Yours truly, Mark Seibert, Manager, NYISO Member Relations 10 Krey Blvd Rensselaer, New York 12144

Transcription

1 Dear Applicant: The attached Registration Packet contains the necessary documents required to apply for participation in the electric markets administered by the New York Independent System Operator (NYISO) as a NYISO Customer, a NYISO Limited Customer, or to obtain view only access to a Customer s information as a NYISO Guest. Customers may participate in the full range of markets and programs administered by the NYISO only after the registration process is complete. Limited Customers may participate only in the Emergency Demand Response Program. The rules and requirements for participating in the NYISO-administered markets are stated in the NYISO s Market Administration and Control Area Services Tariff and the NYISO s Open Access Transmission Tariff, which are on file with FERC. The NYISO is responsible for administrating the NYISO tariffs and maintaining reliable, safe and efficient operation of the New York State Power System. It is highly recommended that Applicants review the NYISO tariffs to understand the various markets and associated obligations. Copies of the NYISO tariffs can be downloaded from the NYISO website at: For Market Participants Document Library Tariffs. The NYISO requires a minimum of 60 days to process an application for a new registration or a modification to an existing registration. The process to register as a NYISO Customer, Limited Customer, or Guest, or to modify an existing registration, may take more than 60 days, depending on the type of participation that the prospective Customer, Limited Customer, or Guest desires, the level of software modification required on the NYISO s part, and whether there is any need to coordinate the Application with external entities, such as the Transmission Owners and/or meter authorities. Due to the lead time which may be required, Applicants applying as new Generators, BTM:NG Resources, LESRs, DADRP resources, or DSASP resources should submit the one-line drawing and resource specific sections of the Registration Packet approximately six months in advance of the date on which the prospective or current Customer wishes to begin transacting business in the NYISO markets. If inadequate time is available for the NYISO to process the application, the NYISO may not be able to meet the customer s desired business start date. The NYISO will not begin the process of registering a customer until it receives a Completed Application. A Completed Application is an Application that has been fully and properly completed, that provides all requested information and that satisfies the requirements of the NYISO s registration process and tariffs. The Applicant should promptly bring any questions to the NYISO Member Relations Department to avoid unnecessary delay in the registration process. Please note that incomplete Applications will only delay the Applicant s registration. The NYISO Member Relations Department will attempt to remedy minor deficiencies in the Application through informal communications with the Applicant. If such efforts are unsuccessful or if the Applicant fails to respond to the NYISO s request for additional

2 information within 60 days, the NYISO reserves the right to return the Application. If the Applicant desires to continue registration at this point, the Applicant must submit a new Application. Once registered, the NYISO also requires each Customer, Limited Customer, or Guest to inform the NYISO of organizational changes that may impact the initial registration information submitted to the NYISO. This includes, for example, company name changes, reorganizations and mergers, and changes to affiliates. Details regarding this requirement are set forth in the attached Registration Packet. For any assistance in completing an Application or other materials included in the Registration Packet, please contact the Member Relations Department at (518) or via at customer_registration@nyiso.com. Yours truly, Mark Seibert, Manager, NYISO Member Relations 10 Krey Blvd Rensselaer, New York 12144

3 New York Independent System Operator Registration Packet for NYISO Customers, Limited Customers, Guests, and Procedures for Maintaining and Revising Registration Information and Customer Status February 1, 2017

4 TABLE OF CONTENTS PART I. INTRODUCTION...5 SUBPART I.1. OVERVIEW...5 SUBPART I.2. DISTINGUISHING BETWEEN CUSTOMERS, LIMITED CUSTOMERS, AND GUESTS...5 PART II. GENERAL ISSUES: COSTS, TIMING, EXECUTION, DELIVERY...6 SUBPART II.1. COSTS OF REGISTRATION...6 SUBPART II.2. TIMELINE FOR PROCESSING COMPLETED APPLICATIONS...6 SUBPART II.3. WHO MAY SIGN DOCUMENTS...7 SUBPART II.4. DELIVERY...7 SUBPART II.5. CONFIDENTIALITY...8 SUBPART II.6. DISCLAIMER...8 PART III. REGISTERING TO BECOME A CUSTOMER OR LIMITED CUSTOMER...8 SUBPART III.1. OVERVIEW OF PROCESS FOR REGISTERING TO BECOME A CUSTOMER OR LIMITED CUSTOMER...8 SUBPART III.2. ASSEMBLING A COMPLETED APPLICATION...9 SUBPART III.3. INSTRUCTIONS FOR COMPLETING SPECIFIC SECTIONS OF THE APPLICATION FORM...11 Section A. Company Information...11 Section B. Role of Applicant...11 Section C. MIS Administrator(s)...13 Section D. Billing Contact...13 Section E. DSS Super Administrator...13 Section F. Creditworthiness and Credit-Related Participation Criteria14 Section G. Corporate Affiliate/Parent Information...14 Section H. Application Certification...14 Section I. Affidavit of Reciprocity...15 Section J. Bank Account Information...15 Section K. Federal and New York State Tax Documentation...15 Section L. Additional Eligibility Requirement...15 Section M. Organizational Documents and Authorization...16 Section N. Service Agreements...16 SUBPART III.4. INSTRUCTIONS FOR SATISFYING CREDIT REQUIREMENTS...16 PART IV. INITIAL REGISTRATION BY AN APPLICANT TO PARTICIPATE IN SPECIFIC MARKETS...17 SUBPART IV.1. OVERVIEW OF MARKET-SPECIFIC REGISTRATION REQUIREMENTS...17 SUBPART IV.2. INSTRUCTIONS FOR COMPLETING MARKET-SPECIFIC PORTIONS OF APPLICATION FORM...17 Section AA. Load Requirements...17 Section BB. Generation Requirements...17 Page 1 Rev. 2/1/2017

