List of Brief Market Functions

The Purpose of Long Term Planning (1 year to 5 years) function
is described below...

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
1.0	1.0	1.5	3.0	2.0	1.7

COMMENTS:

just a test of the comment box-ivan bel-4/16/2003

-- Ivan BEL - 16 Apr 2003

M-1.1 ISO/RTO: Regional Expansion Planning

The Purpose of ISO/RTO: Regional Expansion Planning function
is to

develop load and capacity forecast alternatives, by collecting load and capacity forecasts from different market participants inside and outside the region, developing regional and local alternatives of load and capacity, including coordination with customers with special loads and/or generation

Also coordinating transmission system planning submitted by transmission owners, developing future regional power system model alternatives, calculating and publishing future major operational parameters for the expansion alternatives, and developing requirements for system automation

directly involving

RTO/ISO planners

Generation planners

DR planners

Transmission planners

Distribution planners

Regulators

Auditors

Regional planning agencies

Special Customers

NERC

And Market Participants

performing

Regional

Long term load and capacity planning and coordination of other planners within the region

Including long term adequacy and reliability analysis via studies to assist in market decisions

with key interfaces between

RTO/ISO and other RTOs

RTO and Transmission Owners

RTO and Generation Companies

RTO and DisCos

RTO and Special Customers

RTO and Security Coordinating Councils

RTO and NERC

RTO and Regulators

RTO and Auditors

RTO and Planning Agencies

RTO and Government offices

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

Medium availablity needed since have time to re-send

Medium response times

Medium data accuracy since it will be reviewed over time by many people and systems

Could entail high data volumes but infrequently

with security requirements of

All security requirements are Medium High

Since security breaches could have financial consequences but on the other hand

The data would be checked over a long period of time and security breaches could therefore be detected

with data management requirements of

Many databases are involved across many organizational boundaries; Updates would be infrequent (

monthly)

with constraints of

New applications imply

No other special constraints, since not many legacy systems or small devices involved; primary need is the development of methodologies and application tools which are consistent with evolving market rules

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
1.0	1.0	1.0	3.0	2.0	1.6

COMMENTS:
The following comments were collected during the team rating review:

Data management = 3

Since the function requires data from multiple sources to be synchronized

Checked for reliability

And validated

Constraints = 2

Since new and/or modified applicaitons will be required

And legacy applications will need to be dealt with until they are upgraded

Why are Contraints rated 2? -- Peter Sanza - 05 Apr 2003

M-1.2 Transmission owners/distribution utilities: System Planning

The Purpose of Transmission owners/distribution utilities: System Planning function
is to

develop transmission and distribution facility plans for the long term, based on load and capacity forecasts, RTO or other regional plans, regulator requirements, neighboring utility requirements, and customer

In addition to facility plans, detailed automation plans will be developed

directly involving

Transmission data

Distribution data

Generation planners

Customers

DR planners

Regulators

Auditors

Vendors

Regional planning agencies

And government agencies

performing

Long term transmission and distribution facilities and automation planning

with key interfaces between

TransCos and RTOs

TransCos and neighboring utilities

TransCos and generation companies

TransCos and DR owners

TransCos and planning agencies

TransCos and large customers

TransCos and goverrnment agencies

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

Medium availablity needed since have time to re-send

Medium response times

Medium data accuracy since it will be reviewed over time by many people and systems

Could entail high data volumes but infrequently

with security requirements of

All security requirements are Medium High

Since security breaches could have financial consequences but on the other hand

The data would be checked over a long period of time and security breaches could therefore be detected

with data management requirements of

Many databases are involved across many organizational boundaries; Updates would be infrequent (

monthly)

with constraints of

Need new/modified applications to coordinate with other

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
1.0	1.0	2.0	3.0	2.0	1.8

COMMENTS:
The following comments were collected during the team rating review:

Security = 2 because confidentiality of data is a concern across organizational boundaries

Data management = 3 due to heterogeneous data across multiple databases in multiple companies

Constraints = 2 since new and/or modified applications will be needed

So, that legacy applications will need to be dealt with until they are upgraded

Why is QOS rated 2? Why is Security rated 2? -- Peter Sanza - 05 Apr 2003

M-2 Medium Term Planning (Weeks Ahead to One Year Ahead)

The Purpose of Medium Term Planning (Weeks Ahead to One Year Ahead) function
is described below...

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.4	1.1	2.0	1.8	0.4	1.1

COMMENTS:

M-2.1 RTO/ISO/TransCos/DisCos forecast load

The Purpose of RTO/ISO/TransCos/DisCos forecast load function
is to

Provide load MW estimates for each region and local area

Based on energy schedules

Weather forecasts

Historical load shapes

Forecast special events

And expected new loads at their connection points

directly involving

RTOs

Transmission owners

Distribution companies

National Weather Services

Market Participants

Energy Service Providers

And Customers

performing

Regional and local load forecasts for different time periods

Updating the precision of the forecasts, as each time period approaches

with key interfaces between

all three types of utilities: RTOs, transmission owners, and distribution companies

Utilities and National Weather Services

RTOs and Market Participants

DisCos and Energy Service Providers

DisCos and Customers

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

Medium availablity needed since have time to re-send

Medium response times

Medium data accuracy since it will be reviewed over time by many people and systems

