ISONE ICAP Manual 20

ISO New England Manual for the Forward Capacity Market (FCM) Manual M-20

Revision: 1716 Effective Date: June 9, 2014January 9, 2015

Prepared by ISO New England Inc. Section 1: Master Forward Capacity Auction Schedule All Forward Capacity Market deadlines can be found on the ISO New England website on the FCM page by searching for FCM Auction Calendars under “Document Type” and in the Forward Capacity Tracking System (FCTS) in the FCM calendar tab. All Market Participants and non-Market Participants can request access to FCTS by e-mailing the Forward Capacity Market Non-Market Participant Registration Request form to [email protected].

Master FCA Schedule MR X- Step/Event Step/Event Reference Identifier A1 Capacity Commitment Period (Start Date) 13.1.10 A2 Show of Interest (Start) 13.1.10 A3 Show of Interest (End) A4 (Reserved) A5 (Reserved) 13.1.2.3 A6 ISO Notifies Existing 13.1.4.2.5. Capacity of Qualified MWs 2 (QCN) 13.1.4.6.1 A7 ISO Publishes Dispatch Zones 13.1.3.3 A8 Existing Import Contract Deadline 13.1.2.2.5 A9 Significant Increase Request Due 13.1.2.3 A10 Existing Capacity Challenge Window Closes 13.1.1.1.6 A11 Reactivation Plans Due 13.1.2.3.1 13.1.4.3 A12 Existing DR updated Measurement &Verification ISO New England Inc. 1-1

Revision 176, Effective Date: June 9, 2014January 9, 2015 Forward Capacity Market Manual Section 1: Master Forward Capacity Market Schedule

Master FCA Schedule MR X- Step/Event Step/Event Reference Identifier (M&V) Plans 13.1.2.3 A13 ISO Notifies Capacity of Challenge Outcome 13.1.2.2.4 A14 Significant Decrease Election Date 13.1.10 A15 Existing Capacity 13.1.4.2.1 Qualification Deadline 13.1.2.3.1 A16 Submission of Static De- List Bid, Permanent De-List Bid 13.1.8 A17 ISO Posts Existing Capacity Static De-List Bid, Permanent De-List Bid and Export Bid Information 13.1.10 A18 New Capacity Qualification 13.1.4.2.2 Deadline (Critical Path) 13.1.3.5.1 A19 New Import Capacity 13.1.3.5.3. Documentation Due 1 A20 (Reserved) 13.1.8 A21 ISO Posts New Import Capacity Offer Information 13.1.1.2.1 A22 Show of Interest (SOI) Reduction in Capacity Changes Deadline for Generation 13.1 A23 Market Participant Status Deadline 13.1.2.4 A24 ISO Notifies New Capacity 13.1.1.2.8 of Qualification

ISO New England Inc. 1-2 Revision 1617, Effective Date: June 9January 9, 2015, 2014 Forward Capacity Market Manual Section 1: Master Forward Capacity Market Schedule

Master FCA Schedule MR X- Step/Event Step/Event Reference Identifier 13.1.4.2.5 Acceptance/Denial and Disposition of De-List Requests for New and Existing (QDN) 13.1.2.3.2. A24.1 Static De-List Bids 1.1.2 Finalization Period 13.1.8 A25 ISO Posts Internal Market Monitor approved Static and Permanent De-List Bid Information 13.1.2.3.1. A26 Non-Price Retirement 5 Request Window Closes 13.1.5 A27 Composite Offer Deadline 13.1.5.A A28 Notification of FCA Qualified Capacity 13.1.1.2 A29 Sponsor Withdrawal Deadline from Qualification Process A30 Collect Financial Assurance Information from Accepted New Capacity1 (Section VII of the Financial Assurance Policy--Exhibit IA to Section I of the Tariff) 13.1.6 A31 Self Supply Designation Deadline for Generation 13.8.1 A32 FERC Informational Filing Due 13.1.4.2.2. A33 DR Milestones2 1 Financial Assurance must be satisfied by 8 am on the dates specified. ISO New England Inc. 1-3 Revision 1617, Effective Date: June 9January 9, 2015, 2014 Forward Capacity Market Manual Section 1: Master Forward Capacity Market Schedule

Master FCA Schedule MR X- Step/Event Step/Event Reference Identifier 4.2 13.1.4.2.2. A34 Pipeline Analysis Submittal3 4.3 13.2.1 A35 Conduct FCA (beginning date) 13.1.4.3.1. A36 DR M&V Annual 3 Certification

2 During the external qualification package submission window, DR milestones will be displayed in FCTS as a part of the Simple Critical Path Schedule.

3 This date is 35 days before the Forward Capacity Auction. ISO New England Inc. 1-4 Revision 1617, Effective Date: June 9January 9, 2015, 2014 Section 2: Market Participant Action Matrices

2.1 Resource Qualification

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) Identifier 1 X X X X A23 13.1 Submit application to For information on how to become Market Participant. become a Market Participant, see the ISO’s website, Registration Information - http://www.iso- ne.com/support/reg_info/in dex.html. 2 X X A18 13.1.1 Elect multiple Capacity This election is made by Commitment Period using the Forward Capacity treatment for a New Tracking System (FCTS) Generating Capacity user interface. Resource clearing in the Forward Capacity Auction 23 X X 13.1.1.2 Submit an Interconnection To view documentation go to: Request under Schedules 22 http://www.iso- and 23 of Section II of the ne.com/genrtion_resrcs/nwgen Tariff prior to submitting a _inter/index.html New Capacity Show of Interest Form during the A new generating facility ISO New England Inc. 2-1

Revision 167, Effective Date: June 9, 2014Date: January 9, 2015 Forward Capacity Market Manual Section 2: Market Participant Action Matrices

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) New Capacity Show of having a maximum gross Interest Submission capability at or above zero Window. degrees F of more than 20 MW is defined as Large Generating Facility under the interconnection procedures of the Tariff. It requires an Interconnection Request under Schedule 22 of Section II of the Tariff – Large Generator Interconnection Procedures if it will interconnect to facilities that come under these Procedures. These facilities are defined as Pool Transmission Facility (PTF), Non-PTF Transmission Facilities, or distribution facilities that are subject to the Tariff. A new generating facility under this 20 MW threshold that will interconnect to such facilities requires an Interconnection Request under Schedule 23 of Section II of the Tariff – Small Generator Interconnection Procedures. 34 X X X X A29 13.1.1.2 Withdraw a New Generating Contact ISO Customer Capacity Resource from the Support for additional qualification process. information. ISO New England Inc. 2-2

Revision 167, Effective Date: June 9, 2014 January 9, 2015 Forward Capacity Market Manual Section 2: Market Participant Action Matrices

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information 45 X X X X A3Event 13.1.1.2.1(13.1.1) Submit New Capacity Show The New Capacity Show of of Interest Form during New Interest Form is submitted Capacity Show of Interest using the Forward Capacity Submission Window. Tracking System (FCTS) user interface. 56 X X X X A22 13.1.1.2.1 Amend the New Capacity Changes to the New Show of Interest Form after Capacity Show of Interest it has been submitted, Form not prohibited by this making only non-material provision are done using changes. the Forward Capacity Tracking System (FCTS) user interface. 67 X X X X A18 13.1.1.2.1(a) Submit information This information is necessary to evaluate a submitted using the project with the New Forward Capacity Tracking Capacity Show of Interest System (FCTS) user Form to the extent the interface. information is not already provided under an active Interconnection Request under Schedules 22 and 23 of Section II of the Tariff. 78 X X X A18 13.1.1.2.1(b) Submit with the New This information is Capacity Show of Interest submitted using the Form documentation Forward Capacity Tracking demonstrating that the System (FCTS) user Project Sponsor has already interface. achieved control of the project site for the duration of the relevant Capacity ISO New England Inc. 2-3