5 Section CC. One Line Diagram...19 Section DD. NYISO Reference Level Software...19 Section EE. Wind Plant Coordinates Worksheet...20 Section FF. Station Power Program...20 Section GG. Qualifications for New ICAP Suppliers...20 Section HH. ICAP Notification Template...20 Section II. ICAP Purchase/Sell Agreement...20 Section JJ. Ancillary Service Requirements...21 Section KK. DADRP (Day Ahead Demand Response Program)...21 Section LL. DSASP (Demand Side Ancillary Services Program)...21 Section MM. LESR Data Sheet...21 Section NN. Transactions and Trading Hubs...21 Section OO. Virtual Transactions...21 Section PP. TCC Purchase/Sell Agreements...22 Section QQ. Special Case Resources...22 Section RR. EDRP...22 Section SS. Retail Access Certification...22 PART V. REGISTERING TO BECOME A GUEST...22 SUBPART V.1. OVERVIEW OF REGISTERING TO BECOME A GUEST...22 SUBPART V.2. ASSEMBLING A COMPLETED APPLICATION...23 SUBPART V.3. INSTRUCTIONS FOR COMPLETING SPECIFIC SECTIONS OF THE APPLICATION...23 PART VI. APPOINTING A SCHEDULING AND BIDDING AGENT TO ACT ON BEHALF OF A CUSTOMER...23 SUBPART VI.1. OVERVIEW...23 SUBPART VI.2. PROCEDURES, CONDITIONS AND LIMITATIONS...24 SUBPART VI.3. AMENDMENTS...25 PART VII. TEMPORARY TRANSFER OF OBLIGATIONS FOR GENERATOR OR LOAD BUSES (CUSTOMER REGISTRATION AGREEMENTS)...25 SUBPART VII.1. OVERVIEW...25 SUBPART VII.2. CONDITIONS AND LIMITATIONS...25 SUBPART VII.3. PROCEDURES...27 SUBPART VII.4. CREDIT AND COLLATERAL ISSUES...27 SUBPART VII.5. CRAS NOT USED FOR PERMANENT TRANSFER OF GENERATOR OR LOAD BUSES...27 SUBPART VII.6. RETENTION OF SCHEDULING RIGHTS...28 PART VIII. PERMANENT TRANSFER OF OBLIGATIONS FOR particular GENERATOR OR LOAD BUSES...28 SUBPART VIII.1. OVERVIEW...28 SUBPART VIII.1. PROCEDURES, CONDITIONS AND LIMITATIONS...28 SUBPART VIII.2. CREDIT AND COLLATERAL ISSUES Rev. 2/1/2017

6 PART IX. PERMANENT TRANSFER OF all of A CUSTOMER S OR LIMITED CUSTOMER S RIGHTS AND OBLIGATIONS (ASSIGNMENT, ASSUMPTION, AND NOVATION)...29 SUBPART IX.1. OVERVIEW...29 SUBPART IX.2. PROCEDURES, CONDITIONS AND LIMITATIONS...30 SUBPART IX.3. CREDIT AND COLLATERAL ISSUES...31 PART X. CHANGES TO REGISTRATION INFORMATION; REQUIRED UPDATES...32 SUBPART X.1. OVERVIEW...32 SUBPART X.2. CHANGE OF ADDRESS...32 SUBPART X.3. CHANGE IN MARKET ACTIVITIES...32 SUBPART X.4. REGISTRATION/RETIREMENT OF A GENERATING FACILITY...33 SUBPART X.5. CHANGE IN GENERATOR PARAMETERS...34 SUBPART X.6. CHANGE IN CONTACT INFORMATION...34 SUBPART X.7. CHANGE IN AFFILIATES...34 SUBPART X.8. CHANGE IN BANKING INFORMATION...34 SUBPART X.9. NAME CHANGE...35 SUBPART X.10. CONVERSION...36 SUBPART X.11. MERGER...37 SUBPART X.12. ANNUAL CERTIFICATION...38 SUBPART X.13. ADDITION OF LOAD...38 PART XI. WITHDRAWAL OF CUSTOMERS AND LIMITED CUSTOMERS...38 SUBPART XI.1. OVERVIEW...38 SUBPART XI.2. PROCEDURES, CONDITIONS AND LIMITATIONS...38 SUBPART XI.3. CREDIT AND COLLATERAL ISSUES...39 PART XII. PARTICIPATING IN NYISO GOVERNANCE...39 SUBPART XII.1. REGISTERING TO PARTICIPATE IN THE GOVERNANCE PROCESS...39 APPLICATION AND FORMS ANNEX 1 ANNEX 2 ANNEX 3 ANNEX 4 ANNEX 5 ANNEX 6 ANNEX 7 ANNEX 8 ANNEX 9 FORM APPLICATION FORM ORGANIZATIONAL CONSENTS FORM SCHEDULING SERVICE PROVIDER/AGENCY AGREEMENT FORM CUSTOMER REGISTRATION AGREEMENTS FORM NOTICE OF DEREGISTRATION AND PERMANENT TRANSFER OF ONE OR MORE LOAD BUSES AND FORM NOTICE OF REGISTRATION OF ONE OR MORE PERMANENTLY TRANSFERRED LOAD BUSES FORM NOTICE OF DEREGISTRATION AND PERMANENT TRANSFER OF GENERATING UNITS AND FORM NOTICE OF REGISTRATION OF PERMANENTLY TRANSFERRED GENERATING UNITS FORM NAME CHANGE CERTIFICATE FORM CONVERSION CERTIFICATE FORM MERGER CERTIFICATE 3 Rev. 2/1/2017

