Weq 004

NAESB WEQ Coordinate Interchange Standards – WEQ-004

Coordinate Interchange
Purpose:
The purpose of this standard is to define procedures for market participants to
request the implementation of Interchange Transactions.
Applicability:
This Standard applies to:
Purchasing Selling Entity, Balancing Authority, Reliability Coordinator, Load Serving
Entity, Market Operator, Transmission Service Provider, Scheduling Agent.
004-0

Definitions:
Approval Entity – An entity that has approval rights for an
Interchange Transaction Tag. This includes the Transmission Service
Providers (TSP), Balancing Authorities (BA), Purchasing-Selling
Entities (PSE), and Load Serving Entities (LSE) involved in the
Interchange Transaction.
Balancing Authority (BA) – The entity responsible for integrating
resource plans ahead of time, for maintaining load-interchangegeneration balance within a Balancing Authority Area, and for
supporting Interconnection frequency in real time.
Balancing Authority Area - An electrical system bounded by
interconnection (tie-line) metering and telemetry, where the Balancing
Authority controls (either directly or by contract) generation to
maintain its Interchange Schedule with other Balancing Authority
Areas and contributes to frequency regulation of the Interconnection.
Checkout Process – The method by which any two entities in the
utility industry routinely perform a confirmation of schedules for a
period of time.
Interchange Block Accounting – Energy accounting that assumes a
beginning and ending ramp time of zero minutes. For accounting
purposes, this moves the energy associated with the starting and
ending ramps into the adjacent starting and ending clock time of the
Interchange.
Interchange Transaction - An agreement to transfer energy from a
seller to a buyer that crosses one or more Balancing Authority
boundaries.

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NAESB WEQ Coordinate Interchange Standards – WEQ-004

Interchange Transaction Tag (Tag) – An Interchange Transaction
being submitted for implementation according to Version 1.7.095
NERC Transaction Information Systems Working Group (TISWG)
Electronic Tagging Functional Specification
Interconnection – Any one of the three major electric system
networks in North America: Eastern, Western, and ERCOT.
Load-Serving Entity (LSE) – Secures energy and transmission
service (and related interconnected operations services) to serve the
electrical demand and energy requirements of its end-use customers.
Market Operator – An entity that administers a market that integrates
capacity, energy, balancing resources, and transmission resources to
achieve an economic, reliability-constrained dispatch of resources.
Market Period – The period of time beginning when a Requesting
PSE is making purchase, sale, and transmission service
arrangements needed to support an Interchange Transaction Tag
through the time when the Sink BA (Tag Authority) receives the
Market Period approvals.
Purchasing-Selling Entity (PSE) – The entity that purchases or sells
and takes title to energy capacity and interconnected operations
services. PSE’s may be affiliated or unaffiliated merchants and may
and may not own generating facilities.
Reliability Coordinator (RC) - An entity that provides the security
assessment and emergency operations coordination for a group of
Balancing Authorities, Transmission Service Providers, and
Transmission Operators..
Reliability Period – The segment of time beginning with the Sink BA
requesting approvals from the reliability Approval Entities until the
completion of the physical flow of the energy associated with an
Interchange Transaction Tag.
Requesting PSE – The PSE submitting the Interchange Transaction
Tag.
Scheduling Agent – Entity that is physically scheduling interchange
on behalf of the Transmission Service Provider in order to provide
wheeling services. Typically this is the Balancing Authority for the
Transmission Service Provider, but may be several Balancing
Authorities supporting a regional transmission service.
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Sink BA – The Balancing Authority in which the load (Sink) is located
for an Interchange Transaction. (This will also be a receiving
balancing authority for the resulting Interchange Schedule).
Source BA – The Balancing Authority in which the generation
(source) is located for an Interchange Transaction. (This will also be
a sending balancing authority for the resulting Interchange Schedule).
Transmission Service Provider (TSP) – The entity that administers the
transmission tariff and provides transmission services to qualified market
participants under applicable transmission service agreements.

Business Practices Requirements
004-1

All requests to implement bilateral Interchange Transactions, and
certain Interchange Schedules, shall be accomplished by the
submission of a completed Interchange Transaction Tag to the Sink
BA.

004-1.1

Interchange Transaction Tags for Interchange Transactions crossing
Interconnections shall be in accordance with Appendix A
“Interchange Transaction Tagging Between Interconnections”.

004-1.2

In the event of E-Tag system component failure, the requirements
and procedures contained within Appendix B “Electronic Tagging
Service Performance Requirements and Failure Procedures”
shall be followed

004-1.3

It shall be the responsibility of the load serving Purchasing-SellingEntity (PSE), or their designee, to ensure the completed Interchange
Transaction Tag has been submitted to the Sink BA and that the
Interchange Transaction Tag contains all reliability required
information specified in NERC Version 0 Standard INT-001-0,
Attachment 1-INT-001-0.

004-1.4

Approval Entities shall only be allowed to take actions against
Interchange Transaction Tags as specified in Appendix C
“Interchange Transaction Tag Actions”.