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) Commitment Period. 89 X X X X A18 13.1.1.2.2 Submit a New Capacity The New Capacity Qualification Package. Qualification Package is submitted using the Forward Capacity Tracking System (FCTS) user interface. 91 X X X A18 13.1.1.2.2.1 Submit with the New Site control information is 0 Capacity Show of Interest submitted using the Form documentation Forward Capacity Tracking demonstrating that the System (FCTS) user Project Sponsor has already interface. achieved control of the project site for the duration of the relevant Capacity Commitment Period. 10 X X X A18 13.1.1.2.2.2 Submit with the New Critical path schedule 11 Capacity Qualification information is submitted Package a critical path using the Forward Capacity schedule. Tracking System (FCTS) user interface. 11 X X X A18 13.1.1.2.2.3(a) Submit supporting Information about offering 12 documentation related to below the relevant Offer potential offers below the Review Trigger Price is relevant Offer Review submitted using the Trigger Price. Forward Capacity Tracking System (FCTS) user interface. 12 X X A18 13.1.1.2.2.3(b) Elect in the New Capacity This election is made by 13 Qualification Package if the using the Forward Capacity ISO New England Inc. 2-4

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) offer may be rationed, Tracking System (FCTS) including a quantity at or user interface. above which the offers may be rationed, as applicable. 13 X X A18 13.1.1.2.2.4 Elect multiple Capacity This election is made by Commitment Period using the Forward Capacity treatment for a New Tracking System (FCTS) Generating Capacity user interface. Resource clearing in the Forward Capacity Auction. 14 X X A18 13.1.1.2.2.5(a) Submit with the New This information is Capacity Qualification submitted using the Package for resources Forward Capacity Tracking qualifying pursuant to System (FCTS) user Section III.13.1.1.1.2 (re- interface. powering), Section III.13.1.1.1.3 (incremental capacity), or Section III.13.1.1.1.4 (de-rated capacity) documentation of the costs associated with the project in sufficient detail to allow the ISO to determine that the relevant cost thresholds described in Sections III.13.1.1.1.2(b), III.13.1.1.1.3(b), and III.13.1.1.1.4) will be met. 15 X X A18 13.1.1.2.2.5(b) Submit with the New Submit a detailed description This information is Capacity Qualification of (i) the applicable regulations submitted using the ISO New England Inc. 2-5

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) Package for resources and the permits, and (ii) Forward Capacity Tracking qualifying pursuant to documentation of the costs System (FCTS) user Section III.13.1.1.1.2(c) associated with the project in interface. (environmental compliance) sufficient detail to allow the ISO to determine that the relevant cost threshold (described in Section III.13.1.1.1.2(c)) will be met. 16 X X A18 13.1.1.2.2.5(c) Submit with the New Submit detailed information Capacity Qualification showing how and when the Package pursuant to resource will shed any existing Sections III.13.1.1.1.2, Capacity Supply Obligation to III.13.1.1.1.3, or accommodate any necessary III.13.1.1.1.4. intervening (i.e., repowering) work on the facility. 17 X X A18 13.1.1.2.2.6(b) Submit with the New This information is Capacity Qualification submitted using the Package measured and Forward Capacity Tracking recorded site specific System (FCTS) user summer and winter data interface. relevant to the expected performance of the resource that will enable the ISO to confirm [the claimed] summer and winter Qualified Capacity. 18 X X A18 13.1.1.2.2.3 For New Capacity Recommended documents This information is A.21.2 Resources requesting to include but not limited to the submitted using the submit offers below the following: Forward Capacity Tracking relevant Offer Review System (FCTS) user ISO New England Inc. 2-6

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) Trigger Price, submit with 1. Project capital costs by interface. the New Capacity components (e.g. turbine, Qualification Package SCR, gas compressor, sufficient documentation construction, engineering and information to permit & procurement, the Internal Market Monitor development & permitting, to perform its review. etc.) 2. Capital structure, i.e. percentage debt versus equity, investment horizon, estimated cost of debt, after tax return on equity, etc. 3. A 20-year heat rate estimate for the project (Btu/kWh). 4. A 20-year forecast of expected capacity factor (%). 5. A 20-year forecast of expected generation (GWh/year). 6. A 20-year forecast of expected energy revenue ($/yr). 7. A 20-year forecast of expected fuel cost ($/mmBTU). 8. A 20-year forecast of expected fixed operations and maintenance expenses ISO New England Inc. 2-7

# Resource Type Master Market Rule 1 Participant Action Description of Participant ISO System and/or D G I I Schedule § III Section Deliverables/Additional Process R C C P Step/ Number Information Event (13.1.1) ($/yr). 9. A 20-year forecast of expected variable operations and maintenance expenses ($/MWh) excluding fuel.

Other project specific revenues such as: 10. Renewable Energy Credits (“REC”) price projections 11. REC expected revenues 12. Production Tax Credit (“PTC”) price projections 13. PTC expected revenues 14. Power sales agreements 19 X A24 13.1.1.2.8 Retrieve qualification This information is determination notification. retrieved using the Forward Capacity Tracking System (FCTS) user interface.

ISO New England Inc. 2-8

20 X 13.1.1.2.9 Market Participants Certification of Renewable This election is made by requesting Renewable Technology notifying the ISO. Technology Resource form available at Resource treatment, submit http://www.iso- election form no later than ne.com/markets- five Business Days after operations/markets/forward- qualification determination capacity-market (search for notification is issued. FCM Supporting Documents under “Document Type”).

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) Identifier 1 X A14 13.1.2.2.4 (a)Submit evidence This information is regarding the cause of the submitted using the derating if electing to have Forward Capacity Tracking the summer Qualified System (FCTS) user Capacity set equal to the interface. most recent summer Seasonal Claimed Capability.

(b)Submit a de-list bid. (Reserved)

(c) Submit a critical path schedule describing the measures that will be taken that will provide an amount of capacity consistent with the summer Qualified Capacity by the start of the relevant Capacity Commitment Period. 2 X X X A15, A27 13.1.2.2.5.2 Submit either a de-list bid Market Participants can use the An “offer composed of or an offer composed of Seasonal Resources Capacity separate resources,” is separate resources or have eBulletin Board on the ISO’s submitted using the a resource’s FCA Qualified website at http://www.iso- Forward Capacity Tracking Capacity administratively ne.com/markets/othrmkts_data/fc System (FCTS) user set by the ISO if the m/esra/default/main.action. interface. ISO New England Inc. 2-10

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) summer Qualified Capacity is greater than the winter The online bulletin board Qualified Capacity by the facilitates project sponsors with De-list bids are submitted specified thresholds. capacity resources having single- using the Forward Capacity season capability to find a partner Tracking System (FCTS) to participate in an FCA through user interface. a composite offer. 3 X X X A10 13.1.2.3 Notify the ISO that the This information is ISO-determined summer or submitted using the winter Qualified Capacity Forward Capacity Tracking does not accurately reflect System (FCTS) user the resource’s capability. interface. 4 X X A15 13.1.2.3.1.1 Submit a Static De-List A completed de-list workbook De-list bids are submitted Bid at a price at or greater available on the ISO’s website, using the Forward Capacity than $1.00 kW/monththe http://www.iso-ne.com/markets- Tracking System (FCTS) Dynamic De-List Bid operations/markets/forward- user interface. Threshold. capacity-market http://www.iso- ne.com/markets/othrmkts_data/fc m/qual/index.html(search for FCM Qualification under “Document Type”), and an affidavit executed by a corporate officer attesting to the accuracy of the de-list package.