7 ANNEX 10 ANNEX 11 ANNEX 12 FORM NOTICE OF WITHDRAWAL FORM AGREEMENTS AMENDING SERVICE AGREEMENTS, ICAP AGREEMENT, TCC AGREEMENTS, AND CRAS FORM OF ASSIGNMENT, ASSUMPTION, & NOVATION AGREEMENT 4 Rev. 2/1/2017

8 PART I. INTRODUCTION SUBPART I.1. OVERVIEW The New York Independent System Operator, Inc. (NYISO) operates under two tariffs that are filed with and approved by the Federal Energy Regulatory Commission (FERC). The ISO Open Access Transmission Tariff (OATT) establishes rates for transmission service, while the ISO Market Administration and Control Area Services Tariff (Services Tariff) establishes rates for various market and control area services. 1 Applicants seeking to sell Energy, Capacity and/or Ancillary Services into the NYISOadministered markets, Applicants seeking to purchase services, and all other Applicants seeking to take service from the NYISO will take such services from the NYISO under the rates, terms and conditions set forth in the OATT and Services Tariff. Only Customers 2 and Limited Customers of the NYISO may take service under the NYISO tariffs. SUBPART I.2. DISTINGUISHING BETWEEN CUSTOMERS, LIMITED CUSTOMERS, AND GUESTS A NYISO Customer is an entity that complies with the requirements of the NYISO tariffs and is qualified to take the services provided for in the NYISO tariffs. NYISO Customers include: Suppliers of Energy, Capacity, and/or Ancillary Services Transmission Customers Load Serving Entities (LSEs), which includes end-use Customers qualifying to purchase directly from the NYISO Parties engaging in Bilateral Transactions Purchases of Energy, Capacity, and/or Ancillary Services in the Day-Ahead or Real-Time Markets Power Exchanges that facilitate the purchase and/or sale of Energy, Capacity, and/or Ancillary Services Buyers and sellers of Transmission Congestion Contracts (TCCs) Buyers and sellers of Unforced Capacity (UCAP) 1 Capitalized terms not otherwise defined have the meanings specified in Article 1 of the OATT and Article 2 of the Services Tariff. 2 The term Customers is used in this Registration Packet to include both Customers (as defined in the Services Tariff) and Transmission Customers (as defined in the OATT). If the context requires, the term may include Limited Customers. -5- Rev. 2/1/2017

9 Participants in Virtual Transactions Participants in the Emergency Demand Response Program (EDRP) Participants in the Special Case Resource (SCR) program Participants in the Day-Ahead Demand Response Program (DADRP) Participants in the Demand-Side Ancillary Services Program (DSASP) Participants in the Limited Energy Storage Resource (LESR) program A NYISO Limited Customer is an entity whose participation is limited to EDRP only. A NYISO Guest has no rights or obligations under the NYISO tariffs, including the right to participate in the NYISO-administered markets. Consequently, a Guest will have no access to information different than the public. However, a Guest will have access to data and to schedule transactions when specifically authorized by a NYISO Customer or Limited Customer. In the past, entities have sought Guest status for the following reasons, among others: the company would like to initiate a limited relationship (for example, to commence marketing before becoming a full Customer or Limited Customer) initially, with the intent of completing a full registration as a Customer or Limited Customer at a later date; the company would like to serve as an agent (sometimes referred to as a scheduling service provider ) for a Customer or Limited Customer such that the agent can be recognized as representing the Customer or Limited Customer for purposes of taking services under the NYISO tariffs and, thus, have access to all information available to the Customer or Limited Customer. PART II. GENERAL ISSUES: COSTS, TIMING, EXECUTION, DELIVERY SUBPART II.1. COSTS OF REGISTRATION No registration, membership or other fee is required to become a Customer, Limited Customer, or Guest. All Customers share the NYISO s day-to-day operating costs, however, in accordance with the NYISO tariffs. The NYISO also incurs multi-year financial obligations for costs associated with capital improvements. Applicants will incur a pro-rata share of any remaining obligations at the time they are approved as Customers. Note, however, that a fee is required to participate in the NYISO s governance process. See Part XII. SUBPART II.2. TIMELINE FOR PROCESSING COMPLETED APPLICATIONS The process to register new Customers, Limited Customers and/or Guests, or modify existing registrations, including modifications required to participate in Virtual Transactions, may take up to, or more than, 60 days. In addition, due to the lead time -6- Rev. 2/1/2017

10 which may be required, Applicants applying as new generators, LESR, DADRP, or DSASP resources should submit the one-line drawing and resource specific sections of the Registration Packet (See Sections BB, CC, KK, LL, and MM of Annex 1) approximately six months in advance of the date on which the prospective or current Customer wishes to begin transacting business in the NYISO markets. Please submit the Application with these time frames in mind. This will allow new Applicants time to become adequately informed and allow the NYISO adequate time to properly model the Applicant s facilities in NYISO systems prior to the initiation of service under the NYISO tariffs. After reviewing the Application submitted by the Applicant, the NYISO will contact the Applicant if supplemental information is needed. Please promptly respond to requests for supplemental information. Incomplete applications expire 12 months from the date of receipt by the NYISO or 6 months from the date of NYISO legal approval, whichever is earlier. The NYISO will notify the Applicant within 30 days of receipt of all required information whether or not the Applicant meets the NYISO requirements for becoming a Customer, Limited Customer or Guest. If an Applicant fails to meet the requirements, an explanation of the reasons for denying the Application will be sent to the Applicant within an additional 14 days. If the Applicant is approved, authorization will be given by the NYISO to the Applicant to begin participating either as a Customer, Limited Customer or Guest. Upon approval, the NYISO will submit any required notifications or documentation to FERC. Such documentation may include copies of all executed Service Agreements. The responsibility for securing any necessary FERC authorizations for participating in the NYISO s wholesale electricity markets rests with the Applicant. SUBPART II.3. WHO MAY SIGN DOCUMENTS All documents submitted as part of an Application (or by a Customer, Limited Customer, or Guest seeking to expand its activities beyond those covered in its initial Application) must be signed, to the extent a signature is required, by a person authorized to sign on behalf of the Applicant. The Applicant s resolution, which the Applicant submits with its Application (see Section M of Annex 1) must list the individuals authorized to sign the Service Agreements on behalf of the Applicant. The NYISO reserves the right to seek assurance at any time that any person signing documents on behalf of an Applicant (or an existing Customer or Limited Customer) is authorized to do so. SUBPART II.4. DELIVERY The Application and any modifications under Part X must be mailed (no s or faxes will be accepted) to: 3 3 The NYISO may also request that the Applicant submit a soft copy of certain documents, in particular spreadsheets (e.g., a Wind Plant Coordinates worksheet) to the NYISO via or other method of transmission. In such cases, please follow the directions provided for submission of those documents. -7- Rev. 2/1/2017

