Demand Response User Guide 1 - California ISO · Demand Response User Guide. 1. Version 4.3 . May 5, 2017 . 1 Including updates for 2016 DRRS enhancements and ESDER Phase 1 implementations

Demand Response User Guide1

Version 4.3 May 5, 2017

1 Including updates for 2016 DRRS enhancements and ESDER Phase 1 implementations

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Version No. 4.3

Effective Date 5/5/2017

DEMAND RESPONSE USER GUIDE FINAL

2 Copyright © 2016 CALIFORNIA INDEPENDENT SYSTEM OPERATOR. All rights reserved.

Information in this document is subject to change.

Table of Contents INTRODUCTION ............................................................................................................................................. 6

Purpose ..................................................................................................................................................... 6 Definitions................................................................................................................................................. 7

DEMAND RESPONSE PROVIDER (DRP) ........................................................................................................ 12

Executing a Demand Response Provider Agreement (DRPA) ................................................................. 12 PDR/RDRR Participation ......................................................................................................................... 12 Market Participation Demand Response Registration Checklist ............................................................ 13 Using a Scheduling Coordinator ............................................................................................................. 14 Obtaining a Demand Response Provider (DRP) ID ................................................................................. 14

LOAD SERVING ENTITIES (LSE) AND UTILITY DISTRIBUTION COMPANIES (UDC) ........................................ 15

Obtaining a Load Serving Entity (LSE) ID or Utility Distribution Company (UDC) ID .............................. 15 Demand Response Registration System (DRRS) ..................................................................................... 16 Demand Response System (DRS) ............................................................................................................ 18

DEMAND RESPONSE REGISTRATION SYSTEM (DRRS) DESCRIPTION .......................................................... 19

User Roles ............................................................................................................................................... 19 Functionality Overview ........................................................................................................................... 20

Locations ..................................................................................................................................... 20

Registrations ................................................................................................................................ 21

Application Layout .................................................................................................................................. 22 Role-based tab views................................................................................................................... 22

Column Headers .......................................................................................................................... 24

Search Parameters ...................................................................................................................... 25

Sorting and Filtering Locations and Registrations ....................................................................... 26

Actions .................................................................................................................................................... 27 DRP Actions ................................................................................................................................. 27

UDC and LSE Actions ................................................................................................................... 35

Location and Registration Status Lifecycle ............................................................................................. 36 Location Status Lifecycle Process Flow ....................................................................................... 39

Registration Status Lifecycle Process Flow .................................................................................. 40

LOCATION MANAGEMENT .......................................................................................................................... 41

DRRS User Interface (UI) Location Management ................................................................................... 41

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Create ............................................................................................................................................... 41

Edit .................................................................................................................................................... 44

Copy .................................................................................................................................................. 47

Delete ............................................................................................................................................... 49

Duplication Check ............................................................................................................................. 50

Defend .............................................................................................................................................. 51

Withdraw .......................................................................................................................................... 52

End Date ........................................................................................................................................... 54

Register ............................................................................................................................................. 55

Location Review ...................................................................................................................................... 56 LSE Review ........................................................................................................................................ 56

UDC Review ...................................................................................................................................... 58

Invalid Review Disputed Location..................................................................................................... 61

LSE/UDC Review notification ............................................................................................................ 63

Application Programming Interface (API) Location Management ......................................................... 63

REGISTRATION MANAGEMENT ................................................................................................................... 64

DRRS User Interface (UI) Registration Management .............................................................................. 64 Create ............................................................................................................................................... 65

Edit .................................................................................................................................................... 71

Copy .................................................................................................................................................. 72

Terminate ......................................................................................................................................... 73

Delete ............................................................................................................................................... 74

RESOURCE MANAGEMENT ......................................................................................................................... 75

Resource ID modeling ............................................................................................................................. 76 DRRS User Interface (UI) Resource Management .................................................................................. 78 DRS User Interface (UI) Resource Management .................................................................................... 79 Application Programming Interface (API) Registration and Resource Management ............................. 79 Generation Data Template Submission and Processing ......................................................................... 80

Telemetry ......................................................................................................................................... 84

DEMAND RESPONSE SYSTEM (DRS) ............................................................................................................ 86

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User Roles ......................................................................................................................................... 87

DRS User Interface (UI) Registration Management ............................................................................... 88 Registration Management ................................................................................................................ 88

Event Management .......................................................................................................................... 90

DRS Event Statuses ...................................................................................................................... 91

Searching for Events .................................................................................................................... 92

Event Screens .............................................................................................................................. 92

Meter Data Management ................................................................................................................. 97

Preparing Meter Data .................................................................................................................. 98

Submitting Meter Data .............................................................................................................. 101

Downloading Meter Data .......................................................................................................... 105

Meter Data Submission Search ................................................................................................. 108

Performance Management ............................................................................................................ 113

Compliance Screens ................................................................................................................... 127

Aggregation Screens.................................................................................................................. 135

DRS Calculation Insights ............................................................................................................ 142

OUTAGE MANAGEMENT SYSTEM (OMS) SUBMISSION ............................................................................ 148

PERFORMANCE EVALUATION METHODOLOGIES ..................................................................................... 149

Background ........................................................................................................................................... 149 Customer Load Baseline Methodology................................................................................................. 151

10 in 10 non-event day selection method ................................................................................ 151

Load Point Adjustment .............................................................................................................. 153

DRS calculation - Customer Baseline and Demand Response Energy Measurements ............. 157

Default Load Adjustment (DLA) ................................................................................................. 163

Metering Generator Output Methodology .......................................................................................... 164 GLM Calculation rules .................................................................................................................. 166

Charging and Export Treatment ................................................................................................ 168

Metering Generator Output with Customer Load Baseline ................................................................. 169

APPROVED STATISTICAL SAMPLING METHODOLOGY .............................................................................. 170

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Virtual SQMD Calculation .......................................................................................................... 171

Sample Size Determination ....................................................................................................... 171

Minimum Sample Fractions ...................................................................................................... 174

REVISION HISTORY .................................................................................................................................... 180

APPENDIX .................................................................................................................................................. 183

Attachment A ........................................................................................................................................ 185

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Introduction

Purpose CAISO introduced two products that rely on the same technical functionality and infrastructure:

1. Proxy Demand Resource (PDR) 2. Reliability Demand Response Resource (RDRR)

PDR bids into the CAISO market as supply and provides services such as energy, non-spin, residual commitment (RUC). In addition, the market dispatches economic day-ahead and real-time. RDRR, on the other hand, bids into the CAISO market as supply and is used for reliability purposes. RDRR only offers energy services and dispatches economic day-ahead and reliability real-time. In order to participate in Demand Response, CAISO provided market participants with two different types of applications.

1. Demand Response Resource Registration (DRRS) 2. Demand Response System (DRS)

This user guide will provide in-depth information on how to proceed from start to end once the Demand Response Provider Agreement (DRPA) previously known as the Proxy Demand Resource Agreement (PDRA) has been executed. Furthermore, this guide contains additional information ranging from meter data submission, baseline and performance calculations, to a list of helpful document links.

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Definitions The following defined terms and acronyms are used throughout this document:

Terms Definition

AARF Application Access Request Form – method used to provision access to users of the DRS

Address information The physical address of the location.

ADS Automated Dispatch System

AIM

Access Identity Management (AIM) application. The application provides registered UAAs with the ability to view application-level access for all of their organization’s users as well as any users from other organizations who have access to their resources (endorsed users).

AIMS Access and Identity Management System – application used to provision access to users of the DRRS

API Application User Interface. Allows users to upload bulk location data to accommodate the input of the volume of locations participating in the Demand Response Program.

BUS Pnode This is the business that the location ties into and is required if requesting a customer Resource ID. Please note that this data is not consumed nor is it required in DRRS.

CIDI Customer Inquiry, Dispute and Information

Custom Resource ID

A unique resource ID requested by the DRP, modeled with their specified nodal locations and associated generation distribution factors (GDF).

Customer The name of the customer that user assigned during the registration process.

Demand Response Energy Measurement

The quantity of Energy equal to the difference between (i) the Customer Baseline for the Proxy Demand Resource or Reliability Demand Response Resource and (ii) either the actual underlying Load or the quantity of Energy calculated pursuant to Section 10.1.7 for the Proxy Demand Resource or Reliability Demand Response Resource for a Demand Response Event.

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DLA Resource The DLAP in which the Locations of the Registration resides.

DLAP Default Load Adjustment Point

DRP Demand Response Provider

DRP SC Demand Response Provider Scheduling Coordinator who are responsible for submitting bids into the market and meter data to the DRS.

DRPA Demand Response Provider Agreement previously called Proxy Demand Resource Agreement (PDRA).

DRRS Demand Response Registration System. Allows users to create large volumes of locations and aggregate locations for participation in the ISO’s demand response program.

DRRS UI Demand Response Registration System User Interface

DRS Demand Response System

DRS Status New, Pending, Confirmed, Dispute, Withdrawn

DRS UI Demand Response System User Interface

End Date End date of registration. The end date when the Registration will become inactive.

Endorsed User Individual(s) outside of the company that is requesting for application access.

Existing Resource ID

Resource IDs previously assigned to the DRP account. (Should be selected if resource ID was pre assigned to location)

LMP Locational Marginal Price

Load Reduction The total Load Reduction capacity per location.

Location name Identifies the location/site for the user.

Locations Physical location of the demand response entity. This includes the customer data such as the service account number, physical service location, and curtailable load amounts.

LSE Load Serving Entity

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MSA Meter Service Agreement

New Custom PDR CAISO will develop a new resource ID for this registration (custom).

PDR Proxy Demand Resource

Pnode Pricing Node - A single network Node or subset of network Nodes where a physical injection or withdrawal is modeled and for which a Locational Marginal Price is calculated and used for financial settlements.

POC Point of Contact now referred to as UAA.

Pre-Defined Resource ID

A pre-established resource ID pre-modeled in each SubLAP based on CAISO specifications and available in the MasterFile for DRP to request assignment to a registration.

RDRR Reliability Demand Response Resource

RegID The registration ID number assigned to the registration by the Demand Response System; this ID is assigned by the DRS in sequential order.

Registration Comprised of a single location or an aggregation of many locations. Submitted by the DRP to the LSE and UDC for review and CAISO for approval. Meter data is also submitted at the registration level for the baseline calculation prior to the market participation.

Resource ID

A unique ID used for participation in the ISO wholesale markets (scheduling/bidding and settlements). Assigned by the CAISO during the registration process in the Demand Response Registration System. Resource specific information for the ID resides in the ISO Master File.

RTD Real-Time Dispatch

RUC Residential Unit Commitment

SAN Service Account Number. Unique number assigned to a location by the UDC. Dashes or any other special characters are not allowed for the location SAN.

SQMD Settlement Quality Meter Data

Start Date Start date of the registration (cannot overlap with existing registration for the same location).

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SubLAP One of the 23 SubLAP locations of CAISO. The SubLAP in which all the locations within the registration reside.

UAA User Access Administrator formerly known as the POC.

UDC Utility Distribution Company. The UDC in which the Locations in the Registration reside and is part of the approval process.

UDC Account # This is the account number a DRP receives from a UDC for billing.

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The following diagram provides an overview of the sequential activities for the PDR/RDRR market participation.