004-1.5

A completed Interchange Transaction Tag shall contain, at a
minimum, the information specified in Appendix D “Required and
Correctable Interchange Transaction Tag Data”.

004-1.6

The completed Interchange Transaction Tag shall be submitted to the
Sink BA in accordance with the timing requirements contained in
NERC Version 0 Standard INT-001-0, Attachment 1-INT-001-0.

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004-2

All energy purchase, energy sale, and transmission service
arrangements necessary to create the Interchange Transaction Tag
and implement the bilateral Interchange Transaction shall be
performed and verified by the Requesting PSE prior to the
Interchange Transaction Tag being submitted to the Sink BA.

004-2.1

The Requesting PSE shall have the right to delegate this
responsibility to the Market Operator.

004-3

The completed Interchange Transaction Tag, including all updates
and market modifications, shall be forwarded by the Sink BA to the
appropriate Approval Entity(s) for a Market Period assessment.

004-3.1

In addition to those entities specified by NERC standards, PSEs
providing generation and LSEs shall have approval rights.

004-4

The results of the Market Period assessment (approval or denial) by
the Approval Entities shall be promptly communicated back to the
Sink BA. The Sink BA shall notify the Requesting PSE, and to all
other involved parties, the results of the assessment.

004-4.1

Unless denied by an Approval Entity, the Interchange Transaction is
considered approved when all involved parties receive from the Sink
BA the results of each Approval Entity’s assessment.

004-4.2

All denials of an Interchange Transaction Tag by any Approval Entity
shall be accompanied by the reason for such denial.

004-5

Any changes to the status of an Interchange Transaction Tag during
the Market Period assessment shall be communicated by the
requesting PSE to the Sink BA.

004-6

The preferred method of submitting the Interchange Transaction Tag
to the Sink BA shall be electronic and in accordance with the Version
1.7.095 NERC Transaction Information Systems Working Group
(TISWG) Electronic Tagging Functional Specification

004-6.1

A backup or redundant electronic system shall be available for
immediate use should the primary electronic means become disabled.

004-6.2

Submitting an Interchange Transaction Tag to the Sink BA via
facsimile is acceptable only as a last resort when the electronic
means and its required backup or redundant system are not
available.

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004-7

Interchange Transaction Tag corrections for non-reliability related
data shall be allowed prior to the Interchange Transaction Tag’s
approval/denial by the Approval Entities.

004-7.1

Timing for market related corrections shall be in accordance with
NERC Version 0 Standard INT-004-0, Attachment 1-INT-004-0.

004-8

The Requesting PSE shall have the right to modify an Interchange
Transaction that is in progress or scheduled to be started.
Modifications may include changes in contracts, economic decisions,
or other market-based influences.

004-8.1

Interchange Transaction Tag modifications made to the
“Implemented” Interchange Transaction Tag or its committed
transmission reservation for market-related issues by the Requesting
PSE, or its designee, must be submitted to the Sink BA and all
affected parties within the time requirements of NERC Version 0
Standard INT-004-0, Attachment 1-INT-004-0.

004-8.2

The Requesting PSE shall have the right to increase or decrease the
Interchange Transaction Tag’s energy and committed transmission(s)
profile to reflect a desire to flow more or less energy or commit more
or less transmission than originally requested. In the case of an
increase, the Requesting PSE must provide the necessary
transmission capacity which must be approved by all Approval
Entities.

004-8.3

The Requesting PSE shall have the right to extend the Interchange
Transaction Tag’s energy profile to reflect a desire to flow energy
during hours not previously specified. The Requesting PSE must
provide the necessary transmission capacity which must be approved
by all Approval Entities.

004-9

All parties involved in an Interchange Transaction shall have, or
arrange to have, personnel and facilities on site and immediately
available for notification of changes to the Interchange Transaction
Tag from the beginning of the Market Period until the time when the
energy flow of the Transaction has been completed.

004-10

Unless provided for under a FERC approved market mechanism,
energy accounting for all Interchange Transactions shall be
accomplished via Interchange Block Accounting.

004-11

Settlement of losses shall be either handled as financial or as
payment in-kind in accordance with the Transmission Service
Provider tariff.

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004-11.1

For losses handled as payment in-kind, the Requesting PSE, or its
designee, shall communicate to the Sink BA, via an Interchange
Transaction Tag (either the original or a separate Interchange
Transaction Tag), the MW losses and the entity the losses are with for
each TSP/BA along the Interchange path.

004-12

All RAs, BAs, TSPs, PSEs, and other entities involved in an
Interchange Transaction shall not disclose the Interchange
Transaction information to any PSE not involved in the Interchange
Transaction.

004-13

After a curtailment of an Interchange Transaction Tag has ended, the
Sink BA shall return the Interchange Transaction Tag profile to the
originally requested level, unless otherwise specified by the entity
submitting the Interchange Transaction Tag.

