Configuration Guide for: Spin Non-Spin No Pay Quantity Pre-Calculation / Date: 042/2628/1406/27/2014
Settlements & Billing
BPM Configuration Guide: Spin and Non-SpinNo Pay Quantity Pre-calculation
Version 5.101
CAISO, 2018 / Page 1 of 38Settlements & Billing / Version: 5.110
Configuration Guide for: Spin Non-Spin No Pay Quantity Pre-Calculation / Date: 042/2628/1406/27/2014
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 Dates
1.Purpose of Document
The purpose of this document is to capture the requirements and design specification for a Charge Code in one document.
2.Introduction
2.1Background
According to the CAISO Tariff, when CAISO issues an AS Award in the DAM, HASP, and RTM, an AS capacity payment is made through the DAM, HASP, and RTM Charge Codes specified for each AS in the BPM for Settlements & Billing. These AS charges flow through to Settlements, regardless of resource performance in Real-Time.
The resources issued AS Awards are required to convert that capacity into Energy if dispatched in Real-Time or keep that capacity unloaded and available on their resource for potential Dispatch of Energy in Real-Time. If a resource fails to fulfill the requirements of the AS Award, then that resource is not entitled to its full AS capacity payment. The No Pay charges eliminate AS capacity payments to the extent that the requirements were not fulfilled. The No Pay amount for Qualified AS self-provision reduces the relevant SC’s effective AS self-provision in the AS cost allocation, effectively charged back at the relevant AS rate.
2.2Description
Spin and Non-Spin No Pay Quantity Pre-calculation –– This Pre-calculation determines the Spin and Non-Spin rescission No Pay Quantity in each Settlement Interval for resources that are scheduled for Spinning and Non-Spinning Reserve (Spin and Non-Spin) capacity.
3. Charge Code Requirements
3.1Business Rules
Bus Req ID / Business Rule1.0 / The rescission charge rescinds Spin and Non-Spin Capacity payment for Generating Units, Participating Load, Demand Resources, Non-Generator Resources, MSS External Generation that is internal to the ISO, and Dynamic System Resources when one of the following occurs:
1) Undispatchable Capacity
2) Undelivered Capacity
3) Unavailable Capacity
4) Declined Instruction
5) Unsynchronized Capacity
6) Resource Constraint Disqualifications
1.1 / Undispatchable Capacity – There are two subcategories of Undispatchable Capacity:
Availability-Limited Capacity – If a resource’s capacity is de-rated in Real-Timeand/or in the case of a Non-Generator Resource the State of Charge (SOC) level cannot provide enough energy once the awarded AS is called upon, the total amount of previous AS Awards and Schedules may not be available in Real-Time for Dispatch due to the availability limitation.
Ramp-Limited Capacity – Spinning and Non-Spinning Reserve are required to be delivered in 10 minutes. If a resource does not have the 10-minute Ramp Rate capability (determined by its Start-Up Time and Ramp Rate curve) in Real-Time to deliver the AS was awarded or scheduled, then a portion of the AS capacity is not available due to the Ramp Rate limitations on the resource.
1.2 / Undelivered Capacity – If Energy from a resource’s AS Award or Schedule is dispatched, then that resource is responsible for delivering at least 90% of the Expected Energy attributed to that dispatched AS capacity in order to avoid a No Pay charge.
1.3 / Unavailable Capacity – No Pay charges apply when AS capacity is unavailable because it is converted to Energy without Dispatch Instructions from CAISO. Uninstructed Deviations in Real-Time may cause AS capacity to be unavailable to CAISO as Operating Reserve
1.4 / Declined Instruction – Non-Dynamic System Resources respond to Dispatch Instructions with an “Accept”, “Partial” or “Decline” response. When a Non-Dynamic System Resource partially accepts or declines an AS Dispatch Instruction, No Pay applies to the amount not delivered
1.5 / Unsynchronized Capacity – A Generating Unit has an AS Award or Schedule rescinded if the resource does not comply with the AS synchronization standards of that service.
