Configuration Guide for: RUC Net Amount / Date: 12/18/0902/05/10
Settlements & Billing
BPM Configuration Guide: RUC Net Amount
Pre-calculation
Version 5.1a
CAISO, 2018 / Page 1 of 11Settlements & Billing / Version: 5.1a
Configuration Guide for: RUC Net Amount / Date: 12/18/0902/05/10
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
Bid Cost Recovery (BCR) is the process by which the CAISO ensures SCs are able to recover Start Up Costs (SUC), Minimum Load Costs (MLC), and Bid Costs. In order to recover SUC and MLC, a Generating Unitor, Pumped-Storage Unit, or resource-specific System Resource must be committed by the CAISO. Bid Cost recovery for Energy and Ancillary Services Bids (A/S) appliesy to various Bid Cost Recovery Eligible Resources (for example, Generating UnitsGenerators, Pumped-Storage Units, Proxy Demand Resources, and resource-specific System Resources) scheduled or dispatched by CAISO including Self-Scheduled periods.
For purposes of determining BCR eligibility, CAISO uses a concept called Commitment Period. A Commitment Period consists of the consecutive time periods within a Trading Day when a resource is on-line, synchronized to the grid, and available for dispatch. A Commitment Period is comprised of two distinct sub-types --- Self-Commitment Period and CAISO Commitment Period. The portion of a Commitment Period where a resource submits Energy Self-Schedule or A/S self provision is called a Self-Commitment Period. A Self-Commitment Period may include time periods when a resource is not operating pursuant of an Energy Self-Schedule or A/S self-provision, but must be on due to Ramping constraints, minimum up time, or Minimum Down Time. Resources are not eligible for BCR of SUC and MLC during Self-Commitment Periods, but are eligible for BCR of awarded Energy and A/S. The portion of a Commitment Period that is not a Self-Commitment Period is called CAISO Commitment Period. Resources are eligible to receive BCR for SUC, MLC, awarded Energy and A/S during a CAISO Commitment Period.
SUC and MLC for each market and resource are determined in Pre-calculation IFM/RUC/RTM Start-up and Minimum Load Eligibility then used as inputs to calculate a resource’s net difference between costs and revenues in separate Pre-calculations by market --- IFM Net Amount, RUC Net Amount, and RTM Net Amount. If the difference between the total costs and the market revenues is positive in the relevant market, then the net amount represents a Shortfall. If the difference is negative in the relevant market, the net amount represents a Surplus. For each resource, the IFM, RUC, and RTM Shortfalls and Surpluses are then netted over all hours of a Trading Day. As a result, surpluses from any of the CAISO markets offset any shortfalls from the other markets over the entire Trading Day. If the net Trading Day amount is positive (a Shortfall), then the resource receives a BCR Uplift Payment equal to the net Trading Day amount under CC 6620 Bid Cost Recovery Settlement.
This pre-calculation computes the RUC costs (including SUC, MLC, and Bid Costs), the RUC Market Revenues, and the difference between the RUC Bid Costs and the RUC Market Revenues for each resource.
2.2Description
For each Settlement Interval, this pre-calculation will generate the RUC Bid Costs, RUC Market Revenue, and the RUC Net Amount as the net difference between RUC costs and RUC revenue for Bid Cost Recovery Eligible Resources that participate in the RUC marketparticipating Generators. The RUC Net Amount is subsequently used as an input for CC 6620, Bid Cost Recovery Settlement and Pre-calculation Bid Cost Recovery Sequential Netting.
RUC Bid Costs and RUC Market Revenue for a resource are set to zero in a Settlement Interval where the negative Uninstructed Imbalance Energy (UIE) is in excess of 5MWh divided by the number of Settlement Intervals in a Trading Hour or the 3% of the resource’s maximum capacity divided by the number of Settlement Intervals in a Trading Hour.
For MSS entities that have elected gross settlement, RUC Bid Cost Recovery Amount is calculated the same as non-MSS entities. For MSS entities that have elected net settlement, RUC Bid Costs and RUC Market Revenue are calculated at the MSS level.
3.Charge Code Requirements
3.1Business Rules
Bus Req ID / Business Rule1.0 / This Pre-calc is a daily computation generating results on a Settlement Interval basis.
2.0 / Regardless of Resource Type, RUC Net Amount must follow the same sign convention --- positive RUC Net Amount indicates a Shortfall, negative RUC Net Amount indicates a Surplus.
3.0 / PTB Logic does not apply to RUC Net Amount Pre-calculation.
4.0 / Non-Dynamic System Resources and Resource-Specific System Resources are considered to be outside the MSS; therefore, system resources will settle on a resource basis at the relevant RUC Price regardless of net or gross election.