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004-A

Appendix A
Interchange Transaction Tagging Between Interconnections
Between ERCOT and Eastern Interconnections
A Purchasing-Selling Entity that is seeking
Tagging Across
transmission arrangements to schedule
ERCOT/Eastern
energy between the ERCOT and Eastern
Interconnection
Interconnections will coordinate through
Interface
the SPP Reliability Coordinator. Requests
PSE Receives
for service must be made to the SPP
Reliability Coordinator for service into or
Approval from SPP
through SPP (including service across
dc Tie Operator and
either the North or East DC Ties) via the
ISO
SPP OASIS. Request for service must
also be made in ERCOT via the ERCOT
Scheduling System. The SPP Reliability
PSE Creates Tag
and Sends to
Coordinator will coordinate approval of
SPP SC
reservations and schedules involving the
SPP portion of transmission service
(including the DC ties) and service in
SPP SC validates
ERCOT.
SPP SC sends tag to ERCOT
The following procedures are followed
when scheduling transmission service
between SPP and ERCOT:
• The Purchasing-Selling Entity must
receive approval for DC tie service
and transmission service in SPP
from the SPP Reliability Coordinator
for the proposed transaction and
arrange required ancillary services.
• For
all
transmission
service
requests, the Purchasing-Selling
Entity
will
create
a
NERC
Interchange
Transaction
Tag
(known as the Tag) and submit it to
the SPP Reliability Coordinator. The
SPP Reliability Coordinator will
validate certain information on the
and check that a reservation exists
before approving the Tag.
The
approved Tag will be available to
the parties to the transaction and

PSE Sends Tag to Others PSE
Submits Tag
via ERCOT OASIS

SPP SC and ERCOT
ISO Coordinate ATC

ERCOT ISO
Notifies S/R CAs
in ERCOT

S/R BAs Confirm
Schedule with BAs in
EI and dc Tie Operator

dc Tie Operator Sets
Flows per NERC Tag
SPP SC Enters Tag
into IDC

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the ERCOT ISO.
• Simultaneous with submitting requests using the Interchange
Transaction Tag to the SPP Reliability Coordinator (for next
hour, non-firm and all other transmission service requests), the
Purchasing-Selling Entity submits requests to the ERCOT ISO
via the ERCOT Scheduling System.
The MW profile
information submitted to ERCOT must exactly match the
information on the NERC Tag supplied to ERCOT by the SPP
Reliability Coordinator. (See note.)
• The SPP Reliability Coordinator coordinates approval of the
transaction if ATC is available in SPP and across the DC tie
and works with the ERCOT ISO to coordinate ATC calculations
in ERCOT.
• The ERCOT RC notifies the delivering/receiving ERCOT BA of
the approved transaction and provides a copy of the
Interchange Transaction Tag and ERCOT schedule request.
• The delivering/receiving ERCOT Balancing Authority
communicates with the delivering/receiving control area outside
of ERCOT, confirms the transaction/schedule, and confirms
with the DC tie operator.
• The DC tie operator will follow the Interchange Transaction Tag
when setting flows across the tie.
• The SPP Reliability Coordinator will use the Interchange
Transaction Tag to populate the IDC and to determine
constrained facility ATC in the operating horizon.
• ERCOT ISO requires transactions/schedules involving use of
the DC ties to include the Interchange Transaction Tag
reference in the comments field on the ERCOT schedule
request.

Between Western and Eastern Interconnections
• All Interchange Transactions that cross the Interconnection
Boundary, including next hour and same day service, will be
submitted in E-Tag for inclusion in the Eastern Interconnection
IDC.
Note: In ERCOT, there are two types of wholesale transmission services—planned and unplanned.
Planned Transmission Service is service for nominated generating resources to specified loads. All other
transmission service is unplanned.
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Interchange Transaction where the sink is in the Eastern
Interconnection
• The Purchasing-Selling Entity serving the load shall be
responsible for submitting the E-Tag. The Purchasing-Selling
Entity responsible for submitting the E-Tag will be required to
submit the E-Tag in accordance with the time requirements in
NERC Standard INT-001-0, Attachment 1-INT-001-0.
• The Transmission Service Providers and Balancing Authorities
responsible for assessing the E-Tag will be required to assess the
E-Tag in accordance with the time requirements in NERC
Standard INT-001-0, Attachment 1-INT-001-0.
Interchange Transaction where the Sink is in the Western
Interconnection
• The Purchasing-Selling Entity serving the load shall be
responsible for submitting the E-tag.
• For Hourly/Multi-Hour Same Day Transactions, the sink
Purchasing-Selling Entity in the Eastern Interconnection (last
PSE before the DC Tie) shall be responsible for submitting the
E-Tag.
• The Purchasing-Selling Entity responsible for submitting the ETag will be required to submit the E-Tag in accordance with the
time requirements in NERC Standard INT-001-0, Attachment 1INT-001-0.
The Transmission Service Providers and Balancing Authorities
responsible for assessing the E-Tag will be required to assess the ETag in accordance with the time requirements in NERC’s Version 0,
Attachment 010-1, Subsection B – Western Interconnection

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004-B

Appendix B
Electronic Tagging Service Performance Requirements and
Failure Procedures
This document describes the performance requirements of the E-Tag
System and the procedures to be followed in the event of an E-Tag
System component’s failure. Due to the importance of accurate
information flow, these procedures and requirements have been
developed to ensure that reliable data communications remain
available at all times.
A.