2.0 / The AS synchronization standards are as follows:
Spinning Reserve – Spinning Reserve is generation that is already on-line, or “spinning”, with additional capacity that is capable of ramping over a specified range within 10 minutes and running for at least two hours. Resources issued AS Awards or Schedules for Spinning Reserve in either the DAM or RTM must be synchronized to the CAISO Controlled Grid.
Non-Spinning Reserve – Non-Spinning Reserve is AS capacity that is available but not on-line, that is capable of being synchronized and ramping to a specified level within 10 minutes (or Load that is capable of being interrupted in 10 minutes), and then capable of producing dispatched Energy (or being interrupted) for at least two hours. A resource may be certified to Bid/self-provide Day-Ahead Non-Spinning Reserve but may not be certified to Bid/self-provide Real-Time Non-Spinning Reserve. Real-Time Non-Spinning Reserve certification ensures that a resource can provide Non-Spinning Reserve from an off-line position. Therefore, Day-Ahead Non-Spinning Reserve AS capacity issued an AS Award or Schedule in the DAM, in the absence of certification for Real-Time Non-Spinning Reserve, is required to be on-line and spinning in Real-Time.
3.0 / In some cases, more than one of these No Pay consequences can apply in a Settlement Interval. The No Pay billable quantity is the sum of all the No Pay consequences. Spin and Non-Spin No Pay does not apply to Generating Units, Non-Generator Resources, or MSS External Generation that is internal to the ISO that are on AGC control providing regulation energy.
4.0 / Per the CAISO Tariff ,Ancillary Services capacity can be undispatchable because the Generating Unit, Participating Load, Demand Resource,Non-Generator Resource, MSS External Generation that is internal to the ISO, or Dynamic System Resource is experiencing an Outage or Rerate or because the Resource is Ramp Rate constrained. CAISO stores information on de-rates, Rerates and Outages reported to the CAISO outage department. If a resource obligated to provide AS capacity is de-rated or Rerated, then the total amount of AS capacity may not be available for Dispatch in Real-Time.
5.0 / The Reported Maximum and Minimum Availability is calculated as the maximum and minimum unit availability as reported in SLIC over the Settlement Interval. This calculation captures any de-rates and Rerates that were entered in SLIC after the Dispatch was calculated by the RTM Applications. The maximum and minimum Bid capacity is restricted by both the Reported Maximum and Minimum Availability of the unit to the CAISO outage department and by the amount of Energy offered in the Energy Bid Curve
6.0 / The maximum and minimum ex-post capacity limits of a resource reflect the Bid capacity and reported availability and define the operating levels to which the resource is considered dispatchable by CAISO. Note that maximum/minimum ex-post are capacity (MW) quantities and not Energy (MWh) quantities.
7.0 / When CAISO issues an AS Award or Schedule in the forward markets, the resource is expected to deliver that service in accordance with the Bid parameters originally specified. Those Bid parameters include a Ramp Rate and a resource Start-Up Time. Each resource providing Real-Time services for CAISO Dispatch also submits an Energy Bid Curve. The Energy Ramp Rate curve may show that the amount of AS capacity awarded in the forward markets based on Ramp Rate and resource Start-Up Time is not available due to a lower Ramp Rate or change in Start-Up Time in the Energy Bid Curve. CAISO only dispatches resources according to their capability as specified in the Energy Bid. Since Operating Reserves are 10-minute services, only that Operating Reserve capacity that can be converted into Energy within 10 minutes is actual Operating Reserve for CAISO. Using the 10minute incremental Operating Reserve availability, No Pay determines if Operating Reserve capacity that was awarded in the forward markets is available within 10 minutes in Real-Time.
8.0 / The available Operating Reserve is obtained from the RTM Applications for relevant resources in each Dispatch Interval using the applicable Ramp Rate function, the DOT from the previous Dispatch Interval, and Start-Up Time, if applicable. This available Operating Reserve reflects the incremental 10minute capability of a resource.
9.0 / After accounting for the amount of AS capacity that is undispatchable, a Generating Unit, Demand Resource, Participating Load, Non-Generator Resource, MSS External Generation that is internal to the ISO or Dynamic System Resource must retain unloaded capacity on the resource for the portion of AS capacity that is dispatchable. If the resource deviates into that dispatchable AS capacity, then that AS capacity is unavailable to CAISO.