Infrequent updates

with security requirements of

All security requirements are Medium Low since security breaches have minimal financial consequences and the data would be checked over a long period of time so, that security breaches could therefore be detected

with data management requirements of

Many databases are involved across many organizational boundaries; Updates would be infrequent (

weekly). Small databases of historical forecasts and other

Archiving is particularly difficult

with constraints of

Legacy systems perform load

Many may not entail significant changes to the systems for utilities whose load forecasting is already satisfactory, but the advent of significant penetrations of DR, demand-side management, RTP, and other new functions affecting load forecasts could require significant upgrades of legacy systems

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	0.0	2.0	2.0	0.0	0.8

COMMENTS:
The following comments were collected during the team rating review:

Data management = 2 since data will be obtained from different data sources across organizational boundaries

But data is relatively low volume and generally one-way data exchanges

Security = 2 because confidentiality of data is a concern across organizational boundaries

M-2.2 RTO/ISO certify generation units

The Purpose of RTO/ISO certify generation units function
is to

Validate the generation ratings

Capacity

And interconnecting infrastructure to allow these generators to participate in the market operations

directly involving

Generators

GenCos

Regulators

Government agencies

performing

Cerification of generators and the interfaces to the RTO for monitoring and control

with key interfaces between

RTOs and the Generators being certified

RTOs and Scheduling Coordinator responsible for the Generator

with communication configuration requirements of

One RTO control system to many generators

One RTO energy scheduling system to many Scheduling Coordinators

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for RTO control to generator

High availability and high data accuracy needed for interface with Scheduling Coordinator

with security requirements of

High security of all types needed for RTO control to generator; high security of all types needed for interface with Scheduling Coordinator

with data management requirements of

Certification database infrequently updated

with constraints of

Certification implies, that the RTO can also monitor and control the generating unit - see constraints on AGC control

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
2.0	2.5	3.0	1.0	1.0	1.9

COMMENTS:
The following comments were collected during the team rating review:

* Configuration = 2 because generators (including DR) may be located in areas with poor communications

Performance =

5 because this function is for testing and certifying the generators systems to ensure they will be able to run in real-time, therefore the QoS requirements must match the real-time requirements

Security = 3 because secure control of generation is required for safe, reliable, and financially correct operation of the power system

Why is Security rated 3? -- Peter Sanza - 05 Apr 2003

M-2.3 RTO/ISO analyze generation market for capacity and adequacy to meet load

The Purpose of RTO/ISO analyze generation market for capacity and adequacy to meet load function
is to

Analyze the generation market to determine if there is adequate capacity available to meet loads

Based on load forecast

Generation outages

Transmission outages

And other system constraints

directly involving

Generators

GenCos

Regulators

Government agencies

performing

Analysis of generation

Using power flow models

with key interfaces between

RTO capacity analysis function and load forercasts

RTO capacity analysis function, generation planning data, and other planning data

with communication configuration requirements of

LAN within planning and control centers

with quality of service requirements of

Medium availablity

Low frequency

Low volumes

with security requirements of

Medium security

Except high confidentiality

with data management requirements of

A few databases mostly likely populated within the planning department and/or operations department

with constraints of

Some legacy systems

But not significant changes to interfaces

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	0.0	2.0	2.0	0.0	0.8

COMMENTS:
The following comments were collected during the team rating review:

Data management = 2 because it requires synchronization of data across multiple organizations

Security =2 because confidentiality of data is a concern across organizations

M-2.4 RTO/ISO register and perform credit rating of Market Participants (MPs)

The Purpose of RTO/ISO register and perform credit rating of Market Participants (MPs) function
is to register and perform credit rating of market participants to determine what limits they will have on trading (depends on market design)
directly involving

Market Participants

RTOs/ISOs

Financial instituitions

performing

Credit rating

with key interfaces between

RTOs and Market Participants

RTOs and financial institutions

with communication configuration requirements of

Fax

Phone

Document transfers between Market Participants

RTOs

And banks

with quality of service requirements of

Medium availability

Medium response because this process is not in real-time

High data accuracy

Low volume

Low frequency

with security requirements of

High security in all areas because of financial implications

with data management requirements of

A few databases with minimal updates

with constraints of

Some legacy systems

But not significant changes to interfaces

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	1.0	3.0	2.0	0.0	1.2

COMMENTS:
The following comments were collected during the team rating review:

Security = 3 because credit data is very sensitive and an attractive target for unauthorized access and strong authentication is needed

Data Management = 2 because must be connected to financial systems outside of the IECSA domain

M-2.5 RTO/ISO validate and register revenue meters

The Purpose of RTO/ISO validate and register revenue meters function
is to validate and register all revemue meters to be used in market settlements
directly involving

RTOs/ISOs

Meter Data Management Agents (MDMAs)

Customers

Settlement systems

Regulatory agencies

performing

Identifying location and associated load/generation of meters

Testing of meters

Submittal of testing results to appropriate agencies

with key interfaces between

MDMAs and settlement systems

MDMAs and meters

MDMAs and regulators

with communication configuration requirements of

One to one between settlement system and MDMA

with quality of service requirements of

Low availability

Since meter reading is not time-constrained

High data accuracy because of financial consequences of inaccurate data

Low data volumes

Low data frequencies for the validation process

with security requirements of

Low security during the validation

But need to validate high security

with data management requirements of

Large database for meters

Data exchanges across organizational boundaries

with constraints of

Compute-constrained meters and likely to be media-constrained channels

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
2.0	1.0	3.0	2.0	3.0	2.2

COMMENTS:
The following comments were collected during the team rating review:

Configuration = 2 because revenue meters may require widely dispersed communications (especially to large customers and DR devices). On the other hand, revenue meter reading does not have to be done

this function will test and validate any communications as well as the meters

Security = 3 because meter data is highly sensitive AND meters are compute-

Data management = 2 because metering data may come from many different sources, different types of meters

Constraints = 3 because communication channels may be limited and meters are compute-constrained and because the RTO could contract through a third party (MDMA)

M-2.6 TransCos/GenCos propose scheduled transmission and generation outages which are validated via congestion management analysis

The Purpose of TransCos/GenCos propose scheduled transmission and generation outages which are validated via congestion management analysis function
is to

Validate TransCo and GenCo proposed transmission and generation outages to determine if any major conflicts exist, that could cause power system problems

Using congestion management analysis

directly involving

RTOs/ISOs

TransCos

GenCos

Regulators

Auditors

performing

Power system analysis of the impact of the proposed outages on system conditions and financial situations

with key interfaces between

RTOs and TransCos

RTOs and GenCos

Power system analysis applications with RTO SCADA

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

Medium high availablity needed since have time to re-send

But now tighter timeframe than for weeks ahead

Medium response times

Medium high data accuracy

Some updates

with security requirements of

All security requirements are Medium High since security breaches have some financial consequences

with data management requirements of

Many databases are involved across many organizational boundaries; Updates would be infrequent (

weekly). Small databases of historical forecasts and other data

with constraints of

No special constraints

Since WAN connections to TransCos and GenCos

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	1.0	1.0	2.0	0.0	0.8

COMMENTS:
The following comments were collected during the team rating review:

Data Management = 2 because the exchange of data models involves large volumes of complex model data, that must be accurate and properly merged

With no standard methods for exchanging this type of data yet finalized

M-2.7 RTO/ISO perform congestion management and security analysis on proposed outages and to determine possible ancilliary services

The Purpose of RTO/ISO perform congestion management and security analysis on proposed outages and to determine possible ancilliary services function
is to

Perform congestion management and security analysis on proposed outages to determine Total Transmission Capacity (TTC)

Available Transmission Capacity (ATC)

And what ancillary services might be needed

directly involving

RTO/ISO Scheduler

Other RTOs

Scheduling Coordinators

Other Market Participants

TransCos

GenCos

Regulators

Auditors

performing

Power system analysis of the impact of the proposed outages on system conditions to determine probable ancillary services

with key interfaces between

RTOs and TransCos

RTOs and GenCos

Power system analysis applications with RTO SCADA

RTOs and other RTOs

RTOs and Web Server for Market Participants

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

Medium high availablity needed since have time to re-send

But now tighter timeframe than for weeks ahead

Medium response times

Medium high data accuracy

Some updates

with security requirements of

All security requirements are Medium High since security breaches have some financial consequences

with data management requirements of

Many databases are involved across many organizational boundaries; Updates would be infrequent (

weekly). Small databases of historical forecasts and other data

with constraints of

No special constraints

Since WAN connections to TransCos and GenCos

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	1.0	1.0	2.0	0.0	0.8

COMMENTS:
This function has similar interfaces (and ratings) to function (M-2.6) TransCos/GenCos propose scheduled transmission and generation outages which are validated via congestion management analysis above.

M-2.8 RTO/ISO auction, sell, and/or track transmission rights and other energy services to Market Participants

The Purpose of RTO/ISO auction, sell, and/or track transmission rights and other energy services to Market Participants function
is to for RTOs/ISOs to auction and/or sell and/or track transmission rights and other energy services to Market Participants (depends on market design)
directly involving

RTOs/ISOs

Market Participants

Regulators

Auditors

performing

Management of market-established algorithm for allocating transmission rights to Market Participants

with key interfaces between

RTOs and Transmission Owners

RTOs and Energy Traders

RTOs and Regulators

RTOs and Auditors

RTOs and Web Servers for Market Participants

with communication configuration requirements of

One to many WAN between RTOs and Market Participants

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any auction or other process

with security requirements of

High security in all areas because of fairness of the market and financial implications

with data management requirements of

Data exchanges across organizational boundaries and require frequent updating to reflect electronic and/or manual changes

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	0.0	1.8

COMMENTS:
The following comments were collected during the team rating review:

The following are important for all RTO/ISO interactions with Market Participants:

Configuration = 0 because using pre-existing communication systems and/or the Internet

Performance = 3 because timely delivery and response (on the order of minutes) between RTOs/ISOs and Market Participants is critical to meeting market

Security = 3 because interactions with Market Participants involves many only partially trusted parties, possibly with connections over the Public

Data Management = 3 because Market Participant characteristics will change frequently and large volumes of new types of data

Constraints = 2 because systems and applications are new and/or changing to meet changing market environments

M-2.9 Energy Traders, ESPs, and other authorized Market Participants establish bilateral energy contracts between Generation and Loads

The Purpose of Energy Traders, ESPs, and other authorized Market Participants establish bilateral energy contracts between Generation and Loads function
is to

Energy Traders

ESPs

And other authorized Market Participants establish bilateral energy contracts between Generation and Loads

directly involving

Market Participants (Energy Traders

GenCos

Customers

ESPs

DisCos)