Market Participants must indicate whether a resource will be participating in the energy and ancillary services markets. 5 X X A15 13.1.2.3.1.2 Submit a Permanent De- For a Permanent De-List Bid at a De-list bids are submitted ISO New England Inc. 2-11

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) List Bid. price greater than the Dynamic using the Forward Capacity De-List Bid Threshold, aA Tracking System (FCTS) completed de-list workbook user interface. available on the ISO’s website, http://www.iso-ne.com/markets- operations/markets/forward- capacity-market http://www.iso- ne.com/markets/othrmkts_data/fc m/qual/index.html (search for FCM Qualification under “Document Type”), and an affidavit executed by a corporate officer attesting to the accuracy of the de-list package.

Market Participants must indicate whether a resource will be participating in the energy and ancillary services markets. 6 X A15 13.1.2.3.1.3 Submit an Export Bid. De-list bids are submitted using the Forward Capacity Tracking System (FCTS) user interface. 7 X A15 13.1.2.3.1.4 Submit an Administrative De-list bids are submitted Export De-List Bid. using the Forward Capacity Tracking System (FCTS) user interface. 8 X A15 13.1.2.3.1.4 Submit documentation Documentation must demonstrate This information is demonstrating a contractual obligation to sell submitted as an attachment contractual obligation to capacity outside of the New (not a form) using the ISO New England Inc. 2-12

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) sell capacity outside of the England Control Area. Forward Capacity Tracking New England Control System (FCTS) user Area. interface. 9 X X X X A26 13.1.2.3.1.5 Submit a Non-Price A sample Non-Price Retirement A Non-Price Retirement Retirement Request. Request form is available in Request is submitted using Appendix B of Planning the Forward Capacity Procedure No. 10. Tracking System (FCTS). A Non-Price Retirement Request will be reviewed in accordance with Planning Procedure No. 10, Section 7 and Participant’s Agreement Section 8.2.3, where the Reliability Committee will have input and an advisory vote as part of the review of the Non- Price Retirement Request. In instances where a Non- Price Retirement Request is denied, MR 1, Section 13.2.5.2.5.2(a) shall apply, 10 X X A15 13.1.2.3.2.1.2 Submit net risk-adjusted Adjustments to components of This information is going forward cost the bid to reflect a typical power submitted using the documentation if historical year operations include but are Forward Capacity Tracking data used to calculate the not limited to: System (FCTS) user net risk-adjusted going 1. Revenues interface. This information forward costs do not reflect 2. Fuel is submitted using the De- costs that may be incurred. 3. Emissions List Cost Workbook & Guide for Gen, Exports & ISO New England Inc. 2-13

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) Any adjustments must include a Common Cost Workbook description of the category being available on the ISO’s adjusted and the “adjustment website, http://www.iso- methodology”. ne.com/markets- operations/markets/forward -capacity-market (search for FCM Qualification under “Document Type”). 11 X X A15 13.1.2.3.2.1.2 Specify the two years to be This information is averaged in calculating the submitted using the RPC component of net Forward Capacity Tracking risk-adjusted going System (FCTS) user forward costs. interface. 12 X X A15 13.1.2.3.2.1.2 Submit an explanation of This information is the derivation of the submitted using the probability estimate for the Forward Capacity Tracking P component of the net- System (FCTS) user risk adjusted going forward interface. costs calculation. 11 X X A15 13.1.2.3.2.1.2 Request data with respect Submit e-mail request to 13 to the IMR, PER and [email protected]. inflation index components Contact ISO Customer of the net risk-adjusted Support for additional going forward costs information. calculation.

12 X X A15 13.1.2.3.2.1.3 Submit documentation Data on the expected number and This information, including detailing expected duration of Capacity Scarcity any supplemental Capacity Performance Conditions, expected average documentation, is submitted Payments. Capacity Balancing Ratio during using the De-List Cost ISO New England Inc. 2-14

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) those Capacity Scarcity Workbook & Guide for Conditions, and unit’s expected Gen, Exports & Common average performance during Cost Workbook available on those Capacity Scarcity the ISO’s website, Conditions should be included in http://www.iso- the documentation. ne.com/markets- operations/markets/forward -capacity-market (search for FCM Qualification under “Document Type”). 13 X X A15 13.1.2.3.2.1.4 Submit documentation Details of the analysis and This information, including detailing risk premium calculation of the risk premium any supplemental calculation. and optional affidavit executed documentation, is submitted by a corporate officer attesting to using the De-List Cost the accuracy of the risk premium Workbook & Guide for components. Gen, Exports & Common Cost Workbook available on the ISO’s website, http://www.iso- ne.com/markets- operations/markets/forward -capacity-market (search for FCM Qualification under “Document Type”). 14 X X A15 13.1.2.3.2.1.53 Submit evidence Business owner to provide This information is supporting an opportunity additional detail and supporting submitted using the cost based de-list bid. evidence including but not Forward Capacity Tracking limited to: System (FCTS) user  Regulatory orders interface.  Environmental operating ISO New England Inc. 2-15

Resource Type Master Market Rule Participant Action Description of Participant ISO System and/or # D G I I Schedule 1 § III Section Deliverables / Additional Process R C C P Step/ Number Information Event (13.1.2) permits  Contracts 15 X X X A24.1 13.1.2.3.2.1.1. Where applicable, De-list bids are submitted 2 withdraw or revise Static using the Forward Capacity De-List Bid. Tracking System (FCTS) user interface. 16 X X A15 13.1.2.5 Indicate what New Generating Capacity Resource is associated with the Existing Capacity Qualification Package.

Resource Master Market Rule Participant Action Description of Participant ISO System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.3) Identifier 1 X A10 13.1.3.2 Submit documentation This information is submitted substantiating summer using the Forward Capacity and winter Qualified Tracking System (FCTS) Capacity for an Existing user interface. Import Capacity Resource. 2 X A8 13.1.3.3(a)(c) Submit documentation of This information is submitted a multi-year contract or using the Forward Capacity proof of ownership or Tracking System (FCTS) direct control over an user interface. External Resource throughout the Capacity Commitment Period and that it has not been amended.

or Submit proof of ownership or direct control over one or more External Resources that will be used to back the Existing Import Capacity Resource through the Capacity Commitment Period and that it has not been amended.

Resource Master Market Rule Participant Action Description of Participant ISO System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.3) 3 X A19Identifier 13.1.3.5.1 Submit documentation of For system-backed import This information is submitted a contract to provide capacity, submit documentation using the Forward Capacity capacity in the New that the import capacity will be Tracking System (FCTS) England Control Area supported by the Control Area. user interface. from outside of the New England Control Area; proof of ownership or direct control over one or more External Resources; and information about the External Resource including documentation to establish the summer and winter ratings of the resource. 4 X A19 13.1.3.5.2 Submit a description of Market Participants seeking to This information is submitted how the Capacity Supply qualify New Import Capacity using the Forward Capacity Obligation will be met. Resources shall submit responses Tracking System (FCTS) to the FCA questions located in user interface. Attachment M to this Manual.

