figure 67.

Figure 67 Existing ARR

12.4.5 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.

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12.4.6 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.

All bids, offers and self-converts in the portfolio can be deleted altogether by using “Clear All” button.

12.4.7 Save TCR Bids/TCR Sell Offers/Self-converting ARRs 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 new and updated bids, sell offers and self-converting ARRs in the portfolio are

validated. The validations ensure that source and sink used by the bids are valid for the specified time-of-use and are not in the same electrically equivalent settlement location (EESL) group. In addition, the bid curve of bid/offer or MW of self-converting ARR must be valid.

All the bids in the current portfolio are saved in the database. The ones that do not pass a validation have ERROR status with error message for the user to view from the editor or download all errors as a report. Note that this is different from the portfolio upload where all bids are not saved in the database when there is at least an error in the data validation.

12.5 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

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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. 2. View the contents of an existing portfolio

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 68. Here the user is permitted to view the web pages but is not allowed to make any changes to the portfolio.

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Figure 68 Auction Portfolio Editor for a User with View Role

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13. Trading in Secondary Market

13.1 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 Management 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.

13.2 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.

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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 69 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 69.

Figure 69 The Secondary Market

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13.3 Secondary Market Public posting display

The public posting display for the secondary market shown in Figure 69 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 – On-Peak (ON) or Off-Peak (OFF) for the TCR.

Contact – The name, address, phone number, email 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 an Asset Owner may

wish to associate with the secondary market transaction. It can be used to store tags or IDs that Asset Owners use within their own systems.

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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 – On-Peak (ON) or Off-Peak (OFF) for the TCR.

Contact Information – The name, address, phone number, email 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

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information is required for Public posting and optional for Private posting.

Description – An optional short description that an Asset Owner may

wish to associate with the secondary market transaction. It can be used to store tags or IDs that Asset Owners 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

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Class - ON (On-Peak) or OFF (Off-Peak) of the TCR being traded

Contact - The name, address, phone number, email 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 an Asset Owner may

wish to associate with the secondary market transaction. It can be used to store tags or IDs that Asset Owners use within their own systems.

13.3.1 Posting a Secondary Market Trade

Asset Owners (Initiators) can post a buy bid or sell offer to the secondary market by the following steps:

13.3.1.1 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 69. A Private Posting editor appears as shown in Figure 70. This display is divided into two tabs, a tab entitled “My Buy Offers” and another tab entitled “My Sell Offers”.

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Figure 70 Posting Editor

13.3.1.2 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 71.

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Figure 71 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.

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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 an Asset Owner may wish to associate with the secondary market transaction. It can be used to store tags or IDs that Asset Owners 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 72. The user must enter the relevant contact information (name, address, phone number and e-mail address) and click SAVE to save the information, or CANCEL to close without saving. The optional description field can also be filled.

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Figure 72 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 73. The status field of the new public buy offer will be changed to “Posted” in the “My Buy Offers” panel as shown in Figure 74, after the buy bid has been posted.

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Figure 73 Posting Private Buy Offer

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Figure 74 Posting Public Buy Offer

13.3.1.3 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 75.

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Figure 75 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 72. The user must enter the relevant contact information (name, address, phone number and e-mail address) and click SAVE to save the

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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 76. The status field of this new sell offer will now change to “Posted” in the “Buy/sell Listings” tab as shown in Figure 77, 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 78 shows the postings after the sell offer has been entered into the system.

Figure 76 Private Posting Editor before Post (Sell Offer)

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Figure 77 Private Posting Editor after sell offer has been posted

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Figure 78 Public Postings with newly created sell offer

13.3.2 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.

13.3.2.1 Responding to a “Buy Bid” posting

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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 79.

Figure 79 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

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the “My Offer Listings” panel, the offer status changes from “Posted” to “Pending AO response”. See Figure 80.

Figure 80 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 81.

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 82.

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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 83.

Figure 81 Seller has selected the offer they wish to fulfill – Step 4

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Figure 82 Seller selects TCRs to fulfill bid – Step 5

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Figure 83 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.

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Figure 84 TCR for the time period 04/01/2014 to 04/30/2014

13.3.2.2 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 85.

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Figure 85 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 86.

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 88.

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

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Owner must click the ACCEPT command button to finalize the transaction. See Figure 89.