Performance Requirements

Tag Agent Service Requirements
Entities that are required to use Tag Agent Services are responsible
for providing a Tag Agent Service with which to conduct business;
there are no exemptions to this requirement. There is no specific
requirement against which performance should be measured.
However, in cases of Tag Agent Service failure, non-receipt of critical
information (such as curtailment notifications, transaction denials, and
schedule modifications) due to performance problems shall be the
responsibility of the Tag Agent User.
While it is acceptable for an entity to contract with a third-party to
provide for this requirement, it should be understood that the Tag
Agent User is ultimately responsible for the provision of the service.
The non-performance of a third party does not excuse the entity from
the obligation to provide the service.
Tag Approval Services
Entities that are required to employ Tag Approval Services are
responsible for providing a Tag Approval Service as well as providing
a level of redundancy; there are no exemptions from this requirement.
At a minimum, Tag Approval Services may not have greater than
1.0% of the tags sent to their system within a calendar month be
recorded by Tag Authority Services as having a state of
“COMM_FAIL.” While there is no specific level of redundancy that is
required by this Appendix, sufficient redundancy must be in place that
the entity is confident of achieving this standard.
While it is acceptable for an entity to contract with a third-party to
provide for this requirement, it should be understood that the entity
required to employ the Tag Approval Service is ultimately responsible
for the provision of the service. The non-performance of a third party
does not excuse the entity from the obligation to provide the service.
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In order to monitor compliance with this requirement, the Balancing
Authorities will arrange with their Authority Services to generate
compliance reports at the beginning of each month determining this
metric for the previous month on a Provider-by-Provider basis. These
results should be available for investigation of any violations and the
results of this investigation may be posted once finalized.
Tag Authority Services
As the Tag Authority Service is the most critical element of the E-Tag
System, it must meet much higher standards. These standards can
be divided into two areas: Implementation, and Policies and
Performance.
Implementation
Tag Authorities Services must be implemented in a manner that
provides for redundancy and fault-tolerance through hardware and
software; there are no exemptions to this requirement. Specifically, a
Tag Authority Service must provide, at a minimum, the following:
• Two or more connections to the Internet, which may either be
available concurrently or be switchable on demand (within five
minutes);
• Redundant/Fault-Tolerant Networking Equipment between the
Internet providers’ demarcation points and the Computer
Systems, as well as between each of the components of the
system required to be inter-networked to provide functionality
(i.e., FDDI Rings, dual homing, etc…);
• Redundant/Fault-Tolerant Computer Systems that can
immediately recover from a loss of any single component (i.e.,
mirrored databases, web clusters, etc…).
Providers of Tag Authority Services may be required to provide
documented explanations of how they meet or exceed the above
requirements. These documents may be evaluated for fitness and
will be held in confidence.
Policies and Performance
The following shall be required of all Tag Authority Services:
• All scheduled outages must be performed between the hours of
01:00 CST and 04:00 CST. Any maintenance that must be
performed outside this three hour window must be
accomplished though the use of redundant systems in such a
manner that no outage is visible;
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• Notice of Scheduled outages must be given to the public at
least 24 hours before the outage is to occur. Notice shall be
deemed valid if the following actions have been taken:
1. Users of the system are sent notifications, via Email or a
proprietary system, time stamped at least 24 hours prior to the
outage;
2. The TISFORUM mailing list is sent Email notification time
stamped at least 24 hours prior to the outage;
3. The OASIS TSIN mailing list is sent Email notification time
stamped at least 24 hours prior to the outage.
Any system problem that creates behavior contrary to that described
in the E-Tag Specification shall constitute an “Unscheduled Outage.”
For example, a system that begins rejecting every third message it
receives due to a component failure in a cluster would constitute an
Unscheduled Outage (although the system was only failing one third
of the time, it was not performing as described in the E-Tag
specification).
Tag Authority Services may not be in a state of Scheduled or
Unscheduled outage for more than 0.5% of the time for the month,
based on outage time (in minutes) for the month divided by total time
in the month (in minutes). Specific allowed outages may be granted
to address special circumstances (i.e., scheduled specification
changes, major internet outages, etc…). These specific allowed
outages, if granted, may require public posting for all customers to
view.
While it is acceptable for an entity to contract with a third-party to
provide for these requirements, it should be understood that the entity
required to employ the Tag Authority Service is ultimately responsible
for the provision of the service. The non-performance of a third party
does not excuse the entity from the obligation to provide the service.
To monitor compliance with these requirements, the Operator of a
Tag Authority System may be required to submit, at the beginning of
each month, a report describing outage activity for the previous
month. This report shall consist of the following items:
1. The beginning of the outage;
2. The ending of the outage;
3. The type of outage (Scheduled or Unscheduled);
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4. The nature of the outage (Maintenance, System Crash, etc…);
5. In the event of an Unscheduled Outage, the cause of the
outage and the steps taken to ensure the problem has been
addressed and will not reoccur.
The report format may be in a standardized electronic form. These
documents may be evaluated by and held in confidence. Statistics
may be developed from these reports identifying system outage
durations for each month. These preliminary findings will be held in
confidence until they are confirmed. These performance percentages
shall be posted and electronically accessible once confirmed, at the
end of the month following the month evaluated.
Entities experiencing difficulty due to an Unnoticed Scheduled or
Unscheduled Outage may send a Request for Investigation. This
request should specify the estimated time the outage occurred, the
estimated time the outage ended, and document evidence of the
outage (such as TMP logs, email messages, etc…). Claims may be
investigated with the appropriate Tag Authority Service Operator.
Should a Tag Authority Service Operator be unable to refute the
claim, and the Investigation Requestor appears to have provided an
accurate representation of an undocumented outage, calculated
outage percentages may be modified to include the undocumented
incident.
B.