The ISO may seek additional information under the Section III.13.1.1.2.7 consultation provisions. 5 X A19 13.1.3.5.3 Submit system load and This information is submitted capacity projections for using the Forward Capacity the external Control Area. Tracking System (FCTS) user interface. ISO New England Inc. 2-18

Resource Master Market Rule Participant Action Description of Participant ISO System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.3) 6 X A19Identifier 13.1.3.5.3.1 Submit materials Provide documentation that the This information is submitted describing intervening neighboring and any intervening using the Forward Capacity Control Areas. Control Area will afford the Tracking System (FCTS) export the same curtailment user interface. priority as native load.

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier 1 X 13.1.4.1.1 Register Demand Resources Refer to the ISO New DR registration is with the ISO. England Manual for performed in CAMS. Registration and Performance Auditing for instructions on Resource and Asset registration. 2 X A18 13.1.4.1.2.1 Submit a Measurement and Forms available at: Measurement and Verification Plan to establish a http://www.iso- Verification Plans are New Demand Resource’s ne.com/markets/othrmkts_dat submitted through FCTS. summer Qualified Capacity a/fcm/qual/forms/index.html h and winter Qualified Capacity. ttp://www.iso- ne.com/markets- operations/markets/forward- capacity-market (search for FCM Qualification under “Document Type”).

3 X A 13.1.4.1.3 Submit Static, Dynamic or De-list bids are submitted Permanent De-List Bids for through FCTS. Real-Time Emergency Generation Resources. 4 X A2,A3 13.1.4.2 Submit a New Demand Project description form Submission of Demand Resource Show of Interest available at: http://www.iso- Resource Show of Interest 13.1.4.2(a) Form by a Project Sponsor ne.com/markets- (including the project seeking to offer a resource in operations/markets/forward- description form) is the Forward Capacity Auction capacity-market (search for performed in FCTS. as a New Demand Resource. FCM Qualification under ISO New England Inc. 2-20

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier “Document Type”)http://www.iso- ne.com/markets/othrmkts_dat a/fcm/qual/forms/index.html. 5 X A2,A3 13.1.4.2 Request by a Project Sponsor Contact ISO Customer 13.1.4.2(a) of a New Demand Resource Support for additional for the ISO to waive information. submission of any information not required for evaluation of a project that is otherwise to be included in the New Demand Resource Show of Interest Form. 6 X A15 13.1.4.2.1 Submit an Existing Capacity The Existing Capacity Qualification Package. Qualification Package is submitted using the Forward Capacity Tracking System (FCTS) user interface. 7 X A18 13.1.4.2.2 Submit a New Demand The New Capacity Resource Qualification Qualification Package is Package. submitted using the Forward Capacity Tracking System (FCTS) user interface. 8 X X X X A18 13.1.4.2.2.2 Submit ISO credit application. Credit application available The new member credit at: https://www.iso- application is submitted ne.com/participate/application using the form on the ISO s-status-changes/new- website. ISO New England Inc. 2-21

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier registration/credit- applicationhttps://www.iso- ne.com /forms/formLoad.action? formId=2 9 X A18 13.1.4.2.2.3 Submit Measurement and Forms available at: The New Capacity Verification Plan. http://www.iso- Qualification Package is ne.com/markets- submitted using the operations/markets/forward- Forward Capacity Tracking capacity-market (search for System (FCTS) user FCM Qualification under interface. “Document Type”)http://www.iso- ne.com/markets/othrmkts_dat a/fcm/qual/forms/index.html. 10 X A18 13.1.4.2.2.4 Submit customer acquisition The customer acquisition plan The New Capacity plan. may includes but is not Qualification Package is limited to the following submitted using the information: a description of Forward Capacity Tracking proposed customer market; System (FCTS) user the estimated size of target interface. market and supporting documentation; a marketing plan with supporting documentation describing the manner in which customers will be recruited; and evidence supporting the viability of the marketing ISO New England Inc. 2-22

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier plan. 11 X A33 13.1.4.2.2.4.1 Submit to the ISO, upon Market Participant must Information must be 13.1.4.2.2.4.2 request, records on each maintain records on each submitted to the ISO upon customer associated with a customer greater than 10 kW. request. Demand Resource with greater than 10 kW of load reduction. 12 X A34 13.1.4.2.2.4.3 Submit a pipeline analysis by Submission of Demand the Demand Resource Project Resource pipeline analysis Sponsor. is performed in FCTS. 13 X A18 13.1.4.2.2.5 Elect multiple year Capacity This election is performed Commitment Period treatment. in FCTS. 14 X A18 13.1.4.2.2.6 Elect whether an offer may be This election is performed rationed, with or without an in FCTS. additional specification of a single MW quantity to which offers may be rationed. 15 X A18 13.1.4.2.4 Submit as a part of the New This information is A.21 Demand Resource submitted using the Qualification Package Forward Capacity Tracking supporting documentation System (FCTS) user related to potential offers interface. below the relevant Offer Review Trigger Price. 16 X A24 13.1.4.2.5 Retrieve qualification This information is determination notification for retrieved using the Forward Existing Demand Resource. Capacity Tracking System (FCTS) user interface and MIS. 17 X A6 13.1.4.2.5.2 Notify the ISO that an ISO- Market Participant retrieves Submission of Demand ISO New England Inc. 2-23

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier determined summer Qualified notification of Qualification Resource challenges to Capacity or winter Qualified for Demand Resources and summer or winter Demand Capacity for an Existing submits challenge. Reduction Value or Demand Resource does not Qualified Capacity are accurately reflect the submitted through FCTS. determination. 18 X A10 13.1.4.2.5.2 Notify the ISO of an Market Participant retrieves Submission of Demand inaccuracy in the summer or notification of Qualification Resource challenges to winter Demand Reduction for Demand Resources and summer or winter Demand Value or Qualified Capacity submits challenge. Reduction Value or for an Existing Demand Qualified Capacity are Resource. submitted through FCTS. 19 X A10 13.1.4.2.5.2 Request a change in Demand Submission of Demand Resource type by submitting Resource type submitted an Updated Measurement and through FCTS. Verification Plan to reflect that change. 20 X A24 13.1.4.2.5.3 Retrieve Qualification This information is Determination Notification for retrieved using the Forward New Demand Resource. Capacity Tracking System (FCTS) user interface. 21 X A18 13.1.4.3 Submit documentation of This information is Demand Reduction Value of a submitted using the Demand Resource project. Forward Capacity Tracking System (FCTS) user interface. 22 X A18 13.1.4.3.1 Submit Measurement and Submission of the Verification Summary and Measurement and Reference Reports. Verification documents is ISO New England Inc. 2-24