Process Overview

Activ

ities

Tim

elin

e

Post-Market ActivitiesPre-Market Activities Market

Approx. 30 BD 7 BD Minimum265 BD Maximum

T+ 8 BDT+ 48 BD

T+ 168 – 172 BD

T+ 3 BDT+ 12 BDT+ 55 BD

T+ 9 Months

Secure Agreements

Access DRRS-Registration

Access DRS-Meter Data Submittal-Baseline Calculation

Registration Process

Begin-Provide End Use Load Location Information

End-Receive Market Resource ID

Day-Ahead Real-Time Markets

-Bidding-Dispatch-Outage Management

Meter Data Submission

-Historic-Day Of Event

Baseline Calculation

-Performance Measurement

Settlement

SC DRP-PDR/RDRR Performance

SC LSE-Default Load Adjustment

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Demand Response Provider (DRP) A Demand Response Provider (DRP) with the ability to aggregate customers capable of reducing their electric demand (load) can participate in the ISO day-ahead, real-time and ancillary services markets as a Proxy Demand Resource (PDR) or Reliability Demand Response Resource (RDRR). The ISO envisions these resources contributing to the low-carbon, flexible capacity needed to maintain real-time system balance and reliability supporting the integration of renewable energy. Executing a Demand Response Provider Agreement (DRPA) To initiate a Demand Response Provider agreement, an Information Request Sheet must be filled out completely and returned to [email protected]. Once the Information Request Sheet has been reviewed for completeness, it will be processed by a Contracts Analyst and then a DRPA will be initiated (appendix includes the information request sheet link). The pro forma DRPA is incorporated in Appendix B of the ISO Tariff. This agreement must be signed by a DRP and the ISO and executed prior to being assigned a Demand Response Provider ID and requesting a PDR or RDRR Resource ID. As with other ISO agreements, the Demand Response Provider Agreement will bind the DRP to the CAISO Tariff. The agreement requires that the DRP use a certified Scheduling Coordinator (Note: The SC must be certified to submit Settlement Quality Meter Data and have a Meter Service Agreement for Scheduling Coordinators with the CAISO) for all required tariff activities with the CAISO. The PDR agreement requires that the DRP have sufficient contractual relationships with the end use customers, LSE, and UDC and meet any Local Regulatory Authorities’ requirement prior to participating in the CAISO Markets. This agreement process will have a ten (10) Business Day turnaround timeframe.

PDR/RDRR Participation The following checklist and summary of items listed provide interested parties a guide to taking the steps necessary in becoming a Demand Response Provider (DRP) in order to obtain necessary ID’s and system access for PDR or RDRR participation.

mailto:[email protected]

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Market Participation Demand Response Registration Checklist

Information Request Sheet Submitted

Executing a Demand Response Provider Agreement (DRPA)

Received for review Executed – Signed/Returned

Demand Response Provider (DRP ID) assigned by ISO Received

Scheduling Coordinator Assignment Obtained

Demand Response System Access (DRRS/DRS)

AIM request submitted (DRRS) AARF form submitted (DRS) DRRS certificate received DRS certificate received DRRS access verified DRS access verified

DRS/DRRS/PDR/RDRR Training User guide reviewed Request training (DRS/DRRS) Training completed (DRS/DRRS)

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Using a Scheduling Coordinator The CAISO requires the use of a certified Scheduling Coordinator to be eligible to transact business directly with the CAISO. A DRP could endeavor to become a certified Scheduling Coordinator or use an existing certified Scheduling Coordinator. It is important to note that the certification process for a new Scheduling Coordinator could take up to 120 days. A list of certified Scheduling Coordinators is maintained on the CAISO website. By using a certified Scheduling Coordinator, all requirements, as outlined in the BPM for Scheduling Coordinator Certification and Termination, will be maintained by the Scheduling Coordinator; therefore, the DRP would not have to satisfy these requirements. Additionally, the Scheduling Coordinator for a DRP must have the authority to represent Scheduling Coordinator Metered Entities. This requires the Scheduling Coordinator to have executed a Meter Service Agreement for Scheduling Coordinators (MSA SC) with the CAISO. The Scheduling Coordinator for a Scheduling Coordinator Metered Entity is responsible for providing settlement quality meter data SQMD for the DRPs it represents. The Scheduling Coordinator for Scheduling Coordinator Metered Entities must conduct (or engage an independent, qualified entity to conduct) an annual SC Self-Audit. The SC Self-Audit must evaluate the process flow of Meter Data beginning with the Validation, Estimation and Editing (VEE) and following the process through submittal of Actual SQMD to the CAISO. (See BPM for Metering for all applicable Scheduling Coordinator for Scheduling Coordinator Metered Entities requirements). Obtaining a Demand Response Provider (DRP) ID Once the Demand Response Provider Agreement (DRPA) has been executed, the following shall occur:

1. DRP shall submit a DRP ID request form to CAISO at [email protected]. The DRP ID request form can be found at http://www.caiso.com/participate/Pages/Load/Default.aspx.


http://www.caiso.com/participate/Pages/Load/Default.aspx

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2. After the DRP ID request form has been reviewed and approved, CAISO shall assign a new DRP ID. If the request is denied, CAISO will contact the requester to request for further information.

Load Serving Entities (LSE) and Utility Distribution Companies (UDC) End use customer load served by a LSE and provided distribution services by a UDC may be represented in the wholesale market by a third party DRP. Therefore, the CAISO systematically facilitates a registration process during which these entities are informed of a DRP’s identification of their end-use customers, referenced by a unique service account number, and intent to use their load response capabilities as a PDR or RDRR. The LSE and UDC are identified when the locations are created by DRPs during the registration process, therefore, an LSE ID and UDC ID must be available. In addition, for the LSE and UDC to exercise their review capability, they must obtain a unique ID. It is important for DRP’s to work with the LSEs and UDCs for all the end-use customers they represent to ensure that they have obtained their ID’s from the CAISO prior to commencing with the PDR/RDRR registration process. Obtaining a Load Serving Entity (LSE) ID or Utility Distribution Company (UDC) ID

1. LSE or UDC shall submit a request form to CAISO at [email protected]. These request form(s) can be found at http://www.caiso.com/participate/Pages/Load/Default.aspx.

2. After the request form has been reviewed and approved, CAISO shall assign a new LSE ID or UDC ID. If the request is denied, CAISO will contact the requester to request for further information.

The CAISO maintains a list of DRP, LSE and UDC IDs that have been issued. This list is located at http://www.caiso.com/Documents/ListofDemandResponseParticipants.pdf .



http://www.caiso.com/Documents/ListofDemandResponseParticipants.pdf

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Application Access

There are two types of applications that will be addressed in this user guide.

1. Demand Response Registration System (DRRS) 2. Demand Response System (DRS)

Demand Response Registration System (DRRS) DRRS access is required for a DRP to complete location, registration, and resource management processes in order to establish a PDR/RDRR resource ID for market participation. DRRS access is required by LSEs and UDCs to manage their review process of locations submitted by the DRP. Access to DRRS for participation can be obtained through the organization’s User Access Administrator (UAA) via the Access Identity Management (AIM) application. UAA is the designated User Access Administrator for the organization that is requesting for application access. More information on how to become a UAA can be found at http://www.caiso.com/participate/Pages/UserAccessAdministratorGuide/Default.aspx AIM UAA is a registered user in AIM and has the ability to perform the functions as described in the AIM definition below. AIM is an application that provides registered UAA with the ability to view application-level access for all of their organization’s users as well as any users from other organizations who have access to their resources (endorsed users). More information can be found at http://www.caiso.com/Documents/AccessandIdentityManagement_AIM_UserGuide.pdf AARF is an Application Access Request Form used by the UAAs to submit a request for application access for the users.

http://www.caiso.com/participate/Pages/UserAccessAdministratorGuide/Default.aspx

http://www.caiso.com/Documents/AccessandIdentityManagement_AIM_UserGuide.pdf

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Once a DRP ID, or LSE ID, or UDC ID have been obtained and the UAA form has been established, the User Application Access Request Form (AARF) process is used to gain access to the DRRS. To request DRRS access the following shall occur:

1. If the request is for a user within the UAA’s organization, the UAA shall submit a request through AIM. No AARF is required. Note: If the UAA is not a registered AIM UAA, the UAA must submit a request to [email protected] to register to become an AIM UAA. The UAA cannot proceed until access to AIM has been obtained.

2. If the request is for a user outside of the UAA organization, an Application Access Request Form (AARF) is required for DRRS access, AIM is the only method to request for DRRS access. However, if the request is for an endorsed user (users outside of the UAA’s organization), an AARF is required. If the UAA is not an AIM user, the UAA must send a request to [email protected] for access.

Example: (only for DRRS access) Access for users within the UAA’s organization = No AARF required (Goes through AIM) Access for users outside of the UAA’s organization (endorsed users) = Requires AARF


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Demand Response System (DRS) DRS access is required for a DRP to view and download relevant meter data, supporting baseline information and performance data for their PDR/RDRR(s). DRS access is required by the DRP’s SC to submit and upload relevant meter data for the DRP’s they represent. The DRP’s SC may grant the DRP their user role access for meter data management, however, requests for this access must be made by the DRP’s SC. Additionally, DRS access is required by the LSE’s SC to view and download performance information on PDRs and RDRRs associated to the LSE they represent. Access to the DRS for new users shall be submitted by the user’s designated UAA using the existing Application Access Request Form (AARF) process through the Customer Inquiry, Dispute and Information (CIDI) portal or the ISO Application Access Requests for Non-CIDI Users page. Note: If the UAA is requesting access for endorsed users that do not work for their organization, the UAA can request this access by submitting an External AARF. Additional system access information (including the AARF) is available on the CAISO website.

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Demand Response Registration System (DRRS) Description The Demand Response Registration System (DRRS) is the application developed to enable wholesale market participation by end-use customers, referred to as locations, under the PDR and RDRR participation models. The system facilitates the registration process which identifies the end-use customers providing load curtailment in response to a CAISO PDR/RDRR dispatch instruction. The system performs a series of process controls including data validation, duplication check and review process by LSEs and UDCs, to ensure the uniquely identified end-use customer is being registered appropriately and not participating in overlapping registrations or retail programs. The DRRS provides a robust User Interface (UI) and Application Program Interface (API) to facilitate a streamlined registration process for all DRRS user roles. This includes an API for uploading bulk location data to accommodate the input of volumes of locations participating, in aggregate, as PDR/RDRRs. Additional DRRS APIs are provided for the creation, modification, review and termination of locations and their registrations. User Roles

There are three types of user roles for this application.

User Role Entity Read

Access Only

Read Write

Access Brief Description of the entity (DRP,

LSE, UDC, ISO)

APP_DRRS_DRP_EXT DRP X DRP can create, modify and end-date locations and create, modify and terminate registrations.

APP_DRRS_UDC_EXT UDC X UDC can review and submit comment(s) on location info and view registrations containing those locations

APP_DRRS_LSE_EXT LSE X LSE can review and submit comment(s) on location info and view registrations containing those locations.

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For the DRP, the DRRS facilitates three registration process components: manage locations, manage registrations, and manage resources. The process begins with the entering of location information into the system, creating registrations from one or many reviewed locations and is completed with one confirmed registration being associated with an effective resource ID. For the UDC and the LSE, the DRRS facilitates a review process as part of the DRP’s management of locations. Once the DRP submits a location for review, the DRRS will perform data validation including a duplication check for that location. If the data is valid then the UDC and LSE is notified that there is a location ready for review. The UDC and LSE have ten (10) days to complete their review and either submit with or without findings. If the ten (10) days elapses without a UDC or LSE acting on the review notification, the DRRS will auto approve the location.

Functionality Overview In DRRS, there are two functionality tabs: (1) Locations, (2) Registrations

1. Location tab – Allows the DRP to Create, Copy, Delete, Defend, Withdraw, Edit, End Date and Register locations. The UDC and LSE can Review locations and registrations in which associated locations are assigned.

Locations

• Require effective dates (Start Date and End Date) which provides flexibility in creating and processing registrations. (see example in figure 1 below)

• Start Date and End Dates cannot be prior dates. • Can be created individually or in bulk using web service API or UI. • Cannot be added or removed from a Confirmed registration. • Will not be copied to or viewed via the DRS. • Once submitted, can be end-dated but not deleted. • Provides DRP control in their use in creating registrations • Allows for locations to move in and out of registrations without additional UDC or

LSE review.