11 NYISO Member Relations Department Attn: Customer/Guest Registration 10 Krey Blvd Rensselaer, New York Please submit single-sided documents only. The NYISO reserves the right to reject Applications submitted as double-sided documents. If further assistance is needed in completing the Application, please contact the Member Relations Department at (518) or via at SUBPART II.5. CONFIDENTIALITY The NYISO tariffs require the NYISO and its employees to treat the information provided to it in connection with an Application as confidential information. SUBPART II.6. DISCLAIMER The information contained in this Registration Packet is not a substitute for professional advice that Applicants would receive from an accountant, attorney, or qualified tax preparer and does not constitute legal or professional advice. Applicants should seek the advice of an accountant, attorney, or qualified tax preparer prior to making decisions as a result of the information contained in this Registration Packet or provided by the Member Relations Department. PART III. REGISTERING TO BECOME A CUSTOMER OR LIMITED CUSTOMER SUBPART III.1. OVERVIEW OF PROCESS FOR REGISTERING TO BECOME A CUSTOMER OR LIMITED CUSTOMER This Part III and Part IV of this Registration Packet will familiarize the Applicant with the administrative, technical, and financial requirements for becoming a NYISO Customer or Limited Customer. The Application form the Applicant must complete to apply to become a Customer or Limited Customer is set forth in Annex 1. Sections A through N of Annex 1 requests information that allows the NYISO to determine whether the Applicant qualifies as a Customer or Limited Customer. Sections AA through SS of Annex 1 identify and relate to the NYISO-administered markets in which the Applicant wishes to participate. To complete an Application, the Applicant must complete: All Sections A through N of Annex 1, and Sections AA through SS of Annex 1, as applicable. -8- Rev. 2/1/2017

12 The entire Application must be approved by all applicable NYISO departments before the Applicant may provide or receive services through the NYISO. Please note: credit approval of an Applicant does not automatically qualify the Applicant for participation in the NYISOadministered markets. The Applicant must receive approval from ALL applicable NYISO departments and post any required credit support. The NYISO may require additional supporting documents if the Applicant fails to post credit support within 30 days of NYISO legal approval. SUBPART III.2. ASSEMBLING A COMPLETED APPLICATION A Completed Application to become a Customer or a Limited Customer consists of the following items: 1. A transmittal letter, on company letterhead, requesting NYISO Customer or Limited Customer status, 2. Sections A through N of Annex 1 (except that a Limited Customer need not complete Section I), 3. Sections AA through SS of Annex 1, as applicable, and 4. Any credit support or additional materials necessary to meet credit requirements. The table on the following page denotes the forms the Applicant will need to complete depending on the extent of the Applicant s intended participation in the NYISO-administered markets. -9- Rev. 2/1/2017

13 Key: X = Required, O = Participation Optional (form Required if participating) LSE Serving Retail Access Customers LSE Serving Own Load Generator (Non- Wind, Non- LESR) Wind Gen. LESR Virtual Trans. Trans Trading Hubs ICAP Marketer External ICAP Supplier TCCs EDRP SCR DADRP DSASP Guest SP Section A Company Information X X X X X X X X X X X X X X X X Section B Role of Applicant X X X X X X X X X X X X X X X X Section C MIS Admin X X X X X X X X X X X X X X X X Section D Billing Admin X X X X X X X X X X X X X X X Section E DSS Super Admin X X X X X X X X X X X X X X X Section F Creditworthiness X X X X X X X X X X X X X X X Section G Corporate Affiliations X X X X X X X X X X X X X X X Section H Application Certification X X X X X X X X X X X X X X X Section I Affidavit of Reciprocity X X X X X X X X X X X X X X Section J Bank Account Information X X X X X X X X X X X X X X X Section K-1 Federal Taxpayer Info. X X X X X X X X X X X X X X X Section K-2 State Taxpayer Info. X X X X X X X X X X X X Section L Additional Eligibility Rqmt. X X X X X X X X X X X X X X X Section M Organizational Docs/Auth. X X X X X X X X X X X X X X X Section N Service Agreements X X X X X X X X X X X X X X X Section AA Load Requirements X X Section BB Generator Requirements X X X Section CC One Line Diagram X X X X X Section DD Gen. Ref. Price Info X X X Section EE Wind Plant Coord Wksheet X Section FF Station Power Program O O Section GG Qual. for New ICAP Supp O O X Section HH ICAP Notification Temp O O X Section II ICAP Purchase/Sell Agmt X X O O X X X Section JJ Ancillary Service Req. O O X Section KK DADRP X Section LL DSASP X Section MM LESR Data Sheet X Section NN Transactions/Trading X X X Hubs Section OO Virtual Transactions X Section PP TCC Purchase/Sell Agmts X Section QQ Special Case Resources X Section RR EDRP X Section SS Retail Access Certification X X -10-