Step 6: Once the buyer has clicked ACCEPT the status of the sell offer will

change to either “Accepted” or “Declined”. See Figure 87. 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 86 Offer changes status – Step 3

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Figure 87 Offer status Accepted

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Figure 88 Buying MP selects selling offer to fulfill – Step 4

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Figure 89 Buying MP adds Asset Owner and Accepts – Step 5

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Figure 90 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.

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Figure 91 The Remaining TCR for time period 04/01/2014 to 04/30/2014

13.3.3 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 92 and Figure 93. 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 94 and Figure 95.

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Buy Offer Activity Flow

Responding Market ParticipantResponding Market ParticipantPosting Market ParticipantPosting Market Participant

Click COMMENT field

Click CONTACT INFORMATION

field in

My Offer Details

System responds by

pop-ups

Note: User needs to

enter either Phone or E-

mail fields

Fill in

1. Asset Owner

2. Source

3. Sink

4. MW amount

5. Start & End dates in

My Offer Details

Fill in

1. Comment

2. Contact Information

a. Name

b. Address

c. Phone

d. E-mail in

Pop-ups

Select

1. Start & End Dates

2. TOU

3. Hedge Type

4. FTR Type in

My Offer Details

Click ADD NEW in

My Offer Listing

System responds

by creating a blank

data entry area in

My Offer Details

Click Post in

My Offer Details

Monitor the Secondary

Market on

Public Posting

NEXT

1. System adds the buy offer

to My Offer Listings panel

with status Posted

2. Public Posting includes

the buy offer

Figure 92 Buy Bid Activity Flow

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Buy Offer Activity Flow

Responding Market ParticipantResponding Market ParticipantPosting Market ParticipantPosting Market Participant

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

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

moving the offer to

My Offer Details

NEXT

1. Select Private Posting

2. Choose the buy offer to be

fulfilled from MY Offer Listings

System responds by

changing status from

Posted to Waiting for Other

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

If interested on the buy offer on

Public Posting, communicate

with the posterNegotiate

Figure 93 Buy Bid Activity Flow

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Sell Offer Activity Flow

Posting Market Participant Responding Market Participant

Click COMMENT field

Click CONTACT INFORMATION

field in

My Offer Details

System responds by

pop-ups

Note: User needs to

enter either Phone or E-

mail fieldsFill in

1. Comment

2. Contact Information

a. Name

b. Address

c. Phone

d. E-mail in

Pop-ups

Click ADD NEW in

My Offer Listing

System responds

by creating a blank

data entry area in

My Offer Details

Click Post in

My Offer Details

Monitor the Secondary

Market on

Public Posting

NEXT

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

1. System adds the sell offer

to My Offer Listings panel

with status Posted

2. Public Posting includes

the sell offer

Figure 94 Sell Offer Activity Flow

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Sell Offer Activity Flow

Posting Market Participant Responding Market Participant

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

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

moving the offer to

My Offer Details

NEXT

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

1. If interested in the sell offer in

Public Posting, communicate

with the posting MP

2. Negotiate

System responds by

changing status from

Accepted or Declined

Negotiate

Figure 95 Sell Offer Activity Flow

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13.4 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.

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14. Public and Private Downloads

14.1 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 2. Download and view Electrically Equivalent Settlement Location data in CSV and

XML formats. This download is available for an annual ARR allocation only. 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 3. Download and view Electrically Equivalent Settlement Location data in CSV and

XML formats. Using the Results Tab, after the Long-term (LTCR) Allocation, each round of the annual/transitional/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:

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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 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).

14.1.1 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 96. 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.

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Figure 96 General Data Available from the Public TCR Interface

14.1.1.1 Download and view the Existing TCRs in XML or CSV formats

When the box(es) for XML and/or CSV formats of Existing TCRs is/are checked and the Download button is clicked, the existing TCRs are downloaded 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 97.

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Figure 97 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

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 – On-Peak (ON) or Off-Peak (OFF) time of use of the PTP TCR

MW – The MW value associated with the TCR

CaseID – Unique identification number assigned by the TCR system for a combination of market, period and TOU. This column is blank for TCR obtained from Secondary Market.

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MarketName – Name of market from which the TCR is originated. This column is

blank for TCR obtained from Secondary Market.

14.1.1.2 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, Transitional 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.

14.1.2 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 98.

