Public Manual

Online Market Participant (MP) Registration User Guide Version No: 6.2 Publish Date: November 1, 2016

MISO P.O. Box 4202 Carmel, IN 46082-4202 Tel.: 317-249-5400 Fax: 317-249-5703 http://www.misoenergy.org

Online Registration Tool User Guide Effective Date: NOV-01-2016

CONTENTS 1.

Introduction ......................................................................................................5 1.1 Helpful Resources .....................................................................................................6 1.1.1 Energy and Operating Reserve Markets Tariff .......................................................... 6 1.1.2 Business Practice Manuals (BPMs) ............................................................................ 6 1.1.3 Training Resources..................................................................................................... 7 1.1.4 Network & Commercial Model Update Schedule ..................................................... 7 1.2 Registration Pre-Requisites .......................................................................................8 Step 1: Obtain Dun & Bradstreet Number (DUNS Number) ................................................... 8 Step 2: Obtain a Digital Certificate .......................................................................................... 8 Step 3: Register with OATI webRegistry.................................................................................. 9 Step 4: Request Access to the Online Registration Tool ......................................................... 9 1.3 Application and Qualification Process .....................................................................10 1.3.1 Application Submission............................................................................................ 10 1.3.2 Entity and Asset Confirmation ................................................................................. 10 1.3.3 Credit Application and Review ................................................................................ 10 1.3.4 Acknowledgement of Certified Market Participant Status...................................... 11

2.

Online Registration Tool .................................................................................. 12 2.1

Accessing the Online Registration Tool ....................................................................12

2.2

Opening Questions .................................................................................................12

2.3

Overview of Application Sections ............................................................................13

2.4 Required Application Sections – All Applicants ........................................................14 2.4.1 General Applicant Information ................................................................................ 14 2.4.2 Banking Information ................................................................................................ 15 2.4.3 Credit Section .......................................................................................................... 16 2.4.4 Contact Information ................................................................................................ 20 2.4.5 Eligible Customer Qualification Form ...................................................................... 21 2.5 Variable Application Sections ..................................................................................22 2.5.1 Asset Registration Information ................................................................................ 22 2.5.2 Designated Agents ................................................................................................... 25 2.5.3 MISO Transmission Customer ................................................................................. 25 2.6 Legal Documents ....................................................................................................27 2.6.1 Required for All Applicants ...................................................................................... 27 2.6.2 Variable Legal Documents ....................................................................................... 27 2.7

Submitting and Confirming Your Application ...........................................................28

3.

Next Steps ....................................................................................................... 30

4.

Appendix ......................................................................................................... 31 4.1 MISO Contact Information ......................................................................................31 4.1.1 MISO Mailing Address ............................................................................................. 31 2

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4.1.2 4.1.3 4.1.4 4.1.5 4.2

MISO Customer and Asset Registration Services .................................................... 31 MISO Credit.............................................................................................................. 31 MISO Client Relations .............................................................................................. 31 MISO Training .......................................................................................................... 31

2016 – 2017 Network and Commercial Model Schedule ...........................................32

4.3 Formatting Your Distinguished Name String (DN String)...........................................32 4.3.1 MISO’s Certificate Validation Tool ........................................................................... 32 4.4

Description of MISO Contact Types .........................................................................33

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DISCLAIMERS This reference is prepared for discussion and information purposes and provided "as is” without representation or warranty of any kind, including without limitation, accuracy, completeness or appropriateness for any particular purpose. MISO assumes no responsibility for the consequences of any errors or omissions. MISO may revise or withdraw this reference at any time at its discretion without notice. Even though every effort will be made by MISO to update these references and inform its membership of changes, it is the user’s responsibility to ensure you are using the most recent edition.

DOCUMENT CHANGE HISTORY Version(s)

Reason for Issue

Date

1.0 – 5.0

Original Online Registration Tool User Guide (retired previous version).

SEP-30-2014

6.0

Updated Online Registration Tool User Guide to incorporate tool enhancements.

JAN-01-2016

6.1

Updates to required sections and department name. Updated Commercial Model schedule.