14 SUBPART III.3. INSTRUCTIONS FOR COMPLETING SPECIFIC SECTIONS OF THE APPLICATION FORM The following detailed instructions for completing the Application form correspond to the order in which each section appears in the Application form set forth in Annex 1. Some forms are located on the NYISO s website. In such cases, web addresses are provided in this Registration Packet. Section A. Company Information The Applicant should provide its contact information, including street address, the name of the person who will be the primary point of contact for the Applicant, and a direct dial telephone number (no extension). Alternate contact information can also be reported to the NYISO in this section (recommended). The Applicant should also provide its NAESB Electric Industry Registry (EIR) Entity Name and EIR Record ID so that the NYISO can associate it with the Applicant s MIS Organization and MIS Administrator accounts. Some Applicants may choose to furnish the EIR Entity Name and EIR Record ID of their parent or an agent, which is allowed so long as all parties are in agreement and complete the NYISO documentation authorizing this use. See Section C below for more information. Section B. Role of Applicant The yes or no responses to the questions in Section B of Annex 1 define the primary activities of a future NYISO Customer, Limited Customer, or Guest. The activities listed determine the Applicant s requirements and security clearances. A yes response to Question 18, along with a no response to all other questions, classifies the Applicant as a Guest. A yes response to Question 16, along with a no response to all other questions, classifies the Applicant as a Limited Customer. Any other combination of responses classifies the Applicant as a Customer. Please refer to Attachment K of the Services Tariff at: For Market Participants Document Library Tariffs etariff Viewer Tariff NYISO Tariffs Market Administration and Control Area Services Tariff 26 MST Attachment K Creditworthiness Requirements, for information on the credit requirements to participate in specific NYISO markets or programs. Questions 1-6 inquire about the Applicant s intention to participate in the Day-Ahead and Real- Time Markets. These Customers may buy and/or sell energy in the Day-Ahead and Real-Time Markets for direct use or on behalf of others. Ancillary Services may also be provided from a generating facility. Question 7 inquires about the Applicant s intention to submit External Transaction schedules in the Energy market. An External Transaction is the purchase, sale or exchange of Energy, Capacity or Ancillary Services for which either the Point of Injection ( POI ) or Point of Withdrawal ( POW ) or both are located outside the NYCA (i.e., Exports, Imports or Wheels Through) Rev. 2/1/2017

15 Questions 8a and 8b inquire about the Applicant s intention to submit Bilateral Transaction schedules to the NYISO, including schedules involving Trading Hubs. A Bilateral Transaction is a transaction between two or more parties for the purchase and/or sale of Capacity or Energy other than from the NYISO-administered markets. Question 9 inquires about the Applicant s intention to participate in the TCC market. Applicants who intend to buy and/or sell TCCs through NYISO-administered TCC auctions must meet NYISO creditworthiness requirements. For information on the TCC auctions and agreements, please refer to the NYISO website at: For Market Participants Market Data TCC. Question 10 inquires about the Applicant s intention to participate in the NYISO-administered Installed Capacity (ICAP) market. Applicants that answer yes to any of Question 1, Question 2 or Question 12 must also answer yes to Question 10. Applicants who participate in the ICAP market through NYISO-administered ICAP auctions must meet NYISO creditworthiness requirements. Details on the ICAP market and access to the ICAP Manual and ICAP Agreement may be found on the NYISO website at: For Market Participants Market Data ICAP. Question 11 inquires about the Applicant s intention to participate in Virtual Transactions. Question 12 inquires about the Applicant s intention to participate in the Special Case Resource (SCR) program. These resources will be sellers of UCAP either through the NYISOadministered ICAP auctions or through bilateral contracts. Applicants that answer yes to Question 12 must also answer yes to Question 10. Question 13 inquires about the Applicant s intention to participate in the Limited Energy Storage Resource (LESR) program. Question 14 inquires about the Applicant s intention to participate in the Day-Ahead Demand Response Program (DADRP). Question 15 inquires about the Applicant s intention to participate in the Demand-Side Ancillary Services Program (DSASP). Question 16 inquires about the Applicant s intention to participate in the Emergency Demand Response Program (EDRP). Question inquire about the Applicant s intention to participate in the NYISO-administered markets either through or as an agent. Applicants that answer yes to either of these questions must complete the Scheduling Service Provider/Agency Agreement, the form of which is set forth in ANNEX 3 of this Registration Packet. See Part VI for additional information. Questions inquire about the Applicant s intention to temporarily transfer its generators or load buses to, or temporarily control the generators or load buses of, a separate Customer, pursuant to a Customer Registration Agreement. Applicants that answer yes to any of these questions must complete the appropriate Customer Registration Agreement, the forms of which -12- Rev. 2/1/2017