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Figure 98 Network Data on the Public TCR Interface

14.1.2.1 Download and view Contingencies in XML or CSV formats

When the box(es) associated with the Contingencies data category as shown in Figure 98 for XML and/or CSV formats is/are checked and the Download button is clicked, the contingencies data is downloaded 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 99.

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Figure 99 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)

FromBus – Name of bus on “From” side of the device

ToBus – Name of bus on “To” side of the device

CircuitID – Identification number of circuit where the device is at

Action – Whether the device is inaged (put IN service) or outaged (taken OUT of

service)

Class – The time period of use On-Peak (ON) or Off-Peak(OFF)

MarketName – Name of market which the contingency is applied to.

14.1.2.2 Download and view Flowgates in XML or CSV formats

When the box(es) associated with the Flowgates data category as shown in Figure 98 for XML and/or CSV formats is/are checked and the Download button is clicked, the flowgate data is downloaded in text file(s) of the chosen formats. The download will be

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in a zipped format, which can be viewed using an unzipping tool. A sample flowgate list in CSV format is shown in Figure 100.

Figure 100 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 On-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

MarketName – Name of market which the flowgate is applied to.

14.1.2.3 Download and view Monitored Branches in XML or CSV formats

When the box(es) associated with the Monitored Lines and Transformers data category as shown in Figure 98 for XML and/or CSV formats is/are checked and the Download button is clicked, the monitored branches data is downloaded in text file(s) of the chosen formats. The download will be in a zipped format, which can be viewed

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using an unzipping tool. A sample list of monitored lines and transformers in CSV format is shown in Figure 101.

Figure 101 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.

Class – Time of use designation On-Peak (ON) or Off-Peak (OFF) where the

branch is to be monitored

MarketName – Name of market which the monitored line/transformer is applied to.

14.1.2.4 Download and view Parallel Flows in XML or CSV formats

When the box(es) associated with the Parallel Flows data category as shown in Figure 98 for XML and/or CSV formats is/are checked and the Download button is clicked, the parallel flows data is downloaded 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 102.

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Figure 102 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

Flowgate -- The name of the Flowgate

HedgeType –– Option or Obligation type of the Loop Flow TCR.

Class – -- The time period of use On-Peak (ON) or Off-Peak (OFF) where the Parallel Flow TCR is valid for Annual/Transitional/Monthly Allocations and Annual/Monthly Auctions. For LTCR Allocations, this column will contain 24-HOURS.

MW – The MW value associated with the parallel flow

MarketName – Name of market which the parallel flow is applied to.

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14.1.2.5 Download and view Scheduled Outages in XML or CSV formats

When the box(es) associated with the Scheduled Outages data category as shown in Figure 98 for XML and/or CSV formats is/are checked and the Download button is clicked, the scheduled outage data is downloaded 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 103.

Figure 103 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 On-Peak (ON) or Off-Peak (OFF)

MarketName – Name of market which the scheduled outage is applied to.

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14.1.3 Download and View Market Data

By clicking the Market tab on Public TCR interface the users will enter the Market Data download page shown in Figure 104.

Figure 104 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.

14.1.3.1 Download and view Sources and Sinks data in XML or CSV formats

When the box(es) associated with the Sources and Sinks data category as shown in

Figure 104 for XML and/or CSV formats is/are checked and the Download button is clicked, the sources and sinks data is downloaded 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 105.

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Figure 105 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 On-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.

MarketName – Name of market in which the source/sink can be used.

14.1.3.2 Download and view Base Loading TCRs data in XML or CSV formats

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When the box(es) associated with the Base Loading TCRs data category as shown in

Figure 104 for XML and/or CSV formats is/are checked and the Download button is clicked, the base loading TCR data is downloaded 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 106.

Figure 106 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).

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Class – States whether the source/sink is valid during the On-Peak (ON) hours

or Off-Peak (OFF) hours.

Origin – Describes the origin of the TCR.

MarketName – Name of market which the TCR is originated from.

14.1.3.3 Download and view Electrically Equivalent Settlement Location data in XML or CSV formats

When the box(es) associated with the Electrically Equivalent Settlement Location (EESL) data category as shown in

Figure 104 for XML and/or CSV formats is/are checked and the Download button is clicked, the EESL data is downloaded 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 EESL list in CSV format is shown in Figure 107.

Figure 107 Sample EESL Data in CSV Format The following information is available from this file:

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Market Name – Name of market which the EESL data is applied to.