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Figure 1 Registration tab – Allows the DRP to Create, Edit, Copy, Terminate, and Delete registrations. The UDC and LSE can view Registrations and location(s) associated to the registration.

Registrations

• Effective dates are validated against location effective dates.

• Multiple registrations can be created within location effective dates (see example in figure 2 below)

• Can be created using web service API or UI. • Can be created when reviewed locations are available.

o Includes location validations that may result in processing errors (i.e. location being used in another registration during effective dates)

• May be affected by edits made to location attributes. • Will be copied to and viewable within the DRS. • Once confirmed, can be terminated but not deleted. • Effective dates determine associated Resource effective dates • One Registration to one Resource relationship (1:1) maintained

Figure 2

Location effective date

Effective date change (allowed with no review)

Extending end date (requires re-review)

R1 (allowed) R2 (allowed)

R3 (not allowed)

R4 (not allowed)

Location effective data

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Application Layout

Role-based tab views

In DRRS, there are three (3) different role-based tab views. The views that are accessible to the users will be determined by the number of roles provisioned on the digital CMA certificate.

1. DRP View – This tab will be visible to users that log in with the DRP role. Users can have multiple views if the users have multiple roles.

2. UDC View – This tab will be visible to users that log in with the UDC role. 3. LSE View – This tab will be visible to users that log in with the LSE role.

To access the Location or Registration functionality, users can place their cursor over the applicable tab(s) (DRP VIEW, UDC VIEW or LSE VIEW). The Locations and Registration screens are accessible under the corresponding views. DRP VIEW, UDC VIEW or LSE VIEW selection shows all the locations/ assigned to that entities ID or filtered view showing a subset of that entities locations.

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Example: LSE VIEW Locations

Additionally, DRP VIEW, UDC VIEW or LSE VIEW will show all registrations comprised of locations assigned to that entities ID or filtered view showing a subset of locations. Example: LSE VIEW Registrations

541021 Test 123456 DTEST UTEST LTEST SLAP_TEST DALYCTY_1_N001 06/01/2016

LTEST

LTEST

541021 Test DTEST UTEST LTEST SLAP_TEST

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Column Headers

In the Locations tab, users can choose what columns they would like visible at any time. These options include; Loc Id, Loc Name, SAN, DRP ID, UDC ID, LSE ID, SUBLAP, PNODE, Start Date, End Date, Status, Updated By and Updated Date.

In the Registrations tab, users can choose what columns they would like visible at any time. These options include; Reg Id, Reg Name, DRP ID, UDC ID, LSE ID, SUBLAP, DRP SC, Resource Id, Resource Type, Program, Baseline Method, Start Date, End Date, Status, Updated By and Updated Date.

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Search Parameters

Locations: Allows users to search using any of the available following criteria: (1) LOC ID, (2) LOC Name (3) SAN, (4) DRP (5) UDC, (6) LSE, (7) SUBLAP.

Registrations: Allows users to search using the following criteria: (1) Reg ID, (2) Reg Name (3) DRP ID (4) UDC ID, (5) LSE ID, (6) SUBLAP.

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Sorting and Filtering Locations and Registrations Sorting from ascending to descending by clicking on any of the column headers.

Multiple column headers can be sorted either ascending or descending.

Users can also use the inline filtering option . The inline Filter works as a toggle. Click the icon to filter data based on the content of a particular column. Press Enter after inputting the filter criteria. Please note that wildcard symbols can be used in this column but are not necessary.

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Actions In DRRS, the action buttons are role-based. Actions provided are determined by the role provisioned for the user. DRP Actions

Locations: Create, Copy, Delete, Defend, Withdraw, Edit, End Date, Register

Registrations: Create. Edit, Copy, Terminate, Delete

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DRP Create action is used when a location is being created for the first time. The DRP selects the Create button. The fields necessary to create a location will be displayed with required fields designated with an asterisk. Selections from drop down must be made to fields with that functionality.

DRP Copy provides the user the ability to copy a previously created location. The user must first select the location to be copied then the Copy button. The copied location information will be presented and all fields will be editable. This action is provided for cases where the user is creating multiple locations with the same key fields, reducing the effort in having to create each independently.

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DRP DELETE action is usable when a location has been previously created. DELETE is only actionable for certain location statuses.

Save location

Update fields

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DRP Defend is actionable by a DRP that has been notified by another DRP, referred to as the prospective DRP, that the defense process has been initiated for an existing location, in an active or inactive status, of theirs. To defend a location, the DRP for the existing location, referred to as the incumbent DRP, must first select the location then the Defend button.

The incumbent DRP will then have an opportunity to respond to the comments submitted by the prospective DRP. In the defend locations screen, the incumbent DRP has the ability to either accept or reject the Defend request.

• If “Valid Location” is checked, the incumbent DRP is indicating that the location is valid and will not release that location based on comments received from prospective DRP.

• If the “Valid Location” is not checked, the incumbent DRP is stating that the request received is accepted and action will be taken by them to release the location to the prospective DRP.

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DRP Withdraw action is usable when a location has been previously created and submitted for review but not completed the review process. To withdraw a location, the user must first select the location then the Withdraw button. The DRP will be required to provide contact information prior to submitting the location to the defend process.

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DRP Edit action is usable when a location has been previously created. To edit a location, the user must first select the location then the Edit button. The location information will be presented to the user with available fields that are editable. Editable fields will be dependent on the locations status.

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DRP End Date action is actionable only under certain location statuses. NOTE: ending a location may impact the effective dates of a registration. To End Date a location, the user must first select the location then the End Date button. The DRP will be required to confirm that they want to End Date the location prior to it being processed. Using the End Date action does not allow the DRP to select an end date but the end date will correspond with the date that the action was taken. The DRP must use the Edit action to End Date a location for a different date.

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UDC and LSE Actions

Locations: Review

Registrations: View Location

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Location and Registration Status Lifecycle

DRRS Status

Location Registration

1. New 2. Processing 3. Pending 4. Inactive 5. Active 6. Withdrawn 7. End-Dated 8. Duplicate 9. Disputed

1. New 2. Pending 3. Confirmed 4. Terminated

DRRS Statuses Description

Location

New Location will be set to this status when it is created and saved but not yet submitted for review.

Processing Location will be set to this status while being validated when it is submitted for review.

Pending

Location will be set to this status when it is submitted for review and validation has successfully completed. This status indicated that the review process has been initiated for the location.

Inactive Location will be set to this status when it has successfully completed the review process but is not part of a registration that is in a ‘pending” or “confirmed” status.

Active Location will be set to this status when it is part of a registration that is in a “pending” or “confirmed” status.

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Withdrawn Location will be set to this status when it is Withdrawn while in the pending, duplicate or disputed statuses.

Duplicate Location will be set to this status when, during the submittal validation, the location SAN for the same UDC is found to be used by another DRP.

Disputed Location will be set to this status when it has NOT successfully completed the LSE/UDC review process. Review process has resulted in invalidation findings.

End Dated Location will be set to this status when the effective end date of the location is prior to the current date. End dated locations are logically equivalent to deleted records.

Registration

New Registration will be set to this status when it has been created but NOT yet submitted.

Pending Registration will be set to this status when it has been submitted and validation is in progress.

Confirmed Registration will be set to this status when it has been submitted and validation has successfully completed.

Terminated

Registration will be set to this status when the effective end date of the registration is prior to the current date. End dated registrations are logically equivalent to deleted records.

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Status Registration Status Description Fields that can be edited

New Created but NOT yet submitted. All fields

Pending Submitted and validation is in progress

Edit option not available, can only Terminate

Confirmed Submitted and validation has successfully completed

Name, Start Date, End Date and Resource (if applicable)

Terminated

Effective end date of the registration is prior to the current date. End dated registrations are logically equivalent to deleted records.

Cannot be Edited, will receive an error message if attempted through UI or rejected if submitted with API

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Location Status Lifecycle Process Flow2

2 Draft as of 8/1/2016, updates in process.

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Registration Status Lifecycle Process Flow3

3 Draft as of 8/1/2016, updates in process.

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Location Management The registration process builds from location to registration to resource management. Location management includes the creation of locations by the DRP, a duplication check by the DRRS and an LSE/UDC review of the location to validate its use by the DRP for the established effective dates. These DRRS provides a robust UI and API’s for the DRP(s), LSE(s) and UDC(s) use in performing their location management tasks. System generated email notifications are also generated as alerts to activities occurring that may require their attention.

DRRS User Interface (UI) Location Management

Create

To Create a new location, DRP(s) will click on the Create button under their Locations View.

Next, enter the location information. The required fields are indicated by the asterisk (*) signs. Fill out all required fields and any optional fields as needed.

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Name DRP chosen name of the designated location. SAN Service Account Number unique identifier of the location often assigned by the

UDC. Start Date The Start Date cannot be a prior date or overlap with an existing Active location

with same SAN and UDC assignment. End Date The End Date cannot be a prior date or overlap with an existing Active location

with same SAN and UDC assignment. DRP Designated Demand Response Provider. UDC Designated Utility Distribution Company LSE Designated Load Serving Entity SubLAP The SubLAP in which all the locations within the registration reside SubLAP are

determined by the Start/End Dates. PNODE The Pnode at which the location load is modeled at. Required field if planning to

use the location in a Registration selecting a Custom Resource ID. Address, City State, Zip, Type The address of the location and type of location (e.g. commercial, residential) for

DRP identification purposes Options within Create New Location include:

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Cancel - cancels the creation of a location. Save - creates a new location and location ID for it. Submit - creates a new location and location ID for it and submits it to the UDC/LSE

review process. Submits a previously Saved and Edited location to the UDC/LSE review process

Once the new location information has been saved or submitted, a new Location ID (LOC ID) will be generated. When saved, the locations Status will be displayed as New.

When submitted, the locations Status will be displayed as pending.

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Edit New Location

To Edit a New location, DRP(s) must first select a location with a Status of New then click on the Edit button under their Locations View.

In the Edit location view, any changes can be made to the location without it having to be end dated. In this example, the LSEID is changed and the location is updated by selecting the Update option.

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A message indicates that the Update was successful.

The Update is reflected for that Location without a Loc ID change. This type of modification is not available once a location has been submitted for review.

Pending Location

A Pending Location has successfully completed the submittal validation and is in the LSE/UDC review. A location in the Pending status cannot be edited and if an attempt is made to Edit a Pending location an error message will be received. The Pending locations only allows for end dating of the location. The DRP must select the End Date and confirm that the selected location is to be End Dated.

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Inactive Location

An Inactive Location has successfully completed the LSE/UDC review process but is not part of a registration that is in Pending or Confirmed status. Editing to Inactive locations is limited to the location name, start date, end date and address fields. All other fields will be unavailable for modification and update.

Active Location

An Active Location is part of a registration that is in Pending or Confirmed status. Editing of Active locations is limited to the location name and address fields. All other fields will be unavailable for modification and update.

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End Dated Location

No changes are permitted for an End-Dated Location. Submissions to Edit an End-Date Location will be rejected. End-dated locations are logically equivalent to deleted records

Copy The Copy feature allows the DRP to create a new location by copying an existing location and making changes to the copied field information. Locations in any status may be copied. To Copy a location, the location is first selected then the Copy button chosen under the Locations View.

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The Copy option takes the user to the Create New Locations window and provides the same Options: Cancel - Cancels the creation of a new location. Save - Creates a new location with changes and location ID for it. Submit - Creates a new location with changes and location ID for it and submits it to

the LSE/UDC review process.

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Delete The Delete feature allows the DRP to delete a new location. Locations can only be deleted when they are in the New status. To Delete a location, the new location is first selected then the Delete button chosen under the Locations View.

Once Delete is selected, the Location to be deleted will be identified and a confirmation to delete is required by selecting the Continue button.

A deleted Location and its created Location ID will no longer exist in the Locations View.

