UNITED STATES OF AMERICA BEFORE THE FEDERAL ENERGY REGULATORY COMMISSION : : : : : : : : : : : : : : : : : : : : : :

Transcription

1 UNITED STATES OF AMERICA BEFORE THE FEDERAL ENERGY REGULATORY COMMISSION State of, ex rel. Bill Lockyer, Attney General of the State of v. British Columbia Power Exchange Cpation, Cal Power, LLC, Dynegy Power Marketing, Inc., Enron Power Marketing, Inc., Mirant Americas Energy Marketing, LP, Reliant Energy Services, Inc., Williams Energy Marketing & Trading Company, All Other Public Utility Sellers of Energy and Ancillary Services to the Energy Resources Scheduling Division of the Department of Water Resources, and All Other Public Utility Sellers of Energy and Ancillary Services into Markets Operated by the Power Exchange and Independent System Operat Docket No. EL CALIFORNIA PARTIES INITIAL EXHIBIT INDEX To The Honable Andrea McBarnette, Presiding Administrative Law Judge Pursuant to the Rules f the Conduct of the Hearing, 1 the 2 submit the following Initial Exhibit Index. 1 Cal., ex rel. Lockyer v. B.C. Power Exchange Cp., Docket No. EL , Order Establishing Rules of Conduct f Hearing at P 20 (Jan. 5, 2017). 2 F purposes of this proceeding, the are the People of the State of, ex rel. Xavier Becerra, Attney General of the State of, the Public Utilities Commission of the State of, Pacific Gas and Electric Company, and Southern Edison Company.

2 UNITED STATES OF AMERICA BEFORE THE FEDERAL ENERGY REGULATORY COMMISSION State of, ex rel. Bill Lockyer, Attney General of the State of v. British Columbia Power Exchange Cpation, Cal Power, LLC, Dynegy Power Marketing, Inc., Enron Power Marketing, Inc., Mirant Americas Energy Marketing, LP, Reliant Energy Services, Inc., Williams Energy Marketing & Trading Company, All Other Public Utility Sellers of Energy and Ancillary Services to the Energy Resources Scheduling Division of the Department of Water Resources, and All Other Public Utility Sellers of Energy and Ancillary Services into Markets Operated by the Power Exchange and Independent System Operat Docket No. EL INITIAL EXHIBIT INDEX OF THE CALIFORNIA PARTIES

3 Docket No. EL Page 2 of 69 CAP-0001 Prepared Direct Testimony of Gerald A. Tayl (Part 1), CAP-0002 Glossary of Terms CAP-0003 Tayl Resume CAP-0004 List of testimony given in matters related to the Crisis CAP-0005 July 25, 2001 FERC Order Establishing Evidentiary Hearing Procedures, Granting Rehearing In Part, and Denying Rehearing In Part, Docket No. EL00-95, et al. CAP-0006 Dec. 15, 2000 FERC Order Directing Remedies F Wholesale Electric Markets, Docket No. EL00-95, et al.

4 Docket No. EL Page 3 of 69 CAP-0007 June 19, 2001 FERC Order on Rehearing of Moniting and Mitigation Plan, Docket No. EL00-95, et al., CAP-0008 Nov. 10, 2014 FERC Order Affirming Factual Findings, Directing Compliance Filing And Ordering Refunds, Docket No. EL (Opinion No. 536). CAP-0009 Apr. 29, th Circuit Order on Petition f Review, Docket No CAP-0010 Nov. 3, 2015 FERC Order on Remand, Docket No. EL CAP-0011 Apr. 12, 2016 FERC Initial Decision, Docket Nos. EL and EL CAP-0012 Sept. 8, th Circuit Order on Petition

5 Docket No. EL Page 4 of 69 f Review, Docket No , et al., CAP-0013 Oct. 18, 2016 FERC Order On Revised Partial Initial Decision, Docket No. EL (Opinion No. 552). CAP-0014 The Competitiveness of the Energy and Ancillary Services Markets MSU (March 9, 2000) CAP-0015 BLANK CAP-0016 Prepared Direct Testimony of Gerald A. Tayl (Part 2) CAP-0017 Shell/Cal FERC Quarterly Repts f Quarter 1, 2000 through Quarter CAP-0018 Shell/Cal WSPP Quarterly Repts f Quarter 1, 2001 through Quarter 2, 2001

6 Docket No. EL Page 5 of 69 CAP-0019A Hafslund 2000 FERC Quarterly Repts, Quarter 2, CAP-0019B Hafslund 2000 FERC Quarterly Repts, Quarter 3 CAP-0019C Hafslund 2000 FERC Quarterly Repts, Quarter 4 CAP-0020A TransCanada's 2001 FERC Quarterly Repts, Quarter 1 CAP-0020B TransCanada's 2001 FERC Quarterly Repts, Quarter 2 CAP-0021 TransCanada sales to CDWR/CERS CAP-0022 Shell/Cal MBR Update, August 18, 2000