Group ID – The name of the Market Participant who owns the TCR

Settlement Location – The name of the settlement location.

Class – States whether the source/sink is valid during the On-Peak (ON) hours

or Off-Peak (OFF) hours.

14.1.4 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 108. 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).

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Figure 108 Allocation Results on the Public TCR Interface

14.1.4.1 Download and view Binding Constraints in XML or CSV formats

When the box(es) associated with the Binding Constraints data category as shown in Figure 108 for XML and/or CSV formats is/are checked and the Download button is clicked, the binding constraint data is downloaded 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 109.

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Figure 109 Sample Allocation Binding Constraint List in CSV Format The following information is available from this file:

DeviceName – Name of device that the binding constraint occurs

DeviceType – Type of device that is binding – Line, Transformer, Flowgate

Flowgate Device Name – Name of flowgate device. This field is blank when device type is not Flowgate.

From Bus – Name of bus on “From” side of the line or transformer device or of the flowgate device.

From Bus ID – Identification number of bus on “From” side of the line or

transformer device or of the flowgate device.

To Bus – Name of bus on “To” side of the line or transformer device or of the flowgate device.

To Bus ID – Identification number of bus on “To” side of the line or transformer

device of of the flowgate device.

Circuit ID – Identification number of circuit where the line or transformer device of flowgate device is at.

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.

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Contingency – The name of the contingency associated with the constraint that is binding.

ContingencyDevice – Name of contingency device

Class – The time period of use On-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.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU. This field is blank when the binding constraint is for a Long-Term (LTCR) allocation.

MarketName – Name of market in which the binding constraint occurs.

14.1.5 Download and View Results (Auction) Data

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 110. The user must also select a Market name from the Market dropdown list and a Round number from the Round dropdown list.

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Figure 110 Auction Results Available from the Public TCR Interface

14.1.5.1 Download/view Auction Clearing Prices in XML or CSV formats

When the box(es) associated with the Auction clearing prices (i.e. source/sink clearing prices) data category as shown in Figure 110 for XML and/or CSV formats is/are checked and the Download button is clicked, the auction clearing price data is downloaded 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 111.

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Figure 111 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 On-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.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU. This field is blank when the binding constraint is for a Long-Term (LTCR) allocation.

MarketName – Name of market from which the clearing price is calculated.

14.1.5.2 Download and view Results for an auction in XML or CSV formats

When the box(es) associated with the Auction Results data category as shown in Figure 110 for XML and/or CSV formats is/are checked and the Download button is clicked, the auction results are downloaded 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 112.

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Figure 112 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 On-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.

Clearing Price – The clearing price of the TCR buy bid or sell offer in $/MW.

The clearing price may be positive or negative.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

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MarketName – Name of market which the auction results are from.

14.1.5.3 Download/view Auction Binding Constraints in XML or CSV formats

When the box(es) associated with the Auction binding constraints data category as shown in Figure 110 for XML and/or CSV formats is/are checked and the Download button is clicked, the auction binding constraint data is downloaded 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 113.

Figure 113 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).

Flowgate Device Name – Name of flowgate device. This field is blank when device type is not Flowgate.

From Bus – Name of bus on “From” side of the line or transformer device or of

the flowgate device. From Bus ID – Identification number of bus on “From” side of the line or

transformer device or of the flowgate device. To Bus – Name of bus on “To” side of the line or transformer device or of the

flowgate device. To Bus ID – Identification number of bus on “To” side of the line or transformer

device of of the flowgate device.

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Circuit ID – Identification number of circuit where the line or transformer device of flowgate device is at.

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. 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 On-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.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market in which the binding constraint occurs.

14.1.6 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 114 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.

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Figure 114 Historical Auction Data Available from the Public TCR Interface

14.1.6.1 Download and view Historical Bid and Offers Data for an auction

When the box(es) associated with the Historical Bids and Offers data category as shown in Figure 114 for XML and/or CSV formats is/are checked and the Download button is clicked, the historical bid and offers data is downloaded 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 115.

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Figure 115 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 On-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)

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

CaseID - Unique identification number assigned by the TCR system for a

combination of market, period and TOU. MarketName – Name of market in which the bids/offers are submitted to.

14.1.6.2 Download and view Historical Nomination Data for an allocation

When the box(es) associated with the Historical Nomination Data category as shown in Figure 114Error! Reference source not found. for XML and/or CSV formats is/are

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checked and the Download button is clicked, the historical nomination data is downloaded 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 116.