Regulators

Auditors

performing

Financial contracts for energy between Market Participants

with key interfaces between

Market Participants with other Market Participants

Market Participants and Regulators

Market Participants and Auditors

with communication configuration requirements of

WAN

Fax

Phone

Internet

And other one-to-one interfaces

with quality of service requirements of

High availability

Rapid response

High data accuracy for negotiating energy contracts

with security requirements of

High security in all areas because of financial implications

with data management requirements of

Many databases requiring timely access and frequent updates across organizational boundaries

with constraints of

No special constraints

Since WAN connections between companies

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	0.0	0.0	0.0	0.0	0.0

COMMENTS:
The following comments were collected during the team rating review:

Function does not affect utilities directly

Flag this for further discussion

The following comments were collected during the peer review:

Market Participants with other Market Participants

Market Participants and Regulators

Market Participants and Auditors

M-3 Short-term Planning (48 hours- one month)

The Purpose of Short-term Planning (48 hours- one month) function
is described below...

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	2.0	2.0	2.0	0.0	1.2

COMMENTS:

M-3.1 Corrections of medium-planning actions, available capacity, and possible ancillary services, based on updated data on transmission outages, generation maintenance, load forecasts, etc

The Purpose of Corrections of medium-planning actions, available capacity, and possible ancillary services, based on updated data on transmission outages, generation maintenance, load forecasts, etc function
is to

perform adjustments to the energy schedules considering congestion management and security analysis with updated data on transmision outages, generation maintenance, load forecast

to determine what ancillary services might be needed

directly involving

RTOs/ISOs

TransCos

GenCos

Regulators

Auditors

performing

Power system analysis of the impact of the proposed outages on system conditions to determine probable ancillary services

with key interfaces between

RTOs and TransCos

RTOs and GenCos

Power system analysis applications with RTO SCADA

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

Medium high availablity needed since have time to re-send

But now tighter timeframe than for weeks ahead

Medium response times

Medium high data accuracy

Some updates

with security requirements of

All security requirements are Medium High since security breaches have some financial consequences

with data management requirements of

Many databases are involved across many organizational boundaries; Updates would be infrequent (

weekly). Small databases of historical forecasts and other data

with constraints of

No special constraints

Since WAN connections to TransCos and GenCos

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	2.0	2.0	2.0	0.0	1.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-2.1) RTO/ISO/TransCos/DisCos forecast load above.

The following comments were collected during the team rating review:

Performance = 2 because directly impacts the ability to balance the market and to determine who will participate in the market

The following comments were collected during the peer review:

RTOs and TransCos

RTOs and GenCos

Power system analysis applications with RTO SCADA

M-4 Day Ahead Market (24 hours to 48 hours ahead)

The Purpose of Day Ahead Market (24 hours to 48 hours ahead) function
is described below...

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.1	3.0	3.0	2.9	1.4	2.1

COMMENTS:

M-4.1 RTO/ISO auction/sell remaining short term transmission rights and other energy services to Market Participants

The Purpose of RTO/ISO auction/sell remaining short term transmission rights and other energy services to Market Participants function
is to for RTOs/ISOs to auction and/or sell transmission rights and other energy services to Market Participants (depends on market design)
directly involving

RTOs/ISOs

Scheduling Coordinators

Market Participants

Regulators

Auditors

performing

Market-established algorithm for allocating transmission rights to Market Participants

with key interfaces between

RTOs and Schedulilng Coordinators

RTOs and Regulators

RTOs and Auditors

RTOs and Web Servers for Market Participants

with communication configuration requirements of

One to many WAN between RTOs

Scheduling Coordinators

Other Market Participants

Regulators

And Auditors

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any auction or other process

with security requirements of

High security in all areas because of fairness requirements with market rules and financial implications

with data management requirements of

Data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	0.0	1.8

COMMENTS:
This function has similar interfaces (and ratings) to function (M-2.8) RTO/ISO auction, sell, and/or track transmission rights and other energy services to Market Participants above.

The following comments were collected during the peer review:

RTOs and Schedulilng Coordinators

RTOs and Regulators

RTOs and Auditors

RTOs and Web Servers for Market Participants

M-4.2 Scheduling Coordinators submit Day-Ahead energy schedules

The Purpose of Scheduling Coordinators submit Day-Ahead energy schedules function
is to

For Scheduling Coordinators or other entities to submit 24-hour energy schedules in the Day-Ahead market

And the RTOs/ISOs to validate the submittals (depending on market design)

directly involving

Scheduling Coordinators (or other entities)

RTOs/ISOs

Auditors

Other Market Participants

performing

Energy schedule submittal and validation

with key interfaces between

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

One to many WAN between RTOs

Scheduling Coordinators

Other Market Participants

Regulators

And Auditors

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any energy scheduling process

with security requirements of

High security in all areas because of fairness requirements with market rules and financial implications

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	0.0	1.8

COMMENTS:
This function has similar interfaces (and ratings) to function (M-2.8) RTO/ISO auction, sell, and/or track transmission rights and other energy services to Market Participants above.