10.0 / The Unavailable Capacity is allocated to each of the AS services from lowest quality to highest quality in order to preserve the highest quality AS capacity for CAISO.
11.0 / If a Generating Unit, Participating Load, Demand Resources,, Non-Generator Resource, MSS External Generationthat is internal to the ISO, or Dynamic System Resource is obligated to provide more than one AS in a Settlement Interval, the order in which the non-compliant Unavailable AS capacity is apportioned to the various services as follows.
1) For Unavailable Capacity the non-compliant capacity is first apportioned to any Non-Spinning Reserves
2) If the amount of non-compliant AS capacity exceeds the amount of awarded Non-Spinning Reserves, then the payment is eliminated for the amount of non-compliant Spinning Reserves
If the same AS is awarded or scheduled in the DAM, HASP, or RTM then the payments are rescinded in proportion to the amount of each AS capacity awarded or scheduled in each market
4) If the same AS is self-provided and Bid, the order of rescission is first the amount of AS capacity amounts submitted in Bids and then the Self-Provided AS capacity
12.0 / Per the CAISO Tariff,if Energy from a Generating Unit, a Demand Resource, Participating Load, Non-Generator Resource, MSS External Generationthat is internal to the ISO, or Dynamic System Resource is dispatched, then that resource is responsible for delivering at least 90% of the Expected Energy attributed to that dispatched AS capacity in order to retain full AS capacity payment. If the energy delivered from the dispatched AS capacity is not within the tolerance factor, 10% of the Expected Energy attributed to the dispatched AS capacity, the payment for the remaining Dispatchable AS Capacity is rescinded.
13.0 / Generating Units, Non-Generator Resources, and MSS External Generation that is internal to the ISO receive a No Pay charge if the resource has a Spinning Reserve AS Award or Schedule in the DAM or HASP/RTM when the Generating Unit is not already on-line, or “spinning” in Real-Time. In the IFM, Non-Spinning Reserve can be procured from all online resources and from off-line Fast-Start Resources so long as those Fast-Start Resources are explicitly certified with CAISO to provide Non-Spin from an off-line position.
14.0 / Generating Units, Non-Generator Resources, and MSS External Generation that is internal to the ISO receive a No Pay charge if the unit has a Non-Spinning Reserve AS Award or Schedule in the DAM, but is not certified to provide Non-Spinning Reserve from off-line position (i.e., the unit is not certified for Real-Time Non-Spinning Reserve) and is not “spinning” in Real-Time.
15.0 / Participating Loads and Demand Resources are certified to provide Non-Spinning Reserve. These resources do not have a PMax value in the Master File so the Unavailable Capacity equation as designed for Generating Units and Dynamic System Resources cannot apply to Participating Loads. Additionally, the portion of the Undispatchable Capacity related to the reduction in Generating Unit availability cannot apply to Participating Loads since they do not have a changing availability. Specific No Pay rules have been designed for Participating Loads as well as Demand Resourcesand are accounted for in calculations.
16.0 / Per the CAISO Tariff, Participating Loads are subject to No Pay compliance rules, including but not limited to, Undispatchable Capacity related to Ramp Rate limitations. .
17.0 / Per the CAISO Tariff,using the Energy calculations, the undelivered No Pay equations determine if at least 90% of Expected Energy dispatched from AS capacity was delivered.
18.0 / The RTM Applications model a Participating Load’s total Energy Schedule as negative Expected Energy and any IIE related to an AS Dispatch as positive Expected Energy; therefore, in most cases, total Expected Energy for a Participating Load is negative.
19.0 / Per the CAISO Tariff, Participating Loads can undertake Uninstructed Deviations that can make AS capacity unavailable as unloaded Operating Reserve.
20.0 / Demand Response that has Non-Spin is subject to No Pay. Proxy Demand Resource (PDR) and Reliability Demand Response Resource (RDRR)are modeled as Generator in MasterFile.
21.0 / No Pay for Spin and Non-Spin does not apply to Generating Units that are On AGC.This is an exemption from all Spin and Non-Spin No Pay charges (RUC not included) provided a Generating Unit,Non-Generator Resource,or Dynamic System Resource has a Real Time Regulation Down Schedule or a Real Time Regulation Up Schedule, and it is On AGC control.