3.2Predecessor Charge Codes
Charge Code/ Pre-calc NamePre-calc – Start Up and Minimum Load Cost
Pre-calc – RT Energy Quantity
Pre-calc – RUC No Pay Quantity
3.3Successor Charge Codes
Charge Code/ Pre-calc NameCC 6620 – Bid Cost Recovery Settlement
Pre-calc – Bid Cost Recovery Sequential Netting
3.4Inputs – External Systems
Row # / Variable Name / Description1 / RUCAwardedQtyBrtuT’I’M’VL’W’R’F’S’h / The Awarded RUC MW quantity above minimum load that is eligible for RUC payment by Business Associate B, Resource r, Resource Type t, UDC Id u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, RUC Participation Flag V, Load Following Flag L’, MSS Emission Pay Flag W’, Penalty Resource R’, Entity Component Type F’, Entity Component Subtype S’, and Trading Hourh.
2 / RUCAcceptedBidPriceBrtuT’I’M’VL’W’R’F’S’h / The RUC Accepted Bid price Business Associate B, Resource r, Resource Type t, UDC Id u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, RUC Participation Flag V, Load Following Flag L’, MSS Emission Pay Flag W’, Penalty Resource R’, Entity Component Type F’, Entity Component Subtype S’, and Trading Hour h.
3 / RUCPrice rtuT’I’M’VL’W’R’F’S’h / The RUC marginal price for Resource r, Resource Type t, UDC Id u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, RUC Participation Flag V, Load Following Flag L’, MSS Emission Pay Flag W’, Penalty Resource R’, Entity Component Type F’, Entity Component Subtype S’, and Trading Hour h.
4 / GeneratorToleranceBandMW / Tolerance Band expressed in terms of MW capacity for Bid Cost Recovery Eligible ResourcesGenerating Units, System Units and Resource Specific System Resources (5 MW). This value shall be stored as standing data.
5 / GeneratorToleranceBandPercent / Tolerance Band for performance requirement expressed as a percentage applied to Maximum Operating Limit of a Bid Cost Recovery Eligible Resource Generating Unit, System Unit, or Resource Specific System Resource (3%). This value shall be stored as standing data.
6 / MaxOperMWBrtF’S’ / Maximum Operating MW Limit as registered in MasterFile for Business Associate B, Resource r, Resource Type t, Entity Component Type F’, and Entity Component Subtype S’. Applicable for Bid Cost Recovery Eligible participating Generating Units, System Units, or Resource Specific System Resources.
3.5Inputs - Predecessor Charge Codes or Pre-calculations
Row # / Variable Name / Predecessor Charge Code/Pre-calc Configuration
1 / SettlementIntervalRealTimeUIE BrtuT’I’M’F’S’hi / Pre-calc – Real Time Energy Quantity
2 / EligibleRUCSUC BrtuT’I’M’F’S’hi / Pre-calc – Start Up and Minimum Load Cost
3 / EligibleRUCMLC BrtuT’I’M’F’S’hi / Pre-calc – Start Up and Minimum Load Cost
4 / BA10mResourceRUCNoPayBidCapacityRescissionQuantityBrtT’uI’M’R’W’F’S’VL'hi / Pre-calc – RUC No Pay Quantity
3.6CAISO Formula
3.6.1RUC Net Amount
Where Entity Type (T’) > “MSS” or (T’ = “MSS” and Energy Settlement Type (I’) = “Gross”)
RUCNetAmountBruT’I’M’F’hi=
( RUCCost BrtuT’I’M’F’S’hi–RUCRevenueBrtuT’I’M’F’S’hi )
3.6.1.1WhereRUCCost BrtuT’I’M’F’S’hi=
( Max ( 0, RUCAvailabilityBidCostBrtuT’I’M’F’S’hi-
RUCNoPayCostBrtuT’I’M’F’S’hi) *
RUCToleranceBandEligiblityFlagBrtF’S’hi ) +
EligibleRUCSUC BrtuT’I’M’F’S’hi+
EligibleRUCMLC BrtuT’I’M’F’S’hi
3.6.1.1.1WhereRUCAvailabilityBidCostBrtuT’I’M’F’S’hi =
( RUCAwardedQty BrtuT’I’M’VL’W’R’F’S’h *
RUCAcceptedBidPrice BrtuT’I’M’VL’W’R’F’S’h) / N
Where N = Number of Settlement Intervals in a Trading Hour
3.6.1.1.2And where RUCNoPayCostBrtuT’I’M’F’S’hi =
(BA10mResourceRUCNoPayBidCapacityRescissionQuantityBrtT’uI’M’R’W’F’S’VL'hi *
RUCAcceptedBidPrice BrtuT’I’M’VL’W’R’F’S’h
3.6.1.1.3And where IF
( SettlementIntervalRealTimeUIE BrtuT’I’M’F’S’hi< 0
AND
ABS (SettlementIntervalRealTimeUIE BrtuT’I’M’F’S’hi )
RUCToleranceBandQuantity BrtF’S’hi )
THEN`
RUCToleranceBandEligiblityFlagBrtF’S’hi=0
ELSE
RUCToleranceBandEligiblityFlagBrtF’S’hi= 1
3.6.1.1.4Where RUCToleranceBandQuantityBrtF’S’hi=
Max (GeneratorToleranceBandMW ,
(MaxOperMW BrtF’S’ * GeneratorToleranceBandPercent) )/6
3.6.1.2WhereRUCRevenue BrtuT’I’M’F’S’hi=