7 Docket No. EL Page 6 of 69 CAP-0023 Marketing and Services Agreement between Glendale and Cal, CAP-0024 of Trading Strategies by Shell CAP-0025 Cal Sales to CDWR/CERS CAP-0026A C8504_27_01_2001_ audio file CAP-0026B C8504_27_01_2001_ transcript CAP-0027 Letter from Donald Gelinas to All Jurisdictional and All Non-Jurisdictional Sellers in the West in Docket No. PA , dated March 5, 2002 CAP-0028 TransCanada WSPP Quarterly Repts f Quarter 1, 2001 through Quarter 2, 2001

8 Docket No. EL Page 7 of 69 CAP-0029 PNM Daily Parking Transaction Spreadsheet, CAP-0030 Powerex/PNM Parking Transactions on June 28 and 29, CAP-0031 Affidavit of Stanley K. Watters on Behalf of Pacificp with Exhibits in Docket No. PA , May 22, CAP-0032A SENA_AF_ audio file CAP-0032B SENA_AF_ transcript CAP-0033A SENA_AF_ audio file CAP-0033B SENA_AF_ transcript CAP-0034A SENA_AF_ audio file

9 Docket No. EL Page 8 of 69 CAP-0034B SENA_AF_ transcript, CAP from Michelle Steen RE Nth West trip, dated November 3, 2000 CAP-0036 Documents from market participants identifying parking providers CAP-0037 Prepared Direct Testimony and Exhibits of FERC Trial Staff in Docket No. EL , December 5, 2002 CAP from Joe Binstein RE EPMI Replacement Declines, dated August 12, 2000 CAP-0039 CAISO Non-Compliance Rept CAP-0040 Investigations Tracking Fm Hour Ahead

10 Docket No. EL Page 9 of 69 A/S Buyback, CAP-0041 Issues Tracking Fm Potential Gaming Associated with Earning Congestion Revenues through Scheduling Non-Firm Counterflows CAP-0042 DUKE/CAISO-237 Data Response CAP chain RE Change to Schedule, dated June 29, 2000 CAP from Kyle Ross RE NP15 Derate, Diablo Canyon 500 KV, dated January 17, 2000 CAP chain between Eric Klinker and Jon Cassity RE Parking service follow-up, dated June 28, 2000

11 Docket No. EL Page 10 of 69 CAP-0046 Transcript excerpts of February 20, 2003, deposition of Steve Fliflet, CAP-0047 TransCanada Power Deal Sheet Nos and CAP from Todd Fitzgerald regarding Mirant s credit limit with Powerex, dated April 9, 2001 CAP from Wyndi Wkman-Rodriguez to Bill Casey regarding EPMI Parking Deal, dated January 30, 2001 CAP-0050 Agreement between Avista and Chelen, August 1, CAP chain from Jimmy Lin RE My Presentation about the state of Wholesale Marketing, including attachment, The State of the Wholesale Marketing, dated March

12 Docket No. EL Page 11 of 69 3, 2001, CAP-0052 Notes to Realtime f Monday, July 31, 2000 CAP s from Carey Mris to San Diego Real Time RE CRLP and GLEN Ancillaries f January 4 th, dated January 3, 2001 CAP s from Carey Mris to San Diego Real Time RE CRLP and GLEN Ancillaries f January 5 th, dated January 4, 2001 CAP s from Carey Mris to San Diego Real Time RE CRLP and GLEN Ancillaries, dated between December 4 and December 31, 2000 CAP-0056 Hafslund 2000 WSPP Quarterly Rept,

13 Docket No. EL Page 12 of 69 Quarter 1., CAP-0057 Answering Testimony of Josef M. Mueller in Docket No. EL , October 24, 2011 CAP-0058 Prepared Direct Testimony of Dr. Carolyn A. Berry in Docket No. EL , August 25, 2011, CAP-0059 Sheffrin, Anjali, Empirical Evidence of Strategic Bidding in ISO Real Time Market, Department of Market Analysis, ISO, March 21, 2001 CAP-0060 BLANK CAP-0061 Reference Prices Implied Heat Rates, Nth vs. South.

14 Docket No. EL Page 13 of 69 CAP-0062 ISO, Rept on Market Issues and Perfmance May-June 2000, Department of Market Analysis, August 10, 2000., CAP-0063 PNM Transcript CAP-0064 PWX Freq. of Hrs when Market Shares at least 20% freq f 2000 CAP-0065 PWX Avg. and Max. when Market Shares 20% f 2000 CAP-0066 Hafslund 2000 WSPP Quarterly Rept, Quarter 3. CAP-0067 ENRON Freq. of Hrs when Market Shares at least 20% freq f 2000