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Duplication Check When a location is submitted for review, a duplication check is performed against other locations in the system. If the DRPID is the same as the submitting DRP, the system will reject the location and provide an error message. If the DRPID is different, the location will be created with a Duplicate status. Note: error message received when location is submitted and there is a duplicate location pending review. Location cannot be submitted and cannot enter the defend process until the duplicate location is in the active or inactive status.

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Defend The Defend feature allows the DRP to defend a location that has been found to be a duplicate of another location in the inactive or active status having the same SAN, UDC and overlapping effective dates with another DRP (Incumbent). The location will be identified as a duplicate once it is submitted for registration. The prospective DRP must include a contact name, number and comment if they chose to enter the defend process by selecting the Continue button. Locations submitted into the defense process will set to a duplicate status.

The system will notify the Incumbent DRP that their location needs to be defended for use by request of another DRP. This location requires defense by the incumbent DRP. To defend, the incumbent DRP must comment on their defense of the location and provide their DRP ID, contact name and phone number within 10 business days of the notification (defense period).

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If no action is taken by the Incumbent DRP within the defense period the Incumbent DRP location will be end dated. 4 This releases the location so that it can be submitted for review by the Prospective DRP. If the Incumbent DRP defends the location during the defense period the Prospective DRP must contact them to resolve the duplicate use conflict outside of the ISO registration process. The newly entered location will remain in the duplicate status until such time that it is edited by the Prospective DRP resolving the duplication issue or submitted after the duplicate location is end dated by the Incumbent DRP. Example of email notification sent to the Incumbent DRP to defend location ownership.

Withdraw The Withdraw feature allows the DRP to withdraw a location from the validation and UDC or LSE review processes. Locations can only be withdrawn when they are in the processing or pending statuses. To Withdraw a location, the location is first selected then the Withdraw button chosen under the Locations View.

4 This action may result in the change in status of an active registration if the end dated location is part of it.

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Once Withdraw is selected, the Location to be withdrawn will be identified and a confirmation to withdraw is required by selecting the Continue button.

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End Date The End Date feature allows the DRP to end date a location. Locations can only be end dated when they are in the inactive or active statuses. To End Date a location, the location is first selected then the End Date button chosen under the Locations View.

Once End Date is selected, the Location to be end dated will be identified and a confirmation to end date is required by selecting the Continue button.

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Register The Register feature allows the DRP to register a location or multiple locations. Locations can only be registered when they are in the inactive, and active statuses. To Register a location, the location is first selected then the Register button chosen under the Locations View.

Once Register is selected, the Registration view is provided and the available Location(s) to be registered will be identified and registration detail auto filled based on the location(s) selected. Additional fields to be completed may include drop down selections. 5 Required fields, identified with asterisks, must be completed. A confirmation to register is required by selecting the Submit button.

5 Additional detail on the registration view and functionality within it is covered in the Registration Management

section.

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Location Review LSE Review After logging into the DRS, the LSE is provided a view option for Locations and Registrations. Selecting the Location view will provide a list of locations that they have been assigned as the LSE. The Location view includes all the locational information provided by the DRP to create the location. 6 In addition the following is provided in this view:

Location ID A unique ID assigned by the DRRS for all new locations when they are saved or submitted.

Status The Current status of the location. Review Start The date on which the location was submitted for review.

This date begins the ten business day (10) review period for the LSE to review and respond before the DRRS auto approves the location.

Review End The date on which the review period end or date on which

the review was completed. LSE Review A “Y” indicates that a valid location review has been

completed. Reviewer Name The name of the reviewer provided as part of validation. Reviewer Contact Phone number of the reviewer provided as part of validation.

Locations requiring review will be in the Pending status. Locations reviewed without findings will be in the Active or Inactive status. Locations reviewed with findings from either the LSE or UDC will be in the Disputed status

6 See Location Management > Create section for all location information provided by the DRP.

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The LSE selects the Locations (one or multiple) to be reviewed and chooses the Review button to enter the review confirmation process screen.

When selecting more than one location, all locations listed are reviewed by the LSE together. Response by the LSE will affect all locations listed, selection of individual locations is not available in the “locations to be reviewed” view.

The location(s) is confirmed as being valid by selecting the Valid Location box. The location confirmation is disputed by leaving the box un-selected indicating that the location(s) have not passed the review.

Reviewer name and phone is

always required

Reviewer is required when the

location is not valid.

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The LSE must include a Reviewer Name and Phone # and, if the location is not valid, a Review Comment when choosing to Continue. Comment should include the reason as to why the LSE has determined this to be an invalid location. Examples include, but are not limited to the following:

• Incorrect location information (e.g. incorrect SubLAP) • Wrong LSE or UDC designation • No commercial agreement • Regulatory non-conformance • Location identified as participating in another program

Note: The Comments box is limited to 255 characters. The LSE may end their validation of the location(s) by choosing to Cancel . UDC Review

After logging into the DRS, the UDC is provided a view option for Locations and Registrations. Selecting the Location view will provide a list of locations that they have been assigned as the UDC. The Location view includes all the locational information provided by the DRP to create the location. 7 In addition the following is provided in this view:

Location ID A unique ID assigned by the DRRS for all new locations when they are saved or submitted.

Status The Current status of the location. Review Start The date on which the location was submitted for review.

This date begins the ten business day (10) review period for the UDC to review and respond before the DRRS auto approves the location.

7 See Location Management > Create section for all location information provided by the DRP.

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Review End The date on which the review period end or date on which the review was completed.

LSE Review A “Y” indicates that a valid location review has been

completed. Reviewer Name The name of the reviewer provided as part of validation. Reviewer Contact Phone number of the reviewer provided as part of validation.

Locations requiring review will be in the Pending status. Locations reviewed without findings will be in the Active or Inactive status. Locations reviewed with findings from either the LSE or UDC will be in the Disputed status The UDC selects the Locations (one or multiple) to be reviewed and chooses the Review button to enter the review confirmation process screen.

When selecting more than one location, all locations listed are reviewed by the UDC together. Response by the UDC will affect all locations listed, selection of individual locations is not available in the “locations to be reviewed” view.

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The location(s) is confirmed as being valid by selecting the Valid Location box. The location confirmation is disputed by leaving the box un-selected indicating that the location(s) have not passed the review. The UDC must include a Reviewer Name and Phone # and, if the location is not valid, a Review Comment when choosing to Continue. Comment should include the reason as to why the UDC has determined this to be an invalid location. Examples include, but are not limited to the following:

• Incorrect location information (e.g. incorrect SubLAP) • Wrong LSE or UDC designation • No commercial agreement • Regulatory non-conformance • Location identified as participating in another program

Note: The Comments box is limited to 255 characters.

Reviewer name and phone is

always required

Reviewer is required when the

location is not valid.

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The UDC may end their validation of the location(s) by choosing to Cancel .

Invalid Review Disputed Location A Disputed Location was unsuccessful in obtaining a valid review by one of the reviewing entities (LSE/UDC). The DRP must now determine from provided comments why they were unable to pass validation of the location submitted for review. When a location has not passed the LSE/UDC review it will be set to the status of Disputed and the reviewer contact information and comments can be viewed by the DRP in their Locations view when the location is highlighted.

To correct errors identified, the DRP must create a new location. The disputed Location is not editable but may be copied and updated with the corrected information. When saved or submitted, a new location with new Location ID will be created. The new location created must then be submitted for review and will be in Pending status until the review is complete.

UDC/LSE Review contact and comments.

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If the DRP believe the location is valid with information provided and does not agree with the LSE or UDC findings, they must work with the entity that provided the comments to resolve the reason it was not found to be a valid location. The process for resolving the disputed location issues is managed outside of the ISO. The DRP is provided information through the review process needed to make direct contact with LSE or UDC to initiate resolution.

Copy and correct disputed location

information.

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LSE/UDC Review notification Example of email notification to the LSE and UDC when a location has been submitted for review.

Application Programming Interface (API) Location Management The DRRS provides APIs for the performance of all location management processing. Market Participants can perform the following using the DRRS web services:

• Retrieve DRRS Locations • Save request for creating draft/new DRRS Locations • Delete request for deleting the draft/new DRRS Locations • Submit request for creating/end-dating DRRS Locations • Review request for reviewing DRRS Locations (for LSE/UDC/LSE&UDC review) • Modify request for modifying DRRS Locations • Initiate Defend request for defending for a DRRS Location

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• Review Defend request for reviewing the DRRS Location that is under defend process (for DRP review)

• Retrieve status for the creation or modification requests Technical ISO Interface Specifications with more detailed information are available on the CAISO website at CAISO.com for the Demand Response Registration System.8

Registration Management The registration process builds from location to registration to resource management. Registration management includes the development of registration(s) by the DRP that identify the locations participating, in aggregate, as a PDR or RDRR for an effective period of time. Location information established, including its effective dates, control availability for their use by the DRP in creating registrations. The DRRS provides a robust UI and API’s for the DRP(s) use in performing their Registration development and management tasks. System generated email notifications are also generated as alerts to activities occurring that may require their attention.

DRRS User Interface (UI) Registration Management

The DRP may use either the Location view or Registration view to register one or multiple locations. The Registration view provides the DRP a list of all the Registrations created and saved or submitted with their Status. When highlighted, the view will list all Locations included in that Registration.

8 Link directly to document at time of User Guide publication http://www.caiso.com/Documents/DemandResponseLocationRegistrationEnhancement-TechnicalSpecificationsv4REDLINED.pdf . If link is no longer working, search for document at CAISO.com.

http://www.caiso.com/Documents/DemandResponseLocationRegistrationEnhancement-TechnicalSpecificationsv4REDLINED.pdf

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Create

To Create a new Registration from the Registration view, DRP chooses the Create button.

When entering the Registration information to create a new Registrations, required fields are indicated by the asterisk (*) sign. Fill out all required fields and any optional fields as needed. Drop down menus will populate based on fields entered prior to menu selection. The following is a description of the fields requested to Create a Registration:

Locations in Registration with view

Location option.

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Name DRP chosen name of the Registration. May contain alphanumeric

and special characters, up to a max of 255 Start Date9 The Start Date cannot be a prior date. Only Locations with start

dates before and end dates after will be generated as Available Locations for selection

End Date The End Date cannot be a prior date or overlap with an existing

Active location with same SAN and UDC assignment DRP10 Demand Response Provider ID UDC Utility Distribution Company ID LSE Load Serving Entity ID SubLAP The SubLAP in which all the locations within the registration reside DLAP The Default LAP of the LSE for locations within the registration.

This will be auto generated based on selections provided in other required fields

DRP SCID The ID of the acting scheduling coordinator for the Registrations

market Resource. Program Proxy DR or Reliability DR Resource Type Predefined or Custom.

Available Locations will be filtered based on the Resource Type selection. When selecting Custom, only Locations with PNODE information can be selected for the Registration.

9 The system validates effective dates input for the Registration against Location effective dates to determine available Locations that can be registered.

10 The system uses DRP, UDC, LSE and SubLAP information provided to ensure Locations presented as available

have the same designations.

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Resource When Resource Type = Pre Defined

Drop down will list available resources that can be selected based on Registration information provided including Resource IDs previously assigned to the DRP and unassigned Pre Defined resource IDs for the identified SubLAP When Resource Type = Custom Drop down will be blank. Once the Registration is submitted, the process will be initiated to create a custom Resource ID based on information provided. Once the custom Resource ID is created, the PDR coordinator will update the DRRS with it and provide it to the DRP. The Resource ID will not be visible until it is assigned to that Registration in the DRRS by the PDR coordinator.

Baseline Method The Baseline Method that will be used to determine the

performance of the Resource. Some options may require pre-approval by the CAISO.

The system will generate a list of available Locations, to select from, based on the information provided when creating a Registration.

