PRE-Registration Guide SPP Restricted 2

Southwest Power Pool, Inc. Name of Current Section (Optional)

Southwest Power Pool, Inc.

PRE-Registration Guide SPP Restricted 2

Southwest Power Pool, Inc.

Revision History

Version / Date / Author / Change Description /
Version 1.0 / 12/14/2012 / Karen Johnson / Publisheed Version

Table of Contents

1 Introduction 4

2 Registration Options for Integrated Marketplace 4

3 SPP Integrated Marketplace Registration 7

3.1 SPP Integrated Market (Asset Owning)Market Participants Registration 7

3.2 SPP Integrated Market Tariff Requires a Meter Agent Agreement 8

3.3 SPP Integrated Market Financial-Only Market Participants Registration 8

4 Officer Certification Compliance Letter – Appendix E Attachment XWeb Browser 9

5 Local Security Administration (LSA) 9

5.1 Process of Registering LSA 9

5.2 Local Security Administrator (LSA) Form/Certificates 9

5.3 Digital Certificates and the SPP Portal 10

5.3.1 What is a digital Certificate? 10

5.3.2 User Roles 10

6 SPP Registration Documentation Reference 11

1 Introduction

Market Participants (MP) are in the SPP Integrated Marketplace three times a year (April, August and December). MPs are batched to increase efficiency in the on-boarding process and to provide stabilization to the market models.

2 Registration Options for Integrated Marketplace

There are three basic options for the registration of relationships between Transmission Service Customers (TC) and Asset Owners (AO) for the Integrated Marketplace. This section outlines an

example of each of the three options, however it is not inclusive of variations of the examples

noted below. If you have questions about how your company (ies) may be registered please

contact the Registration Workstream via RMS and a discussion will be scheduled.

()

2.1.1 Option 1 – Vertical Relationship

This option will encompass most Market Participants. The Market Participant (MP), AO and TC

will all be the same entity and entity code. A slight variation of this is single company

that wants to maintain an AO entity name separate from its Transmission Service

Customer name. Examples of each are below:

Figure: Vertical Utility Examples

2.1.2 Option 2 – Market Participant Registering Another Company’s Resources

This option is for a MP registering another company’s or perhaps a subsidiary’s assets as

their own, but splitting them under a separate asset owner. This can be done for a

variety of reasons, but the primary benefits are that the MP can allow certificates at the

AO level to see information (settlement information is a primary driver) specific to that

TC and AO only as well as receive settlement breakouts for each. For example:

Figure: Single MP with multiple AOs/TCs

The registering MP, entity XYZ, has their own asset owner and transmission customer

under their own entity code (exactly as the first registration option shows). However

the registering MP also is registering entity LMN’s resources, and the transmission

service with entity LMN corresponds to the entity of LMN. Certificates setup under the

AO of LMN cannot see the information setup under the AO of XYZ.

Further, the XYZ schedules and reservations will only be associated to the XYZ asset

owner, while the LMN schedules and reservations will only be associated with the LMN

asset owner. This maintains separation of the activities of each AO but removes the

requirement of a second MP registration.

2.1.3 Option 3 –Transmission Service Customer Associated to a Different Asset Owner

In this scenario the MP, under its own AO, assumes responsibility for the TC and the

service associated to that customer. This can be used for situations of a host utility

providing full energy supply requirements to a smaller municipal or coop and not

separating that smaller entity’s load from the host utility’s own native load. In several

of these situation in SPP, the municipal or coop has purchased the Transmission Service

and is the official Transmission Service Customer, but continues to contract with the

host utility to provide all of its energy supply and wants to allow the host utility to have

the ARRs associated with its service.

For example:

Figure 3: Single MP/AO with multiple TCs

In all three options, there is a Transmission Service Customer to Asset Owner relationship. As illustrated in the diagram from option three, there can be cases of multiple

Transmission Service Customers to the same Asset Owner. The reverse however is not an

acceptable relationship. We cannot have a single TC related to multiple Asset Owners.