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier performed in FCTS. 23 X A18 13.1.4.3.1.1 Submit optional Measurement Submission of Optional and Verification Reference Measurement and Reports. Verification reference reports are performed through FCTS. 24 X A12 13.1.4.3.1.2 Submit Updated Measurement Forms available at: Submission of DR updated and Verification Plan. http://www.iso- Measurement and ne.com/markets- Verification Plan is operations/markets/forward- performed in FCTS. capacity-market (search for FCM Qualification under “Document Type”)http://www.iso- ne.com/markets/othrmkts_dat a/fcm/qual/forms/index.html. 25 X A36 13.1.4.3.1.2.1 Submit annual certification Annual Certification of that the Demand Resource Accuracy is submitted by continues to perform in email to DRAudits@iso- accordance with the submitted ne.com. Measurement and Verification Documents. 26 X 13.1.4.3.1.2.1 Submit to the ISO, upon Data must be in a readable request, data regarding electronic format as defined customers associated with a by the ISO. Demand Resource. 27 X A6 (for 13.1.4.3.1.3 Designate in the Measurement For Existing Capacity Submission of Demand Existing and Verification Plan the Resources, submitted as part Response Measurement Demand specific methodology used to of updated Measurement and and Verification Plan is ISO New England Inc. 2-25

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Resources),Identifier establish Demand Reduction Verification Plan by Existing performed in FCTS. Values. Real-Time Demand Capacity Qualification A18 (for Response Resources and deadline. New RTEGs must comply with the Demand requirements of Section III.8 For new capacity resources, Resources) and Appendix III.E of Market submitted as part of the Rule 1. Measurement and Verification Plan by the Qualification Submission by Distributed Package submission deadline. Generation other than Real- Time Emergency Generation Resources of individual metering or a metering protocol consistent with the measurement and verification requirements in Market Rule 1 and the ISO New England Manuals to monitor and verify the project’s Demand Reduction Values. 28 X 13.1.4.3.1.3.1 Conduct audit to establish Refer to the ISO New initial Demand Reduction England Manual for Value for a new Demand Registration and Performance Resource. Auditing for additional information on audit and testing procedures. 29 X 13.1.4.5.1 Report the load reduction and See OP 18 Appendix G – Real-Time data is consumption or generator Demand Response RTU submitted through the ISO output of the individual assets Specification for more CFE Connected RTU. ISO New England Inc. 2-26

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier making up a Real-Time information. Demand Response Asset. To establish an asset’s See ISO New England initial Demand Response Manual M-28 for a data Baseline under Section requirement matrix for III.8 and correct data for Demand Resources. The settlement, data is matrix identifies the data submitted through the required for performance Demand Resource Market settlement and auditing by User Interface (DR MUI). Demand Resource type and metering configuration pairs.

Metering configurations are described in more detail in the ISO New England Manual for Measurement and Verification of Demand Reduction Value from Demand Resources. 30 X 13.1.4.5.2 Reporting the generator output OP 18 Appendix G – Demand Real-Time data is of a Real-Time Emergency Response RTU Specification. submitted through the ISO Generation Asset. CFE Connected RTU. See ISO New England M-28 for a data requirement matrix To establish an asset’s for Demand Resources. The initial Demand Response matrix identifies the data Baseline and correct data required for performance for settlement, data is settlement and auditing by submitted through the Demand Resource type and Demand Resource Market metering configuration pairs. User Interface (DR MUI). ISO New England Inc. 2-27

Resource Master Market Rule Participant Action Description of Participant System and/or Process Type Schedule 1 § III Section Deliverables / Additional # D G I I Step/ Number Information R C C P Event (13.1.4) Identifier Metering configurations are described in more detail in the ISO New England Manual for Measurement and Verification of Demand Reduction Value from Demand Resources. 31 X 13.1.4.6 Redefine an Active Demand Contact ISO Customer Resource from a Load Zone to Support for additional one or more Dispatch Zone(s). information. 32 X A7 13.1.4.6.1 Retrieve Dispatch Zone Contact ISO Customer information. Support for additional information. 33 X 13.1.4.6.2.1 Disaggregate a Real-Time Contact ISO Customer Demand Response Resource Support for additional into one or more Real-Time information. Demand Response Resources located within one or more Dispatch Zones within the original Load Zone. 34 X 13.1.4.6.2.2 Disaggregate a Real-Time Contact ISO Customer Emergency Generation Support for additional Resource into one or more information. Real-Time Emergency Generation Resources located within one or more Dispatch Zones within the original Load.

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) Identifier 1 X X X X A27 13.1.5 Submit composite offer. Forming and submitting a Composite offers are composite offer is completed in submitted using the FCTS. three steps:

 Summer Resource creates composite offer. Composite offer is “Pending”.  Winter resource Lead Market Participant designates resources to composite offer created by summer resource. This step acts as the winter resource confirmation. Composite offer is “Pending”.  Summer resource submits composite offer to ISO. Composite offer is “Confirmed”.

When entering into composite offers, Demand Resources must enter in the Qualified Capacity amounts (amount grossed up for losses), NOT the Demand Reduction Value.

New Capacity Resources with summer greater than winter that

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) chooses to have a multi-year Capacity Supply Obligation cannot participate in a composite offer. 2 X X X X A27 13.1.5 Modify composite offer. Composite offers can be Composite offers can be modified in FCTS until the modified using the FCTS. composite offer deadline. 3 X X X X A27 13.1.5 Withdraw composite offer. Before the composite offer Composite offers can be deadline a composite offer withdrawn using the FCTS. can be withdrawn from FCTS and will not be submitted into the Forward Capacity Auction. 4 X X X X 13.1.5 Composite offer validation Composite Offer Validations Automatic in FCTS. based on Locational Rules Locational Rules (automatically performed by FCTS).  Summer resources in import constrained Capacity Zones may only pair with winter resources located in the same Capacity Zone  Summer resources in export constrained Capacity Zones may pair with any winter resource that is NOT located in a different export constrained Zone  Summer resources in the Rest of Pool may pair with any resource that is NOT located in an export

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) constrained Zone 5 X 13.1.5 Composite offer validation Composite Offer Validations Automatic in FCTS. (automatically performed by Demand Resources FCTS) for Demand Resources.  Demand Resources may participate in composite offers  Real-Time Emergency Generators (RTEG) may only participate as a winter resource in a composite offer if the summer resource is also a RTEG  When entering into composite offers, Demand Resources must enter in the Qualified Capacity amounts (amount grossed up for losses), NOT the Demand Reduction Value 6 X Composite offer validation for Composite Offer Validations Automatic in FCTS. Import Capacity Resources. Import Resources

 Import Capacity Resources may participate in composite offers  When evaluating locational constraints of an Import Capacity Resource, the capacity is treated as though it is in the Capacity Zone to which it is mapped ISO New England Inc. 2-31

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9)  Import Capacity Resources cannot pair with other Import Capacity Resources unless they are on the same interface 7 X X X X Composite offer validation for Composite Offer Validations Automatic in FCTS. New Capacity Resources. New Capacity Resource

 Summer and winter MW limits for New Capacity Resources are based off the Resource’s Qualified Capacity values  Where the summer resource is a New Capacity Resource project that has a mutually exclusive Existing Resource, two composite offers may be submitted: One for the New Capacity Resource project and one for the Existing Capacity Resource  Where the summer resource is a New Capacity Resource project that is an increase, treated as new capacity, to an Existing Capacity Resource, two composite offers may be submitted: One for the incremental New Capacity Resource and one for the Existing Capacity

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) Resource 8 X X X A28 13.1.5.A Receive notification from ISO Notification of the quantity of FCA Qualified Capacity. (MW) of FCA Qualified Capacity for new and existing resources is provided via the FCTS. 9 X X A31 13.1.6 Submit self-supply Designating capacity from a Designated in the FCTS. designation. resource as Self-Supply allows a Load Serving Entity (LSE) to satisfy its Capacity Load Obligations using resources owned or under contractual obligation of the LSE.