The following comments were collected during the peer review:

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

M-4.3 Scheduling Coordinators submit Day-Ahead bids for ancillary services: reserve, regulation, frequency response, etc

The Purpose of Scheduling Coordinators submit Day-Ahead bids for ancillary services: reserve, regulation, frequency response, etc function
is to

for Scheduling Coordinators to submit Day-Ahead bids for ancillary services: reserve, regulation, frequency response

and the RTOs/ISOs to validate the submittals

directly involving

Scheduling Coordinators

RTOs/ISOs

Auditors

Other Market Participants

performing

Ancillary services submittals and validation

with key interfaces between

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

One to many WAN between RTOs

Scheduling Coordinators

Other Market Participants

Regulators

And Auditors

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any energy scheduling process

with security requirements of

High security in all areas because of fairness requirements with market rules and financial implications

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	1.0	2.0

The following comments were collected during the team rating review:

Change from 2h: Constraint = 1 because data is less well known

The following comments were collected during the peer review:

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

M-4.4 RTO/ISO perform bid/auction management

The Purpose of RTO/ISO perform bid/auction management function
is to

Manage any bids or auctions

Depending upon the market rules

directly involving

Scheduling Coordinators

RTOs/ISOs

Auditors

Other Market Participants

performing

Bid and auction management

with key interfaces between

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

One to many WAN between RTOs

Scheduling Coordinators

Other Market Participants

Regulators

And Auditors

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any energy scheduling process

with security requirements of

High security in all areas because of fairness requirements with market rules and financial implications

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

The following comments were collected during the team rating review:

Change from 2h: Constraint = 2 because data is less well known

The following comments were collected during the peer review:

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

M-4.5 RTO/ISO perform congestion management and security analysis on submitted energy schedules

The Purpose of RTO/ISO perform congestion management and security analysis on submitted energy schedules function
is to RTO/ISO perform congestion management and security analysis on submitted energy schedules (depending on market design)
directly involving

RTO/ISO Scheduler

Other RTOs

Scheduling Coordinators

Other Market Participants

TransCos

GenCos

Regulators

Auditors

performing

Power system analysis of the impact of the proposed energy on system conditions to determine probable ancillary services and any violations of power system security conditions

with key interfaces between

RTOs and TransCos

RTOs and GenCos

Power system analysis applications with RTO SCADA

RTOs and other RTOs

RTOs and Web Server for Market Participants

with communication configuration requirements of

All interfaces are one-to-one over WAN to external companies

And LAN within ISO/RTO planning systems

SCADA systems

And other control center databases

with quality of service requirements of

High availablity needed since do not have time to re-send

Rapid response times

High data accuracy

Frequent updates

with security requirements of

All security requirements are High since security breaches have some financial consequences

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
1.0	3.0	3.0	2.0	2.0	2.2

COMMENTS:
The following comments were collected during the team rating review:

Performance = 3 because data must have high availability from SCADA

Security = 3 because data exchanged with TransCos and others must be secure, but legacy ICCP without security is currently used

Data Management = 2 because information must be retrieved from many different types of legacy systems

Constraint = 2 because LMP prices and other data elements are not well defined nor are applications mature

M-4.6 RTO/ISO calculate operational parameters for Day-Ahead planning: Available Transmission Capacity (ATC), Regulated Must Run (RMR), Locational Marginal Price (LMP)

The Purpose of RTO/ISO calculate operational parameters for Day-Ahead planning: Available Transmission Capacity (ATC), Regulated Must Run (RMR), Locational Marginal Price (LMP) function
is to

Perform congestion management and security analysis on proposed energy schedules

To determine Total Transmission Capacity (TTC)

Available Transmission Capacity (ATC)

Regulated Must Run (RMR) generation

And Locational Marginal Prices (LMPs) for each "location"

directly involving

RTO/ISO Scheduler

Other RTOs

Scheduling Coordinators

Other Market Participants

TransCos

GenCos

Regulators

Auditors

performing

Calculate TTC

ATC

RMR

LMP

with key interfaces between

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

All interfaces are internal to the RTO/ISO

Except for WAN connections to other RTOs/ISOs and the Web Server for Market Participants

with quality of service requirements of

High availablity needed since do not have time to re-send

Rapid response times

High data accuracy

Frequent updates

with security requirements of

All security requirements are High since security breaches have some financial consequences

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-4.4) RTO/ISO perform bid/auction management above.

The following comments were collected during the peer review:

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

M-4.7 RTO/ISO provide information to Market Participants

The Purpose of RTO/ISO provide information to Market Participants function
is to RTO/ISO provide information to Market Participants
directly involving

RTOs/ISOs

Market Participants

Regulators

Auditors

General Public

performing

Market-mandated information to Market Participants and general public

with key interfaces between

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

One to one WAN to Web Server

And WAN and public Internet access by Market Participants

with quality of service requirements of

High availability

Rapid response

High data accuracy

Frequent updates

High volumes

Due to stringent market requirements for providing information to Market Participants

with security requirements of

All security requirements are High since security breaches have market-compliance and financial consequences

And Web Server must be connected to the Internet

with data management requirements of

Large databases

Many databases

Timely access required

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-4.4) RTO/ISO perform bid/auction management above.

The following comments were collected during the peer review:

RTOs/ISOs and Web Server for Market Participants

M-4.8 Scheduling Coordinators support e-tagging

The Purpose of Scheduling Coordinators support e-tagging function
is to Scheduling Coordinators to provide e-tagging information to Market Participants and NERC (depending on market design)
directly involving

Scheduling Coordinators

NERC

Tag Authority

performing

E-tagging

with key interfaces between

NERC etagging network

with communication configuration requirements of

Many to many WAN

Handled by NERC?

with quality of service requirements of

High availability

Frequent updates

High volumes

with security requirements of

High security

with data management requirements of

Large databases

Many databases

Timely access required

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-4.4) RTO/ISO perform bid/auction management above.