2.1.4 Implications of the TC/AO Relationship

RTOSS

From a physical scheduling perspective the AO/TC relationship will be passed to RTOSS

from CMT. Additionally, RTOSS will download the PSE/TC relationship from the NAESB

EIR. Utilizing that information, when a tag is created that is coming into, out of or

through SPP, the PSE for the leg of transmission Service bringing the energy in and/or

taking it out of SPP will be associated with a TC. If that TC is not in the TC to AO

mapping, the schedule will be rejected. All physical schedules will be sent to

Settlements with the appropriate Asset Owner from the TC/AO relationship.

OASIS Transfer Tool (first stage component of the ARR/TCR process)

The same TC/AO relationship is passed to the OASIS Transfer Tool from CMT. This tool

is loading reservations from OASIS into the ARR/TCR application. All OASIS reservations

are made by TCs. The tool will use the relationship to associate the service to the

correct asset owner that will get the ARR candidate.

3 SPP Integrated Marketplace Registration

3.1 SPP Integrated Market (Asset Owning)Market Participants Registration

When an entity expresses interest in entering the SPP Integrated Marketplace, the Customer Relations Onboarding Specialist will direct the interested party to Southwest Power Pool website www.spp.org. The site will give the interested parties all forms needed to begin the onboarding process to becoming a market participant. This pre-registration guide is also included on the website.

· Integrated Marketplace Registration Packet

· Credit- Additional Not for Profit Questions (if necessary)

· Credit – SPP Bank Information Request Form

· Credit Appendix A – Credit Application

· Credit Appendix B – Credit and Security Agreement

· Credit Appendix C – Form of Irrevocable Standby Letter of Credit

· Credit Appendix D – Guaranty Forms

· LSA Form

· Officer Certification Compliance Letter – Appendix E Attachment X

There is a required lead time of six months for a new Market Participant (MP) to be active in the Integrated Market Production Environment per Appendix E of the protocols. To secure implementation in a market model and start this six month process, the MP is required to complete and submit Integrated Marketplace Registration Packet, and other forms such as credit forms and LSA forms to begin the process. The MP will be required to provide a Local Security Administrator (LSA) Form denoting at least one representative of the applying company/entity, who will serve in a security and administrative role, to provision access of his/her staff to upload the required model information into the Model Change Submission Tool (MCST). The LSA must provide a Digital Certificate to be setup for this purpose. When the setup is complete at SPP, the LSA will be contacted by SPP Customer Relations Onboarding Specialist with the necessary credentials required to request users be added to the MCST, see section 6: Local Security Administrator (LSA) for more details on the LSA process. Other documentation to complete the market participant process will be discussed during the initial kickoff meeting as well as the timeline for the completion of those documents.

Once the required base information from Attachment AH is input to the SPP modeling system by the SPP modeling staff, the Market Participant’s LSA will then be able to request users to be set up in the MCST. After users are requested via MCST by the LSA, SPP sets up the users with appropriate security roles in MCST, and Customer Relations Onboarding Specialist notifies the users of their sign on credentials.

The MP users are then able to sign on to MCST and enter the required model data, as outlined in this MCST Users Guide. Access to MCST will be granted once the asset owning market participant completed the required SPP MCST Integrated Marketplace training course.

Each MP Onboarding effort (April, August, and December) will be staffed with an SPP Onboarding Specialist and Subject Matter Experts (SMEs) from the various SPP departments. During the onboarding process, MPs will be required to complete the remaining required forms as listed on www.spp.org in the Market Participant Registration link. Regular status calls will be held with SPP SMEs and the project team members from the MP entities to complete the implementation tasks, modeling, training, and testing required to participate in the Integrated Marketplace.

3.2 SPP Integrated Market Tariff Requires a Meter Agent Agreement

The SPP tariff rquires an entity must have provisions for a meter agent. The entity itself can be the meter agent or the entity can contract with an exiting meter agent.

3.3 SPP Integrated Market Financial-Only Market Participants Registration

A Financial-only Market Participant is an SPP Market Participant without Load Assets or Resource Assets inside the SPP market. Rather than registering through the MCST, registration occurs directly through Customer Relations.

