Settlements & Billing / Version: 5.21
Configuration Guide for: Monthly Neutrality AdjustmentNeutrality Adjustment / Date: 035/20/130

Settlements &Billing

BPM Configuration Guide:Monthly Neutrality AdjustmentNeutrality Adjustment

CC 8999

Version 5.21

CAISO, 2018 / Page 1 of 12
Settlements & Billing / Version: 5.21
Configuration Guide for: Monthly Neutrality AdjustmentNeutrality Adjustment / Date: 035/20/130

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 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

In according to the Tariff, the CAISO is authorized to levy additional charges or make additional payments to market participants to accommodate for special adjustments with regards to:

  • Amounts required to reach an accounting trial balance of zero in the course of the Settlement process in the event that the charges calculated as due from CAISO Debtors are not equal to the payments calculated as due to the CAISO Creditors for the same Trading Day or Trading Month.
  • Awards payable by or to the CAISO pursuant to good faith negotiations or CAISO ADR Procedures that the CAISO is not able to allocate to or to collect from a Market Participant or Market Participants in accordance with CAISO Tariff.

These charges or payments will be allocated amongst Scheduling Coordinators who traded on that Trading Day pro rata to their Measured Demand in MWh of Energy or over an interval determined by the CAISO and pro rata based on Measured Demand during that interval.

2.2Description

The Settlement Amount for this Charge Code is input and calculated as a PTB Direct Payment/Charge. This charge settles both sides of a neutrality adjustment or GFN. This means that Charge Code 8999 settlesthe payment (or charge) as determined by the input PTB Settlement Amount, as well as the allocation portion of the equation. The allocation side of settlement is based on each SC’s pro rata share of Measured Demand for theTrading Hour, Trading Day, or Trading Month as determined by granularity of the input PTB Settlement Amount.

3.Charge Code Requirements

3.1Business Rules

Bus Req ID / Business Rule
1.0 / This Charge Code is a periodic charge or payment settled byTrading Hour, Trading Day, or Trading Month based on the granularity requirements of thea Neutrality Adjustment or GFN requiring a monthly granularity.
1.1 / The Neutrality Adjustment is entered as a PTB Settlement Amount by Business Associate for a Trading Monthof CIASO determined granularity..
2.0 / This Charge Code is a payment/charge ofawards payable by or to the CAISO pursuant to good faith negotiations or CAISO ADR Procedures that the CAISO is not able to allocate to or to collect from a Market Participant or Market Participants in accordance with CAISO Tariff.
3.0 / Charges or payments are allocated by Scheduling Coordinator’s pro rata share of Measured Demand for by the relevant Trading Monthgranularity as determined by CAISO.
4.0 / The net imbalance amount calculated as the sum of the Neutrality Adjustment Settlement Amount and Neutrality Adjustment Allocation Amount final Settlement in a given Trading Month is attributed to rounding, and must be output to Monthly Rounding Adjustment Allocation (CC 4999).
5.0 / 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.

3.2Predecessor Charge Codes

Charge Code/ Pre-calc Name
Measured Demand over Control Area Pre-calculationCC 8989 – Daily Neutrality Adjustment

3.3Successor Charge Codes

Charge Code/ Pre-calc Name
CC4999 – Monthly Rounding Adjustment Allocation

3.4Inputs – External Systems

Row # / Variable Name / Description
1 / PTBHourlyNeutralityAdjustmentAmount BJG’mdh / Dollar amount for payment or charge based on approved neutrality adjustment by Business Associate B, PTB ID J, Neutrality ID G’ for Trading Hour h, of Trading Day d, of Trading Month m.
2 / PTBDailyNeutralityAdjustmentAmount BJG’md / Dollar amount for payment or charge based on approved neutrality adjustment by Business Associate B, PTB ID J, Neutrality ID G’ for Trading Day d, of Trading Month m..
13 / PTBMonthlyNeutralityAdjustmentAmount BJG’m / Dollar amount for payment or charge based on approved neutrality adjustment by Business Associate B, PTB ID J, Neutrality ID G’ for Trading Month m...
2 / PTBMonthlyNeutralityAdjustmentChargeAdjustmentAmt BJG’m / Charge adjustment amount for monthly neutrality adjustment by Business Associate B, PTB ID J, Neutrality ID G’ for Trading Month m.