Figure 116 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 – On-Peak (ON) or Off-Peak (OFF) market where the Candidate ARR is valid

Nominated MW – The nominated MW amount of the Candidate ARR

Round – The name of the tier of the Candidate ARR. This field can take on the

values of “Round 1”, “Round 2” and “Round 3”.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market in which nomination is submitted to.

14.2 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

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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, transitional or monthly 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

14.2.1 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 117.

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Figure 117 Private General Data Downloads

14.2.1.1 Download and view existing ARRs in XML or CSV formats

When the box(es) associated with the Existing ARRs data category as shown in Figure 117 for XML and/or CSV formats is/are checked and the Download button is clicked, the existing ARRs data is downloaded 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 118.

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Figure 118 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

HedgeType – ARR type - obligation (OBL).

Class – The time period of use On-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 3.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

14.2.1.2 Download and view existing TCRs in XML or CSV formats

When the box(es) associated with the Existing TCRs data category as shown in Figure 117 for XML and/or CSV formats is/are checked and the Download button is clicked,

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the existing TCRs are downloaded 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 119.

Figure 119 Sample Private Existing TCRs in CSV Format

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 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

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HedgeType – PTP TCR type - obligation (OBL)

Class – The time period of use On-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.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU. This field is blank for TCR obtained from Secondary Market.

MarketName – Name of market where the TCR is originated from. This field is

blank for TCR obtained from Secondary Market.

14.2.2 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 120.

Figure 120 Private Market Data Downloads

14.2.2.1 Download and view Aggregated LTCRs in XML or CSV formats

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When the box(es) associated with the Aggregated LTCRs data category as shown in Figure 120 for XML and/or CSV formats is/are checked and the Download button is clicked, the aggregated LTCRs data is downloaded 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 121.

Figure 121 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

LTCR_ID – The ID of a component LTCR that was allocated in this Long-Term (LTCR) allocation market.

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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.

MarketName – Name of market where the aggregated LTCR is originated from.

14.2.2.2 Download and view (LTCR) Allocation Summary in XML or CSV formats

When the box(es) associated with the Allocation Summary data category as shown in Figure 120 for XML and/or CSV formats is/are checked and the Download button is clicked, the (LTCR) allocation summary is downloaded 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) Allocation Summary in CSV format is shown in Figure 122.

Figure 122 Sample Private (LTCR) Allocation Summary in CSV Format

The following information is available from this file: Market Name – Name of market where the allocation summary is for.

Case ID – This is not applicable to LTCR allocation summary.

Start Date – The effective start date of the LTCR allocation

End Date – The effective end date of the LTCR allocation

Class – The time period of use – 24-HOURS for all LTCR allocation summary

Service Type – Service Type – PTP or NITS for LTCR and blank for ILTCR.

LTCR Type – The designation of LTCR or ILTCR.

LSE Type – The designation of LSE or Non-LSE.

HPL – 103% of average historical peak load. The value is available for records

with NITS service type only.

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Global Cap – The total entitlement MW for the specific service type, LTCR type and LSE type.

Round 1 Cap – Nomination Cap for the specific service type, LTCR type and

LSE type in round 1.

Round 1 Nomination – Total nominated MW for the specific service type, LTCR type and LSE type in round 1. The value is not available until the results of round 1 are posted by SPP.

Round 1 Allocation – Total allocated MW for the specific service type, LTCR type and LSE type in round 1. The value is not available until the results of round 1 are posted by SPP.

Round 2 Cap – Nomination Cap for the specific service type, LTCR type and

LSE type in round 2. The value is not available until the results of round 1 are posted by SPP.

Round 2 Nomination – Total nominated MW for the specific service type, LTCR

type and LSE type in round 2. The value is not available until the results of round 2 are posted by SPP.

Round 2 Allocation – Total allocated MW for the specific service type, LTCR type and LSE type in round 2. The value is not available until the results of round 2 are posted by SPP.

Round 3 Cap – This is not applicable to LTCR allocation summary.

Round 3 Nomination – This is not applicable to LTCR allocation summary.

Round 3 Allocation – This is not applicable to LTCR allocation summary.

14.2.2.3 Download and view TCRs converted from LTCRs in XML or CSV formats

When the box(es) associated with the TCRs converted from LTCRs data category as shown in Figure 120 for XML and/or CSV formats is/are checked and the Download button is clicked, the TCRs converted from LTCRs are downloaded 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 123.

