Configuration Guide for: Negative Uninstructed Deviation Penalty / Date: 04/01/0912/4/13
Settlements & Billing
BPM Configuration Guide: Negative Uninstructed Deviation Penalty
CC 4470
Version 5.0
CAISO, 2018 / Page 1 of 11Settlements & Billing / Version: 5.0
Configuration Guide for: Negative Uninstructed Deviation Penalty / Date: 04/01/0912/4/13
Table of Contents
1.Purpose of Document
2.Introduction
2.1Background
2.2Description
3.Charge Code Requirements
3.1Business Rules
3.2Predecessor Charge Codes
3.3Successor Charge Codes
3.4Inputs – External Systems
3.5Inputs - Predecessor Charge Codes or Pre-calculations
3.6CAISO Formula
3.7Outputs
4.Charge Code References Effective Date
1.Purpose of Document
The purpose of this document is to capture the requirements and design specification for a SaMC Charge Code in one document.
2.Introduction
2.1Background
The Negative Uninstructed Deviation Penalty (UDP) Settlement Charge Code 4470 is intended to discourage Scheduling Coordinators fromdeviating from their forward schedules and/or any CAISO instructions. This charge should result in increased predictability of Generators and improved operational stability of the CAISO. Charges are assessed against Uninstructed Imbalance Energy quantities that result from resource deviations outside a Tolerance Band from their Dispatch Operating Point, for dispatched resources, or their Day-Ahead Schedule otherwise.
For this calculation, the Compliance Business Unit will calculate Uninstructed Deviation Quantities. Resources represented by the same Scheduling Coordinator and connected to the same CAISO Controlled Grid bus and voltage level can be aggregated for purposes of netting uninstructed deviations among the aggregation. The Compliance Business Unit will also provide a Penalty Location ID, which will uniquely identify each aggregation. Prior to the data being received by the Settlements Business Unit, the Compliance Business Unit applies all applicable exemptions, except for those specifically stated in the exemptions document.
Negative Uninstructed Deviation Penalty Settlement Amounts assessed in CC 4470 are summed with Positive Deviation Penalty Settlement Amounts in CC 4480, as well as CC 6482 Real Time Excess Cost for Instructed Energy Settlement and CC 6486 Real Time Excess Cost for Instructed Energy Allocation, to determine the allocation methodology. If the net sum of these Charge Codes is negative, this amount is charged to Measured Demand in CC 6480. If the net sum is positive, this amount is passed to the Market Clearing system as a balancing billing determinant for accrual in the Surplus Account (as described by the CC 6480 configuration guide).
**This charge has not yet been approved by FERC and therefore must be left out of the billing and invoice process. Negative Uninstructed Deviation Penalty Quantity is currently being provided to the market on an advisory basis only.
2.2Description
The Negative Uninstructed Deviation Penalty Settlement charges are calculated on a 10-minute interval basis at a Penalty Location level and summed by Scheduling Coordinator for the Settlement Statement.
3.Charge Code Requirements
3.1Business Rules
Bus Req ID / Business Rule1.0 / This charge currently must be left out of the billing and invoice process.
2.0 / Negative Uninstructed Deviation Penalty Settlement Amounts are calculated at 10-minute intervals.
3.0 / Negative Uninstructed Deviation Penalty Settlement Amounts should only be calculated at the Penalty Location ID level.
4.0 / Record type “P” represents the location at which a penalty shall be assessed; this will be a Logical UDP Aggregation or Resource ID from Compliance Business Unit data.
4.1 / Where the Penalty Location is not an aggregation, the Penalty Location will equal the Resource ID.
5.0 / The Final Negative Uninstructed Deviation Penalty Detail Quantity is required for output purposes only and the Negative Uninstructed Deviation Penalty Settlement Amount will be reflected on the Settlements Statement but will not appear on the Settlements Invoice
6.0 / No Settlement Amount will be calculated if the Settlement Interval Penalty Location Real Time LMP for this calculation is negative.
7.0 / For adjustments to the Charge Code that cannot be accomplished by correction of upstream data inputs/recalculation or operator override Pass Through Bill Charge logic will be applied.