15 Docket No. EL Page 14 of 69 CAP-0068 ENRON Avg. and Max. when Market Shares 20% f 2000, CAP-0069 Dynegy Freq. of Hrs when Market Shares at least 20% freq f 2000 CAP-0070 Dynegy Avg. and Max. when Market Shares 20% f 2000 CAP-0071 Mirant Freq. of Hrs when Market Shares at least 20% freq f 2000 CAP-0072 Mirant Avg. and Max. when Market Shares 20% f 2000 CAP-0073 Reliant Freq. of Hrs when Market Shares at least 20% freq f 2000 CAP-0074 Reliant Avg. and Max. when Market

16 Docket No. EL Page 15 of 69 Shares 20% f 2000, CAP-0075 Sempra Freq. of Hrs when Market Shares at least 20% freq f 2000 CAP-0076 Sempra Avg. and Max. when Market Shares 10% f 2000 CAP-0077 Nevada Power Freq. of Hrs when Market Shares at least 10% freq f 2000 CAP-0078 Nevada Power Avg. and Max. when Market Shares 10% f 2000 CAP-0079 Puget Freq. of Hrs when Market Shares at least 10% freq f 2000 CAP-0080 Puget Avg. and Max. when Market Shares 10% f 2000

17 Docket No. EL Page 16 of 69 CAP-0081 Williams Freq. of Hrs when Market Shares at least 20% freq f 2000, CAP-0082 Powerex. Transaction Rept f the Quarter Ending March 31, 2000 CAP-0083 Powerex Documents Showing Powerex Market Shares in Markets May 2000 through November Protected CAP-0084 PWX Freq. of Hrs when Market Shares at least 20% freq f 2000 f CERS CAP-0085 PWX Avg. and Max. when Market Shares 20% f 2000 f CERS CAP-0086 Sempra Freq. of Hrs when Market Shares at least 20% freq f 2000 f CERS

18 Docket No. EL Page 17 of 69 CAP-0087 Sempra Avg. and Max. when Market Shares 20% f 2000 f CERS, CAP-0088 TransAlta Freq. of Hrs when Market Shares at least 20% freq f 2000 f CERS CAP-0089 Cal Freq. of Hrs when Market Shares at least 10% freq f 2000 f CERS CAP-0090 Cal Avg. and Max. when Market Shares 10% f 2000 f CERS CAP-0091 PNM Freq. of Hrs when Market Shares at least 20% freq f 2000 f CERS CAP-0092 PNM Avg. and Max. when Market Shares 20% f 2000 f CERS CAP-0093 Dynegy Freq. of Hrs when Market Shares

19 Docket No. EL Page 18 of 69 at least 10% freq f 2000 f CERS, CAP-0094 Dynegy Avg. and Max. when Market Shares 10% f 2000 f CERS CAP-0095 Duke Freq. of Hrs when Market Shares at least 10% freq f 2000 f CERS CAP-0096 Duke Avg. and Max. when Market Shares 10% f 2000 f CERS CAP-0097 Reliant Freq. of Hrs when Market Shares at least 10% freq f 2000 f CERS CAP-0098 Reliant Avg. and Max. when Market Shares 10% f 2000 f CERS CAP-0099 Williams Freq. of Hrs when Market Shares at least 10% freq f 2000 f CERS

20 Docket No. EL Page 19 of 69 CAP-0100 Williams Avg. and Max. when Market Shares 10% f 2000 f CERS, CAP-0101 Freq suppliers with MS >= 20% and avg. MS in the Replacement Reserves market f PK/OP CAP-0102 PWX Ancillary Services Capacity MS CAP-0103 Analysis of Suppliers with Significant MS in CAISO Ancillary Service Markets (Spinning Reserves) CAP-0104 Analysis of Suppliers with Significant MS in CAISO Ancillary Service Markets (Non- Spinning Reserves) CAP-0105 Prepared Direct Testimony of Gerald A. Tayl in Docket No. EL , August 25, 2011

21 Docket No. EL Page 20 of 69 CAP-0106 Memandum from Christian Yoder and Stephen Hall to Richard Sanders titled Traders Strategies in the Wholesale Power Markets/ISO Sanctions, dated December 6, 2000, CAP from Kristian Dolfinger to Tim Hanna RE PAC, BURB, DYPM, PSCO, dated March 6, 2001 CAP-0108 PNM Parking Documents Produced by MIECO CAP-0109 Reliant trader transcripts f June 19-20, 2000 CAP-0110 Prepared Testimony of Gerald A. Tayl in Docket No. EL03-80, February 27, 2004 CAP-0111 Summary of Prepared Supplemental Testimony of Gerald A. Tayl in Docket

22 Docket No. EL Page 21 of 69 No. EL03-80, January 31, 2005, CAP-0112 Recded trader conversations Pacificp CAP-0113A C8501_04_08_2000_ audio file CAP-113B C8501_04_08_2000_ transcript CAP-0114 Review of Respondent Quarterly Repts CAP-0115 Powerex Notes to Realtime CAP-0116 Excerpts from Glendale Schedule Logs CAP from H. Harris to C. Mris re fat boys, dated April 26, 2000 CAP-0118 Notes to Realtime f Monday July 3 rd