The following comments were collected during the peer review:

NERC etagging network

M-5 Real-Time (actual time to next hour)

The Purpose of Real-Time (actual time to next hour) function
is described below...

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
1.0	3.0	3.0	2.5	2.5	2.4

COMMENTS:

M-5.1 Calculate operational parameters in real-time and state estimated data

The Purpose of Calculate operational parameters in real-time and state estimated data function
is to calculate operational parameters of the power system
directly involving

RTO/ISO System operator

RTO SCADA/EMS system

performing

Analysis of operational parameters to ensure power system security

with key interfaces between

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

with communication configuration requirements of

One to many

From RTO SCADA/EMS to other companies and/or field devices

with quality of service requirements of

High availability

Frequent updates

High volumes

with security requirements of

High security in all areas

Because the security of the power system must be maintained

with data management requirements of

Large SCADA database requiring timely real-time access

Frequent (2-second) updates

And data exchanges across organizational boundaries to TransCos and DisCos

with constraints of

Legacy systems used for SCADA

Compute-constrained field devices

And media-constrained links to many remote sites

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
2.0	3.0	3.0	2.0	3.0	2.6

COMMENTS:
The following comments were collected during the team rating review:

Configuration = 2 because SCADA data is retrieved from many diverse sites probably with diverse media and

Performance = 3 because real-time (on the order of 1-2 seconds) SCADA operations require high availability, rapid and timely responses, with high frequency and high volumes of

Security = 3 because SCADA involves control of power system

Data Management = 2 because of large volumes of frequent data

Constraints = 3 because media-constrained communications and compute-constrained field devices

M-5.2 Market Participants submit adjustments to real-time energy schedules

The Purpose of Market Participants submit adjustments to real-time energy schedules function
is to

For Scheduling Coordinators to submit energy schedule adjustments in the Hour-Ahead market

And the RTOs/ISOs to validate the submittals

directly involving

Scheduling Coordinators

RTOs/ISOs

Auditors

Other Market Participants

performing

Energy schedule submittal and validation

with key interfaces between

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

One to many WAN between RTOs

Scheduling Coordinators

Other Market Participants

Regulators

And Auditors

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any energy scheduling process

with security requirements of

High security in all areas because of fairness requirements with market rules and financial implications

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-4.4) RTO/ISO perform bid/auction management above.

The following comments were collected during the peer review:

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

M-5.3 Market Participants submit real-time bids for ancillary services

The Purpose of Market Participants submit real-time bids for ancillary services function
is to

for Scheduling Coordinators to submit Hour-Ahead bids for ancillary services: reserve, regulation, frequency response

and the RTOs/ISOs to validate the submittals

directly involving

Scheduling Coordinators

RTOs/ISOs

Auditors

Other Market Participants

performing

Ancillary services submittals and validation

with key interfaces between

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

with communication configuration requirements of

One to many WAN between RTOs

Scheduling Coordinators

Other Market Participants

Regulators

And Auditors

with quality of service requirements of

High availability

Rapid response

High data accuracy

And high data frequency needed for interactions between RTOs and Market Participants to ensure fairness in any energy scheduling process

with security requirements of

High security in all areas because of fairness requirements with market rules and financial implications

with data management requirements of

Large database for energy schedules

Requiring timely access

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints

Since WAN connections to Market Participants

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-4.4) RTO/ISO perform bid/auction management above.

The following comments were collected during the peer review:

Scheduling Coordinators and RTOs/ISOs

RTOs/ISOs and neighboring RTOs/ISOs

RTOs/ISOs and Web Server for Market Participants

M-5.4 RTO/ISO dispatch generation power system under normal conditions

The Purpose of RTO/ISO dispatch generation power system under normal conditions function
is to

RTO/ISO dispatch generation according to energy schedules

- RTO/ISO SCADA system monitors power system

- RTO/ISO EMS system performs Automatic Generation Control (AGC)

- RTO/ISO Market Operations system analyzes transmission capacity and reliability

- RTO/ISO Market Operations system balances energy/ancillary services

- RTO/ISO EMS system monitors interchange schedules with internal and external Control Areas

directly involving

RTO System Operator

RTO/ISO SCADA EMS

Scheduling Coordinators

Area Control Centers

Generators

performing

Automatic Generation Control

with key interfaces between

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

with communication configuration requirements of

One to many

From RTO SCADA/EMS to other companies and/or field devices

with quality of service requirements of

High availability

Frequent updates

High volumes

with security requirements of

High security in all areas

Because the security of the power system must be maintained

with data management requirements of

Large SCADA database requiring timely real-time access

Frequent (2-second) updates

And data exchanges across organizational boundaries to TransCos and DisCos

with constraints of

Legacy systems used for SCADA

Compute-constrained field devices

And media-constrained links to many remote sites

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
2.0	3.0	3.0	2.0	3.0	2.6

COMMENTS:
This function has similar interfaces (and ratings) to function (M-5.1) Calculate operational parameters in real-time and state estimated data above.