Failure Procedures

Backup procedures are needed because, in a communication system
that operates on the public Internet, failures are certain to occur. The
failures may be caused by as a result of overload of the network, loss
of connection to an Internet service provider, corruption of one or
more servers by computer hackers, failure of one or more entity’s
Internet servers, internal firewall failure, and many other reasons.
Failures also have a wide variety of scopes. A failure may affect a
single entity with a small number of schedules while all of its
neighbors continue to operate normally, a small number of utilities in
a local area, or a regional RTO with thousands of active schedules.
However failures occur, the operation of the electric utility grid must
continue. This document describes the manner in which operations
are to be coordinated should such a failure become a reality.
Assumptions
A general assumption is that each operational entity in the electric
utility industry has an internal energy management system, marketing
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system, or contract system that will not be affected by the Internet
communication failure.
Actors
Requesting PSE – The entity that prepares and submits a Tag and
holds the transmission reservations being presented for use.
Path Participant – Any of the entities that are part of a schedule
transaction.
Authority Service Entity – The entity that provides the Tag Authority
Service for a tag. The Authority Service itself is a computer system
that maintains the master database for the tag and communicates
status with other computer systems. The Authority Service Entity is
the utility industry entity that is responsible for providing the service.
In E-Tag 1.7.095, this entity is the Sink BA.
Approval Entity – An entity that has approval rights for a transaction.
In E-Tag 1.7095, this includes the Transmission Service Providers,
scheduling BAs, PSE providing generation, and Load Serving
Entities.
Checkout Partners– The entities that perform the Checkout Process.
Most commonly two adjacent Balancing Authorities checking net
interchange. It might also be two marketers checking sales and
purchases, or a transmission customer checking schedules with a
transmission provider.
Failure Actions
When a failure occurs an entity will soon realize that it has lost
communications with the other servers in the electronic tagging
arena. Yet it must still communicate current energy flows across the
transmission network and expected flows for the next few hours.
Transmission curtailments must be accounted for in the sense that a
required reduction in energy flows or increase in generation needs to
be communicated. However, accounting issues will take a secondary
priority to reliability issues in this exchange, and detail relating back to
tags, schedules, and transmission reservations can be reconstructed
later.
If adequate communication cannot be reestablished with other
entities’ scheduling systems the last resort will be to control by
frequency.

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The table below lists typical failures that might occur and the
emergency actions that the entity will take to compensate for that
failure.
Entity

Connectivity Problem
ubmit tag to Authority

Path Participant

Not receiving update
messages.

Authority
Service Entity

Unable to send
messages to generation
or load control area.

Authority
Service Entity

Unable to send
messages to an approval
entity for an intermediate
Transmission Provider or
Control Area.

Authority
Service Entity

Unable to send
messages to an
information only entity.

Authority
Service Entity

Unable to receive
messages.

Backup actions
Ask another entity in the
transaction chain to submit the
schedule for you. He then
becomes the author.
Create a backup paper copy of
the schedule and fax to
authority service entity and all
approval entities in the
transaction.
Use Recovery Process to
resynchronize from authority
service.
Use telephone with Authority
Service Entity to update status.
Telephone Schedule Author to
notify of the message failure.
The author will fax the schedule
to the Approval Entity for these
control areas.
Telephone Approval Entity to
notify of the message failure.
Approve or deny the schedule
at the request of the Approval
Entity (override).
Telephone Schedule Author to
notify of the message failure.
The author will fax the schedule
to the Approval Entity.
Telephone Approval Entity to
notify of the message failure.
Approve the schedule
automatically.
Deny the schedule at the
request of the Approval Entity
(override).
No Action required.