Each Financial-only Onboarding effort will be staffed with an SPP Onboarding Specialist and Subject Matter Experts (SMEs) from the various SPP departments. During the onboarding process, Financial-only MPs will be required to complete the remaining required forms as listed on www.spp.org in the Market Participant Registration link. Regular status calls will be held with SPP SMEs and the project team members from the MP entities to complete the implementation tasks, modeling, training, and testing required to participate in the Integrated Marketplace.

· First Page of Integrated Marketplace Registration Packet

· Credit- Additional Not for Profit Questions (if necessary)

· Credit – SPP Bank Information Request Form

· Credit Appendix A – Credit Application

· Credit Appendix B – Credit and Security Agreement

· Credit Appendix C – Form of Irrevocable Standby Letter of Credit

· Credit Appendix D – Guaranty Forms

· LSA Form

4 Officer Certification Compliance Letter – Appendix E Attachment XWeb Browser

Market particpants will be required to access the integrated marketplace SPP portal. The following requirements must be met in order to access the systems for interacting in the SPP Integrated Market:

· Internet Explorer (version 6.x or greater)

· Mozilla Firefox (version 3.x or greater)

5 Local Security Administration (LSA)

5.1 Process of Registering LSA

For LSA additions, entities are required to complete a Local Security Administrator (LSA) Confirmation form (found under SPP Market Participant Registration at http://www.spp.org/section.asp?group=2369&pageID=27 signed by both the LSA and a corporate representative. The LSA Confirmation Form must be submitted along with:

An email from the LSA to the appropriate CR Onboarding Specialist (for ex: ) indicating:
the Certificate Name (CN) to be added,
the environment(s) where it should be added (ITE, Production, or both), and
the applicable roles/functions
Detailed certificate information (see information at the bottom of the page regarding how this information is sent to SPP)

Once the LSA has been activated, they can access the SPP Portal environment and add MCST users.

Please note: when adding the LSA certificate to your computer, please name it according to the role/function for quick identification as each role has separate permissions.

Renewals go through the same process except that SPP does not require that you complete a new LSA Confirmation form.

5.2 Local Security Administrator (LSA) Form/Certificates

SPP is responsible for adding all Local Security Administrator (LSA) certificates to the portal. Once the certificate is added, the LSA is responsible for maintenance of new general users and renewing general users to the portal for its entity. There are four (4) LSA roles/functions that SPP updates, all of which may not be applicable to every company:

· Market Participant (MP) LSA

· Transmission Customer (TC) LSA

· Meter Agent (MA) LSA

· Transmission Owner (TO) LSA

5.3 Digital Certificates and the SPP Portal

5.3.1 What is a digital Certificate?

A digital certificate allows secure, encrypted communication between two parties. For the digital certificate to be effective, it must be installed on the device that will be used by the Market Participant to access the Portal AND be registered with SPP for a specific Portal user type, e.g. Transmission Owner LSA, Transmission Owner User, etc. Digital certificates are assigned individually.

Each LSA (entity) is required to now have one certificate; they can determine which certificate they wish to keep if they have multiples. In the Integrate Market Portal the LSA will be able to use one certificate can be used for multiple roles and multiple entities.

5.3.2 User Roles

Portal access is strictly limited to 1 of 8 possible roles.

1) Market Participant LSA (MP LSA)

2) Meter Agent LSA (MA LSA)

3) Transmission Owner LSA (TO LSA)

4) Transmission Customer LSA (TC LSA)

5) Market Participant User (MP User)

6) Meter Agent User (MA User)

7) Transmission Owner User (TO User)

8) Transmission Customer User (TC User)

Each of these roles exists in either of SPP’s environments that are available to participants: Production and ITE.

5.3.3 Entities Having No Prior Relationship with OATI

Participants will need to send an email requesting information on getting set up in OATI

webCares ().

The OATI contracts department will then provide purchasing options and a business

application form.

3. The Participant fills out a business application representative form and returns it to OATI.

4. OATI will then perform a verification process.

5. Once the verification process is completed, the user will be set up.

5.3.4 Entities Having a Prior Relationship with OATI

1. Order online

a. Go to: https://www.oaticerts.com/

b. Click on “OATI Certificate Authority” to get login page