23 Docket No. EL Page 22 of 69 CAP-0119 ISO Tariff, CAP-0120 Daily CERS Spot Purchase Prices similar graphs f each day from January 17 through June 20, 2001 CAP-0121 Cal Real Time Sales to CERS, COB Market CAP from Carey Mris to Gege Butkus RE Day notes to be aware of f 08/01/00 , dated August 1, 2000 CAP from Ichu Cheng to Christopher O Riley and Powerex Trader RE Price Projection 254 Days xls, dated July 13, 2000 CAP-0124A SENA_AF_ audio file

24 Docket No. EL Page 23 of 69 CAP-124B SENA_AF_ transcript, CAP-0125A SENA_AF_ audio file CAP-125B SENA_AF_ transcript CAP from Carey Mris to Roy Alvarez and Hank Harris RE DA Strategy in Combination with Ancillaries, dated June 17, 2001 CAP s between Chris Giulini to Carey Mris RE CDWR Credit Level, dated January 27, CAP-0128 Prepared Direct Testimony of Peter Fox- Penner in Docket No. EL , August 25, 2011

25 Docket No. EL Page 24 of 69 CAP-0129 Powerex Memo d September 25, 2000 Markets Analysis of Summer 2000 Trade Activities, CAP-0130 Excerpt from TransCanada Quarterly Rept to Shareholders Segment Financial Results Five months ended May 2001 CAP-0131 Staff of the Federal Energy Regulaty Commission, Final Rept on Price Manipulation In Western Markets Fact- Finding Investigation of Potential Manipulation of Electric and Natural Gas Prices, Docket No. PA , March CAP-0132 Prepared Direct Testimony of Dr. Robert J. Reynolds, Ph.D. in Docket No. EL00-95, et al., February 27, 2003 CAP-0133 El Dado Energy Trip Summary

26 Docket No. EL Page 25 of 69 CAP-0134 Prepared Direct Testimony of Dr. Robert J. Reynolds in Docket No. EL , September 21, 2012, CAP from Jeff Larn to Douglas Little RE Markets Analysis of Summer 2000 Trade Activity, dated Sept., 25, 2000 CAP-0136A SENA_AF_ audio file CAP-136B SENA_AF_ transcript CAP-0137 Powerex Compilation CAP from Tim Hanna to Michelle Steen, FW dec supplementals, dated October 19, 2000 CAP-0139 Trader transcript demonstrating codinated

27 Docket No. EL Page 26 of 69 bidding, CAP-0140 Randolph Krager s CAP-0141 Prepared Rebuttal Errata Testimony of Gerald A. Tayl in Docket No. EL , October 6, 2015 CAP-0142A SENA_AF_ audio file CAP-142B SENA_AF_ transcript CAP-0143 Technical Appendices CAP-0144 Wkpapers CAP-0145 Summary of Average Quantities and Prices when Seller Fails Two-Stage Withholding Screen

28 Docket No. EL Page 27 of 69 CAP-0146 Sensitivity Analysis - Summary of Twostage Withholding 400% Scenario, CAP-0147 Seller Sales Summary during the CERS Period CAP-0148 WSSP Agreement CAP from Thomas Bechard to Margolis Murray and Powerex RealTime Trader RE Beep, dated February 19, 2000 CAP-0150A C8501_08_05_2001_ audio file CAP-0150B C8501_08_05_2001_ transcript CAP-0151 Summary of Restricted Maintenance Operations, Alert, Warning, Emergency, and Flex Alert Notices Issued from 1998 to

29 Docket No. EL Page 28 of 69 Present, CAP from Carey Mris to San Diego Real Time and Hank Harris RE OOM Strategy This Week, dated May 6, 2001 CAP-0153 PNM NERC Tags CAP-0154 CERS Real Time Supply Acquisitions Spreadsheets CAP-0155 Prepared Direct Testimony of Dr. Peter Fox-Penner CAP-0156 Dr. Fox-Penner Resume CAP-0157 Fox-Penner List of Testimony over the Past Four Years

30 Docket No. EL Page 29 of 69 CAP-0158 Technical Discussion of Isolated Directional Price Effect Analyses, CAP-0159 Step-by-step graph PX-sourced False Load Taken in Isolation CAP-0160 Step-by-step graph Other-CA-sourced False Load Taken in Isolation CAP-0161 Step-by-step graph PX-sourced False Expt Taken in Isolation CAP-0162 Step-by-step graph Other-CA-sourced False Expt Taken in Isolation CAP-0163 Dr. Fox-Penner wkpapers CAP-0163A Dr. Fox-Penner protected wkpapers

31 Docket No. EL Page 30 of 69 CAP-0164 Dr. Berry Direct Testimony in Docket No. EL et al., CAP-0165 Answer of the Independent System Operat Cpation to Motions to Intervene, Comments, and Protests, Docket No. ER CAP-0166 Hafslund's Isolated Price-Increasing Effect Tariff Violations CAP-0167A Shell's Isolated Price of False Load Tariff Violations CAP-0167B Shell's Isolated Price of False Expt Tariff Violations CAP-0167C Shell s Isolated Price of False Load with Anomalous Bidding Tariff Violations