Submitting a Self-Supply designation is a two step process:

 Lead Market Participant of a resource selects a specific LSE and Capacity Zone and designates the amount of Qualified MW from a specific resource to be considered as self-supplied MW.  LSE confirms the Self- Supply designations applicable to them.  These two steps must be completed by the Self- Supply submittal deadline. ISO New England Inc. 2-33

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9)  Throughout the designation process, the FCTS will enforce various validation rules.  Indicate if any Specifically Allocated Capacity Transfer Rights are used in the Self- Supply Designation. The total amount of capacity designated as Self-Supply for a LSE is limited to this calculated projected share of ICR per Capacity Zone.

The maximum amount of capacity that a resource may designate as Self-Supply is the lower of their summer and winter Qualified Capacity values.

A resource located in an Export Constrained Capacity Zone may not Self-Supply load located in another Capacity Zone.

Any capacity that already received an obligation from a prior FCA by choosing a ISO New England Inc. 2-34

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) multi-year Capacity Commitment Period may not be designated as Self-Supply.

New Capacity Resources with a Project Type of increase above threshold, Environmental Upgrade, or Repowering. The maximum amount of capacity that can be designated as Self-Supply is the minimum of the New Capacity Resource Qualified MW and the Existing Capacity Resource Qualified MW.

New Capacity Resources with a Project Type Incremental Capacity, the Existing Capacity resource must be designated as Self-Supply up to its maximum before any allocation of self-supplied MW can be made to the New Capacity Project. 9a X X 13.1.6 Confirmation of self-supply A LSE may not confirm more Confirmation is made in designation by LSE. self-supplied capacity than the FCTS. their projected share of Installed Capacity ISO New England Inc. 2-35

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) Requirement. 10 X X X X 13.1.7 Consult with Internal Market Internal Market Monitor may The Internal Market Monitor. consult with the Project Monitor will contact the Sponsor or Market Project Sponsors or Market Participant, as appropriate, to Participant directly. seek clarification, or to address questions or concerns regarding the materials submitted. 11 X X X X 13.1.8 Download published offer and See Market Rule 1 for details Offer and bid information 13.1.8(a)-(c), bid information. on the offer and bid can be downloaded in (e) information published by the reports published on the 13.1.8(d) ISO. ISO’s website at www.iso- ne.com. 12 X X X X 13.1.9 See Financial Assurance Contact Market & Credit Policy Risk Dept. (Exhibit IA to Section I of the Tariff)

Note: Market Rule 1 does not reflect all instances of Financial Assurance Policy requirements. 13 X X 13.1.9.1 Satisfaction by a New See Financial Assurance Contact Market & Credit Generating Capacity Resource Policy Risk Dept. (including for the fourth and future auctions, Conditional Note: Market Rule 1 does not Qualified New Generating reflect all instances of Capacity Resources) of the Financial Assurance Policy financial assurance requirements. ISO New England Inc. 2-36

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) requirements described in the Financial Assurance Policies.

Satisfaction by a New Demand Resource of the financial assurance requirements described in the Financial Assurance Policies.

Payment by the Project Sponsor for a New Generating Capacity Resource of the financial assurance deposit specified in the Financial Assurance Policy.

Payment by the Project Sponsor for a New Demand Resource of the financial assurance deposit specified in the Financial Assurance Policy. 14 X X 5 13.1.9.2 Satisfaction by a New See Financial Assurance Contact Market & Credit business Generating Capacity Resource Policy Risk Dept. days after (including for the fourth and 35 future auctions, Conditional Note: Market Rule 1 does not Qualified New Generating reflect all instances of 10 Capacity Resources) of the Financial Assurance Policy business financial assurance requirements. days requirements described in the ISO New England Inc. 2-37

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information beforeEvent (13.1.5 - 9) Financial Assurance Policy. next FCA Satisfaction by a New Demand 10 Resource of the financial business assurance requirements days described in the Financial before 2nd Assurance Policy. FCA after FCA in which 1st cleared 15 X X X X 13.1.9.2.3 See Financial Assurance Contact Market & Credit Policy Risk Dept.

Note: Market Rule 1 does not reflect all instances of Financial Assurance Policy requirements. 16 X 13.1.9.2.4 See Financial Assurance Contact Market & Credit Policy Risk Dept.

Note: Market Rule 1 does not reflect all instances of Financial Assurance Policy Requirements. 17 X X X X 13.1.9.3 Submission of Qualification Please note that the payment Contact ISO Finance. Process Cost Reimbursement terms follow the Billing Deposit by a Project Sponsor Policy. for each New Capacity Show (Exhibit ID to Section I of the of Interest Form submitted for Tariff) ISO New England Inc. 2-38

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) purposes of qualifying for a Forward Capacity Auction or a reconfiguration auction.

Submission of Qualification Process Cost Reimbursement Deposit by a Project Sponsor for each New Demand Resource Show of Interest Form submitted for purposes of qualifying for a Forward Capacity Auction or a reconfiguration auction. 18 X X X X As 13.1.9.3 Withdrawal of a project by Please note that the payment Contact ISO Finance. invoiced failing to pay the Qualification terms follow the Billing Process Cost Reimbursement Policy. Deposit when due. 19 X X X X As 13.1.9.3 Payment of annual ISO invoice Please note that the payment Contact ISO Finance. invoiced for costs of the ISO, its terms follow the Billing consultants and reasonably- Policy. incurred costs of the affected Transmission Owner(s), associated with the qualification process and critical path schedule monitoring for each resource subject to payment of the Qualification Process Cost Reimbursement Deposit.

Resource Type Master Market Rule 1 Participant Action /Description of Participant System and/or Process # D G I I Schedule § III Section Deliverables / Additional R C C P Step/ Number Information Event (13.1.5 - 9) Withdrawal of a project by failing to pay an annual ISO invoice for costs of the ISO, its consultants and reasonably-incurred costs of the affected Transmission Owner(s), associated with the qualification process and critical path schedule monitoring for each resource subject to payment of the Qualification Process Cost Reimbursement Deposit. 20 X As 13.1.9.3.1 Request a waiver of a portion Contact ISO Resource invoiced of the Qualification Process Analysis and Integration Cost Reimbursement Deposit Department. for a project that has an active Interconnection Request and an executed Feasibility Study Agreement or System Impact Study Agreement. 21 X X X A15 13.1.11 For Capacity Commitment This election is made by Periods beginning with June 1, submitting written 2018 through May 31, 2021, notification to the ISO. elect to opt-out of any remaining years associated with multiple year Capacity Commitment Period treatment.