16 are set forth in Annex 4 of this Registration Packet. See Part VII of this Registration Packet for additional information. Section C. MIS Administrator(s) The Market Information System (MIS) administrator(s) for the Applicant will be responsible for overseeing the MIS interface to the NYISO. The MIS administrator(s) will also authorize MIS users and determine what data of the Applicant s may be shared with other MIS administrators. Additionally, the MIS administrator(s) must also ensure that user information accuracy is maintained. Each Applicant may elect to have more than one MIS administrator (recommended). For example, for an Applicant that is a generator, the Applicant may assign one MIS administrator to oversee the users who update the ICAP data of the Applicant s generating unit(s) while another MIS administrator may be chosen to oversee the users who submit the generator s bids. The MIS administrator s primary contact is with the NYISO, whereas the user s primary contact is with the MIS administrator. Since MIS administrators can authorize themselves as users, they may often find themselves in both roles as a MIS administrator and a user. Upon completion of the registration process, notification will be sent to the MIS administrator(s) regarding establishing digital certificates. Each Customer must obtain a NAESB compliant digital certificate. A certificate is required for each user needing access to a NYISO application. The NAESB EIR Entity Name in the Subject Organization (O=) field in the digital certificate must match exactly to the Entity Name registered in the EIR. For information on digital certificates, please refer to Section 4.4 in the Market Participants User s Guide (MPUG) located on the NYISO s website at: For Market Participants Document Library Manuals & Guides Guides Market Participant User s Guide. Section D. Billing Contact The Applicant should provide the name of the person who will be the primary contact for billing and accounting and other settlements data. Alternate billing contact information can also be reported to the NYISO in this section (recommended). Each Applicant may elect to have more than one billing contact (recommended). Section E. DSS Super Administrator The Applicant should provide the name of the person who will be the primary administrator who will control the access to the Decision Support System (DSS). The DSS is a data mart containing a Customer s settlements data as well as public market data. The DSS Super Administrator has rights to approve user requests for access to DSS, approve requests for other administrators, and modify or delete user accounts for their organization Rev. 2/1/2017

17 Each Applicant may elect to have more than one DSS Super Administrator (recommended). Section F. Creditworthiness and Credit-Related Participation Criteria Each Applicant should complete the Credit Information form in Section F-1 of Annex 1. Applicants requesting authorization to participate in Virtual Transactions must provide a 24 hour, 7 days per week contact for credit purposes. The NYISO will review the creditworthiness of all Applicants in accordance with the NYISO s creditworthiness requirements. The creditworthiness policy may be found on the NYISO website in Attachment K of the Services Tariff and Attachment W of the NYISO OATT located at: For Market Participants Document Library Tariffs etariff Viewer Tariff NYISO Tariffs. In accordance with the Commission s final rule in Order No. 741, 4 each Applicant and Customer is required to certify to the NYISO annually that it is in compliance with the NYISO s creditrelated minimum participation criteria. To comply with this requirement, each Applicant must submit an Officer Certification Form, as set forth in Section F-2 of Annex 1, signed by a duly authorized officer of the Applicant. Section G. Corporate Affiliate/Parent Information This information is needed by the NYISO in order to comply with various tariff requirements related to the NYISO Code of Conduct, Generator self-supply of station power, ICAP suppliers, market mitigation measures, dispute resolution, and creditworthiness requirements. All Affiliates should be included, whether they are publicly traded or not. This informs the NYISO of any Affiliates about which it may need to know. Customers have an affirmative duty to notify the NYISO of any future changes in their Affiliates within 30 days of such changes. See Subpart X.7 of this Registration Packet for additional information. Section H. Application Certification The Applicant should sign and date the Application Certification in the form set forth in Section H of Annex 1. This certification addresses the Applicant s general eligibility for services, market-based ratemaking authority, compliance with laws, MIS rights and obligations, and service of process. Customers that sell or may sell Energy, Capacity, or Ancillary Services at market-based prices are responsible for determining whether they need market-based ratemaking authority from FERC or a state utility regulator, and ensuring that they have appropriate market-based 4 Credit Reforms in Organized Wholesale Electric Markets, Order No. 741 (Oct. 21, 2010) ( Order No. 741 ). A copy of the NYISO s Order No. 741 compliance filing may be found on the NYISO website in the Document Library located at: For Market Participants Document Library Legal & Regulatory FERC Filings 2011 June Rev. 2/1/2017

18 ratemaking authority. This may include Customers scheduling Bilateral Transactions who deviate from their schedule. This may also include entities that are not normally sellers of Energy, Capacity, or Ancillary Services as a central part of their business model, but which nonetheless sell Energy, Capacity, or Ancillary Services from time to time. 5 The NYISO requires Applicants to either certify that they have such authority or that their activities in the NYISO-administered markets will not require them to have such authority. Applicants should consult with their attorneys to determine whether the Applicant is required to obtain marketbased ratemaking authority. Section I. Affidavit of Reciprocity The NYISO tariffs require that each Applicant that plans to take transmission services under the OATT agree to provide transmission service on terms and conditions comparable to the Applicant s own use of its facilities and comparable to other entities use of those facilities. If the Applicant does not own, control or operate transmission facilities, then the Applicant must complete Section I of Annex 1, attesting that the purpose of the Application is not to assist an Eligible Customer to avoid the NYISO s reciprocity requirements. Section J. Bank Account Information All Applicants must complete the Bank Account Information form set forth in Section J of Annex 1. This document enables the NYISO to validate the Customer s or Limited Customer s banking information that will be used to make wire payments to the Customer or Limited Customer. Please provide the full legal name of the Applicant, the name and contact information for two individuals from your organization that NYISO may contact to verify the bank account information provided. Two Banking Contacts (with separate addresses) are required, except as noted in Section J of Annex 1. Section K. Federal and New York State Tax Documentation Please see Section K of Annex 1 for details regarding required tax documentation, including a request for the Applicant s taxpayer identification number (IRS Form W-9), New York State tax documentation, and foreign entity tax forms. As stated in Subpart II.6, the information contained in this Registration Packet does not constitute professional tax or legal advice and the NYISO is not responsible for providing any tax, legal, or other professional advice. Section L. Additional Eligibility Requirement Each Applicant seeking to become a Customer or Limited Customer must submit a NYISO Additional Eligibility Criteria - Officer Certification Form, as set forth in Section L of Annex 1, signed by a duly authorized officer of the Applicant to certify, as required by the Services Tariff, that the Applicant satisfies the market participant eligibility requirement set forth in the Final Order of the Commodity Futures Trading Commission at 78 FR (2013). 5 See, e.g., Order Conditionally Granting Market-Based Rate Authorization And Providing Guidance, 130 FERC 61,031 (2010) Rev. 2/1/2017