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Figure 123 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.

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 On-Peak (ON) or Off-Peak (OFF) market where

the TCR is valid

MW – The MW value associated with the TCR

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market where the TCR is originated from.

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14.2.2.4 Download and view LTCR Transmission Service Reservations in XML or CSV formats

When the box(es) associated with the LTCR Transmission Service Reservations data category as shown in Figure 120 for XML and/or CSV formats is/are checked and the Download button is clicked, the LTCR transmission service reservations data is downloaded 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 124.

Figure 124 Sample LTCR Transmission Service Reservations in CSV Format

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

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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. MarketName – Name of market where the Transmission Service Reservation is

applied to.

14.2.3 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 125.

Figure 125 Private Market Data Downloads

14.2.3.1 Download and view Aggregated ARRs in XML or CSV formats

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When the box(es) associated with the Aggregated ARRs data category as shown in Figure 125 for XML and/or CSV formats is/are checked and the Download button is clicked, the aggregated ARRs data is downloaded 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 126.

Figure 126 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 On-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.

OriginalMarket – The name of the allocation market where the component ARR

was allocated. In a monthly allocation, some of aggregated ARRs may be from an aggregated ARR allocated in an annual allocation which is not fully settled in

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the annual auction (called residual annual aggregated ARR) or from aggregation of an ARR allocated in the particular monthly allocation and the residual annual aggregated ARR.

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

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market where the aggregated ARR is originated from.

14.2.3.2 Download and view (ARR) Allocation Summary in XML or CSV formats

When the box(es) associated with the Allocation Summary data category as shown in Figure 120 for XML and/or CSV formats is/are checked and the Download button is clicked, the (ARR) allocation summary is downloaded 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 (ARR) allocation summary in CSV format is shown in Figure 122.

Figure 127 Sample Private (ARR) Allocation Summary in CSV Format

The following information is available from this file: Market Name – Name of market where the allocation summary is for.

Case ID – Unique identification number assigned by the TCR system for a

combination of market, period and TOU.

Start Date – The effective start date of the ARR allocation

End Date – The effective end date of the ARR allocation

Class – The time period of use – ON or OFF

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Service Type – Service Type – PTP or NITS.

LTCR Type – This is not applicable to ARR allocation summary.

LSE Type – This is not applicable to ARR allocation summary

HPL – 103% of average historical peak load. The value is available for records

with NITS service type only.

Global Cap – The total entitlement MW for the specific service type, start date, end date and TOU

Round 1 Cap – Nomination Cap for the specific service type, start date, end date

and TOU in round 1.

Round 1 Nomination – Total nominated MW for the specific service type, start date, end date and TOU in round 1. The value is not available until the results of round 1 are posted by SPP.

Round 1 Allocation – Total allocated MW for the specific service type, start date, end date and TOU in round 1. The value is not available until the results of round 1 are posted by SPP.

Round 2 Cap – Nomination Cap for the specific service type, start date, end date

and TOU in round 2. The value is not available until the results of round 1 are posted by SPP and it is applicable to an annual ARR allocation only.

Round 2 Nomination – Total nominated MW for the specific service type, start

date, end date and TOU in round 2. The value is not available until the results of round 2 are posted by SPP and it is applicable to an annual ARR allocation only.

Round 2 Allocation – Total allocated MW for the specific service type, start date, end date and TOU in round 2. The value is not available until the results of round 2 are posted by SPP and it is applicable to an annual ARR allocation only.

Round 3 Cap – Nomination Cap for the specific service type, start date, end date and TOU in round 3. The value is not available until the results of round 2 are posted by SPP and it is applicable to an annual ARR allocation only.

Round 3 Nomination – Total nominated MW for the specific service type, start

date, end date and TOU in round 3. The value is not available until the results of round 3 are posted by SPP and it is applicable to an annual ARR allocation only.

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Round 3 Allocation – Total allocated MW for the specific service type, start date, end date and TOU in round 3. The value is not available until the results of round 3 are posted by SPP and it is applicable to an annual ARR allocation only.

14.2.3.3 Download and view Transmission Service Reservations in XML or CSV formats

When the box(es) associated with the Transmission Service Reservations data category as shown in Figure 125 for XML and/or CSV formats is/are checked and the Download button is clicked, the transmission service reservations data is downloaded 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 128. The download file for an annual allocation will include LTCR and non-LTCR Transmission Service Reservations.