32 Docket No. EL Page 31 of 69 CAP-0167D Shell s Isolated Price of False Expt with Anomalous Bidding Tariff Violations, CAP-0167E Shell s Isolated Price of Type III Anomalous Bidding (Economic Withholding) Tariff Violations CAP-0168 U.S. Energy Infmation Administration Annual Energy Outlook, 2002, p.30 CAP-0169 ISO Tariff Section CAP-0170 Isolated Directional Price-Increasing Effects of Shell's False Expt Tariff Violations After January 31, 2001 CAP-0171 Sensitivity Analysis of Isolated Price- Increasing Effects of Shell's Multi-party False Expt Tariff Violations on April 24, 2001

33 Docket No. EL Page 32 of 69 CAP-0172 Ilias and Reynolds analysis of the evidence of codinated bidding among suppliers of electricity in during the Summer Period, CAP of Shell Trader, Re Canvassing the Market, dated November 7, 2000 CAP-0174A %Q6VHQLD Audio File CAP-0174B %Q6VHQLD Transcript CAP-0175A %PTUDO0_ Audio File CAP-0175B %PTUDO0_ Transcript CAP-0176A C8504_18_01_2001_045502_copy_2 Audio File

34 Docket No. EL Page 33 of 69 CAP-0176B C8504_18_01_2001_045502_copy_2 Transcript, CAP-0177A C8504_18_01_2001_045902_copy_2 Audio File CAP-0177B C8504_18_01_2001_045902_copy_2 Transcript CAP-0177C Excerpt of CERS Traderbook f Day Of Purchase on January 18, 2001 CAP-0178 PX Silver Peak Investigation CAP-0179 Enron's Services Handbook CAP-0180 Marketing and Services Agreement between Glendale and Cal

35 Docket No. EL Page 34 of 69 CAP-0181 MPS/CA Municipality and Agreement, CAP-0182 Memandum on implementation of Transmission Strategies Agreement between Avista Energy and a governmental utility. CAP from Tim Hanna to Michelle Steen, FW dec supplementals, dated October 19, 2000 CAP-0184A G1EOT8T Audio File CAP-0184B G1EOT8T Transcript CAP-0185 Trader transcript demonstrating codinated bidding CAP-0186 Trader transcript demonstrating codinated

36 Docket No. EL Page 35 of 69 bidding, CAP from Bill Bryce to FERC Subj K Parking dated 05/20/2002 CAP-0188 GOMFHD Transcript CAP-0189A G1_Y9ID Audio File CAP-0189B G1_Y9ID Transcript CAP-0190A G0M43I) Audio File CAP-0190B G0M43I) Transcript CAP-0191A SENA_AF_ Audio File CAP-0191B SENA_AF_ Transcript

37 Docket No. EL Page 36 of 69 CAP-0192A SENA_AF_ Audio File, CAP-0192B SENA_AF_ Transcript CAP-0193 ISO's Posting of Real Time Price CAP-0194 Excerpt from Deposition of Brian Skinner, pages CAP-0195 Deposition of James Stebbins in Docket No. EL00-95, et al, February 11, 2003 CAP from Ken Welsel to Ricardo Marquez, Subj AVISTA Cpation Synopsis, dated October 1, 2000 CAP-0197 Powerex Business Plan 2000/2001 CAP-0198 Rept on Expt Trade

38 Docket No. EL Page 37 of 69 CAP-0199A GOMFHD Audio File, CAP-0199B GOMFHD Transcript CAP-0200 Cal Term Sheet and Trader Training Manual CAP-0201A Severin Benstein, et al., "Market Power in Electricity Markets," Utilities Policy, 5(3-4), 1995 CAP-0201B Steven L. Puller, Pricing and Firm Conduct in 's Deregulated Electricity Market, The Review of Economics and Statistics, MIT Press, vol. 89(1) 75-87, October 2007 CAP-0202A ISO Department of Market Analysis, Request to Extend Price Caps, August 29, 2000

39 Docket No. EL Page 38 of 69 CAP-0202B ISO Department of Market Analysis, Empirical Evidence of Strategic Bidding in ISO Real Time Market, March 21, 2001, CAP-0203 GAO Rept to Congress, Restructured Electricity Markets Market Design Enabled Exercise of Market Power, June CAP-0204 Prepared Direct Testimony of Robert J. Reynolds CAP-0205 CV of Robert J. Reynolds CAP-0206 Detailed Discussion of Withholding Analysis CAP-0207 Generats' Steam Turbine and Combined Cycle Units

40 Docket No. EL Page 39 of 69 CAP-0208 Generats' Combustion Turbine Units, CAP-0209 Summary of Environmental Considerations f Steam and Combined Cycle Units CAP-0210 Average Level of Withholding per Hour (MW) CAP-0211 Average Level of Withholding per Hour (MW) by Zone CAP-0212 Frequency Hourly Withholding Exceeded Certain Thresholds CAP-0213 Average Level of Withholding per Hour (MW) by Firm CAP-0214 Results of Sensitivity Cases