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Distribution Factors for Custom Resource

If the Resource Type selected is Custom, the system generated list of available Locations, to select from, will only include locations that have been assigned a PNode. When creating this Registration, the DRP must assign distribution factors for PNodes identified. PNodes will be populated in the Distribution Factor window based on the Locations selected to be registered. The Edit button in this window provides the DRP with the opportunity to assign a Distribution Factor to each of the PNodes. The Distribution Factor must indicate the percent of load reduction that will be occur at each PNode represented as a two decimal precision level. Distribution Factors across all PNodes provided must total 1.00. The Pnode and Distribution Factors provided will be used to create the custom Resource ID which will be assigned to the Registration in the DRRS by the PDR coordinator once it has completed the modeling process.

Available Locations can be selected individually or in total to Create the

Registration.

Drop down list includes: current DRP resource IDs or available pre-defined resource IDs for selected

SubLAP.

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Edit button used to assign or edit

identified PNodes Distribution Factors

Distribution Factors to 2 decimal places

and total = 1.00. Update before saving

or submitting.

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Once the Registration information is input, Locations selected and Distribution Factors updated, the options to proceed include: Cancel - cancels the creation of the Registration Save - creates a new Registration and Registration ID for it. Submit - creates a new Registration and Registration ID for it and submits it to the

Demand Response System (DRS) to proceed with Resource Management processing. Submits a previously Saved and Edited Registration to the DRS for Resource Management processing.

Once the new Registration information has been created and saved or submitted, a new Registration ID (Reg ID) will be generated. When saved, the locations Status will be displayed as New.

When submitted, the locations Status will be displayed as Confirmed.

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Edit

To Edit a registration from the registration view, the DRP must first select the Registration to be edited then click on the Edit button under their Registrations View.

A Registrations Status will affect how

it can be edited.

A Registration with a Confirmed status editable fields in

white.

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Once the Registration is edited, the options to proceed include: Cancel - Cancels Edit of the Registration. Update - Updates the Registration maintaining its Registration ID. Copy The Copy feature allows the DRP to create a new registration by copying an existing registration and making changes to the copied field information. Registrations in any status may be copied. To Copy a registration, the registration is first selected then the Copy button chosen under the Registrations View.

The Copy option takes the user to the Registration window and provides the same Options as Create registration:

Cancel - cancels the creation of a new registration. Save - creates a new registration with changes and registration ID for it. Submit - creates a new registration with changes and registration ID for it and submits

it to the Demand Response System (DRS) to proceed with Resource Management.

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Terminate The Terminate feature allows the DRP to delete a Registration. Registrations can only be deleted when they are in the Confirmed status. To Terminate, the Registration is first selected then the Terminate button chosen under the Registration View.

Once Terminate is selected, the Registration to be deleted will be identified and a confirmation to delete is required by selecting the Continue button.

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A Registration is in a Terminate status when its effective end date is prior to the current date. Terminated Registrations are logically equivalent to deleted records. A Terminated Registration can be Copied but not Edited.

Delete The Delete feature allows the DRP to delete a new Registration. Registrations can only be deleted when they are in the New status. To Delete a Registration, the new Registration is first selected then the Delete button chosen under the Registrations View.

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Once Delete is selected, the Registration to be deleted will be identified and a confirmation to delete is required by selecting the Continue button.

A deleted Registration and its created Registration ID will no longer exist in the Registrations View.

Resource Management The registration process builds from location to registration to resource management. Resource management includes the association of a Registration created by the DRP to a Resource ID for an effective period of time. Registration information established, including its effective dates, control availability of Resource IDs for use by the DRP. Once a Registration is created in the DRRS, with or without a Resource ID selected, its successful submittal will create a confirmed Registration in both the DRRS and the DRS. The Resource ID can only be added to the Registration in the DRRS.11 The Resource ID selected is transferred from the DRRS to the DRS along with other Registration information provided. A Registrations Resource ID is not editable in the DRS.

11 See the Create Section under Registration Management for Resource ID selection process.

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Resource ID modeling The PDR and RDRR Resource ID is an assigned Resource ID that represents a Proxy Demand Resource or Reliability Demand Response Resource in the CAISO Markets. The Resource ID will be used to bid, schedule, receive an award, receive Automated Dispatches System (ADS) instructions and be settled in the CAISO Markets. The following explains the different types of Resource IDs and describes the application, review, and assignment steps. Registration versus Resource ID Relationship

• Both pre-defined and custom Resource IDs will have a 1:1 relationship with a current registration.

Selection of a pre-defined or request for a custom Resource ID is managed within the DRRS as part of the Create registration process. Resource IDs: pre-defined and custom resources There are two types of Resource ID setups that can be used in the CAISO Markets for PDR and RDRR, those comprised of pre-defined resources and those comprised of custom resources. The use of pre-defined resources allows for quicker assignment of the DRP’s Resource ID. The use of custom resources requires modifications to the Full Network Model and therefore could have a timeline of up to 120 – 180 days for a DRP to apply for and receive a custom Resource ID for use. The Resource IDs will look similar to this example:

• Pre-defined: PGSA_1_PDRP01, where PGSA represents the location of the demand response by Sub-LAP

• Custom resource: PRMNTE_6_PDRC01

Pre-defined resources use pre-established Generation Distribution Factors (GDFs) to allocate the PDR or RDRR performance (generation) to the associated APNodes of the Sub-LAP. A custom PDR or RDRR requires the DRP to provide the specific network buses and the generation distribution factors associated to them. For both pre-defined and custom resources, the GDFs will remain static.

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PDR and RDRR Resource ID criteria All PDR and RDRR Resource IDs will be associated to the end use Loads represented by the DRP based on:

• The physical location, and • The Load Serving Entity (LSE) of individual end use Loads.

Therefore, prior to applying for a Resource ID(s), the DRP must know which Sub-LAP the end use Loads are in and which LSE (and the LSE’s SC) serves the end use Load. This information should be available to the DRP based on the requirement that it must have contractual relationships or agreements in place with the end-use customer, LSE, and potentially the UDC. When requesting a Resource ID, the DRP should group its end use Loads by both the LSE and Sub-LAP.

Example 1 (applicable for a PDR or RDRR): A DRP has 6 End Use Loads and would like to register them to the minimum number of Resource IDs possible. What would be the minimum number of pre-defined Resource IDs that the following locations could be registered to?

Customer LSE Sub-LAP DR Resource ID 1 A SDG1 PDRP01 2 A SDG1 PDRP01 3 B PGF1 PDRP02 4 B PGF1 PDRP02 5 B PGSA PDRP03 6 B SDG1 PDRP04

Answer to Example 1: Four pre-defined Resource IDs would be the minimum assigned to the DRP because the locations represent 4 different LSE and Sub-LAP combinations.

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DRRS User Interface (UI) Resource Management View of confirmed Registration in DRRS with Resource ID selected:

Resource ID for the Registration selected or edited in DRRS.

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DRS User Interface (UI) Resource Management View of confirmed Registration on Registration tab in Demand Response System (DRS):

The Registration and Resource ID will remain associated until the Registration effective date is end dated. A Resource ID may remain effective in the Masterfile as long as a Registration associated to it remains effective in the DRRS and DRS. Application Programming Interface (API) Registration and Resource Management The DRRS provides APIs for the performance of all Registration management processing. Market Participants can retrieve or submit the following Registration data via the DRRS web services:

• Retrieve status for the creation or modification requests • Retrieve DRRS Registrations • Save request for creating new DRRS Registrations • Delete request for deleting the /new DRRS Registrations • Submit request for creating/terminating (end-date) DRRS Registrations • Modify request for modifying (edit) DRRS Registrations

Registration transferred from DRRS to DRS. DRP View only in DRS, no location information provided in DRS.

Resource ID is not selected or edited in DRS. Resource ID will transfer from DRRS.

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Technical ISO Interface Specifications with more detailed information are available on the CAISO website at CAISO.com for the Demand Response Registration System.12

Generation Data Template Submission and Processing Resource management requires interfacing with the Masterfile and Resource Modeling processes.13 Resource modeling sets up and maintains resource characteristics and scheduling coordinator assignments used in the market and systems to reliably operate the grid. Once the Registration is in the confirmed status, the DRP must follow this process and timelines associated with it to establish a PDR/RDRR in the Masterfile or to make updates to an existing PDR/RDRR attributes. The Masterfile maintains all resource attributes used in the markets and is the system of record for resource participation. The Generator Resource Data Template (GRDT) is used to submit requests to add or change specific operating parameters that reside in the Master File. All GRDTs shall be sent to the [email protected]. For updates to existing data, scheduling coordinators must make any changes on the RDT downloaded from the Master File user interface or application programming interface. Scheduling Coordinators then submit updated templates using the user interface UPLOAD function or the programming interface SUBMIT services. Custom Resource ID If the DRP believes that the pre-defined Resource ID is not sufficient for its needs, the DRP selects or requests a custom Resource ID be assigned when the Registration is created. The information provided in the DRRS during the Registrations creation, including PNodes and their applicable Distribution Factors, is to develop the Custom Resource ID. This information is automatically provided from the DRRS to the applicable business unit that will then match this Registration information with the submitted Generator Resource Data Template. 12 Link directly to document at time of User Guide publication http://www.caiso.com/Documents/DemandResponseLocationRegistrationEnhancement-TechnicalSpecificationsv4REDLINED.pdf . If link is no longer working, search for document at CAISO.com. 13 Detailed information on the CAISO Resource Modeling process can be found at

http://www.caiso.com/market/Pages/NetworkandResourceModeling/Default.aspx



http://www.caiso.com/market/Pages/NetworkandResourceModeling/Default.aspx

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Example 2 (applicable for a PDR or RDRR): A DRP requests a custom Resource ID for 4 end use Loads that have the same LSE and are located in the same Sub-LAP. Based on historic Load of these 4 end use customers, 80% of the Load is connected to Bus 1 and 20% of the Load is connected to Bus 2. Here is how it will look:

Customer LSE Sub-

LAP Location Registration GDF Custom DR Resource ID

1 A PGF1 Bus 1 Reg 01 0.8 PRMNTE_6_PDRC01 2 A PGF1 Bus 1 Reg 01 PRMNTE_6_PDRC01 3 A PGF1 Bus 2 Reg 01 0.2 PRMNTE_6_PDRC01 4 A PGF1 Bus 2 Reg 01 PRMNTE_6_PDRC01

Requesting a Custom Resource ID with Dynamic GDF If approved by the CAISO to do so, a DRP may submit GDFs as part of its Bid for a given PDR or RDRR. In order to be eligible to submit GDFs as part of a Bid, the DRP must request and receive approval from the CAISO to dynamically Bid GDFs. To request a custom GDF, please contact the PDR coordinator at [email protected] with the following information: Location of bus, and total MW. The custom GDF can be deployed based on the Master File deployment. Registration Levels

The CAISO will provide the ability to allow changes to the underlying end use Load customers without having to issue a new Resource ID to the DRP. Registration levels were created to allow flexibility for the DRP to revise its end use customers associated with a PDR or RDRR, without having to request a new Resource ID. The registration level will also allow easier application of the baseline, as will be explained below. The key aspect of the registration level is that the meter data for both the baseline and the event day will need to be submitted to the CAISO at the registration level of the Resource ID. The Demand Response Registration System allows the DRP to create registrations. These registrations must maintain the same standards as the overarching PDR or RDRR with underlying Load represented by the same LSE and located in the same Sub-LAP. Each registration must represent participation in the same market(s), and for


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a RDRR the registration must have the same real-time dispatch option (marginal or discrete) and seasonal term designation. Since Registrations can be effective dated, changes to underlying locations can be staged to maintain sequential confirmed Registrations for a given Resource ID minimizing risk of participation gaps for the PDR/RDRR. This allows for ongoing changes to occur at the registration level with limited impact to the effective date of the PDR or RDRR in the Master File when Registrations are changing based on underlying Location effective date changes. It is the DRPs responsibility to ensure that changes are made to the Master File to accurately represent their PDR/RDRR market participation capabilities including the resources PMax and or effective end date. The CAISO will take automated measures to identify and correct cases where there is an effective PDR/RDRR Resource ID in the Masterfile without a corresponding effective Registration in the DRS. This correction may include the end dating of the identified Resource ID. Any Master File update may take 10 business days to implement. The Masterfile maintains the discrete dispatch selection for RDRR resources. The discrete dispatch status may be selected once during a Reliability Demand Response Services season (winter/summer). A season is a 6 month period (summer and winter). Once selected, the status shall be maintained throughout the season. The discrete dispatch flag may be selected once within a season such that after the initial season selection, selection updates can be made ONCE in subsequent seasons.

