Settlements & Billing / Version: 5.0
Configuration Guide for: Positive Uninstructed Deviation Penalty / Date: 04/01/0912/4/13

Settlements & Billing

BPM Configuration Guide: Positive Uninstructed Deviation Penalty

CC 4480

Version 5.0

CAISO, 2019 / Page 1 of 13
Settlements & Billing / Version: 5.0
Configuration Guide for: Positive 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 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 Positive Uninstructed Deviation Penalty (UDP) Settlement Charge Code 4480 is intended to discourage Scheduling Coordinators from deviating 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.

Positive Uninstructed Deviation Penalty Settlement Amounts assessed in CC 4480 are summed with Negative Deviation Penalty Settlement Amounts in CC 4470, 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. Positive Uninstructed Deviation Penalty Quantity is currently being provided to the market on an advisory basis only.

CAISO, 2019 / Page 1 of 13
Settlements & Billing / Version: 5.0
Configuration Guide for: Positive Uninstructed Deviation Penalty / Date: 04/01/0912/4/13

2.2Description

The Positive 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 Rule
1.0 / This charge currently must be left out of the Billing and Invoice process.
2.0 / Positive Uninstructed Deviation Penalty Settlement Amounts are calculated at 10-minute intervals.
3.0 / Positive 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 penalties 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 Positive Uninstructed Deviation Penalty Detail Quantity is required for output purposes only and the Positive 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
CAISO, 2019 / Page 1 of 13
Settlements & Billing / Version: 5.0
Configuration Guide for: Positive Uninstructed Deviation Penalty / Date: 04/01/0912/4/13

3.2Predecessor Charge Codes

Charge Code/ Pre-calc Name
Real Time Price Pre-calculation

3.3Successor Charge Codes

Charge Code/ Pre-calc Name
CC 6480 - Excess Cost Neutrality Allocation

3.4Inputs – External Systems

Row # / Variable Name / Description
1 / PositiveUninstructedDeviationPenaltyFactor / The penalty factor for Positive Uninstructed Deviations outside the Tolerance band is located in standing data and SCs are currently charged 100% of the corresponding Settlement Interval Real-Time LMP. This value is set to 1.
2 / BASettlementIntervalPenaltyResourceFinalPOSUDPQuantity
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 / FinalDASchdulePOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.1 / ResourceOutputPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.2 / SLICEnergyPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.3 / ExpectedEnergyPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.4 / AdjSLICEnergyPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.5 / PMAXPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.6 / ToleranceBandPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.7 / RegulationMustRunPOSUDPFlag
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.8 /
EffectiveRegUPLimitPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.9 / EffectiveRegDOWNLimitPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.10 / ReportedMaxAvailPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.11 / ReportedMinAvailPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.12 / DOPDPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.13 / ExemptionEnergyPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.14 / PositiveExemptionEnergyPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.15 / NegativeExemptionEnergyPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.16 / ExemptionEnergyPOSUDPCode
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
3.17 / AdjustedDOPDPOSUDPQuantity
BrtR’jmdhi / Received from Compliance Business Unit as a supporting information for UDP Quantity validation.
4 / PTBPositiveUninstructedDeviationPenaltySettlement
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
CAISO, 2019 / Page 1 of 13
Settlements & Billing / Version: 5.0
Configuration Guide for: Positive Uninstructed Deviation Penalty / Date: 04/01/0912/4/13

3.6CAISO Formula

3.6.1The formula for each Penalty Location ID is as follows:

3.6.1.1BASettlementIntervalPenaltyResourcePositiveUDPSettlementAmount BrtR’jmdhi=

BASettlementIntervalPenaltyResourceFinalPositiveUDPQuantity BrtR’jmdhi *

MAX(0, SettlementIntervalPenaltyLocationRealTimeLMPBR’mdhi) *

PositiveUninstructedDeviationPenaltyFactor

3.6.1.2BASettlementIntervalPenaltyResourceFinalPositiveUDPQuantity BrtR’jmdhi=

BASettlementIntervalPenaltyResourceFinalPOSUDPQuantity BrtR’jmdhi

Where UDP_RSRC_TYPE (j) = P

3.6.1.1BASettlementIntervalPositiveUDPSettlementPrice BR’mdhi= MAX(0, SettlementIntervalPenaltyLocationRealTimeLMP BR’mdhi)

Note: This charge type exists only to build the Reporting and GL output structure

3.6.1.2FinalDASchdulePOSUDPSuppDataQuantity BrtR’jmdhi = FinalDASchdulePOSUDPQuantity BrtR’jmdhi

3.6.1.3ResourceOutputPOSUDPSuppDataQuantity BrtR’jmdhi = ResourceOutputPOSUDPQuantity BrtR’jmdhi

3.6.1.4SLICEnergyPOSUDPSuppDataQuantity BrtR’jmdhi= SLICEnergyPOSUDPQuantity BrtR’jmdhi