Broadcast a message by email
or fax to all entities that use
your authority service. The
message should forecast a
recovery time for your service.
In the meantime, your Authority
Service is down.

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Entity
Approval Entity

Approval Entity

Checkout
Partner

Connectivity Problem
Unable to receive
messages from an
authority service.
(The Authority has an
obligation to notify you
and the authoring PSE.
The Authoring PSE has
an obligation to fax the
tag to the approver.)
Unable to send
messages to an authority
service.

Backup actions
Use the Recovery Process to
resynchronize from Authority
Services or Central Repository.
Telephone the Authority
Service entity with the approval
or denial of the schedule.

Unable to exchange
messages.

Telephone net exchange to the
checkout partner.
Create a backup paper copy of
the checkout data and fax to
the checkout partner.

Telephone the Authority
Service Entity with approval or
denial of the schedule.

Notes:
1. The first action in every case is to attempt to establish connection
by using an alternate communication method, a second Internet
service provider, dial up connection, or a private network if one is
available.
2. Next, the backup actions are attempted in the order specified.
3. The backup actions include printing paper reports from the internal
energy management system. The reports include a schedule
detail report for a short time period, net exchange between two
operational entities, and transmission reservation usage between
a transmission provider and a customer.
4. Every backup action list ends with a fax or telephone call that is
completely independent of the public Internet.
Reports
Three reports have been designed to communicate energy flows and
transmission reservation usage between partner entities with a tie
where possible back to the schedules as known before the
communication failure.
Net Exchange
A Net Exchange report is a paper summary of Interchange:
• The time span of the report will cover a period of the current hour
to a few hours in the future, up to 24 hours.
• The entity and the partner entity are any two entities that share
common schedules.
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• The date and time are the date and time of the report.
• Net schedules are the net of schedules from and to the other
entity.
• TO is a sum of the schedules from the entity to the partner entity.
• FROM is a sum of the schedules from the partner entity to the
entity.
• Tag or fragment lines represent the data from each tag or
fragment that was known at the time of the failure or has been
entered later.
• Recent adjustment lines represent a summary of changes to the
schedules that occurred since the failure.
Schedule Detail
A Schedule Detail report is a paper copy of an individual schedule. It
includes:
• The schedule identification number and most current active
revision number.
• The fully expanded energy schedule for a period of the current
hour to a few hours in the future, up to 24 hours.
• The complete path with all OASIS and contract references.
Reservation Usage
A transmission Reservation Usage report is a summary of
Reservation Usage:
• The time span of the report will cover a period of the current hour
to a few hours in the future, up to 24 hours.
• The entities on the report are a transmission provider and a
transmission contract holder.
• Gross reservations is the sum of reservations, Usage is the sum of
usage.
• The detail lines are tag or fragment usage of reservation,
organized by product and OASIS reservation number.
Recovery Process
The last backup issue is the recovery of current status when the
communication link is reestablished. The recovery is accomplished
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by a query to the authority service for each entity that the entity does
business with. The query returns a list of all the schedules that
reference that entity with the schedule ID, the current version number
and the last modified date and time.
The recovering entity then compares with its own database and
updates his database to be current with the authority’s database.
When all authority services have been queried, the recovery is
complete.
If the entity desires, it can request a complete audit history of each
schedule.

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004-C

Appendix C
Transaction Tag Actions
For Eastern and Western Interconnections
The table below explains the various tag actions that are possible,
and the entities that are entitled to initiate these actions:
Desired
Policy
Action
Approve a
Tag Request
Deny a Tag
Request
Study a Tag
Request

Reason

Economic,
Reliability, or
Contractual
Economic,
Reliability, or
Contractual
Economic,
Reliability, or
Contractual

Withdraw a
Tag
Request
Cancel a
New Tag

Economic

Terminate a
Tag

Economic

Extend a
Tag

Economic

Reduce a
Tag

Economic

Economic

Tagging Action

Initiated by

Result

Set Status (to
Approved)

Approval Entity*

Set Status (to
Denied)

Approval Entity*

Set Status (to
Studied)

Approval Entity*

Withdraw Request
prior to request
implementation
Request Profile
Change – Set
Energy and
Capacity for the
transaction to zero
prior to transaction
start
Request Profile
Change – Set
Energy and
capacity of the
transaction to zero
from a point of
time forward
Request Profile
Change – Append
additional hours
onto an existing
transaction
Request Profile
Change –
Decrease Energy
flow or Committed

Requesting
PSE**

Approver
indicates
approval
Approval
indicates
denial
Approval
indicates the
tag has
been
viewed, but
have not
committed to
a decision
Request is
dead

Requesting
PSE**

Tag is dead

Requesting
PSE**

Portion of
tag is dead

Requesting
PSE**

Tag is
extended

Requesting
PSE**, Market
Operator***

Profile is
Decreased

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Desired
Policy
Action

Reason

Increase a
Tag

Economic

Curtail a
Tag

Reliability
(OSL
Violation,
Loss of Gen,
loss of Load)