• Summer season runs from June through September • Winter season runs from October through May

Additionally, for RDRR Masterfile set up the following requirements apply:

• Each RDRR must have a minimum of 500 kW of load reduction. • Each RDRR may choose a Discrete Real-Time Dispatch Option once each

season. Non-selection defaults RDRR to the Marginal Real-Time Dispatch Option which must remain until the end of the season.

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• The maximum load curtailment for a resource that selects the Discrete Real-Time Dispatch Option shall be no larger than 50 MW. There is no maximum for RDRR selecting the Marginal Real-Time Dispatch Option.

• Each RDRR must reach its maximum load curtailment within forty (40) minutes after it receives a Dispatch Instruction, and must be capable of providing Demand Response Services for at least four (4) consecutive hours per Demand Response Event.

• Each RDRR must have a minimum run time of no more than one (1) hour.

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Telemetry Telemetry is a requirement of market participation for a PDR with a rated capacity (Pmax) greater than or equal to 10 MW. It is also required for a PDR that requests certification to provide non-spinning and spinning reserve at any rated capacity (Pmax). Once the DRP submits a Generating Resource Data Template to the Masterfile to change or obtain a PDR resource ID, the request is reviewed to determine if the resource will require telemetry. If it is determined that this is the case, the DRP will be requested to submit information to initiate the Resource Modeling process. The following additional information may be requested for a PDR that requires telemetry. This request will be initiated upon review of a submitted GRDT.

Telemetry and/or Custom Resource ID

Project Details submitted to [email protected] upon receiving it from DRP Yes, applicable for PDR telemetry

IFC Electrical Drawings Document Title: SLD (See Guide Above) Yes, applicable for PDR telemetry

Telemetry

Communication Block Diagram Document Title: CommBlock (See Guide Above) Yes, Applicable for PDR telemetry request

AT&T IP or ISP static address Document Title: RIGDetails (See Guide Above) Yes, Applicable for PDR telemetry request

Resource owner approval of the RIG Database spreadsheet of required telemetry points** Document Title: InitialRIGDB

Yes, Applicable for PDR telemetry request for PDR

Control Room Info - 24/7 contact information Document Title: 24HourContact Required

Device Certificate Request Form for RIGs Yes, Applicable for PDR telemetry request

Email notification from resource owner stating site has witnessed and approved of the RIG pretesting.

Yes, Applicable for PDR telemetry request Note: Demand Response Provider notification as resource owner

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Email notification to schedule CAISO end-to-end test Yes, Applicable for PDR telemetry request

CPS Subscriber Agreement for Remote Intelligent Gateways

Yes, PDR telemetry Note: one agreement will be applicable for multiple resources

Network Connectivity Security Requirements and Agreement Document Title: ECN Agreement (See Guide Above)

Yes, PDR telemetry Note: one agreement will be applicable for multiple resources

Telemetry testing completed Yes, Applicable for PDR telemetry

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Demand Response System (DRS) The Demand Response System (DRS) incorporates post market functions for PDR/RDRRs including Meter Data submission, Baseline calculation and the calculation of the Demand Response Energy Measurement for those resources with registration selecting the 10 in 10 Performance Methodology. Access to the system will require prior authorization and a digital certificate.14 DRS access is required for a DRP to view Registrations transferred from the DRRS, view and download relevant meter data15, supporting baseline information and performance data for their PDR/RDRR(s). DRS access is required by the DRP’s SC to submit and upload relevant meter data for the DRP’s they represent. The DRP’s SC may grant the DRP their user role access for meter data management, however, requests for this access must be made by the DRP’s SC. Additionally, DRS access is required by the LSE’s SC to view and download performance information on PDRs and RDRRs associated to the LSE they represent. The DRS provides a UI for the DRP(s) to view their Registrations and post market performance information of Resources associated to their Registrations. It also provides both UI and API for the DRP(s) to submit and download meter data for their management of Settlement Quality Meter Data submissions.

14 See “Application Access” section for detail on obtaining DRS access. 15 Market Simulation will only support Registration View capability, no changes to Meter Data Submittal, Event and

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User Roles There are multiple UI user roles for the DRS. The following provides a list of UI roles and permissions:

LDAP Permission Name UI Permission Name Description

app_drs_read_registration Read Registrations View Registration data

app_drs_read_meterdata Read Meter Data View meter data

app_drs_read_settlement Read Settlements View event and performance and compliance data

app_drs_manage_all Read All View Registrations, events, performance and meter data

app_drs_manage_registration Manage Registrations Manage Registrations

app_drs_manage_meterdata Manage Meter Data Manage meter data

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Additional information is available on the CAISO Release Planning Web page under the 2016 releases>Independent2016releases>Enabling demand response registration system enhancements-phase2 http://www.caiso.com/informed/Pages/ReleasePlanning/Default.aspx DRS User Interface (UI) Registration Management 16 Registration Management

The Registration tab provides the DRP a view of all the Registrations created within the DRRS and submitted for transfer to the DRS with a Confirmed Status. Registration information is only viewed in the DRS, all of the location information for this registration remains in the DRRS. Filtering of Registrations available in free form or as drop down selection for some column headers

The DRS Registration ID will be the same as the Registration ID assigned in the DRRS except that it will be proceeded by the letter R.

16 Upon implementation of 2016 DRS Enhancements, the Location tab will no longer be available in the DRS.

Multiple screen shots illustration in the following section may reflect pre-enhancement DRS UI.

Registration ID hyperlink

http://www.caiso.com/informed/Pages/ReleasePlanning/Default.aspx

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Clicking on the Registration ID hyper Link will provide a view of Registration Details. The Registration details view WILL NOT include location information for the selected Registration. Location information does not transfer from the DRRS.

The Registration Details Action drop down will include Search functions for Events, Compliance and Performance.

All other tab information remains available in the DRS for each Registration.

Location information does not transfer from DRRS.

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DRS Registration Statuses

Status Description

Confirmed Registration has been submitted to DRS from DRRS

Terminated Registration has been end dated

Event Management

The DRS provides the DRP with the ability to view PDR and RDRR Event information. An Event Search is available for the DRP to compare CMRI data against “EVENTS” that have been created in the DRS within a few days of the resource market award or dispatch.

The DRP selects the Event tab to view and search on all Events created for Registrations with a PDR or RDRR that is actively participating in the markets. Events are created when the PDR or RDRR receives a Day Ahead award or is dispatched in Real Time. Events are defined at the Resource level, the DRS converts the resource awards and dispatches into Events for each effective Registration.

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A DRP may use the Event Search to compare CMRI data against “EVENTS” that have been created in the DRS within a few days of the Trade Date in which the PDR or RDRR received an award and/or dispatch. An End of Day Event Job Processing will create the new or update previously created events with the most recent market results provided to the DRS. The Event Search tab provides user ability to export Events to an Excel file.

Export example:

Market result are obtained by the DRS within a few days and automated jobs run nightly, therefore, if the DRP observes that there is NOT an “Event” created in the DRS within a few days of market activity they should alert the CAISO by submitting an inquiry ticket or by emailing [email protected] .

DRS Event Statuses The following are all Event statuses visible on DRS Event Search, but may not be applicable.

Status Description

Settled Event has been processed and the associated performance or compliance record has been created, updated or cancelled.

New An Event record has been created but processing by the End of Day job has not completed. Events with this status should not normally occur.

Canceled Event is no longer valid based on updated market results data processes subsequent to event creation

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Completed Event has been processed by the Real Time job, and is ready for processing by the End of Day job

Confirmed Event has been created but corresponding compliance or performance records have not been created.

Error An event record has been created but processing by the End of Day job has not completed. Events with this status should not occur in normal operation.

Searching for Events Select the Events menu tab to get to the Event Search screen for all Registrations or select the Action dropdown in the Registration details screen to search Events for a specific Registration. The Event Search screen presents a list of events that the user is authorized to view. The user can filter the list by entering or selecting filter criteria in the fields with a yellow background, or sort it by clicking on the sort hyperlink. Details of a specific event can be viewed by clicking on the hyperlink in the “Event ID” or “Date” column. Event Screens Event Screens identifies event days. Event days for a resource are any days that have active OMS outages, or where a resource has been dispatched for ancillary service, or for energy only in the Day Ahead (DA) or Real Time Market (RTM). Event Search Screen The Event Search screen provides users with a list of events initially sorted by the most current date. Users will be able to sort events by writing queries or using predefined queries in the yellow search screens.

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Users can also download the data by clicking on the download button located on the top right corner of the screen. The Event Screen list the following information for each event: ID – Generic Event ID created by the DRS Date- The data the Event occurred Event Type- Lists one of three event type Resource Outage: Event is a result of OMS outage AS non Spin: Event is a result of resource AS N-Spin Dispatch

Schedule Energy: Event is a result of resource being dispatched for Energy Status- Status will always be “Settled”

Reg ID- Registration ID tied to the Event

Registrations Name- Registration Name identified in the Registration Details page during registration process.

Begin (hh:mm)-Beginning time of the event. End (hh:mm)- Ending time of the event. PDR Resource- Resource ID affect by the event

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DLAP Resource- DLAP Resource ID in which the event took place. DRP- DRP ID affected by the event LSE- LSE ID affected by the event UDC- UDC ID affected by the event SubLAPs- SubLAP the event took place in. Event Detail Screen To access the Event Detail screen a user must click on the Event ID hyperlink of the event they wish to see.

The Event Detail screen allows user to view information about the Scheduled Dispath.

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User will be able to deterimine the:

Modified Date- the date and time the event processing was run. This is normally an automated process that occurs at the end of each day.

Start Time – The start time of a Event End Time - The end time of a Event

Dispatch Status – Normally Active, should not show any other status. The Scheduled Dispatch table can contain many sets of data, for example if resource was dispatched multiple times a day, then the table will show each those dispatches. The Event Details screen also provides users information about: Event Type- Lists one of three event type Resource Outage: Event is a result of OMS outage AS N-Spin Dispatch: Event is a result of resource being dispatch for AS

Schedule Energy: Event is a result of resource being dispatch for Energy

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Operating Date- The data the Event occurred Begin Time- Beginning time of the event End Time- Ending time of the event Status- Status will always be “Settled” Registration ID- Registration ID tied to the Event

Customer- Registration Name identified in the Registration Details page during registration process.

DRP- DRP ID affected by the event LSE- LSE ID affected by the event UDC- UDC ID affected by the event SubLAPs- SubLAP the event took place in. PDR Resource- Resource ID affect by the event DLAP Resource- DLAP Resource ID affected by the event.