19 Section M. Organizational Documents and Authorization All Applicants seeking to become a Customer or Limited Customer must provide evidence as indicated in Section M of Annex 1 that, pursuant to the laws of its jurisdiction of formation, the Applicant is duly organized, is in good standing, and is authorized to take service under the relevant Service Agreements, and that the individuals executing service agreements on behalf of the Applicant in connection with the Application are authorized to do so. Section N. Service Agreements All Applicants seeking to become a Customer or Limited Customer must execute both the OATT Service Agreement and the Services Tariff Service Agreement in order to take services under the NYISO tariffs. Customers and Limited Customers must meet all applicable requirements defined in the Services Tariff and OATT, and must comply with all applicable ISO Procedures. Under the Service Agreements, the NYISO and the Customer or Limited Customer agree to furnish or purchase specific services and satisfy all obligations pursuant to the terms and conditions of the NYISO tariffs. The Service Agreements are at all times subject to, and incorporate by reference, all provisions of the Services Tariff and/or the OATT and all ISO Procedures, including the NYISO Manuals. Please complete the Service Agreements in accordance with the instructions set forth in the Application form, included as Annex 1, Section N. Please send only one original Service Agreement for each Service Agreement signed by the Applicant. Duplicate originals are unnecessary because the NYISO will send a copy of each fully executed Service Agreement to the Applicant. SUBPART III.4. INSTRUCTIONS FOR SATISFYING CREDIT REQUIREMENTS Various NYISO-administered markets have specific credit requirements and more than one form of credit support may be required to participate in the NYISO-administered markets. To understand the forms of credit necessary for the various NYISO-administered markets, please review the NYISO s creditworthiness policy found at: For Market Participants Document Library Tariffs etariff Viewer Tariff NYISO Tariffs Market Administration and Control Area Services Tariff 26 MST Attachment K Creditworthiness Requirements. It is important to review and understand the credit policies of the NYISO when completing the Application. Questions regarding the credit requirements should be forwarded to the NYISO Member Relations Department at or at customer_registration@nyiso.com. To obtain the NYISO s forms of credit support (NYISO Standard Letter of Credit, NYISO Surety Bond, NYISO Standard Guaranty and Market Participant Cash Collateral Investment Election Form), please refer to: For Market Participants NYISO Services Credit Credit Rev. 2/1/2017

20 PART IV. INITIAL REGISTRATION BY AN APPLICANT TO PARTICIPATE IN SPECIFIC MARKETS SUBPART IV.1. OVERVIEW OF MARKET-SPECIFIC REGISTRATION REQUIREMENTS Any Applicant seeking to participate in specific NYISO-administered markets or programs, or schedule Bilateral Transactions must complete the applicable sections of the Application form set forth in Annex 1 from Section AA through Section SS. The specific documentation that an Applicant must provide varies based on the type of activity in which the Applicant intends to participate. Please use the chart set forth in Subpart III.2 to identify the documentation required based on the Applicant s intended activities. Note that Applicants participating in multiple activities must complete the requirements associated with each activity. SUBPART IV.2. INSTRUCTIONS FOR COMPLETING MARKET- SPECIFIC PORTIONS OF APPLICATION FORM Section AA. Load Requirements Indicate the location of the loads by checking the appropriate fields. Indicate whether and on which load buses price-capped bidding privileges are requested. Also, provide an estimate of the initial peak hourly load (MWh) to be served during the Capability Period in which service begins. The initial total load estimate must be in whole MWh increments and must equal a minimum of 1 MWh. Please note, the NYISO will provide an Applicant requesting to serve load in the New York Control Area with only one load bus for each Load Zone/Transmission Service District in which the Applicant is authorized to serve load and one LSE for all load buses. The NYISO will not provide an Applicant with more than one LSE to assist the Applicant in reconciling settlements. Section BB. Generation Requirements Section BB.1 Requirements to Become a Generator Generator Contacts Please complete the primary contact information for generation issues. This person would be contacted for general issues related to the Generator(s) registered. Also please provide a 24/7 Generator contact phone number and address. The address may be a generic address (e.g., rttimegendesk@xyz.com) that will go to any and all operators on duty. The 24/7 contact information will ONLY be used for emergency situations. In addition, please provide the contact information for a person that is on-site at the location of each Generator. Also, provide the outage scheduling address. This address may also be a generic address (e.g., rttimegendesk@xyz.com). Generator Parameters Identify and describe the Generator(s) that will be bid into the NYISO MIS. MWs stated for the Estimated Summer/Winter Operating Capacity should match the number of MWs stated during -17- Rev. 2/1/2017