JUN-01-2016

6.2

Updated menu and URL

NOV-01-2016

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1. INTRODUCTION The Online Market Participant (MP) Registration User Guide has been created to help you navigate through MISO’s online registration tool. You will use this tool to access registration information and complete application documents required to become an MP and participate in the Open Access Transmission, Energy and Operating Reserve Markets operated by MISO. Once you have accessed the tool and started the online registration process, you will be required to complete application sections based on your intended market activities. When you select items that apply to your organization, the tool will direct you to complete applicable sections, as well as download any required legal documentation. In each section, it is important to follow the directions carefully as the Applicant’s organizational structure and type of activities it wants to engage in will determine the MP’s rights and obligations under MISO’s Open Access Transmission, Energy and Operating Reserve Markets Tariff (Tariff). The majority of the application components are completed and submitted via the online tool; however, there are specific legal documents that must be printed (single-sided), signed, and returned via overnight mail at the address provided in the MISO Contact Information section of this user guide. The list of documents requiring signatures for your Applicant, along with the MISO mailing address, can also be found on the Required Applications Sections screen within the online registration tool. Be sure to complete and send all applicable forms and supporting documentation by stated deadlines; failure to do so will delay processing of your application. Completed, signed hard copies of the legal documents and submission of online registration documents must be received by MISO in accordance with the deadlines of the Network and Commercial Model Update Schedule. A copy of the timeline can be found on MISO’s public website in the Stakeholder Center, Become a Market Participant section. IMPORTANT: Only valid legal entities may register as an MP. MISO requires the MP Application legal name, as well as all MISO legal documents and agreements, reflect how the entity is registered with its appropriate Secretary of State and match the Entity Name registered with OATI webRegistry as described in the Registration Pre-Requisites section of this user guide. Discrepancies may delay application processing. If you need assistance completing your application, please contact the Customer and Asset Registration Services Team by email at [email protected] and a member of the team can guide you through the process. We look forward to serving you as an MP in the Open Access Transmission, Energy and Operating Reserve Markets operated by MISO. Yours truly, Anastasia Sauer Senior Manager, Customer and Asset Registration Services

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1.1 Helpful Resources As you begin the process of becoming a Certified MP, it may be helpful to review the Tariff and Business Practice Manuals (BPMs), as well as self-guided training material and MISO’s Network and Commercial Model Update Schedule. 1.1.1

Energy and Operating Reserve Markets Tariff MISO is responsible for administering the Tariff, which facilitates open markets for Energy and Operating Reserves and open access to the Transmission System within the MISO footprint. The Applicant’s organizational structure and type of business it wants to perform will determine the MP’s rights and obligations under the Tariff. For additional information on the general rights and responsibilities of an MP, refer to Tariff Section 38.2.1. It is highly recommended that all Applicants read the relevant parts of the Tariff to best understand Market rules, and its associated obligations. While the online registration tool, this user guide, and BPM 001 - Market Registration are designed to be informative and assist you through the application process, the Tariff determines binding rights and obligations of all MPs. A copy of the Tariff is available on the MISO public website: www.misoenergy.org. Click on Library and then Tariff in the upper left corner.

1.1.2

Business Practice Manuals (BPMs) MISO publishes a variety of BPMs that provide detail on various guidelines, rules, and business processes used to operate the MISO Energy and Operating Reserve Markets. Copies of all BPMs are available on the MISO public website: www.misoenergy.org. Click on Library and then Business Process Manuals (BPMs) in the upper left corner. BPMs that may be of interest to Applicants include, but are not limited to, the following: a. BPM 001 – Market Registration Provides information regarding Market Registration, including who should register as an MP, along with application timelines. b. BPM 002 – Energy and Operating Reserve Markets Covers Energy Market rules, design, and the operational elements of MISO’s Day-Ahead Energy and Operating Reserve Market and Real-Time Markets. This BPM also explains how the MISO Market complies with Tariff, Reliability, NERC and ERO standards. c. BPM 005 – Market Settlements Covers MP statements, invoicing, and Market Disputes. The BPM is also accompanied by a Market Settlement’s Calculation Guide, Post-Operating Processor Calculation Guide and MISO Guide to FERC Electric Quarterly (EQR) Reporting. d. BPM 007 – Physical Scheduling Explains the Day-Ahead and Real-Time Market Rules, e-tagging process, Spotin-Market Product, and Ramp Reservation System instructions. 6

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e. BPM 010 – Network and Commercial Model Describes the Models used for the Energy Management System (EMS) power system, market operations applications, and Real-Time data submitted via ICCP. The Network Model is associated with the ICCS and MISO Market system applications. f.

BPM 011 – Resource Adequacy Addresses MISO’s and other entities’ roles and responsibilities regarding Resource Adequacy, including the process used to ensure that Load Serving Entities (LSEs) serving Load in the MISO Region have sufficient Planning Resources to meet peak demand and also have an appropriate reserve margin.

g. BPM 012 – Transmission Settlements Describes the monthly financial settlement of transmission service under Module B of the Tariff, including a description of the Tariff Schedules that are financially settled through this process. h. BPM 013 – Module B Transmission Service Describes business practices for implementing Module B of the MISO Tariff. The BPM addresses how to effectively implement and administratively handle Grandfathered Transmission Service. 1.1.3

Training Resources MISO provides a variety of self-guided training material to provide organizations with an understanding of MISO business practices and market operations. Suggested pre-reading for training courses is also provided. To learn more about available curriculum, go to the MISO public website: www.misoenergy.org. Click on Training, then Market Participant Training in the upper left corner.