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Meter Data Management

Upon receipt of a PDR or RDRR Resource ID and its approval by the CAISO in the DRS, forty-five (45) calendar days of historical load Meter Data can be submitted at one time into the DRS as part of the registration process or may be submitted at a later time. Baseline and Event Day Meter Data is required for the PDR or RDRR using the Customer Baseline Performance Methodology in order to calculate a Demand Response Energy Measurement for an event. If either Event Day or historical baseline Meter Data is absent, the PDR or RDRR will have no Demand Response Energy Measurement calculated for Settlement. PDR or RDRR Resources with a registration selecting to use the Metering Generator Output Methodology or combine the use of both the Customer Load Baseline methodology and the Metering Generator Output methodologies, are not required to submit forty five (45) calendar days of historical Meter Data. Meter Data submitted for these registrations will represent a pre-calculated Demand Response Energy Measurement for an event and will, therefore, be submitted for the Event Day only. SQMD must be submitted to the DRS as load for those registrations that have selected use of the Customer Load Baseline methodology. PDR or RDRR using behind-the-meter generation to offset Demand may submit load meter data reflecting the total gross load consumption, independent of any offsetting Energy produced by separately metered behind-the-meter generation, for use in the Customer Load Baseline Methodology. Submittal of SQMD is required for all underlying load, or scaled to represent all underlying load when submitting virtual SQMD (statistically sampled and derived), at the registration level for the PDR or RDRR Resource ID. SQMD must be submitted to the DRS as generation for those Registrations that have selected to use the Metering Generator Output methodology or for those registrations

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that have selected to combine the use of both the Customer Load Baseline and the Metering Generator Output Methodologies at any given location. Meter Data submission must follow the timelines set forth in CAISO Tariff Section 10 and the CAISO published settlement calendar. Preparing Meter Data The User must submit all meter data in XML format. The XML format details are listed on “Technical Interface Specification for DRS Exchange Services” located on www.caiso.com. Listed below is a table of the XML file schema for submitting the Load or Generation data to the DRS.

http://www.caiso.com/

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Example 5: Below is a PDR Meter Data in XML format example.

In the XML file the user must identify the Resource ID.

The User must also identify the Registration Number. In this example the file is for Registration R2052. The XML file must omit the R, and only show 2052. All meter data must be submitted on KWH. The measurement field should be set to LOAD or GEN depending on the baseline methodology chosen for the Registration. The Interval Length should be set to 60 if the registration is only in the Day Ahead (DA) market. If the registration is in the Real Time (RT) market, or provided Ancillary Service (AS) they must submit 5 minute interval data and the Interval length should be set to 5. All meter data must be submitted in GMT.

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A Test XML file for meter Data submission is available at http://www.caiso.com/Pages/documentsbygroup.aspx?GroupID=6A0B3CBD-4EE0-4BCD-B44F-CBB9E711D31F

Slide 1

Resource ID

Registration ID

Measurement Units

Measurement Type

Interval Length

Time

Value

http://www.caiso.com/Pages/documentsbygroup.aspx?GroupID=6A0B3CBD-4EE0-4BCD-B44F-CBB9E711D31F


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Submitting Meter Data To submit Meter Data the User will need to log into the DRS and click on the Meter Data menu. The User must then select Meter Data Management.

The User must then select Load from the Meter Data Type drop down box.

To upload your meter data press the Browse button, a file selection menu will pop up which will allow the User to navigate to the file they wish to download.

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The User must select the file the wish to upload, and then click the Open button. The file will automatically upload; it will take between 1 to 5 minutes based on the user’s connection speed. When upload is complete, the DRS will open a pop up window that will allow the User view the meter data they submitted. 60 Minute interval examples

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5 Minute interval example

Comma separated value, for 12 intervals in each HE

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The pop up window will display:

Registration – The Registration ID of the meter the User is submitting the meter data for. For example this meter data is for R2052 ReadingDate – The interval start time of the meter data. For example, the boxed row, the meter data reading began at 12/31/2009 16:00:00 HourEnding – The Hour Ending interval for the data set. For example the boxed row, the meter data is for interval 17

IntervalMinutes – Identifies the length of each interval. In this example all intervals are 60 minutes.

ReadingType – Identifies the Reading Type. In this example the data is hourly.

UOM – Identifies the engineering units for each interval. In this example the units are KWH. Reading – Total generation for the interval. In the boxed example, the total generation is 1 KWH

Message – List any messages for each interval. To move through the different pages click on the button to move to the next page, or

to move back to a previous page. To move to the first or last page of the submission, click or buttons. The User can also select on the individual numbers to navigate through their meter data. If everything is accurate the User can click on the Save button. If the User finder errors, or may have accidently submitted to wrong file, the User can click on the Cancel button.

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Downloading Meter Data

To retrieve Meter Data the User will need to log into the DRS and click on the Meter Data menu. The User must then select Meter Data Management.

The fields that need to be filled out to download meter data are:

PDR Resource – The resource ID you wish to download the data, for example SDG1_1_PDR01

Registration Ref. # - The registration number of the Registration, for example R1001

Date Range – The date range the User wish to view meter data for. From – Start date to view meter data To – End date to view meter data MeterData Type- Determine meter data type.

Load – See meter data summarized for each hour or 5 minutes based on what was submitted.

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Generation Reduction –Download the reduction calculation

Generation Baseline- Download the baseline calculation

Date As of- Used for Meter data version, the date in which the meter data was submitted. The meter data file that will be retrieved is effective as of the date and time entered.

Date – Date in which meter data was submitted. Time – Time in which meter data file was submitted The User must list the Registration Ref # they wish to view. The User must list the Date Range they wish to view the data for, and the MeterData Type. The User must select Hourly Reading.

When complete the User must click on the Generate Report button. A File Download pop up will appear giving the User the option to Open, Save, or Cancel.

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The output file will be an XML file, and can be viewed using Excel.

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Meter Data Submission Search The meter data submission screen tracks who, when, and what records were submitted to the DRS. To access the Meter Data Submission screen, users must click on the Meter Data Menu and select Submission Search from the dropdown menu.

The User will be able to view all the data submitted for their registrations. Users can download the search results by clicking on the download button located on the top right hand corner. The Submission Search screen allows users to view:

ID- Submission ID of the meter data generated by the DRS Submission on- To time the meter data was submitted to the DRS Org- The organization that submitted the meter data to the DRS User- The user that submitted the meter data to the DRS Records- The number of records or intervals submitted to the DRS Reading From- The start date of the meter data submitted to the DRS Reading To- The End date of the meter data submitted to the DRS

User will be able to filter by any of the above fields except Reading From and Reading To.

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To get details on the meter data that was submitted, users can click the submission ID number for the submission they want to view.

This will take the user to the Meter Data Search screen, and it will be auto filtered by the submission ID.

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Meter Data Search The Meter Data Search screen lists all the meter data submitted by a user. To access the screen the user must click on the Meter Data menu and select Meter Data Search

The screen will be blank and the user will have to define a Start and End Date, or a Submission ID to populate the screen. The meter data Screen lists:

ID- The meter data ID given for each hour, each hour will have a different meter data ID, regardless of if the meter data was submitted in a single batch file. Date- The start date of the meter data HE- Hour Ending Interval Reg ID- The registration ID associated with the meter data Resource- The resource ID associated with the meter data Min- The granularity of meter data, if it is submitted in 60 minutes of 5 minute intervals DRP- the DRP associated with the meter data LSE- the LSE associated with the meter data LSE SC- the LSE scheduling coordinator associated with the meter data Sub ID- the submission ID associated with the meter data

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kWh- the total kilowatts per hour associated with each hour 5…00 – if the users submits 5 minute meter data, it will be stored in these 12 fields based off of interval ending times. Users will be able to filter off any of the above fields except for kWh and 5…00.

To get started, users must either select to From and To dates they want to view the meter data, located on the top left corner of the screen, or the meter data submission ID which will be entered in the Sub ID field.

Users can the download the data by clicking on the download button on the top right corner of the screen. User can get more details on submission information of a particular set of meter data be click on the submission ID located under the Sub ID column.

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Common Errors

3404 – Uploaded file should contain 29 columns • The User did not upload and XML format file, or did not configure the file

correctly. The User should review their file and submit. 3432 – Start Date for Meter Data is required. Please select a value

• The User did not select a Date range. 3438 – Registration not found

• The User did not select a Registration ID, or failed to select an existing Registration ID. This also includes expired registrations.

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Error Example: If you do not properly submit meter data an error message will appear in the message column. It will indicate the reason the interval failed to process. The User will not have to option to save the meter data. In this example the User submitted a duplicate interval.

Submitting for Expired Registration, the User will receive a notice in the Message column stating the registration has expired. Performance Management The Performance Search screen can be used to verify that the performance calculation has run successfully after the automated job initiated on T+9, T+49 and T+172 (Trade date + Business days) after the scheduled meter data submittal deadlines of (T+8, T+48, T+168). Both Event and a complete set of Meter Data (historical and event actual) must be available in the DRS to have a successful performance calculation at the DRS processing scheduled times. The Performance Calculation will not be re-run until the next automated job. Therefore, there may be missing Performance data in DRS if either of these conditions are not met:

1. An Event has been created and is in the Settled status 2. A full set of meter data needed has been successfully uploaded prior to the

scheduled Performance calculation The last version of meter data received by the DRS prior to the scheduled calculation will be used for the automated performance calculation and new meter data will not be processed until next calculation.

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There is additional Performance detail information by Registration available via the UI. This is provided to the user as a means to monitor their PDR/RDRR market activity results against the Resource settlements.

Searching for a Performance To view a particular CBL and access the Performance Search screen the user must click on the Performance button.

The User can search for their registration by typing their registration ID in the Reg Id field.

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The result will show the resources different resource performance by ID and date. Users can also download the data by click on the download button located on the top right corner of the screen. To access the Performance Detail screen the User must click on the ID or the Date of the performance. Performance Detail Screen The Performance Detail Screen List the: DRP- the DRP ID

Registration ID- the Registration ID hyper link which like back to the Registration Detail screen. Status-the status of the performance

New- performance calculation job has never been performed, or the performance calculation has been attempted but there was no meter data for the calculation to complete

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Confirmed- performance calculation job ran and performance was successfully calculated and ready for settlement Incomplete- performance calculation was attempted but meter data was insufficient to do the calculation when the job was run the last time Cancelled- indicates that all the settlement intervals in the performance were deleted/cancelled

LSE- the LSE ID associated to the registration Customer- the Name of the registration Performance ID- the ID for this Performance UDC- the UDC ID Event Date- the date this performance was run PDR Resource- the PDR Resource ID for this registration

The Detail Tab shows the meter data and the performance for the resource for the listed day. In this example, the event day is 3/30/2010 for the registration SCEC_1_PDRP01. The Detail Tab shows:

HE – Hour Ending

Market- the market the resource is participating in DA-day ahead market RTM-Real time market Load-the Resource’s load for that hour in Kilowatt hours Baseline- the baseline for that hour in Kilowatt hours

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Gen Qty- The generation quantity in Kilowatt hours, if the resource was dispatched the generation quantity would show a positive number.

Downloading CBL To download the CBL the User must click on the Generate Report button.

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A pop up window will appear indication if the User which to: Open- opens the CBL summary without saving it. Save- will let the User identify the locations they wish to save the file Cancel- Closing the window without saving or opening the file.

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CBL Summary File

The Excel file should look similar to the screen shots below

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Meter Data Download

The User can download the Meter data used in the CBL calculation by clicking on the Meter Data button.

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To retrieve the meter data click on the Generate Report button. A pop up window will appear indication if the User which to: Open- opens the CBL summary without saving it. Save- will let the User identify the locations they wish to save the file Cancel- Closing the window without saving or opening the file.

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The Excel Spreadsheet should look similar to the one below:

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Meter Data Upload

The DRS does give the User the option to upload Meter data through the Performance Detail under the Meter Data tab CAISO recommends using the process defined in the Meter Data Management section of the User Guide.

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Compliance Screens The Compliance screens allow users to view the details of an AS dispatch. Users will be able to view all variables, such a baseline, and raw load, to calculate the load reduction.

Compliance Search Screen The Compliance search screen lists all ancillary service dispatches, non-spin and spin, for each resource. Users will be able to sort events by writing queries or using predefined queries in the yellow search screens.

Users can also download the data by clicking on the download button located on the top right corner of the screen. The Compliance Screen lists the following information for each event: ID – Generic Compliance ID created by the DRS Date- The data the Compliance Event occurred Start Time- Start Time of the AS award

Compliance Type- Lists one of three event type AS No-Pay: always set to AS-No Pay

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Status- Status of compliance New- if it is a new compliance event and meter data has not been submitted to calculate load reduction. Confirmed- Changes status after meter data for event day is submitted and baseline calculated

Customer- Registration Name identified in the Registration Details page during registration process.