The following comments were collected during the peer review:

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

M-5.5 RTO/ISO coordinate operations with external entities

The Purpose of RTO/ISO coordinate operations with external entities function
is to

RTO/ISO coordinate operations with external entities

- RTO/ISO Market Operations system coordinates operational activities with distribution operations of interconnected DisCos

- RTO/ISO Market Operations system coordinates operational activities with Reliability Councils and NERC

- RTO/ISO Market Operations system coordinates operational activities with Market Participants

directly involving

RTO System Operator

RTO/ISO SCADA EMS

Scheduling Coordinators

Area Control Centers

Generators

DisCos

NERC

Market Participants

performing

Coordination of activities

with key interfaces between

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

RTO SCADA/EMS and NERC/Reliability Councils

with communication configuration requirements of

One to many

From RTO SCADA/EMS to other companies and/or field devices

with quality of service requirements of

High availability

Frequent updates

High volumes

with security requirements of

High security in all areas

Because the security of the power system must be maintained

with data management requirements of

Large SCADA database requiring timely real-time access

Frequent (2-second) updates

And data exchanges across organizational boundaries to TransCos and DisCos

with constraints of

Legacy systems used for SCADA

Compute-constrained field devices

And media-constrained links to many remote sites

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-4.4) RTO/ISO perform bid/auction management above.

The following comments were collected during the peer review:

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

RTO SCADA/EMS and NERC/Reliability Councils

Why is Security rated higher (3) in this function than in function 5.1? -- Peter Sanza - 05 Apr 2003

M-5.6 RTO/ISO redispatch/emergency dispatch

The Purpose of RTO/ISO redispatch/emergency dispatch function
is to

RTO/ISO redispatch/emergency dispatch

- RTO/ISO EMS system redispatches generation to handle emergency

- RTO/ISO Market Operations system notifies Market Participants of redispatch

- RTO/ISO Market Operations system manages market external price caps (if they exist in the respective market)

directly involving

RTO System Operator

RTO/ISO SCADA EMS

Scheduling Coordinators

Area Control Centers

Generators

performing

Automatic Generation Control

with key interfaces between

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

with communication configuration requirements of

One to many

From RTO SCADA/EMS to other companies and/or field devices

with quality of service requirements of

High availability

Frequent updates

High volumes

with security requirements of

High security in all areas

Because the security of the power system must be maintained

with data management requirements of

Large SCADA database requiring timely real-time access

Frequent (2-second) updates

And data exchanges across organizational boundaries to TransCos and DisCos

with constraints of

Legacy systems used for SCADA

Compute-constrained field devices

And media-constrained links to many remote sites

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
2.0	3.0	3.0	2.0	3.0	2.6

COMMENTS:
This function has similar interfaces (and ratings) to function (M-5.1) Calculate operational parameters in real-time and state estimated data above.

The following comments were collected during the peer review:

RTO SCADA/EMS and Generators

RTO SCADA/EMS and TransCos

RTO SCADA/EMS and DisCos

RTO SCADA/EMS and other RTO SCADA/EMS

RTO SCADA/EMS and Scheduling Coordinators

M-6 Post-Dispatch (last hour to prior months)

The Purpose of Post-Dispatch (last hour to prior months) function
is described below...

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.3	2.0	3.0	2.5	1.3	1.8

COMMENTS:

M-6.1 Handle energy reporting

The Purpose of Handle energy reporting function
is to

Handle energy reporting

- RTO/ISO Market Operations system calculates actual interchange information and energy schedules

- RTO/ISO Market Operations system calculates actual Locational Marginal Pricing (LMP)

- RTO/ISO Market Operations system calculates actual losses

directly involving

RTO System Operator

RTO SCADA/EMS

Settlement System

Historical Records

Auditors

performing

Energy reporting for final settlements

with key interfaces between

RTO SCADA/EMS and Settlement System

RTO SCADA/EMS and Historical Records System

with communication configuration requirements of

One to one

LAN between SCADA/EMS

Settlement System

And Historical System

with quality of service requirements of

High availability

Frequent updates

High volumes

with security requirements of

High security in all areas

Because of the financial and market implications

with data management requirements of

Large SCADA database

Energy scheduling database

Settlements database

And historical database

with constraints of

No special constraints since LAN connections

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	1.0	3.0	2.0	1.0	1.4

COMMENTS:
The following comments were collected during the team rating review:

Security = 3 because data has very significant financial implications, thus requiring very high data integrity and non-

Data Management = 2 because of the large volumes of sensitive data being collected from many different systems

M-6.2 Meter Data Management Agents (MDMAs) retrieve, validate, and process meter revenue data

The Purpose of Meter Data Management Agents (MDMAs) retrieve, validate, and process meter revenue data function
is to

Meter Data Management Agents (MDMAs) retrieve

Validate and process meter revenue data

directly involving

MDMAs (which may be DisCos

ESPs

GenCos

Scheduling Coordinators

Etc)

Meters

Settlement System

performing

Retrieve

Validate and process meter data

with key interfaces between

MDMAs and meters

MDMAs and Settlement System

with communication configuration requirements of

Many to many links to meters

Using many different types of access

with quality of service requirements of

Medium availabiity (meters can be read later if unavailable)

High data accuracy (direct financial consequences)

Total high volumes of data between MDMAs and Settlement system

with security requirements of

High security in all areas

Because of the financial and market implications

with data management requirements of

Large metering database

Frequent updates

And data exchanges across organizational boundaries

with constraints of

Channels to meters may be media-constrained

Meters are compute constrained

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
2.0	1.0	3.0	2.0	3.0	2.2

COMMENTS:
This function has similar interfaces (and ratings) to function (M-2.5) RTO/ISO validate and register revenue meters above.