2.6 Rights and Obligations

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier 1 X 13.6.1.1.1 Submit energy market See the eMkt User Guide at Demand Bid and Supply Offer Data. http://www.iso- Offer data is submitted to ne.com/participate/support/user- the ISO using the eMkt guides http://www.iso- system. ne.com/support/user_guides/SB Os_Using_Emkt.pdf . 2 X 13.6.1.1.2 Re-declaration to the See the eMkt User Guide at Demand Bid and Supply ISO of any changes to http://www.iso- Offer data is submitted to the parameters of a Day- ne.com/participate/support/user- the ISO using the eMkt Ahead Energy Market or guides http://www.iso- system. Real-Time Energy ne.com/support/user_guides/SB Market offer that occur Os_Using_Emkt.pdf. in real time. 3 X Reserved 4 X 13.6.1.1.5(a) Conduct a summer See OP-23 – Generation 1.7.11 Seasonal Claimed Resource Auditing, andSOP- Capability Audit at least OUTSCH 0010.0020 once every Capability Scheduling Capability, Claim Demonstration Year and 10_30 and MRR Audits, and a winter Seasonal CROP.45002 AuditingSOP- Claimed Capability RTMKTS.0180.0040 Conduct Audit at least once in the Capability Audit. previous three Capability Demonstration Years to ISO New England Inc. 2-41

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier establish summer and winter Seasonal Claimed Capability ratings. 5 X 13.6.1.1.5(b) Submit Operating Data Information describing the Information is submitted for Generating Capacity GADS Data collection process using PowerGADS found Resources having a can be found at http://www.iso- at https://iso- Capacity Supply ne.com/genrtion_resrcs/gads/. ne.powergads.com/. Obligation. 7 X 13.6.1.2.1 Submit energy market See the “User Guide for Enhanced Energy Offer Data. External Transactions Using Scheduling (EES) system. EES” at http://www.iso- ne.com/participate/support/user- guides http://www.iso- ne.com/support/user_guides/ext ernal_transactions_using_ees.pd f. 8 X 13.6.1.2.2(a) Submit information Contact ISO Customer regarding External Support for additional Transactions associated information with resource or Control Area backed Import Capacity Resources. 9 X 13.6.1.2.2(b) Request approval of Resource backing Import Planned outage requests planned and Capacity Resources must submitted via e-mail to: maintenance outage request approval of planned and [email protected]. schedules for Import maintenance outage schedules Capacity Resources. following the requirements Maintenance outage detailed in ISO New England requests are submitted to ISO New England Inc. 2-42

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier OP5 for a Generator. the Generation Coordinator at 413-535-4378. Control Area backed Import Capacity Resources are prohibited from requesting planned and maintenance outages.

Procedures for scheduling outages are described in OP-5 Generator and Dispatchable Asset Related Demand Maintenance and Outage Scheduling. 10 X 13.6.1.2.2(c) Comply with outage Procedures for scheduling Planned outage requests schedule changes issued outages are described in OP-5 submitted via e-mail to: by the ISO. Generator and Dispatchable [email protected]. Asset Related Demand Maintenance and Outage Maintenance outage Scheduling. requests are submitted to the Generation Coordinator at 413-535-4378. 10 X 13.6.1.2.2(d) Provide for each Contact ISO Customer A External Transaction a Support for additional reference to the information. associated Import Capacity Resource. 11 X 13.6.1.3.1 Submit Intermittent Contact ISO Customer ISO New England Inc. 2-43

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier Power Resource output Support for additional projections. information. 12 X 13.6.1.3.1 Submit offers in the See the eMkt User Guide at Bid and Offer data is Real-Time Energy h http://www.iso- submitted to the ISO using Market. ne.com/participate/support/user- the eMkt system. guides ttp://www.iso- ne.com/support/user_guides/SB Os_Using_Emkt.pdf. 13 X 13.6.1.3.3(a) Submit operational data Contact ISO Customer to allow determination Support for additional of summer and winter information. Seasonal Claimed Capability ratings. 14 X 13.6.1.3.3(b) Submit Operating Data. Information describing the Information is submitted 13.6.1.4.2(b) GADS Data collection process using PowerGADS found and requirements can be found at https://iso- at http://www.iso- ne.powergads.com/. ne.com/genrtion_resrcs/gads/.

ISO does not require all Intermittent Power and Settlement Only Resources to submit GADS Data. 15 X 13.6.1.3.3(c) Request approval of Intermittent Power Resources Planned outage requests planned and must request approval of submitted via e-mail to: maintenance outage planned and maintenance [email protected]. schedule. outage schedules, following the requirements detailed in ISO Maintenance outage New England OP-5 for a requests are submitted to ISO New England Inc. 2-44

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier generator. the Generation Coordinator at Procedures for scheduling 413-535-4378. outages are described in OP-5 Generator and Dispatchable Asset Related Demand Maintenance and Outage Scheduling. 16 X 13.6.1.4.2(a) Submit operational data Contact ISO Customer to allow determination Support for additional of summer and winter information. Seasonal Claimed Capability ratings. 17 X 13.6.1.5.2 Submit updated two-day Forecast must be submitted for Contact ISO Customer forecasts of a Demand each Operating Day by a Support for additional Resource’s Forecast Market Participant with a Real- information. Hourly Demand Time Demand Response Reduction. Resource or a Real-Time Emergency Generation Resource. 18 X 13.6.1.5.3 Submit a monthly Data must be submitted by a Contact ISO Customer forecast of the Market Participant with a Real- Support for additional resource’s monthly Time Demand Response information. maximum Forecast Resource or a Real-Time Hourly Demand Emergency Generation Reduction for each of Resource. the next 12 months. 18a X 13.6.1.5.4 Request a Seasonal DR Contact ISO Customer Audit or Commercial Support for additional ISO New England Inc. 2-45

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier Operation Audit through information. the DR Audit and Testing Tool at https://smd.iso-ne.com 19 X 13.6.2.1.1.1 Submit an offer into the See the eMkt User Guide at Demand Bid and Supply Day-Ahead Energy http://www.iso- Offer data is submitted to Market of a Generating ne.com/participate/support/user- the ISO using the eMkt Capacity Resource guides http://www.iso- system. having no Capacity ne.com/support/user_guides/SB Supply Obligation. Os_Using_Emkt.pdf . 20 X 13.6.2.1.1.2 Self schedule in the See the eMkt User Guide at Bid and Offer data is Real-Time Energy http://www.iso- submitted to the ISO using Market. ne.com/participate/support/user- the eMkt system. guides http://www.iso- ne.com/support/user_guides/SB Os_Using_Emkt.pdf.

21 X 13.6.2.1.2(a) Conduct a summer See OP-23 – Generation 1.7.11 Seasonal Claimed Resource Auditing , SOP- Capability Audit every OUTSCH 0010.0020 Capability Scheduling Capability, Claim Demonstration Year and 10_30 and MRR Audits, and a winter Seasonal CROP.45002 Auditingand Claimed Capability SOP-RTMKTS.0180.0040 Audit at least once in the Conduct Capability Audit. previous three Capability Demonstration Years to establish summer and ISO New England Inc. 2-46

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier winter Seasonal Claimed Capability ratings. 22 X 13.6.2.1.2(b) Submit Operating Data Information describing the PowerGADS found at to the ISO. GADS Data collection process https://iso- can be found at http://www.iso- ne.powergads.com/. ne.com/genrtion_resrcs/gads/.

This requirement pertains to all generating Resources including those having no Capacity Supply Obligation. 23 13.6.2.1.2(c) Notify ISO of planned Market Participant must comply Planned outage requests and maintenance with outage scheduling submitted via e-mail to: outages. requirements to notify ISO of [email protected]. planned and maintenance outlined in the ISO New Maintenance outage England Operating Procedure requests are submitted to #5 and ISO New England the Generation Coordinator Manuals. at 413-535-4378. Generating Capacity Resources having no Capacity Supply Obligation are not subject to the forced re- scheduling provisions for outages in accordance with the ISO New England Manuals and ISO New ISO New England Inc. 2-47

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier England Operating Procedures. 24 X 13.6.2.3.2(a) Schedule audit to See OP-23 – Generation Contact ISO Customer 1.5.1 determine capacity Resource Auditing. Support for additional rating. information. 25 X 13.6.2.3.2(b) Submit Operating Data Information describing the Information is submitted to the ISO. GADS Data collection process using PowerGADS found can be found at http://www.iso- at https://iso- ne.com/genrtion_resrcs/gads/. ne.powergads.com/.