Max (0 , RUCAvailabilityRevenueBrtuT’I’M’F’S’hi -
RUCNoPayRevenueBrtuT’I’M’F’S’hi) *
RUCToleranceBandEligiblityFlagBrtF’S’hi
3.6.1.2.1WhereRUCAvailabilityRevenueBrtuT’I’M’F’S’hi =
( RUCAwardedQty BrtuT’I’M’VL’W’R’F’S’h *
RUCPrice rtuT’I’M’VL’W’R’F’S’h) / N
Where N = Number of Settlement Intervals in a Trading Hour
3.6.1.2.2And where RUCNoPayRevenueBrtuT’I’M’F’S’hi =
(BA10mResourceRUCNoPayBidCapacityRescissionQuantityBrtT’uI’M’R’W’F’S’VL'hi *
RUCPricertuT’I’M’VL’W’R’F’S’h
3.6.2MSS Net RUC Net Amount
Where Entity Type (T’) = “MSS” and Energy Settlement Type (I’) = “NET”)
RUCMSSNetBCRAmount BT’I’M’hi=
MSSNetRUCCost BT’I’M’hi– MSSNetRUCRevenueBT’I’M’hi
3.6.2.1Where MSSNetRUCCost BT’I’M’hi=
RUCCost BrtuT’I’M’F’S’hi
where T’ = MSS and I’ = NET
3.6.2.2And where MSSNetRUCRevenue BT’I’M’hi=
RUCRevenue BrtuT’I’M’F’S’hi
where T’ = MSS and I’ = NET
3.7Outputs
Output Req ID / Name / DescriptionIn addition to any outputs listed below, all inputs shall be included as outputs.
1 / RUCNetAmount BruT’I’M’F’hi / The net difference of RUC Cost and RUC Revenue for Business Associate B, Resource r, UDC Id u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Trading Hour h, and Settlement interval i.
2 / RUCCostBrtuT’I’M’F’S’hi / The eligible bid costs associated with RUC including the Start Up Costs and Minimum Load Costs and the bid cost for Business Associate B, Resource r, Resource Type t, UDC Id u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
3 / RUCRevenueBrtuT’I’M’F’S’hi / The eligible RUC revenue for Business Associate B, Resource r, Resource Type t, UDC Id u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
4 / RUCAvailabilityBidCostBrtuT’I’M’F’S’hi / The RUC Availability Bid Cost for Business Associate B,Resource r, resource type t, UDC Index u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
5 / RUCNoPayCostBrtuT’I’M’F’S’hi / The RUC No Pay amount based upon RUC bid price for Business Associate B,Resource r, resource type t, UDC Index u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
6 / RUCToleranceBandEligiblityFlagBrtF’S’hi / Indicates RT UIE quantity is negative and exceeds tolerance quantity for Business Associate B,Resource r, Resource Type t,Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
7 / RUCToleranceBandQuantity BrtF’S’hi / Tolerance quantity for Business Associate B, of Resource r, Resource Type t, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
8 / RUCAvailabilityRevenueBrtuT’I’M’F’S’hi / The RUC Availability revenue for Business Associate B, Resource r, Resource Type t, UDC Index u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
9 / RUCNoPayRevenueBrtuT’I’M’F’S’hi / The RUC No Pay amount based upon RUC Price for Business Associate B, Resource r, Resource Type t, UDC Index u, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Entity Component Type F’, Entity Component Subtype S’, Trading Hour h, and Settlement interval i.
10 / RUCMSSNetBCRAmountBT’I’M’hi / The difference between of RUC Cost and the RUC Revenue for MSS Net entitiesby Business Associate B,Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Trading Hour h, and Settlement interval i.
11 / MSSNetRUCCost BT’I’M’hi / The eligible bid costs associated with RUC including the Start Up Costs and Minimum Load Costs for MSS Net entities by Business Associate B, Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Trading Hour h, and Settlement interval i.
12 / MSSNetRUCRevenue BT’I’M’hi / The eligible RUC revenue for MSS Net entities by Business Associate B,Entity Type T’, MSS Gross/Net Flag I’, MSS Subgroup M’, Trading Hour h, and Settlement interval i.
4.Charge Code Effective Date
Charge Code/Pre-calc Name / Document Version / Effective Start Date / Effective End Date / Version Update Type
Pre-calc RUC Net Amount / 5.0 / 04/01/09 / 01/31/09 / Documentation Edits Only
Pre-calc RUC Net Amount / 5.1 / 02/01/10 / 04/30/10Open / Documentation and Configuration Edits
Pre-calc RUC Net Amount / 5.1a / 05/01/10 / Open / Documentation Edits Only
CAISO, 2018 / Page 1 of 11