3.5Inputs - Predecessor Charge Codes or Pre-calculations

CAISO, 2018 / Page 1 of 12
Settlements & Billing / Version: 5.21
Configuration Guide for: Monthly Neutrality AdjustmentNeutrality Adjustment / Date: 035/20/130
Row # / Variable Name / Predecessor Charge Code/
Pre-calc Configuration
1 / BADailyTotalMeasuredDemandNeutralityExQuantity BmdBASettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 Bmdhi / Measured Demand over Control Area Pre-calculationCC 8989 – Daily Neutrality Adjustment
2 / CAISODailyTotalMeasuredDemandNeutralityExQuantity mdCAISOTotalSettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 mdhi / Measured Demand over Control Area Pre-calculationCC 8989 – Daily Neutrality Adjustment
CAISO, 2018 / Page 1 of 12
Settlements & Billing / Version: 5.21
Configuration Guide for: Monthly Neutrality AdjustmentNeutrality Adjustment / Date: 035/20/130

3.6CAISO Formula

3.6.1BAMonthlyTotalNeutralityAdjustmentSettlementAmount Bm =

(MonthlyNeutralityAdjustmentSettlementAmount Bm +

MonthlyNeutralityAdjustmentAllocationAmount Bm )

3.6.1IF PTB Neutrality Adjustment Amount is to be settled on Trading Hour

3.6.2DailyNeutralityAdjustmentHourlySettlementAmount Bmd =

HourlyNeutralityAdjustmentSettlementAmount Bmdh

3.6.2.1Where

HourlyNeutralityAdjustmentSettlementAmount Bmdh =

PTBHourlyNeutralityAdjustmentAmount BJG’mdh

3.6.3DailyNeutralityAdjustmentHourlyAllocationAmount Bmd =

HourlyNeutralityAdjustmentAllocationAmount Bmdh

3.6.3.1Where

HourlyNeutralityAdjustmentAllocationAmount Bmdh = (-1) * (BASettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 Bmdhi * HourlyNeutralityAdjustmentPrice mdh )

3.6.3.1.1And Where

HourlyNeutralityAdjustmentPrice mdh = (HourlyNeutralityAdjustmentSettlementAmount Bmdh ) / ( CAISOTotalSettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 mdhi )

3.6.4IF PTB Neutrality Adjustment Amount is to be settled on Trading Day

3.6.4.1DailyNeutralityAdjustmentSettlementAmount Bmd =

PTBDailyNeutralityAdjustmentAmount BJG’md

3.6.4.2DailyNeutralityAdjustmentAllocationAmount Bmd = (-1) * (BASettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 Bmdhi * DailyNeutralityAdjustmentPrice md )

3.6.4.2.1Where

DailyNeutralityAdjustmentPrice md = (DailyNeutralityAdjustmentSettlementAmount Bmd ) / (CAISOTotalDailyMeasuredDemandNeutralityExQuantity md )

3.6.5CAISOTotalDailyMeasuredDemandNeutralityExQuantity md =

CAISOTotalSettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 mdhi

3.6.6IF PTB Neutrality Adjustment Amount is to be settled on Trading Month

3.6.6.13.6.2MonthlyNeutralityAdjustmentSettlementAmount Bm =

PTBMonthlyNeutralityAdjustmentAmount BJG’m

3.6.3 MonthlyNeutralityAdjustmentAllocationAmount Bm =

(-1) *

( BAMonthlyTotalMeasuredDemandNeutralityExQuantity Bm BASettlementIntervalMeasuredDemandMinusRightsControlAreaQty_Ex1 Bmdhi*MonthlyNeutralityAdjustmentPrice m )

3.6.3.1Where

BAMonthlyTotalMeasuredDemandNeutralityExQuantity Bm = BADailyTotalMeasuredDemandNeutralityExQuantity Bmd

3.6.6.2.13.6.3.2AndWhere

MonthlyNeutralityAdjustmentPrice m = (MonthlyNeutralityAdjustmentSettlementAmountBm) / (CAISOTotalMonthlyTotalMeasuredDemandNeutralityExQuantitym)

3.6.73.6.4CAISOTotalMonthlyTotalMeasuredDemandNeutralityExQuantitym =

CAISOTotalDailyTotalMeasuredDemandNeutralityExQuantity md

3.6.8BANeutralityAdjustmentSettlementAmount1 Bm =

((DailyNeutralityAdjustmentSettlementAmount Bmd +

DailyNeutralityAdjustmentAllocationAmount Bmd ) +

(DailyNeutralityAdjustmentHourlySettlementAmount Bmd +

DailyNeutralityAdjustmentHourlyAllocationAmount Bmd ))