22.0 / RTM dispatches resources based on telemetry data and may create a Spin or Non-Spin Instructed Energy quantity without explicitly dispatching Spin or Non-Spin Energy in ADS. This is not a true Dispatch of Spin or Non-Spin Energy and therefore, it has been determined through CAISO Legal, that Undelivered No pay charges cannot be assessed in these instances. As a result, when undelivered capacity for Spin or Non-Spin is calculated, ADS will be cross-referenced to ensure that five minute dispatches actually occurred.
23.0 / Per the CAISO Tariff, Non-Dynamic System Resources that are issued AS Awards or Schedules in the DAM are required to electronically tag (E-Tag as prescribed by WECC) the AS capacity. If the amounts of AS capacity in an E-Tag differ from the amounts of AS capacity awarded or scheduled for the Non-Dynamic System Resource, the Undispatchable Capacity equals the amount of the difference
24.0 / Non-Dynamic System Resources have the option to decline AS Dispatch Instructions. Non-Dynamic System Resources are required to tag an after-the-fact “checkout” value for the Dispatched AS Energy that was provided in Real-Time. To the extent that the after-the-fact checkout value does not meet the ADS AS Dispatch Instruction quantity, the declined AS capacity is derived
25.0 / Undelivered Non-Spin Capacity Quantity will be calculated for Demand resources, if the actual change of the underlying load of a Demand Resource is insufficient to meet the issuance of Non Spin Dispatch instruction.
26.0 / For the purposes of Spin Non-Spin No Pay PC, Tie Gens are defined as HASP AS TG or Real Time AS TG. The Hourly Pre-Dispatch Flag is set to 1 if it is HASP and 0 if it is Real Time
27.0 / Dynamic, Demand Resources, Tie Gens, and Participating Load that provide Spin or Non-Spin Capacity are not subject to Grid synchronization/connectivity related calculations within this precalculation. Only Internal Generation, Non-Generator Resources,and MSS External Generation that are internal to the ISO will be reflected in these specific calculations.
28.0 / NGRs shall be subject to AS No Pay under Undispatchable capacity category: Insufficient Stored Energy
The relevant No Pay quantity (MW) shall be calculated for each interval to determine if the resource’sState of Charge (SOC) level can provide enough energy if the awarded AS is called upon. The AS No Pay shall be calculated for Spin and Non Spin.
29.0 / Regarding the deriving of Non-Spin Instructed Imbalance Energy. Since MRTU, Market Quality Systems (MQS) categorizes the Expected Energy for capacity below Pmin as Market Service Type of ‘Day Ahead Capacity’. Energy above Pmin is categorized as ‘Non-Spinning Reserve’. For this reason, for example, a Gen ‘Fast Start’Unit would require the summing together of the above ‘Non-Spinning Reserve’and ‘Day Ahead Capacity’in order to determine the total IIE Non-Spin that was dispatched during this 5 minute interval. A resource without aPminis simply equal to the above ‘Non-Spinning Reserve’which itself evaluates out to the total IIE Non-Spin that was dispatched during this 5 minute interval
A HASP Non-Dynamic Tie Gen (TG) does not have Pmin. In this case, the Non-Spin Instructed Imbalance Energy Quantity is simply equal to the above ‘Non-Spinning Reserve’which itself evaluates out to the total IIE Non-Spin that was dispatched during this 5 minute interval
3.2Predecessor Charge Codes
Charge Code/ Pre-calc NameAncillary Services Pre-calculation
3.3Successor Charge Codes
Charge Code/ Pre-calc NameAncillary Services Pre-calculation
RTM Net Amount Pre-calculation
6710
6720
7024
3.4Inputs - External Systems
Row # / Variable Name / Description1 / 5MinuteResourceOperatingReserveQuantityBrtT'uI'M'VL'W'R'F'S'mdhcif / The available Operating Reserve (in MWh) is obtained from the RTM Applications for relevant resources in each Dispatch Interval using the applicable Ramp Rate function, the DOT from the previous Dispatch Interval, and Start-Up Time, if applicable. This available Operating Reserve reflects the incremental 10minute capability of a resource.