Figure 128 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

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

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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.

MarketName – Name of market where the Transmission Service Reservation is

applied to.

14.2.4 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 129.

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Figure 129 Private Long-term (LTCR) Allocation Data Downloads

14.2.4.1 Download and view Long-term (LTCR) Allocation Results in XML or CSV formats

When the box(es) associated with the Long-term (LTCR) Allocation Results data category as shown in Figure 129 for XML and/or CSV formats is/are checked and the Download button is clicked, the allocation results data is downloaded 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 130.

Figure 130 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

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Description – A short description of the Candidate LTCR AssetOwner – The name of the Asset Owner who owns the Candidate LTCR

Source – The name of the Candidate LTCR’s source

Sink – The name of the Candidate LTCR’s sink

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.

MarketName – Name of market where the LTCR result is from.

14.2.5 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 131.

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Figure 131 Private Allocation Data Downloads

14.2.5.1 Download and view ARR Allocation Results in XML or CSV formats

When the box(es) associated with the ARR Allocation Results data category as shown in Figure 131 for XML and/or CSV formats is/are checked and the Download button is clicked, the allocation results data is downloaded 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 132.

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Figure 132 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 On-Peak (ON) or Off-Peak (OFF) market where the Candidate ARR is valid

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.

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Round – The Round in which the Candidate ARR is nominated.

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market where the allocation result is from.

14.2.6 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 133.

Figure 133 Private Auction Data Downloads

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14.2.6.1 Download and view TCR Bids and Offers Results in XML or CSV formats

When the box(es) associated with the Bids and Offers Results data category as shown in Figure 133 for XML and/or CSV formats is/are checked and the Download button is clicked, the TCR bids and offers results are downloaded 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 bid and offer results in CSV format is shown in Figure 134.

Figure 134 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

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

Class – On-Peak (ON) or Off-Peak (OFF) market where the TCR is valid

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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).

CaseID - Unique identification number assigned by the TCR system for a

combination of market, period and TOU. MarketName – Name of market where the auction result is from.

14.2.6.2 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 133 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 135.

Figure 135 Sample Private Self-converted ARR in CSV Format

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

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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 – On-Peak 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. The clearing price for ARR that is not self-scheduled in the auction is calculated from the clearing price of its source subtracted by the clearing price of its sink (referring to public auction clearing price download).

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market where the self-conversion result is from.

Click on the XML Format link in the Download Type column of the Self-converted ARR category shown in Figure 133 to download this data in a XML formatted text file.

14.2.7 Private Initial ILTCR Allocation Market Data Downloading and Viewing

After selecting the market term “Initial ILTCR Allocation” and choosing the Market, clicking the Market Data tab on the Private section of the Downloads drop-down menu,

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the user enters the private Market Data downloads page, which is shown in Figure 136 Private Market Data Downloads for Initial ILTCR Allocation.

Figure 136 Private Market Data Downloads for Initial ILTCR Allocation

14.2.7.1 Download and view Aggregated Initial ILTCRs in XML or CSV formats

When the box(es) associated with the Aggregated Initial ILTCRs data category as shown in Figure 131 for XML and/or CSV formats is/are checked and the Download button is clicked, the aggregated Initial ILTCRs 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 Initial ILTCR list in CSV format is shown in Figure 137.

Figure 137 Sample Private Aggregated Initial ILTCRs in CSV Format

The following information is available from this file:

Aggregated Initial ILTCR ID – The unique ID for the aggregated Initial ILTCR.

Note that each aggregated Initial ILTCR is currently associated with only one ILTCR because there is only one round in the initial ILTCR allocation.

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Source – The name of the aggregated PTP ILTCR’s source

Sink – The name of the aggregated PTP ILTCR’s sink

StartDate – The starting date that the aggregated Initial ILTCR is valid

EndDate – The ending date that the aggregated Initial ILTCR is valid

Class – The time period of use – 24-HOURS for all aggregated Initial ILTCRs

MW – The MW value of the aggregated initial ILTCR.

Initial ILTCR ID – The unique ID of the Initial ILTCR which is aggregated to the aggregated Initial ILTCR.

MarketName – Name of market where the aggregated initial ILTCR is originated from.