21 the interconnection agreement process (if applicable). This will be reviewed by the Legal Department. Wind Generators Minimum Response Rates For wind Generator(s), enter a minimum response rate of 6.7% of full load output for the wind Generator PTID. As part of the NYISO s wind resource management program, the NYISO may instruct an uneconomic wind resource, represented by a single PTID, to reduce its output. The wind resource determines the rate at which the output of each individual unit associated with the PTID can be reduced; however, for reliability purposes, the NYISO requires a minimum response for the PTID of reducing the output from full load to no load in fifteen minutes or less as reflected in the ramp capabilities of the equipment. To implement the requirement, the NYISO will need to be able to ramp down the output of the wind resource at a minimum rate of 6.7% of full load output per minute when the need arises to reduce the wind output to maintain system reliability. The Normal Response Rate, Emergency Response Rate and the Max Regulation Response Rate must equal or exceed the minimum response rate. Section BB.2 Prerequisites to Participation in Markets Please ensure the Transmission Owner submits the Object IDs (one for MWs and one for MVars) to the NYISO s Operations Department in a timely manner to complete the modeling process. Certain requirements or other information may also apply to generation Applicants prior to the Generator(s) being permitted to participate in the NYISO markets as Suppliers: To initiate Interconnection with the Transmission System the Applicant must complete the appropriate Interconnection Request form. The Interconnection Request forms are located on the NYISO s website at For Market Participants Planning Services & Requests View Interconnection Documents Interconnection Studies. The Control Center Requirements Manual is located on the NYISO s website at: For Market Participants Document Library Manuals & Guides Manuals Administrative Control Center Requirements Manual The Revenue Metering Requirements Manual is located on the NYISO s website at: For Market Participants Document Library Manuals & Guides Manuals Administrative Revenue Metering Requirements Manual Information regarding the Direct Communications Manual is available at: For Market Participants Document Library Manuals & Guides Manuals Operations Direct Communications Manual Section of the Transmission and Dispatching Operations Manual at: For Market Participants Document Library Manuals & Guides Manuals Operations Transmission and Dispatching Operations Manual Additional information in the NYISO Technical Bulletins: -18- Rev. 2/1/2017

22 o o Technical Bulletin #116 - New Generation Units Operating During the Start-Up Testing Phase: For Market Participants Document Library Technical Bulletins Technical Bulletin #116 Technical Bulletin #155 - Generator Penalty Exemption for Scheduled Steady-State Testing: For Market Participants Document Library Technical Bulletins Technical Bulletin #155 Min Oil Burn Program - NYC and Long Island Generators Only - Technical Bulletin #156 - for information and enrollment form: For Market Participants Document Library Technical Bulletins Technical Bulletin #156. Section BB.3 Optional Generator Activities Generation Applicants with configurations that are able to respond are encouraged to participate in voltage support. For details, please refer to the Ancillary Services Manual available on the NYISO website at: For Market Participants Document Library Manuals & Guides Manuals Operations Ancillary Services Manual. Section CC. One Line Diagram Applicants must submit a breaker station diagram and a station voltage one-line diagram indicating the kilovolt level at which the unit will be modeled. Diagram must show the interconnection point to the electric grid. Applicants must also submit a photocopy of nameplates. Applicants are reminded that due to the lead time which may be required for Applicants applying as new Generators, BTM:NG Resources, LESRs, DADRP resources, or DSASP resources should submit the one-line drawing and resource specific sections of the Registration Packet approximately six months in advance of the date on which the prospective or current Customer wishes to begin transacting business in the NYISO markets. Section DD. NYISO Reference Level Software NYISO s Reference Level Software ( RLS ) application was created to collect cost information from Customers to support the calculation of reference prices, where appropriate, as specified in the NYISO s market mitigation plan. Generators, BTM:NG Resources and LESRs must enter this data using the RLS screens prior to first test/bid for start up. For an overview of the NYISO s Reference Level Processes, please refer to the Reference Level Manual on the NYISO website at: For Market Participants Document Library Manuals & Guides Manuals Operations Reference Level Manual. For instructions on using the NYISO RLS application, please refer to the RLS User s Guide on the NYISO website at: For Market Participants Document Library Manuals & Guides Guides Reference Level Software User s Guide Rev. 2/1/2017

23 Section EE. Wind Plant Coordinates Worksheet This worksheet was created to collect meteorological data required to model new wind power resources in the wind forecasting tool. Failure to provide this information well in advance will delay market participation. For instructions on filling out the wind plant coordinates worksheet, please refer to: For Market Participants Document Library Manuals & Guides Guides Wind Plant Operator Data User s Guide. Section FF. Station Power Program In order to request Station Power service, an Applicant must submit (i) a completed Station Power Questionnaire, (ii) a signed LSE Designation Form, (iii) a Station Power Diagram, and (iv) a Table of Electric Accounts. Please see the examples, and use the forms provided in, Section FF of Annex 1. For additional information, please see Technical Bulletin #117, which may be found at: For Market Participants Document Library Technical Bulletins Technical Bulletin #117. Section GG. Qualifications for New ICAP Suppliers To qualify as an ICAP Supplier in any Installed Capacity auction administered by the NYISO, new Resources shall submit to the NYISO the results of an appropriate demonstration test or register as a Special Case Resource by 5:00 PM on the day specified in the ICAP Event Calendar, which can be found at: For Market Participants Market Data ICAP ICAP Resources View Event Calendar. Please see Section GG of Annex 1 for more detailed information pertaining to qualifications for new ICAP Suppliers. Section HH. ICAP Notification Template The ICAP Manual (Section 4) contains rules concerning new Resources (Generators). New generating Resources that want to participate in NYISO-administered auctions shall submit to the NYISO a notification letter, in the form of Section HH of Annex 1. This letter does not oblige a Resource to qualify as an ICAP Supplier; it allows the NYISO to prepare and be able to accommodate a Resource should that Resource request qualification and submit appropriate demonstration test or production data before an auction. A Resource must submit the notification letter to the NYISO by the first business day of the month before that month in which it wishes to qualify as an Installed Capacity Supplier. For example, to qualify in the month of April to participate in the May Installed Capacity market, the NYISO must receive the notification letter no later than 5:00:00 P.M. on the first business day of March. Section II. ICAP Purchase/Sell Agreement The Agreement to Purchase or Sell Unforced Capacity in NYISO Installed Capacity Auctions (Attachment F of the Installed Capacity Manual) must be signed, submitted and approved prior to entry into any NYISO Installed Capacity auction. Please see Section II of Annex 1 for details Rev. 2/1/2017