The following comments were collected during the peer review:

MDMAs and meters

MDMAs and Settlement System

M-6.3 Market Products Schedule Checkout

The Purpose of Market Products Schedule Checkout function
is to

Market Products Schedule Checkout

- Settlement Agents validate implemented energy schedules against contracted energy schedules

- Settlement Agents validate implemented ancillary services against contracted ancillary services

- Settlement Agents reconcile differences

directly involving

Settlement Agents

Settlement System

Scheduling Coordinators

Other RTOs

performing

Validate the actual against the planned energy schedules and ancillary services provisions

with key interfaces between

Settlement Agents and Settlement System

Energy Schedules and Settlement System

Ancillary Services and Settlement System

RTO Settlement System and other RTOs

with communication configuration requirements of

One to one LAN and/or WAN connections between systems

with quality of service requirements of

Medium availability (since settlements can be re-run)

Medium response because this process is not in real-time

High data accuracy because of financial and market implications

with security requirements of

High security in all areas

Because of the financial and market implications

with data management requirements of

Large settlements database

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints since LAN and/or WAN connections

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	0.0	1.8

The following comments were collected during the peer review:

Settlement Agents and Settlement System

Energy Schedules and Settlement System

Ancillary Services and Settlement System

RTO Settlement System and other RTOs

M-6.4 Financial Settlements

The Purpose of Financial Settlements function
is to

Financial Settlements

- Settlement Agents reconcile RTO/ISO market

- Settlement Agents reconcile transmission market

- Settlement Agents reconcile Market Participants spot market

- Settlement Agents resolve disputes

- Energy Traders reconcile bilateral schedules

directly involving

Settlement Agents

Settlement System

Scheduling Coordinators

Energy Traders

Other Market Participants

Other RTOs

performing

Settle financial invoices for energy schedules and other market products

with key interfaces between

Settlement Agents and Settlement System

Energy Traders with each other

with communication configuration requirements of

One to one LAN and/or WAN connections between systems

with quality of service requirements of

Medium availability (since settlements can be re-run)

Medium response because this process is not in real-time

High data accuracy because of financial and market implications

with security requirements of

High security in all areas

Because of the financial and market implications

with data management requirements of

Large settlements database

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints since LAN and/or WAN connections

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	3.0	2.0	2.2

The following comments were collected during the team rating review:

Constraint = 2 because Settlement processes and applilcations are not well defined or integrated

The following comments were collected during the peer review:

Settlement Agents and Settlement System

Energy Traders with each other

M-6.5 Accounting and Billing

The Purpose of Accounting and Billing function
is to

Accounting and Billing

- Accounting Agents create budget and financial forecast

- Accounting Agents manage accounts payable

- Accounting Agents manage accounts receivable

directly involving

Settlement Agents

Settlement System

Billing System

Accounting System

MDMA metering

Scheduling Coordinators

Energy Traders

Other Market Participants

Other RTOs

performing

Handle accounting and billing

with key interfaces between

Settlement Agents and Settlement System

Settlement System and Billing System

Billing System and Market Participants

with communication configuration requirements of

One to one LAN and/or WAN connections between systems

with quality of service requirements of

Medium availability (since billing can be re-run)

Medium response because this process is not in real-time

High data accuracy because of financial and market implications

with security requirements of

High security in all areas

Because of the financial and market implications

with data management requirements of

Large accounting and billing database

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints since LAN and/or WAN connections

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	3.0	3.0	2.0	0.0	1.6

The following comments were collected during the team rating review:

Change: Data Management = 2 because Back Office to Back Office is well defined

Question, as to whenther this function is within the scope of IECSA

The following comments were collected during the peer review:

Settlement Agents and Settlement System

Settlement System and Billing System

Billing System and Market Participants

M-6.6 Market Monitoring and Auditing

The Purpose of Market Monitoring and Auditing function
is to

Market Monitoring and Auditing

- Regulators and auditors apply monitoring criteria

- Auditors perform market assessment

- Auditors investigate market abuse

- Auditor should have access to all information about power system and market

All proposed schedulles

Bids

Auction transactions and data

Outage and maintenance plans

Historical data

Etc

directly involving

Auditors

Regulators

Historical Archives

Logs

performing

Audit market operations

with key interfaces between

Auditors and Historical Archives and Logs

with communication configuration requirements of

One to one LAN and/or WAN connections between systems

with quality of service requirements of

Medium availability (since auditing can be handled after-the-fact)

Medium response because this process is not in real-time

High data accuracy because of financial and market implications

with security requirements of

High security in all areas

Because of the financial and market implications

with data management requirements of

Large historical archives and logs database

Frequent updates

And data exchanges across organizational boundaries

with constraints of

No special constraints since LAN and/or WAN connections

On a scale of 0 (does not involve significant architectural challenges) to 3 (highly likely to involve architectural challenges) this function was rated as follows:

Configuration	Quality of Service	Security	Data Management	Constraints	Average
0.0	1.0	3.0	3.0	2.0	1.8

COMMENTS:
The following comments were collected during the team rating review:

Security = 3 because audit data could have very significant financial and legal implications, requiring data integrity and non-

Data Management = 3 because of the vast amounts of data from different databases across many different organizations, which must be collected and correlated

Constraints = 2 because the applications are not well defined and may change