41 Docket No. EL Page 40 of 69 CAP-0215 Example of Withholding from CAISO Real- Time Market, CAP-0216 Frequency of Withholding Exceeding 1000 MW CAP-0217 BLANK CAP-0218 BLANK CAP-0219 Reynolds Wkpapers CAP-0220 BLANK CAP-0221 BLANK CAP-0222 BLANK

42 Docket No. EL Page 41 of 69 CAP-0223 BLANK, CAP-0224 Direct Testimony of Richard E. Goldberg CAP-0225 Qualifications of Richard E. Goldberg CAP-0226 Full Size Reproduction of Figures 1 13 to Direct Testimony of Richard E. Goldberg CAP-0227 Calculations and Suppting Data f Direct Testimony of Richard E. Goldberg CAP-0228 Direct Testimony of Carolyn A. Berry in Docket No. EL02-60, May 19, 2015 CAP-0229 BLANK CAP-0230 BLANK

43 Docket No. EL Page 42 of 69 CAP-0231 BLANK, CAP-0232 BLANK CAP-0233 Trading Partners of Respondents CAP-0234 Violation Calendar CAP-0235 Prepared Direct Testimony of Gerald A. Tayl in Docket No. EL02-60, et al, May 19, 2015 CAP-0236 Appendix to Order Directing Williams Energy Marketing & Trading Company and AES Southland, Inc., to Show Cause in Docket No. IN CAP-0237 BLANK

44 Docket No. EL Page 43 of 69 CAP-0238 Powerex MBR Update, July 28, 2000, CAP from Thomas Bechard to Powerex Real Time Traders, Subj PGES Deal, dated February 3, 2000 with attachment CAP-0240 Powerex s reflecting False Load CAP-0241 FERC News Release, Commission Moves to Bring Relief to Electricity Markets, dated December 8, 2000 CAP ch012_ _ _00176 Transcript CAP-0243 Memo to BC Hydro Board of Directs from Powerex, January 4, 2031 [sic] Rebuttal Testimony of Gerald A. Tayl CAP-0244 CAP-0245 Powerex Final PX schedules f December

45 Docket No. EL Page 44 of 69 CAP-0246 CAP-0247 CAP , 2000 PWX LADWP transcripts Documents, including , a presentation and data responses that review false expt Wolak, Ndhaus, and Shapiro, Analysis of Order Proposing Remedies f Wholesale Electric Markets (Issued November 1, 2000), Market Surveillance Committee, ISO, December 1, Shell Energy Nth America (US), L.P. Objections And Responses to Complainants' Tenth Set of Discovery Requests, CA-SHELL 88, CAP-0249 CAP-0250 Listing ISO declared Stage Emergencies SENA-L-AUDIO audio file CAP-0251A SENA-L-AUDIO transcript CAP-0251B Notes of Tom Nesmith from PNM CAP-0252 CAP string titled Parking and Lending

46 Docket No. EL Page 45 of 69 CAP-0254 CAP-0255 CAP-0256A CAP-0256B CAP-0257A CAP-0257B CAP-0258A CAP-0258B CAP-0259A CAP-0259B Flow Chart with attached chart titled Parking Road Map Blank Six documents titled February Quiz completed by various individuals; Document titled Project Fat Boy/Project Thinman SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript,

47 Docket No. EL Page 46 of 69 CAP-0260A CAP-0260B CAP-0261A CAP-0261B CAP-0262A CAP-0262B CAP-0263A CAP-0263B CAP-0264A CAP-0264B CAP-0265A CAP-0265B SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript SENA-L-AUDIO audio file SENA-L-AUDIO transcript,

48 Docket No. EL Page 47 of 69, CAP-0266A SENA-L-AUDIO audio file CAP-0266B SENA-L-AUDIO transcript CAP-0267A SENA-L-AUDIO audio file CAP-0267B SENA-L-AUDIO transcript CAP-0268A SENA-L-AUDIO audio file CAP-0268B SENA-L-AUDIO transcript Wkpapers CAP-0269 Jeffrey Tranen Answering Testimony, Exh. No. SNA-009, Docket No. EL CAP-0270 (December 13, 2012) Shell Discovery Response to Set 11 CAP-0271 C8501_08_05_2001_ audio file CAP-0272A C8501_08_05_2001_ transcript CAP-0272B CAP-0273 Excerpt of Tranen Wkpapers (SNA-0070)

49 Docket No. EL Page 48 of 69, PNW_Purchase_Sales November 1, 2000 Staff Rept CAP-0274 November 1, 2000 Order CAP-0275 Opinion No. 536-A CAP-0276 Opinion No. 536-B CAP-0277 Opinion No. 537 CAP-0278 Rebuttal Glossary CAP-0279 MPS Traderbook Q CAP-0280 Blank CAP-0281 Blank CAP-0282 Blank CAP-0283 Blank CAP-0284 CAP-0285 Blank