26 X 13.6.2.4.2(a) Conduct a summer See OP-23 – Generation 1.7.11 Seasonal Claimed Resource Auditing, SOP- Capability Audit every OUTSCH 0010.0020 Capability Scheduling Capability, Claim Demonstration Year and 10_30 and MRR Audits, and a winter Seasonal CROP.45002 Auditing and Claimed Capability SOP-RTMKTS.0180.0040 Audit at least once in the Conduct Capability Audit. previous three Capability Demonstration Years to establish summer and winter Seasonal Claimed Capability ratings. 27 X 13.6.2.4.2(b) Submit Operating Data Information describing the Information is submitted to the ISO. GADS Data collection process using PowerGADS found can be found at http://www.iso- at https://iso- ne.com/genrtion_resrcs/gads/. ne.powergads.com/. ISO New England Inc. 2-48

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier

Required of Settlement Only Resources. 28 X 13.6.4 Reply to the ISO’s Market Participant to deliver EMS, RT-UDS request for energy either reliability energy in real-time in affirmatively, or an amount and duration negatively. specified by the ISO and agreed to by the generating resource’s Designated Entity.

2.7 Performance, Payments and Charges

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier 1 X X X X 13.7 Notify the ISO of a Notify the ISO of changes Contact ISO Customer change in ownership of a in the Lead Market Support for additional resource that has a Participant for a Capacity information. Capacity Supply Resource. Obligation. 2 X 13.7.1.1.3(a)- (h) Submit a resource’s See the eMkt User Guide at Demand Bid and Supply Economic Maximum http://www.iso- Offer data is submitted to Limit. ne.com/participate/support/u the ISO using the eMkt ser-guides http://www.iso- system. Re-declare a resource’s ne.com/support/user_guides Economic Maximum /SBOs_Using_Emkt.pdf . Limit. 3 X 13.7.1.1.4(b) Indicate on a planned Upon submittal of the Generating resources: outage request that the outage request to the ISO, Requests will be made in outage should be and at least 15 calendar days CROW system or by considered exempt from prior to the beginning of the planned outage requests penalties. outage, indicate the outage submitted via e-mail to: should be considered [email protected]. exempt. This will reduce the Import Capacity resources annual and major Resources and Settlement maintenance period Only Resources: Outage allotment hours. request should be submitted to ISO Customer Support ([email protected]). ISO New England Inc. 2-50

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier The request should include the begin and end dates of the outage, the amount of the outage, and whether it should be considered exempt for FCM availability penalty purposes. 4 X 13.7.1.1.5 Submit information The ISO will notify Market Contact ISO Customer demonstrating that the Participants if their Support for additional reasons for inadequate resources are considered to information. availability scores have be Poorly Performing been remedied by a Resource. resource the ISO has determined is a Poorly Performing Resource. 5 X 13.7.1.2(a)-(b), Submit External See the “User Guide for Enhanced Energy (d) Transaction and External Transactions Using Scheduling (EES) system. designation of the MWs EES at http://www.iso- associated with that ne.com/participate/support/u Transaction to the ISO. ser-guides http://www.iso- ne.com/support/user_guides /external_transactions_using _EES.pdf. 6 X 13.7.1.2.1 Submit planned outage Request can be made by an Outage requests should be information to the ISO. Import Capacity Resource submitted to ISO backed by a single External Customer Support. Resource. The outage must be approved in the ISO’s ISO New England Inc. 2-51

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier annual maintenance scheduling process. Requests must include the following information:

 Asset identification number  Outage begin date  Outage end date  Outage amount, in MW  Seasonal Claimed Capability value of the unit backing the Resource

In the request, indicate that the outage MWs should be used to increase the resource’s hourly availability score if a Shortage Event were to occur during the outage period.

Request must be submitted no later than 15 calendar days prior to the outage date.

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier 7 X 13.7.1.4.1 Meter the output for an Metering requirements are Outage requests from hour of a Non-Intermittent described in “OP 18 - Non-Intermittent Settlement Only Metering and Telemetering Settlement Only Capacity Resource. Criteria” and Manual 28 – Resources are submitted Market Rule 1 Accounting. to ISO Customer Support.

Indicate on a planned outage request that the outage should be considered exempt from penalties.

Outage requests must be approved in the ISO’s annual maintenance scheduling process. Requests must include the following information:  Asset identification number  Outage begin date  Outage end date  Outage amount, in MW  Seasonal Claimed Capability value of the asset

Submit planned outage information to the ISO no later than 15 calendar days ISO New England Inc. 2-53

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier prior to the outage date. In the request, indicate that the outage MWs should be used to increase the resource’s hourly availability score if a Shortage Event were to occur during the outage period. 8 X 13.7.1.5.4 Submit engineering Available for Seasonal Peak Contact ISO Customer 13.7.1.5.5 estimates or audit results and On-Peak Demand Support for additional pursuant to a Resources entering services information. Measurement and at a time such that there is Verification Plan to incomplete performance supplement missing data. data to establish summer or winter seasonal Demand Reduction Values.

Measurement and verification procedures are described in the ISO New England Manual for Measurement and Verification of Demand Reduction Value from Demand Resources. 9 X 13.7.1.5.5 Notify the ISO of election Available for Seasonal Peak Contact ISO Customer 13.7.1.5.7 to conduct an audit before Demand Resources, Real- Support for additional 13.7.1.5.8 the end of a month to Time Demand Response information. establish a Demand and Real-Time Emergency ISO New England Inc. 2-54

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier Reduction Value for a Generation Resources. subsequent month in which there are no event Measurement and hours. verification procedures are described in the ISO New England Manual for Measurement and Verification of Demand Reduction Value from Demand Resources. 10 By 13:00 of 13.7.3 Submit a Load Asset’s Each Load Asset’s Assigned Peak contributions are the second peak contribution value Meter Reader is required to submitted to the Peak Business for each day of the month. submit a peak contribution Contribution user Day after value for each Operating interface (a SMD each Day of a Capacity Application). Operating Commitment Period month. Day 11 13.7.3 As needed, submit As ownership changes for Ownership changes for percentage ownership Load Assets, these changes Load Assets must be changes for Load Assets. are required to be submitted submitted to Customer to the ISO prior to the Support at custserv@iso- effective date of the change. ne.com. Please contact ISO New England’s Customer Support department for specific timing of this requirement. 12 13.7.3 As needed, submit As entitlement changes for HQ Phase I or II percentage entitlement HQ Phase I or II, these entitlement changes must ISO New England Inc. 2-55

Resource Master Market Rule 1 § Participant Action Description of Participant ISO System and/or Type Schedule III Section Deliverables/Additional Process D G I I Step/Event Number Information R C C P Identifier changes for HQ Phase I or changes are required to be be submitted to Customer II. submitted to the ISO 30 Support at custserv@iso- days prior to the effective ne.com. date of the change. Please contact ISO New England’s Customer Support department for questions about this requirement.

Revision 167, Effective Date: June 9, 2014 January 9, 2015 ISO New England Inc. REV-1 Revision 16, Effective Date: June 9, 2014