Reload a
Tag

OSL Violation
eliminated,
Generator
Returned,
Load
Returned

Tagging Action
Transmission
Reservation(s) for
a transaction for a
specific set of
hours
Request Profile
Change –
Increase Energy
flow or Committed
Transmission
Reservation(s) for
a transaction for a
specific set of
hours
Request Profile
Change – Limit
Energy flow for a
transaction for a
specific set of
hours
Request Profile
Change – Release
Limit of Energy
flow for a
transaction for a
specific set of
hours

Initiated by

Result

Requesting
PSE**, Market
Operator***

Profile is
Increased

Source BA, Sink
BA,
Transmission
Service
Provider,
Scheduling
Agent
Source BA, Sink
BA,
Transmission
Service
Provider,
Scheduling
Agent

Profile is
Decreased

Profile is
Increased

Notes:
*Purchasing-Selling Entities and Load-Serving Entities may elect to
defer their approval rights to the Host Balancing Authority of their
facilities. For more information, see PSE and LSE approval rights
below
**In some situations, Balancing Authorities implement certain
Interchange Transactions or Interchange Schedules, such as bilateral
inadvertent payback, Dynamic Schedules, and emergency schedules
from Reserve Sharing Groups. In these situations, the Balancing
Authority serves as the Purchasing-Selling Entity and can perform
these actions.
***Entities registered as market operators and serving as either
source or sink for a Transaction may exercise such functions in order
to indicate correct flow based on market clearing.

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PSE and LSE Approval Rights
Purchasing-Selling Entities providing generation and Load-Serving
Entities have been granted the right, but not the obligation, to
approve Transaction requests using their resources. If PSEs and
LSEs specify an approval service in the Master Registry, then they
are expected to approve/deny Transactions when so requested.
Otherwise, their Host Balancing Authority is expected to act on their
behalf. .The following table illustrates the proper way to interpret this
requirement:

If the PSE…

Specified an Approval
URL
Did not specify an
Approval URL

The PSE should be granted rights
to approve or deny
The BA should have proxy
approval rights for the PSE

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004-D

Appendix D
Required and Correctable Tag Data
A. New Transactions
A new Interchange Transaction is a Transaction that has not yet been
implemented or confirmed for implementation. Such Transactions
must be presented to those entities that are responsible for the
implementation of the Transaction in order that they may evaluate the
Transaction request and determine whether or not the Transaction
can be implemented. The following information is to be used to
describe such a Transaction.
1.

Market Information

1.1.

Market Redispatch Information (only required if Transaction is
MRD Transaction). (See “E-Tag Functional Specification
Version 1.7095”)

1.2.

Financial Path (Required) − the description of financially
responsible parties for the transaction in order. This will
typically start with a Purchasing-Selling Entity providing
generation and finish with a Load Serving Entity, and where
applicable, intermediate Purchasing-Selling Entities between
the two.

1.2.1.

Energy Title Holder(s) (Required) – the identity of the entities
financially responsible to take and/or deliver the energy as
described in the physical path. This will typically be a
Purchasing-Selling Entity providing generation, a Load
Serving Entity, and where applicable, Intermediate
Purchasing-Selling Entities.

1.2.1.1.

Energy Product Type (Correctable) – the type of energy
delivered by the Energy Title Holder.

1.2.1.2.

Contract Number(s) (Correctable) – reference to a
Transaction entered into by the Energy Title Holder with one
or more other participants in the Transaction.

1.2.1.3.

Miscellaneous Information (Correctable) – information
provided at the author’s option regarding the Transaction.

2.

Physical Information

2.1.

Physical Path (Required) – the description of physically
scheduling parties for the transaction in order and related to
the financially responsible parties described above. This will
always contain a Generation segment, at least one
Transmission segment, and a Load segment.

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2.1.1.

Generation (Required) – set of data describing the physical
and contractual characteristics of the energy source.

2.1.1.1.

Source (Required) – the physical point at which the energy is
being generated. This may vary in granularity, dependent on
local business practices.

2.1.1.2.

Contract Number(s) (Correctable) − reference to a schedule
or agreement entered into by the Purchasing-Selling Entity
providing generation and the Generator Operator.

2.1.1.3.

Miscellaneous Information (Correctable) – information
provided at the Requesting PSE’s option regarding the
Transaction.

2.1.1.4.

Energy Profile (Required) – energy to be produced by the
Generator Owner for this Transaction.

2.1.2.

Transmission (Required) – set of data describing the physical
and contractual characteristics of a wheel (import, export, or
through).

2.1.2.1.

Transmission Service Provider (Required) – the identity of the
transmission provider that is wheeling the energy.

2.1.2.2.