8.0 / For resource specific system resources where RSRC_TYPE payload value is equal to ‘TG’, mapping will replace this value with ‘ITIE’. Otherwise, the RSRC_TYPE will reflect the value provided by Compliance Department to include ‘UDPA’ (UDP Aggregation) RSRC_TYPE
3.2Predecessor Charge Codes
Charge Code/ Pre-calc NameReal Time Price Pre-calculation
3.3Successor Charge Codes
Charge Code/ Pre-calc NameCC 6480 - Excess Cost Neutrality Allocation
3.4Inputs – External Systems
Row # / Variable Name / Description1 / NegativeUninstructed DeviationPenaltyFactor / The penalty factor for Negative Uninstructed Deviations outside the Tolerance Band is located in standing data and SCs are currently charged 50% of the corresponding Settlement Interval Real-Time LMP. This value is set to 0.5.
2 / BASettlementIntervalPenaltyResourceFinalNEGUDPQuantity
BrtR’jmdhi / The Compliance Business Unit will calculate Uninstructed Deviation Quantities at the Penalty Location ID R’ and provide it to the Settlements Business Group
3 / FinalDASchduleNEGUDPQuantity
BrtR’jmdhi / Final Day Ahead Schedule Quantity for the Resource r in the Trade Hour h.
This is an hourly value repeated in each interval i
4 / ResourceOutputNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
5 / SLICEnergyNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
6 / ExpectedEnergyNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
7 / AdjSLICEnergyNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
8 / PMAXNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
9 / ToleranceBandNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
10 / RegulationMustRunNEGUDPFlag
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
11 /
EffectiveRegUPLimitNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
12 / EffectiveRegDOWNLimitNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
13 / ReportedMaxAvailNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
14 / ReportedMinAvailNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
15 / DOPDNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
16 / ExemptionEnergyNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
17 / PositiveExemptionEnergyNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
18 / NegativeExemptionEnergyNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
19 / ExemptionEnergyNEGUDPCode
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
20 / AdjustedDOPDNEGUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
21 / PTBNegativeUninstructedDeviationPenaltySettlement
Amount BJmdhi / PTB adjustment variable for this Charge Code, amount per SC. ($)
3.5Inputs - Predecessor Charge Codes or Pre-calculations
Row # / Variable Name / Predecessor Charge Code/Pre-calc Configuration
1 / SettlementIntervalPenaltyLocationRealTimeLMPBR’mdhi / Real Time Price Pre-calculation
3.6CAISO Formula
3.6.1The formula for each Penalty Location ID (R’) is as follows:
3.6.1.1BASettlementIntervalPenaltyResourceNegativeUDPSettlementAmount BrtR’jmdhi =
(-1) * BASettlementIntervalPenaltyResourceFinalNegativeUDPQuantity BrtR’jmdhi*
MAX(0, SettlementIntervalPenaltyLocationRealTimeLMP BR’mdhi) *
NegativeUninstructedDeviationPenaltyFactor
3.6.1.2BASettlementIntervalPenaltyResourceFinalNegativeUDPQuantity BrtR’jmdhi=
BASettlementIntervalPenaltyResourceFinalNEGUDPQuantity BrtR’jmdhi
Where UDP_RSRC_TYPE (j) = P
3.6.1.3BASettlementIntervalNegativeUDPSettlementPrice BR’mdhi= MAX(0, SettlementIntervalPenaltyLocationRealTimeLMP BR’mdhi)
Note: This charge type exists only to build the Reporting and GL output structure
3.6.1.4FinalDASchduleNEGUDPSupportDataQuantity BrtR’jmdhi = FinalDASchduleNEGUDPQuantity BrtR’jmdhi
3.6.1.5ResourceOutputNEGUDPSupportDataQuantity BrtR’jmdhi = ResourceOutputNEGUDPQuantity BrtR’jmdhi
