Configuration Guide for: Spin Non-Spin No Pay Quantity Pre-Calculation / Date: 12/18/09
Settlements & Billing
BPM Configuration Guide: Spin and Non-SpinNo Pay Quantity Pre-calculation
Version 5.0
CAISO, 2018 / Page 1 of 56Settlements & Billing / Version: 5.0
Configuration Guide for: Spin Non-Spin No Pay Quantity Pre-Calculation / Date: 12/18/09
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
According to CAISO Tariff Sections 8.10.8 and 11.10.9, 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 QualifiedAS 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 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
1.1 / Undispatchable Capacity – There are two subcategories of Undispatchable Capacity:
Availability-Limited Capacity – If a resource’s capacity is de-rated in Real-Time, 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. No Pay does not apply to Generating Units that are scheduled to provide Regulation if they are on AGC.
4.0 / CAISO Tariff Section 8.10.8.1 and 11.10.9.1. Ancillary Services capacity can be undispatchable because the Generating Unit or Dynamic System Resource is experiencing an Outage or Rerate or because the Generating Unit or Dynamic System Resource is Ramp Rate constrained. CAISO stores information on de-rates, Rerates and Outages in the SLIC application. 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 a weighted average of 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 through SLIC 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 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 or Dynamic System Resource is obligated to provide more than one AS in a Settlement Interval, the order in which the non-compliant UnavailableAS 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 / CAISO Tariff Section 8.10.8.3 and 11.10.9.3. If Energy from a Generating Unit 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 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 receive a No Pay charge if the Generating 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 Generating Unit is not certified for Real-Time Non-Spinning Reserve) and is not “spinning” in Real-Time.
15.0 / Participating Loads 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 and are accounted for in calculations.
16.0 / CAISO Tariff Section 8.10.8.1 and 11.10.9.1. Since Participating Loads submit Energy Bids for AS capacity that could have Ramp Rates that are not sufficient to deliver the AS in 10 minutes, the No Pay for Undispatchable Capacity related to Ramp Rate limitations apply.
17.0 / CAISO Tariff Section 8.10.8.3 and 11.10.9.3. 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 / CAISO Tariff Section 8.10.8.2 and 11.10.9.2. Participating Loads can undertake Uninstructed Deviations that can make AS capacity unavailable as unloaded Operating Reserve.
20.0 / During mapping for Available Operating Reserve the payload will provide two 5 min values and the process will pick the first 5 min value (First dispatch interval value) and derive a 10 minute bill determinant for use in No Pay calculation.
21.0 / Demand Response that has Non-Spin is subject to No Pay. Proxy Demand Resource (PDR) is modeled as Generator in MasterFile.
22.0 / No Pay for Spin and Non-Spin does not apply to Generating Units that are scheduled to provide Regulation.This is a 10-minute exemption from all Spin and Non-Spin No Pay charges (RUC not included) if a Regulation Up or Regulation Down Schedule exists in that 10 minutes. It does not matter whether the Regulation was self provision or bid – just that it is non-zero. If a Generating Unit or Dynamic System Resource has a Real Time Regulation Down Schedule or a Real Time Regulation Up Schedule then it will be exempted when the final No Pay rescission quantity is derived.
23.0 / 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.
3.2Predecessor Charge Codes
Charge Code/ Pre-calc NameNone
3.3Successor Charge Codes
Charge Code/ Pre-calc NameAncillary Services Pre-calculation
RTM Net Amount Pre-calculation
3.4Inputs - External Systems
Row # / Variable Name / Description1 / 10MinuteResourceOperatingReserveQuantityBrtT'uI'M'VL'W'R'F'S'mdhi / Business Associate and Resource by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’,Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’, Trading Day d, Trading Hour h, and Settlement Interval i
‘Available Operating Reserve’
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.
2 / 10minuteResourceMaximumExPostCapacityQuantityBrtuT'I'M'VL'W'R'F'S'dhi / Business Associate and Resource by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’,Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’, Trading Day d, Trading Hour h, and Settlement Interval i
‘Maximum ex-post capacity’
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.
Important design consideration: Map to a MW value that’s provided 6 times by the payload and each interval reflects an hourly quantity which requires division by 6 in formula to derive the 10minute value.
3 / BAResourceChannel4GeneratorMeterQuantityBrtT’uI’M’R’W’F’S’VL'dhi / Channel 4 Generator Meter Quantity by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’,Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’, Trading Day d, Trading Hour h, and Settlement Interval i
Mapped only to Channel 4 Gen to eliminate ‘Aux Load’ negative generation scenario’s
4 / PsuedoGenResourceMeterForAssociatedLoadIDQuantity
BrtuT'I'Q'M'AA'm'F'R'pPW'QS'd'Nz'Vvw’n'L'mdhi / Business Associate and Resource by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’,Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’,Ext Cont Area Q’, APN ID A, APN Type A’, Channel ID m’, Price Node ID p, Intertie ID Q, Dynamic Resource ID d’, Contract Ref ID N, Contract Type z’, TAC Area ID v, Associated Participating Load Resource w’, Non PTO Flag n’, Trading Day d, Trading Hour h, and Settlement Interval i
The Psuedo Gen carries the Meter value associated with its Participating Load. During channel mapping the sign convention will not be changed to (-) as expected but will remain (+)
5 / ResourceMinimumOperatingLevelForDispatchExpostCapacityQuantity BrtuT'I'M'VL'W'R'F'S'hi / Business Associate and Resource by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’,Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’, Trading Day d, Trading Hour h, and Settlement Interval i
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.
Important design consideration: Map to a MW value that's provided 6 times by the payload and each interval reflects an hourly quantity which requires division by 6 in formula to derive the 10minute value.
6 / BA15minuteResourceRealTImeNonSpinClearedQtyBrtT'uI'M'VL'W'R'F'S'mdhc / Business Associate and Resource by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’, Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’, Trading Day d, Trading Hour h, and Service Interval c
7 / BA15minuteResourceRealTImeSpinClearedQty BrtT'uI'M'VL'W'R'F'S'mdhc / Business Associate and Resource by Business Associate B, Resource r, Resource Type t, Entity Type T’, UDC Index u, MSS Gross/Net Energy Settlement Type I’, MSS Subgroup M’, Penalty Resource ID R’, MSS Emission Pay Flag W’,Entity Component Type F’, Entity Component Subtype S’, RUC Participation Flag V, Load Following Flag L’, Trading Day d, Trading Hour h, and Service Interval c