14.2.7.2 Download and view TCRs converted from Intitial ILTCRs in XML or CSV formats

When the box(es) associated with the TCRs converted from ILTCRs data category as shown in Figure 136 Private Market Data Downloads for Initial ILTCR Allocationfor XML and/or CSV formats is/are checked and the Download button is clicked, the TCRs converted from Initial ILTCRs 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 138 Sample Private TCRs converted from ILTCRs in CSV Format.

Figure 138 Sample Private TCRs converted from ILTCRs in CSV Format

The following information is available from this file:

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TCR ID – The unique ID of the TCR converted from the aggregated initial ILTCR. Note that aggregated initial ILTCRs allocated from an initial ILTCR allocation may have various start and end dates; thus the number of TCRs converted from each ILTCR may vary.

Aggregated ILTCR ID – The ID for the aggregated initial ILTCR from which the

TCRs are being created. Asset Owner – The Asset Owner owning the TCR and ILTCR. 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 On-Peak (ON) or Off-Peak (OFF) market where

the TCR is valid

MW – The MW value associated with the TCR

CaseID - Unique identification number assigned by the TCR system for a combination of market, period and TOU.

MarketName – Name of market where the TCR is originated from.

14.2.7.3 Download and view initial ILTCR Transmission Service Reservations in XML or CSV formats

When the box(es) associated with the ILTCR Transmission Service Reservations data category as shown in Figure 136 Private Market Data Downloads for Initial ILTCR Allocation for XML and/or CSV formats is/are checked and the Download button is clicked, the ILTCR transmission service reservations data is downloaded 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 initial ILTCR Transmission Service Reservations list in CSV format is shown in Figure 139.

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Figure 139 Sample Initial ILTCR Transmission Service Reservations in CSV Format

The following information is available from this file:

Summary_ID – The unique summary ID for the initial ILTCR Transmission

Service Reservation on OASIS Asset Owner – The name of the Transmission Owner (i.e. Asset Owner) who

owns this reservation

Source – The name of the initial ILTCR Transmission Service Reservation’s source

Sink – The name of the initial ILTCR Transmission Service Reservation’s sink

StartDate – The starting date that the initial ILTCR Transmission Service

Reservation is valid

EndDate – The ending date that the initial ILTCR Transmission Service Reservation is valid

MW – The MW value associated with the initial ILTCR Transmission Service

Reservation MarketName – Name of market where the initial ILTCR Transmission Service

Reservation is applied to.

14.2.8 Initial ILTCR Allocation Results Data Downloading and Viewing

On the Private Downloads interface, under the Results tab, by selecting an Initial ILTCR 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 Initial ILTCR Allocation Data as shown in Figure 140.

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Figure 140 Private Initial ILTCR Allocation Data Downloads

14.2.8.1 Download and view Initial ILTCR Allocation Results in XML or CSV formats

When the box(es) associated with the Initial ILTCR Allocation Results data category as shown in Figure 140 for XML and/or CSV formats is/are checked and the Download button is clicked, the allocation results data is downloaded 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 initial ILTCR allocation results list in CSV format is shown in Figure 141.

Figure 141 Sample Private Initial ILTCR Allocation results in CSV Format

The following information is available from this file:

Candidate_ILTCR_ID – The unique ID for the Candidate Initial ILTCR

ILTCR_ID – The unique ID of the allocated Initial ILTCR

Description – A short description of the Candidate Initial ILTCR

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AssetOwner – The name of the Asset Owner who owns the Candidate Initial

ILTCR

Source – The name of the Candidate Initial ILTCR’s source

Sink – The name of the Candidate Initial ILTCR’s sink

StartDate – The starting date that the Candidate Initial LTCR is valid

EndDate – The ending date that the Candidate Initial LTCR is valid

Class – The time period of use – 24-HOURS for all Candidate Initial LTCRs.

NominatedMW – The MW amount requested for the Candidate Initial LTCR by the Asset Owner during the LTCR Nomination Process.

AllocatedMW – The MW amount assigned to the Candidate Initial LTCR after

the Allocation.

MarketName – Name of market where the Initial ILTCR result is from.

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15. Message Board

15.1 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.

15.2 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 142. Figure 142 illustrates some of the Public messages sent to the Asset Owners. Figure 143 provides an example of the Private messages sent to the Asset Owners.

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Figure 142 Public Message board

Figure 143 Private Message board