3.6.1.5ExpectedEnergyPOSUDPSuppDataQuantity BrtR’jmdhi= ExpectedEnergyPOSUDPQuantity BrtR’jmdhi

3.6.1.6AdjSLICEnergyPOSUDPSuppDataQuantity BrtR’jmdhi = AdjSLICEnergyPOSUDPQuantity BrtR’jmdhi

3.6.1.7PMAXPOSUDPSuppDataQuantity BrtR’jmdhi= PMAXPOSUDPQuantity BrtR’jmdhi

3.6.1.8ToleranceBandPOSUDPSuppDataQuantity BrtR’jmdhi = ToleranceBandPOSUDPQuantity BrtR’jmdhi

3.6.1.9RegulationMustRunPOSUDPSuppDataFlag BrtR’jmdhi = RegulationMustRunPOSUDPFlag BrtR’jmdhi

3.6.1.10EffectiveRegUPLimitPOSUDPSuppDataQuantity BrtR’jmdhi= EffectiveRegUPLimitPOSUDPQuantity BrtR’jmdhi

3.6.1.11EffectiveRegDOWNLimitPOSUDPSuppDataQuantity BrtR’jmdhi= EffectiveRegDOWNLimitPOSUDPQuantity BrtR’jmdhi

3.6.1.12ReportedMaxAvailPOSUDPSuppDataQuantity BrtR’jmdhi = ReportedMaxAvailPOSUDPQuantity BrtR’jmdhi

3.6.1.13ReportedMinAvailPOSUDPSuppDataQuantity BrtR’jmdhi = ReportedMinAvailPOSUDPQuantity BrtR’jmdhi

3.6.1.14DOPDPOSUDPSuppDataQuantity BrtR’jmdhi = DOPDPOSUDPQuantity BrtR’jmdhi

3.6.1.15ExemptionEnergyPOSUDPSuppDataQuantity BrtR’jmdhi = ExemptionEnergyPOSUDPQuantity BrtR’jmdhi

3.6.1.16PositiveExemptionEnergyPOSUDPSuppDataQuantity BrtR’jmdhi= PositiveExemptionEnergyPOSUDPQuantity BrtR’jmdhi

3.6.1.17NegativeExemptionEnergyPOSUDPSuppDataQuantity BrtR’jmdhi= NegativeExemptionEnergyPOSUDPQuantity BrtR’jmdhi

3.6.1.18ExemptionEnergyPOSUDPSuppDataCode BrtR’jmdhi= ExemptionEnergyPOSUDPCode BrtR’jmdhi

3.6.1.19AdjustedDOPDPOSUDPSuppDataQuantity BrtR’jmdhi = AdjustedDOPDPOSUDPQuantity BrtR’jmdhi

3.7Outputs

Output Req ID / Name / Description
1 / In addition to any outputs listed below, all inputs shall be included as outputs.
2 / BASettlementIntervalPenaltyResourcePositiveUDPSettlementAmount BrtR’jmdhi / The settlement amount per interval per Penalty Location ID R’ for Positive UDP.
3 / BASettlementIntervalPenaltyResourceFinalPositiveUDPQuantity BrtR’jmdhi / The penalty quantity for Penalty Location ID R’.
4 / FinalDASchdulePOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
5 / ResourceOutputPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
6 / SLICEnergyPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
7 / ExpectedEnergyPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
8 / AdjSLICEnergyPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
9 / PMAXPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
10 / ToleranceBandPOSUDPSuppDataQuantity BrtR’jmdhi / Supporting Data
11 / RegulationMustRunPOSUDPSuppDataFlag
BrtR’jmdhi / Supporting Data
12 / EffectiveRegUPLimitPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
13 / EffectiveRegDOWNLimitPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
14 / ReportedMaxAvailPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
15 / ReportedMinAvailPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
16 / DOPDPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
17 / ExemptionEnergyPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
18 / PositiveExemptionEnergyPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
19 / NegativeExemptionEnergyPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
20 / ExemptionEnergyPOSUDPSuppDataCode
BrtR’jmdhi / Supporting Data
21 / AdjustedDOPDPOSUDPSuppDataQuantity
BrtR’jmdhi / Supporting Data
22 / BASettlementIntervalPositiveUDPSettlementPrice BR’mdhi / Note: This charge type exists only to build the Reporting and GL output structure
CAISO, 2019 / Page 1 of 13
Settlements & Billing / Version: 5.0
Configuration Guide for: Positive Uninstructed Deviation Penalty / Date: 04/01/0912/4/13

4.Charge Code Effective Date

Charge Code/
Pre-calc Name / Document Version / Effective Start Date / Effective End Date / Version Update Type
CC 4480 – Positive Uninstructed Deviation Penalty / 5.0 / 04/01/09 / 4/30/14Open / Documentation Edits OnlyConfiguration Impacted
CAISO, 2019 / Page 1 of 13