50 Docket No. EL Page 49 of 69 CAP-0286 CAP-0287 CAP-0288 CAP-0289 CAP-0290 CAP-0291 CAP-0292 CAP-0293 Blank Blank Blank Blank Fox-Penner Rebuttal Testimony Mr. Russo Data Response to CA CA-Shell-120, CA-Shell-121, CA-Shell- 122, CA-Shell-123, CA-Shell-127, CA- Shell-132, CA-Shell-133, CA-Shell-134, CA-Shell-135. Dr. Dick Data Response to CA CA- Shell-160 Jonathan Kolstad and Frank Wolak paper - Using Environmental Emissions Permit Prices to Raise Electricity Prices Evidence from the Electricity Market CAP-0294 McCann Direct Testimony (CA-11) 2003,

51 Docket No. EL Page 50 of 69 A Market View from The Operating Room by Ziad Alaywan, Jim McIntosh ISO [Blackout Exhibit], CAP-0295 CAP-0296A SENA_AF_ audio file CAP-0296B SENA_AF_ transcript CAP-0297A SENA_AF_ audio file CAP-0297B SENA_AF_ transcript CAP-0298A SENA_AF_ audio file CAP-0298B SENA_AF_ transcript CAP-0299A SENA_AF_ audio file CAP-0299B SENA_AF_ transcript CAP-0300 Fox-Penner Rebuttal Testimony Wkpaper CAP-0301 List of Sellers to CERS CAP-0302 Shell Trader Alvarez re Colton

52 Docket No. EL Page 51 of 69, Congestion Relief Spreadsheet Direct Testimony of John Pacheco (CAT- CAP ) 2012 Comparison of Hourly Day Of Prices during CAP-0304 the CERS period Shell vs. other Sellers CAP-0305A C8504_13_03_2001_ audio file CAP-0305B C8504_13_03_2001_ transcript Summary of Day Of - Day Ahead Average CAP-0306 Daily Price Differentials COB vs. Mid-C CAP-0307A SENA_AF_ audio file CAP-0307B SENA_AF_ transcript CAP-0308A SENA_AF_ audio file CAP-0308B SENA_AF_ transcript CAP-0309A SENA_AF_ audio file CAP-0309B SENA_AF_ transcript CAP-0310A SENA_AF_ audio file

53 Docket No. EL Page 52 of 69 CAP-0310B CAP-0311A CAP-0311B CAP-0312A CAP-0312B CAP-0313A CAP-0313B CAP-0314A CAP-0314B CAP-0315 CAP-0316 SENA_AF_ transcript C8504_20_01_2001_ audio file C8504_20_01_2001_ transcript SENA_AF_ audio file SENA_AF_ transcript SENA_AF_ audio file SENA_AF_ transcript SENA_AF_ audio file SENA_AF_ transcript from Helen Shields to Tim Hood and Mark Gill dated February 23, 2001, Re San Diego Credit Reserve Average Sales Prices Shell vs. Williams (Figure 1 of CAL-319, Docket Number,

54 Docket No. EL Page 53 of 69, EL et al.) Comparison of Shell Margins to Williams CAP-0317 (WESC) Margins CAP-0318 Equivalent Cost of Credit Risk Attachments to CAP-0318 Page 1 from Robert Reilley to Beth Bowman dated May 23, 2001, Re CDWR Paid its April bill. Page Annual Global Default study and Rating Transitions CAP-0319 Page Shell Trading documents Chronology of Changes to Shell's Minimum Profit Margin with Respect to Sales to CAP-0320 CERS CAP-0321 Blank CAP-0322 Blank CAP-0323A SENA AF audio file CAP-0323B SENA_AF transcript CAP from Carey Mris to Hank Harris

55 Docket No. EL Page 54 of 69 that he thought that trades with CDWR which ultimately sink with the CISO CAP-0325 Rebuttal Testimony of Robert J. Reynolds CAP-0326 Excerpt from Shell Discovery Request Responses (5 th Set) CAP-0327 Excerpt from Shell Discovery Request Responses (7 th Set) CAP-0328 Summary of Physical Withholding in Soft Cap Period CAP-0329 Analysis of Generat A s Withholding Decision CAP-0330 Blank CAP-0331 Blank CAP-0332 Generating Capacity in the ISO Control Area, 2001 CAP-0333 Summary of Fox-Penner Price Effects Resulting From Withholding Violations CAP-0334 Blank CAP-0335 Calculation of a Lower Bound f the Profits from Withholding,