1.1.4

Network & Commercial Model Update Schedule Opportunities to join MISO’s Markets for asset owning (Generation, Load, Demand Response) or non-asset owning (virtual traders) entities, are in accordance with MISO’s Network and Commercial Model Update Schedule. Adherence to these timelines allows new Applicants to be adequately informed and have their entity and facilities properly modeled before they participate in MISO. For example, if an Applicant wants to become an MP effective September 1, the application and all legal documents would be due to no later than June 15. MPs are not admitted to the market during any period of time other than stated Commercial Model timelines, including Topology and Non-Topology changes outlined on the published schedule. For more information on upcoming Network and Commercial Model Update timelines, reference the Appendix of this user guide. A copy of the Network and Commercial Model Update Schedule can be downloaded from the MISO public website at www.misoenergy.org, Stakeholder Center, then Become a Market Participant.

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1.2 Registration Pre-Requisites Because the online registration tool is only accessible through MISO’s secure Market Portal, you’ll need to complete several steps before you can access the tool. If you need assistance with these pre-requisite steps, please email [email protected] and we would be happy to assist. As mentioned, only valid legal entities may register as an MP. MISO requires that the legal name on the MP Application, as well as all MISO legal documents and agreements, reflect how the entity is registered with its appropriate Secretary of State and match the Entity Name registered with OATI webRegistry as discussed in pre-requisite Step 3. Discrepancies may delay application processing. Note that these steps may take up to 45 days to complete, so be sure to start well in advance of any Commercial Model deadline that you are aiming to meet.

Step 1: Obtain Dun & Bradstreet Number (DUNS Number) A DUNS Number is required when registering with OATI webRegistry (Step 3 below). If you do not have a DUNS number, go to www.dandb.com, click on D&B D-U-N-S Number and follow the instructions for a free DUNS number (provided within 30 days). You may also choose to purchase an expedited DUNS number if needed. Questions can be directed to Dun & Bradstreet at 1-800-700-2733. Step 2: Obtain a Digital Certificate A client-side digital certificate from one of MISO’s five (5) trusted Certificate Authorities is required to access MISO’s secure Market Portal and online registration tool. MISO’s trusted certificate authorities are listed below. IdentTrust Entrust OATI Thawte Symantec

www.identrust.com www.entrust.com www.oaticerts.com www.thawte.com www.symantec.com

It is the responsibility of the Applicant to obtain a valid digital certificate. MISO will not accept any private-label certificates or certificates issued by a Certificate Authority that is not one of the Internet-recognized trusted Certificate Authorities. It is recommended that any digital certificate request should originate from the machine that will utilize it. NOTE: Step 3 will also require the use of a digital certificate. Currently, the only authority that overlaps with MISO's approved authority list is OATI. Digital certificates will also be required for all Local Security Administrators (LSAs) and users of MISO’s Market Portal once your entity is granted full Certified status. You will be required to provide digital certificate information for your LSA(s) during the online registration process. For more information on MISO’s LSA Policy, please refer to the Local Security Administrator (LSA) Policy located on the Stakeholder Center of the MISO public website.

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Step 3: Register with OATI webRegistry OATI webRegistry replaced the TSIN Registry and is the system of record for electric industry information. All Applicants interested in participating in MISO as an MP must register with OATI webRegistry. To register your entity, including any applicable Code-Roles (formerly Desk Code), go to https://www.naesbwry.oati.com/NAESBWRY/sys-index.wml. If you have not registered previously, select Not a Registered User, and follow the instructions provided. For more details on the webRegistry or for registration support, please contact OATI via email ([email protected]) or via phone Monday through Friday, from 8am to 8pm Eastern at 763-201-2020. NOTE: your webRegistry registration must be in Approved status prior to requesting access to MISO’s online registration tool (Step 4 below). Approved status is granted by OATI after all registration requirements are met, including payment. Step 4: Request Access to the Online Registration Tool Once you have completed Steps 1 through 3, you may request access to the online registration tool. Access is provided to an authorized individual for your company who will be responsible for completing the online application. Once you have begun the online application, this individual MUST be registered as a General or Authorized Contact type as described in the Contact Information section of this user guide. To request access, you must complete the Request for System Access form. This form can be provided by MISO’s Customer and Asset Registration Services Team by sending a request via email to [email protected] Alternatively, a copy can be downloaded from MISO’s public website: www.misoenergy.org. Go to Stakeholder Center, then Become a Market Participant. The form must be completed in its entirety and signed by an authorized representative as described in BPM001 – Market Registration. An authorized representative can be one of the following individuals: • • • •

“General Contact” designated in the Contacts Section of the online application, “Authorized Contact” designated in the Contacts Section of the online application, officer of the company; Mayor of a municipality/city utility.