Point of Receipt (Correctable) – valid Point of Receipt for
scheduled Transmission Reservation.
• Point of Delivery (Correctable) – valid Point of Delivery for
scheduled Transmission Reservation.
• Scheduling Agent (Correctable) – entity that is physically
scheduling interchange on behalf of the Transmission
Service Provider in order to provide wheeling services.
Typically this is the Balancing Authority for the
Transmission Service Provider, but may be several
Balancing Authorities supporting a regional transmission
service.
• Loss Provision Information (Required) (Correctable)–
Information describing the manner in which losses are
accounted when they are not scheduled as in-kind
megawatt distributions through the original transaction.
Types may be financial (paid in dollars based on tariff
provisions), internal (scheduled in megawatts to the
Transmission Service Provider from a resource inside the
Transmission Service Provider’s area), or external
(scheduled in megawatts to the Transmission Service
Provider from a resource outside the Transmission
Provider’s area). If internal or external, must specify
contract numbers or Transaction IDs.

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• Miscellaneous Information (Correctable) – information
provided at the requesting PSE’s option regarding the
transaction.
• POR and POD Profiles (Required) – schedule of Energy
Flow imported at the Point of Receipt and exported at the
Point of Delivery.
• Transmission
Reservation
Number(s)
(Required)
(Correctable) – reference to a particular transmission
reservation being used to provide transmission capacity to
support the transaction being described.
2.1.2.2.1. Transmission Product (Required) (Correctable) – Specifies

the firmness of service associated with the transmission
reservation being used.
2.1.2.2.2. Requesting PSE (Required) (Correctable) – identifies the

entity that purchased and holds the transmission reservation
being presented for use.
2.1.2.2.3. Transmission Reservation Profile (Required) - information

describing the transmission reservation commitment
associated with the Transmission Service Provider.
2.1.2.2.3.1.

Committed Transmission Reservation Level (Required) –
schedule of transmission reservation committed by the
Requesting Purchasing-Selling Entity for use for this
Transaction.

2.1.3.

Load (Required) – set of data describing the physical and
contractual characteristics of the energy sink.

2.1.3.1.

Sink (Required) – the physical point at which the energy is
being consumed. This may vary in granularity, dependent on
local business practices.

2.1.3.2.

Contract Number(s) (Correctable) − reference to a schedule
or agreement entered into by the Load Serving Entity and the
Distribution Provider.

2.1.3.3.

Miscellaneous Information (Correctable) – information
provided at the requesting PSE’s option regarding the
Transaction.

2.1.3.4.

Energy Profile (Required) – energy to be consumed by the
load for this Transaction.

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Using Multiple Transmission Reservations to Support a Single
Leg of an Interchange Transaction
The use of multiple transmission reservations to support a single leg
of an Interchange Transaction is known as transmission stacking.
There are two types of transmission stacking:
• Vertical stacking, in which a Requesting Purchasing-Selling Entity
combines multiple reservations to achieve a certain net level of
transmission capacity, and
• Horizontal stacking, in which a Requesting Purchasing-Selling
Entity combines multiple reservations to achieve a certain
transmission capacity coverage over time.
The following diagrams illustrate these concepts more fully. In both
cases, the assumed need is 100 MW of transmission capacity for
hours 06:00 through 22:00.

Vertical Stacking
100MW

CAPACITY

Reservation 12345
(50MW from 6:00 – 22:00)
50MW

Reservation 67890
(50MW from 6:00 – 22:00)
0MW
06:00

14:00

22:00

TIME

Horizontal Stacking

CAPACITY

100MW

50MW

Reservation 12345

Reservation 67890

(100 MW from 6:00 – 14:00)

(100 MW from 14:00 – 22:00)

0MW
06:00

14:00

22:00

TIME

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Should a Requesting PSE elect to utilize stacking, including any
combination of the two stacking types, to support their INTERCHANGE
TRANSACTION, they must understand the following requirements:
• Stacks MUST be described through fully qualified profiles for each
reservation being used
• At no point may the coverage described by the stack be less than
the transmission capacity needed for the TRANSACTION’S energy
flow
B. Curtailments
Modifications)

and

Reloads

(Reliability

Related

Profile

Curtailments and Reloads are special kinds of modifications to a
transactions energy profile based on reliability concerns. Such
modifications must be presented to those entities that are responsible
for the implementation of the modification in order that they may
evaluate the transaction request and determine whether or not the
modification can be implemented. The following information must be
used to describe such a modification.
• The TRANSACTION being curtailed or reloaded
• All necessary profile changes to set the maximum flow allowed for
the transaction during the appropriate hours
• A contact person that initiated the curtailment or reload, and
• A description of the necessity for the schedule change.
C.

Market-Related Profile Modifications

Profile Modifications are changes to a TRANSACTION’S energy profile
based on market desires. Such modifications must be presented to
those entities that are responsible for the implementation of the
modification in order that they may evaluate the TRANSACTION request
and determine whether or not the modification can be implemented.
The following information must be used to describe such a
modification.
• The TRANSACTION being modified
• All necessary profile changes to set the transmission capacity or
energy flow to the desired levels during the appropriate hours, and
• A contact person that initiated the modification

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