56 Docket No. EL Page 55 of 69 CAP-0336 Summary of Intertempal Regressions Using the Set of Explanaty Variables Employed by Dr. Goldberg CAP-0337 Outage Probability Analysis CAP-0338 Summary of Differences Between Offer Prices and Highest Accepted Prices f Bids Associated With Economic Withholding During Soft Cap Period CAP-0339 Summary of Withholding During Testing Periods CAP-0340 Share of Withholding from Units That Needed to Purchase NO X Credits CAP-0341 Reynolds Rebuttal Wkpapers CAP-0342 Rebuttal Testimony of Richard E. Goldberg CAP-0343 Full-Size Reproduction of Goldberg Rebuttal Testimony Figures 1 & 2 CAP-0344 Wkpapers and Suppting Data f Goldberg Rebuttal Testimony CAP-0345 Responses of Shell (Russo) to CA-SHELL- 69 and CA-SHELL-136,

57 Docket No. EL Page 56 of 69, CAP-0346 CAP-0347 CAP-0348 CAP-0349 CAP-0350 CAP-0351 CAP-0352 CAP-0353 CAP-0354 CAP-0355

58 Docket No. EL Page 57 of 69, CAP-0356 CAP-0357 CAP-0358 CAP-0359 CAP-0360 CAP-0361 CAP-0362 CAP-0363 CAP-0364 CAP-0365

59 Docket No. EL Page 58 of 69, CAP-0366 CAP-0367 CAP-0368 CAP-0369 CAP-0370 CAP-0371 CAP-0372 CAP-0373 CAP-0374 CAP-0375

60 Docket No. EL Page 59 of 69, CAP-0376 CAP-0377 CAP-0378 CAP-0379 CAP-0380 CAP-0381 CAP-0382 CAP-0383 CAP-0384 CAP-0385

61 Docket No. EL Page 60 of 69, CAP-0386 CAP-0387 CAP-0388 CAP-0389 CAP-0390 CAP-0391 CAP-0392 CAP-0393 CAP-0394 CAP-0395

62 Docket No. EL Page 61 of 69, CAP-0396 CAP-0397 CAP-0398 CAP-0399 CAP-0400 CAP-0401 CAP-0402 CAP-0403 CAP-0404 CAP-0405

63 Docket No. EL Page 62 of 69, CAP-0406 CAP-0407 CAP-0408 CAP-0409 CAP-0410 CAP-0411 CAP-0412 CAP-0413 CAP-0414 CAP-0415

64 Docket No. EL Page 63 of 69, CAP-0416 CAP-0417 CAP-0418 CAP-0419 CAP-0420 CAP-0421 CAP-0422 CAP-0423 CAP-0424 CAP-0425

65 Docket No. EL Page 64 of 69, CAP-0426 CAP-0427 CAP-0428 CAP-0429 CAP-0430 CAP-0431 CAP-0432 CAP-0433 CAP-0434 CAP-0435

66 Docket No. EL Page 65 of 69, CAP-0436 CAP-0437 CAP-0438 CAP-0439 CAP-0440 CAP-0441 CAP-0442 CAP-0443 CAP-0444 CAP-0445

67 Respectfully submitted, /s/ Iryna Kwasny Arocles Aguilar, General Counsel Christopher E. Clay Iryna Kwasny Public Utilities Commission of the State of 505 Van Ness Avenue San Francisco, CA (415) Attneys f the Public Utilities Commission of the State of /s/ Danette E. Valdez Xavier Becerra Attney General Mark Breckler Chief Assistant Attney General Martin Goyette Seni Assistant Attney General Danette E. Valdez Supervising Deputy Attney General Office of the Attney General 455 Golden Gate Avenue, Suite San Francisco, CA /s/ Stan Berman Stan Berman Eric Todderud Sidley Austin LLP 701 5th Avenue, Suite 4200 Seattle, WA Mark D. Patrizio Joshua S. Levenberg Pacific Gas and Electric Company 77 Beale Street, B30A Post Office Box 7442 San Francisco, CA Kevin J. McKeon Judith D. Cassel Whitney E. Snyder Melissa A. Chapaska Hawke McKeon & Sniscak LLP 100 Nth Tenth Street Harrisburg, PA (717) Attneys f the People of the State of ex rel. Xavier Becerra, Attney General Attneys f Pacific Gas and Electric Company

68 /s/ Richard L. Roberts Richard L. Roberts Jane I. Ryan Catherine M. Giovannoni Steptoe & Johnson LLP 1330 Connecticut Avenue, NW Washington, DC (202) Russell A. Archer Southern Edison Company 2244 Walnut Grove Avenue Rosemead, CA Attneys f Southern Edison Company March 31, 2017 *Sidley Austin LLP is not appearing with respect to claims against TransCanada Energy Ltd. Merrill Lynch Capital Services, Inc.

69 CERTIFICATE OF SERVICE I hereby certify that I have this day served an electronic copy of the fegoing document upon each person designated on the ListServ established in Docket No. EL d at Harrisburg, PA this 31 st day of March, /s/ Melissa A. Chapaska Melissa A. Chapaska Hawke McKeon & Sniscak LLP 100 N. 10th Street Harrisburg, PA (717) machapaska@hmslegal.com