3.6.1.6SLICEnergyNEGUDPSupportDataQuantity BrtR’jmdhi = SLICEnergyNEGUDPQuantity BrtR’jmdhi
3.6.1.7ExpectedEnergyNEGUDPSupportDataQuantity BrtR’jmdhi = ExpectedEnergyNEGUDPQuantity BrtR’jmdhi
3.6.1.8AdjSLICEnergyNEGUDPSupportDataQuantity BrtR’jmdhi = AdjSLICEnergyNEGUDPQuantity BrtR’jmdhi
3.6.1.9PMAXNEGUDPSupportDataQuantity BrtR’jmdhi = PMAXNEGUDPQuantity BrtR’jmdhi
3.6.1.10ToleranceBandNEGUDPSupportDataQuantity BrtR’jmdhi = ToleranceBandNEGUDPQuantity BrtR’jmdhi
3.6.1.11RegulationMustRunNEGUDPSupportDataFlag BrtR’jmdhi = RegulationMustRunNEGUDPFlag BrtR’jmdhi
3.6.1.12EffectiveRegUPLimitNEGUDPSupportDataQuantity BrtR’jmdhi = EffectiveRegUPLimitNEGUDPQuantity BrtR’jmdhi
3.6.1.13EffectiveRegDOWNLimitNEGUDPSupportDataQuantity BrtR’jmdhi = EffectiveRegDOWNLimitNEGUDPQuantity BrtR’jmdhi
3.6.1.14ReportedMaxAvailNEGUDPSupportDataQuantity BrtR’jmdhi = ReportedMaxAvailNEGUDPQuantity BrtR’jmdhi
3.6.1.15ReportedMinAvailNEGUDPSupportDataQuantity BrtR’jmdhi = ReportedMinAvailNEGUDPQuantity BrtR’jmdhi
3.6.1.16DOPDNEGUDPSupportDataQuantity BrtR’jmdhi = DOPDNEGUDPQuantity BrtR’jmdhi
3.6.1.17ExemptionEnergyNEGUDPSupportDataQuantity BrtR’jmdhi = ExemptionEnergyNEGUDPQuantity BrtR’jmdhi
3.6.1.18PositiveExemptionEnergyNEGUDPSupportDataQuantity BrtR’jmdhi = PositiveExemptionEnergyNEGUDPQuantity BrtR’jmdhi
3.6.1.19NegativeExemptionEnergyNEGUDPSupportDataQuantity BrtR’jmdhi = NegativeExemptionEnergyNEGUDPQuantity BrtR’jmdhi
3.6.1.20ExemptionEnergyNEGUDPSupportDataCode BrtR’jmdhi = ExemptionEnergyNEGUDPCode BrtR’jmdhi
3.6.1.21AdjustedDOPDNEGUDPSupportDataQuantity BrtR’jmdhi = AdjustedDOPDNEGUDPQuantity BrtR’jmdhi
3.7Outputs
Output Req ID / Name / Description1 / In addition to any outputs listed below, all inputs shall be included as outputs.
2 / BASettlementIntervalPenaltyResourceNegativeUDPSettlementAmount BrtR’jmdhi / The settlement amount per interval per Penalty Location ID R’ for Negative UDP.
3 / BASettlementIntervalPenaltyResourceFinalNegativeUDPQuantity
BrtR’jmdhi / The penalty quantity for Penalty Location ID R’.
4 / FinalDASchduleNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
5 / ResourceOutputNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
6 / SLICEnergyNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
7 / ExpectedEnergyNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
8 / AdjSLICEnergyNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
9 / PMAXNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
10 / ToleranceBandNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
11 / RegulationMustRunNEGUDPSupportDataFlag
BrtR’jmdhi / Supporting Data
12 /
EffectiveRegUPLimitNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
13 / EffectiveRegDOWNLimitNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
14 / ReportedMaxAvailNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
15 / ReportedMinAvailNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
16 / DOPDNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
17 / ExemptionEnergyNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
18 / PositiveExemptionEnergyNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
19 / NegativeExemptionEnergyNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
20 / ExemptionEnergyNEGUDPSupportDataCode
BrtR’jmdhi / Supporting Data
21 / AdjustedDOPDNEGUDPSupportDataQuantity
BrtR’jmdhi / Supporting Data
22 / BASettlementIntervalNegativeUDPSettlementPrice BR’mdhi / Note: This charge type exists only to build the Reporting and GL output structure
4.Charge Code References Effective Date
Charge Code/Pre-calc Name / Document Version / Effective Start Date / Effective End Date / Version Update Type
CC 4470 – Negative Uninstructed Deviation Penalty / 5.0 / 04/01/09 / Open4/30/14 / Documentation Edits OnlyConfiguration Impacted
CAISO, 2018 / Page 1 of 11