3.6.9BANeutralityAdjustmentSettlementAmount2 Bm =

(MonthlyNeutralityAdjustmentSettlementAmount Bm +

MonthlyNeutralityAdjustmentAllocationAmount Bm )

3.6.10BANeutralityAdjustmentSettlementAmount Bm =

BANeutralityAdjustmentSettlementAmount1 Bm +

BANeutralityAdjustmentSettlementAmount2 Bm

3.7Outputs

Output Req ID / Name / Description
In addition to any outputs listed below, all inputs shall be included as outputs.
1 / HourlyNeutralityAdjustmentSettlementAmount Bmdh / The Hourly Neutrality Adjustment Settlement Amount attributed to Business Associate B, for Trading Hour h, of Trading Day d, of Trading Month m.
2 / HourlyNeutralityAdjustmentAllocationAmount Bmdh / The Hourly Neutrality Adjustment Allocation Amount attributed to Business Associate B, for Trading Hour h, of Trading Day d, of Trading Month m.
3 / HourlyNeutralityAdjustmentPrice mdh / The Hourly Neutrality Adjustment Price calculated based on PTB and Measured Demand for Trading Hour h, of Trading Day d, of Trading Month m.
4 / DailyNeutralityAdjustmentHourlySettlementAmount Bmd / The Daily Neutrality Adjustment Hourly Settlement Amount attributed to Business Associate B, for Trading Day d, of Trading Month m.
5 / DailyNeutralityAdjustmentHourlyAllocationAmount Bmd / The Daily Neutrality Adjustment Hourly Allocation Amount attributed to Business Associate B, for Trading Day d, of Trading Month m.
6 / DailyNeutralityAdjustmentSettlementAmount Bmd / The Daily Neutrality Adjustment Settlement Amount attributed to Business Associate B, for Trading Day d, of Trading Month m.
7 / DailyNeutralityAdjustmentAllocationAmount Bmd / The Daily Neutrality Adjustment Allocation Amount attributed to Business Associate B, for Trading Day d, of Trading Month m.
8 / DailyNeutralityAdjustmentPrice md / The Daily Neutrality Adjustment Price calculated based on PTB and Measured Demand for Trading Day d, of Trading Month m.
19 / MonthlyNeutralityAdjustmentSettlementAmount Bm / The Monthly Neutrality Adjustment Settlement Amount attributed to Business Associate B for Trading Month m.
210 / MonthlyNeutralityAdjustmentAllocationAmount Bm / The Monthly Neutrality Adjustment Allocation Amount attributed to Business Associate B, for Trading Month m.
311 / MonthlyNeutralityAdjustmentPrice m / The Monthly Neutrality Adjustment Price calculated based on PTB and Measured Demand for Trading Month m.
412 / BAMonthlyTotalNeutralityAdjustmentSettlementAmountBm / The total – of settlement and allocation - Neutrality Adjustment Settlement Amount attributed to Business Associate B for Trading Month m for neutrality adjustment with a monthly frequency..
13 / BANeutralityAdjustmentSettlementAmount1 Bm / The Neutrality Adjustment Settlement Amount1 attributed to Business Associate B for Trading Month m.
14 / BANeutralityAdjustmentSettlementAmount2 Bm / The Neutrality Adjustment Settlement Amount2 attributed to Business Associate B for Trading Month m.
15 / CAISOTotalDailyMeasuredDemandNeutralityExQuantity md / The CAISO Total Daily Measured Demand Neutrality exceptions quantity for trading day d and trading month m
516 / CAISOTotalMonthlyTotalMeasuredDemandNeutralityExQuantity m / The CAISO Total Monthly Total Measured Demand Neutrality exceptions quantity for Ttrading Mmonth m.
6 / BAMonthlyTotalMeasuredDemandNeutralityExQuantity Bm / The BA Monthly Total Measured Demand Neutrality exceptions quantity for Trading Month m.

4.Charge Code Effective Date

Charge Code/
Pre-calc Name / Document Version / Effective Start Date / Effective End Date / Version Update Type
CC 8999 – Neutrality Adjustment / 5.0 / 04/01/09 / 03/31/09 / Documentation Edits Only
CC8999 – Neutrality Adjustment / 5.1 / 4/1/09 / Open12/31/12 / Configuration Impacted
CC8999 – Monthly Neutrality Adjustment / 5.2 / 1/1/13 / Open / Configuration Impacted
CAISO, 2018 / Page 1 of 12