On the form, complete all fields and indicate your reason for access and intended market activities. You will need to locate the Digital Certificate Distinguished Name String (DN String) from your digital certificate and ensure it is properly formatted. Instructions on finding and formatting your DN String can be found in Appendix A of this user guide. Once you have completed the Request for System Access form, and it has been signed by an authorized contact, please scan and email the form to [email protected] To aid in processing, please copy and paste your formatted DN String into the body of the email when returning your access form. Access to the online registration tool may take up to five (5) business days, so please plan accordingly to ensure you do not miss any stated deadlines. 9

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1.3 Application and Qualification Process To become a fully Certified MP, an Applicant must complete the Application and MP Qualification Process. Highlights are included in this user guide for reference; more detail can be found in BPM 001 – Market Registration. 1.3.1

Application Submission Submission of your application, including all required legal documents based on your intended market activities, must be received by stated Network and Commercial Model timelines. Once your application is received, the Customer and Asset Registration Services team will review it for completeness and will contact the Applicant if there are any deficiencies. Application material is then distributed to various departments within MISO for further processing, including the MISO Credit team.

1.3.2

Entity and Asset Confirmation All Applicants will be required to participate in Asset Confirmation activities, even if the Applicant is a non-asset owning entity (i.e. virtual trader). These activities will be initiated by MISO and require the Applicant to review registered entity and asset information (if applicable) to ensure MISO has accurately modeled application data related to the entity’s legal name, entity code, asset owner name(s), and any commercial model asset information (if applicable). All Entity and Asset Confirmation activities must be completed by stated deadlines. The Customer and Asset Registration Services team will notify each Applicant when activities must be completed. Failure to complete confirmation activities may delay certification.

1.3.3

Credit Application and Review MISO requires reasonable credit review procedures to be conducted in accordance with standard commercial practices for the purpose of determining the ability of Applicants to meet their financial obligations, including the demonstration of Appropriate Person status as described in 4(c)(3)(F) of the Commodity Exchange Act (CEA). After receiving the credit section of the application, MISO conducts a thorough credit review to determine an Applicant’s ability to meet financial obligations. In determining credit limits, MISO considers rating agency reports, financial conditions, third-party references and any other available information. Credit approval is required before MISO grants Certified MP status. Also note that once Certified, MPs are required to: a) no later than one hundred twenty (120) days after the end of each fiscal year, deliver to MISO its current, audited financial statements, including accompanying notes and auditor’s report, prepared in accordance with generally accepted accounting principles, and b) no later than sixty (60) days after the end of each fiscal quarter, to deliver to MISO its current, un-audited quarterly financial statements, including accompanying notes, prepared in accordance with generally accepted accounting principles. 10

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If you have any questions regarding the credit section of the application, or ongoing Credit requirements after certification, please contact MISO’s Credit team via email at [email protected] For more information on the MISO's Credit Policy, please refer to Attachment L of the Tariff which can be located on the MISO public website: www.misoenergy.org. Go to Library, Tariff, then select the Attachments tab. 1.3.4

Acknowledgement of Certified Market Participant Status After all certification requirements are completed, as determined by MISO at its sole discretion, the Applicant could be eligible for Certified MP status corresponding with the appropriate Commercial Model update schedule. Once Certified, the Applicant will receive acknowledgement in the form of a Welcome Letter which is via email to the General Contact as designated in the Contact Information section of the online registration tool. The Welcome Letter includes access information for the LSA, as well as other pertinent information regarding participation in MISO.

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2. ONLINE REGISTRATION TOOL 2.1 Accessing the Online Registration Tool The online registration tool is accessed through MISO’s secure Market Portal and is the sole entry point for all Applicants. After MISO has processed your Request for System Access form, the Customer and Asset Registration Services team will notify you via email that the tool is available for use. To access the tool, go to MISO’s Market Portal: https://markets.midwestiso.org/MISO/ From the Customer Service tab, navigate to MP Registration > View/Create/Edit

When you first access the tool, you will be prompted to complete the list of Opening Questions as described in the next section of this user guide.

2.2 Opening Questions To determine which application sections will be required, you will answer a series of questions found on the Opening Questions section. These questions address the intended market activities of each Applicant at the point of registration, and will drive the remaining portions of the online registration process. A list of these questions can be seen in the figure below. All questions must be answered before saving the section and you must answer Yes to at least one opening question. When you have answered all the questions, check the I Accept box, then Save. You may edit your answers to the opening questions as you work through the remainder of the application by selecting the link at the bottom of the Required Sections area of the tool