Reg ID- Registration ID tied to the Event

SubLAP- SubLAP the event took place in.

PDR Resource- Resource ID affect by the event DLAP Resource- DLAP Resource ID in which was affect by the event. DRP- DRP ID affected by the event LSE- LSE ID affected by the event UDC- UDC ID affected by the event

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Compliance Detail Screen

To access the Compliance Detail screen a user must click on the Compliance ID hyperlink of the event they wish to see.

The screen gives users more on what values were used to calculate the load reduction. It is divided into 5 tabs: Details, Meter Data, Locations, Comments, Data History. The screen will always open with the Details tab.

The Compliance Detail Screen lists the following information for each event:

DRP- DRP ID affected by the event

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Registration Id- Registration ID related to the event

Event Date- The date the Compliance Event occurred

Status- Status of compliance New- if it is a new compliance event and meter data has not been submitted to calculate load reduction. Confirmed- Changes status after meter data for event day is submitted and baseline calculated.

LSE- LSE ID affected by the event Customer- Registration Name identified in the Registration Details page during registration process. Begin Time- Start Time of the AS award

UDC- UDC ID affected by the event

SubLAP- SubLAP the event took place in.

End Time - End Time of the AS award

It also gives users a table that shows detail information of the AS event, listing:

Date- The Date and the start time of the AS dispatch, shown in 5 minute intervals

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Start Time- The start time of the AS dispatch interval

End Time- The end time of the AS dispatch interval Load (kWh) - The load in kilowatt hour for the current interval Baseline- The calculated baseline with the current interval Reduction (kWh) - The load reduction in kilowatt hour for the current interval

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Compliance Meter Data Screen The compliance meter data screen list: Method – method used to calculate the load reduction

Summary – summary what process occurred and if there were any errors.

Status – The current status of the event. The event will read successful if the data is available and load reduction calculation was performed successfully. Valid as of – List the time with the calculation was run, and load reduction was calculated successfully.

The Generate Report Button allow users to download the calculations used for load reductions.

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Summary Tab

The summary tab gives basic information about the Event and what values are used to calculate the load reduction. Meter Data Tab

The meter data tab shows the meter data reading used in calculating the load reductions. The Download Meter Data button allows users to download the meter data in a XML format that was used to calculate the load reduction for this event.

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Compliance Location Screen The compliance location screen shows the locations linked to the registration that had an AS dispatch. To access the location details the user can click on the location name hyperlink.

This screen also shows the UDC Account # for each location.

Compliance Comment and Data History Screen

The Comment screen is a generic screen that all users that have access to that screen can post messages about a particular compliance event. The Data History Tab, list key updates to the Compliance events. For example when the compliance event first occurred, and when the CBL calculation and load reduction was successfully calculated.

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The screen lists the time and date or all major occurrences. Aggregation Screens The Aggregation Screen provides users a view of 5 minute data aggregated up to a PDR resource level of a DLAP.

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PDR Aggregation

To access the PDR aggregation screens, a user must click on the Resource menu and select the Aggregate PDR Search from the drop down.

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The PDR Aggregation Search lists 5 minute aggregation for each PDR resource ID for each aggregation type. Users will be able to view the following information for each 5 minute aggregation type: ID- Generic Aggregation ID assigned by the DRS

Trade Interval- the Interval Ending time period Aggregate Type-

5 Min Compliance: shows aggregation for a compliance event 5 Min Performance: shows aggregation for a performance event 5 Min Load: shows aggregation for submitted meter data

PDR Resource- identifies the PDR Resource ID DLAP Resource- identified the DLAP this aggregation is assigned to

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kWh- shows the total kWh of load of load reduction for compliance and performance events, and the total load based on the aggregation type.

Version Date- shows when the aggregation was run, and the time period it is valid for. DRP- identifies the DRP associated to the aggregation. LSE- identifies the LSE associated to the aggregation. SubLAP- identifies the SubLAP associated to the aggregation.

User will be able to filter the Display by any of these fields. Users can also download the data by selecting the download button located on the top right corner of the screen.

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To view details on the various aggregations, users can click on the ID field. It will take user to the different search screen based on the aggregation types. If a user clicks on a 5 Min Compliance aggregation ID, it will take them to the Compliance Search Screen.

If a user clicks on a 5 Min Load aggregation ID, it will take them to the Meter Data Search Screen.

If a user clicks on a 5 Min Performance aggregation ID, it will take them to the Performance Search Screen.

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DLAP Aggregation To access the DLAP aggregation screens, a user must click on the Resource menu and select the Aggregate DLAP Search from the drop down.

The DLAP Aggregation Search lists 5 minute performance aggregation for each DLAP for each aggregation type. Users will be able to view the following information for each 5 minute aggregation type: ID- Generic Aggregation ID assigned by the DRS

Trade Interval- the Interval Ending time period Aggregate Type-

5 Min Compliance: shows aggregation for a compliance event 5 Min Performance: shows aggregation for a performance event 5 Min Load: shows aggregation for submitted meter data

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DLAP Resource- identified the DLAP this aggregation is assigned to kWh- shows the total kWh of load of load reduction for performance events.

Version Date- shows when the aggregation was run, and the time period it is valid for. SubLAP- identifies the SubLAP associated to the aggregation. LSE_SC- identifies the LSE Scheduling Coordinator associated to the aggregation.

User will be able to filter the Display by any of these fields except kWh. Users can also download the data by click on the download button located on the top right corner of the screen.

To view details on the 5 Min Performance aggregations, users can click on the ID field. It will take user to the 5 Min Performance search screen based on the aggregation types.

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DRS Calculation Insights This section provides users a step-by-step guide on the how the DRS processes Event and Meter data in developing the baseline and demand response energy measurement for the PDR/RDRR representing their load reduction during an Event. Getting the Data for baseline Calculation The user must go to the Performance Details of a registration to view the DRS calculation for the Baseline and load reduction.

Click on the CBL calculations tab to view what days are used in the CBL, and download the CBL summary.

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The CBL Summary gives user the different components for calculating the Load reduction.

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Calculating Raw Baseline Next we will calculate the raw baseline. The raw CBL is the average for each hour taken for 10 like days.

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Calculating Load Point Adjustment

Using the same data for the example above, the load point adjustment for HE 14 is calculated as follows

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Calculating the Load Reduction using Baseline Demand Response Energy Measurement is the Energy quantity calculated by comparing the Customer Baseline of a Proxy Demand Resource or Reliability Demand Response Resource against its actual underlying Load for a Demand Response Event.

Note: The term Demand Response Energy Measurement was previously referenced as PDR Performance Measurement.

Using the same example, the load reduction is calculated as followed.

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Meter Before and Meter After Meter before and meter after calculation occur as followed:

Baseline was determined by the load for 0240 interval and applied to the entire AS compliance event. Baseline: 1240.48

Load Reduction = Baseline - Load

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Outage Management System (OMS) Submission

In regards to PDR/RDRR resources, OMS outages can be submitted for the following: a PDR/RDRR resource for short term outages, to remove them from the market due to exceptionally low load, or is unable to provide AS

A scheduling coordinator can also submit long term outages for 6 months or greater if they want to temporarily remove a PDR/RDRR resource from the market without the need to update or reregister the resource later. PDR/RDRR resources are allowed to have outages but will be limited to the following:

update to a resources ramp rates, or modifying the capacity to 0

PDR/RDRR resources are an all or nothing resource, which limits how much a resource can be derated. They are also prevented from submitting a rerated of their PMin. OMS is used to enforce these business rules. The system allows PDR/RDRR resource to submit only PMax derates or Ramp Rate derates. Any other data entered in OMS through either the UI or API for a PDR Resource ID shall return an error message. It also has a validation to restrict PMax derates entries for PDR/RDRR Resource IDs to be only 0 MWs. A PMax derate is used to indicate a day should not be used in the baseline calculation. Since a day is either valid or invalid, no partial derates are permitted. Any PMax value other than 0 MWs entered in OMS through either the UI or API for a PDR/RDRR Resource ID shall return an error message. Cause codes are no longer required. In order to keep a resource ID active and reduce the need to make updates to the CAISO Master File, the DRP using their scheduling coordinator can submit extended outages to derate their resource to 0 MW when they do not wish to participate in the market.

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Performance Evaluation Methodologies Background Demand response is a reduction in consumption relative to expected consumption. A baseline is an estimate of the expected consumption – i.e., the electricity that would have been consumed – had there not been a demand response event. The difference between the baseline and the actual consumption is the actual energy reduction a demand response resource delivered during the event. Because only the physical load can be metered (and not the demand response quantity), the result of the baseline calculation compared against the actual load during the ISO dispatch time horizon serves as the demand response energy measurement used by the ISO to financially settle the energy delivered (i.e., energy not consumed) from a demand response resource. The North American Energy Standards Board (NAESB), responsible for developing and promoting industry standards, published a standard for demand resource performance evaluation methodologies.17 It provided standard terminology and identified five broad types of performance evaluation methodologies:

1) Baseline Type-I: A baseline performance evaluation methodology based on historical interval meter data for a demand resource that may include other parameters such as weather and calendar data;

2) Baseline Type-II: A baseline performance evaluation methodology that uses statistical sampling to estimate the electricity usage of an aggregated demand resource where interval metering is not available on the entire population;

3) Maximum Base Load (MBL): A baseline performance evaluation methodology based solely on the ability of a demand resource to maintain its electricity usage at or below a specified level during a response event;

4) Meter Before/Meter After (MB/MA): A baseline performance evaluation methodology in which electricity demand over a prescribed period of time prior to

17 Measurement and Verification of Wholesale Electricity Demand Response – NAESB WEQ-015; July 31, 2012.

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resource deployment is compared to similar readings during the sustained response period; and

5) Metering Generator Output (MGO): A performance evaluation methodology in which the demand reduction value is based on the output of generator located behind the revenue meter for the demand resource.

The ISO tariff currently provides for three of these five NAESB-approved performance evaluation methodologies: Baseline Type-I (referred to as ISO Type 1), Baseline Type-II and Metering Generator Output. .

ISO Type 1 is the most commonly used baseline method for performance measurement of demand response resources among ISOs and regional transmission organizations. This method uses historical meter data from the facility to calculate the baseline for the demand response resource with defined selection rules including baseline window and exclusion days. It employs an adjustment method for aligning the preliminary baseline with observed load prior to the event to minimize baseline errors. The adjustment uses actual load data in the hours preceding the event to adjust the baseline to better reflect the variables that may not be represented in the historical data (e.g., the impact of weather on load). ISO Type 1 uses the 10-in-10 non-event day methodology as described in section 4.13.4.1 of the tariff, which utilizes both baseline selection and exclusion rules. Under this methodology, the ISO examines up to 45 days prior to the trade day to find ten “like” days. The ISO then calculates a simple hourly average of the collected meter data to create a load profile, which is the baseline used to assess the event-day load response quantity. A day-of adjustment capped at ± 20 % is applied based on an adjustment window preceding the resource dispatch.

ISO Type 2 provides for statistical sampling of a demand response resource’s energy usage data to derive the settlement quality meter (SQMD) data submitted to the ISO representing the total energy usage, in aggregate, for the demand response resource. It is best used for large, direct load control aggregations (e.g., residential A/C cycling) that are homogeneous, exhibit similar behavior, and where interval meter data is not available across the entire population. ISO Type 2, as described in section 10.1.7 of the tariff, allows for the submittal of SQMD for the aggregated resource to be estimated based on a representative sample of interval meter data scaled to represent the entire population of underlying service accounts.

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Customer Load Baseline Methodology

The Customer Load Baseline Methodology (CLB) will be calculated by the DRS as a value or values based on historical Load meter data in order to measure the delivery of Demand Response Services. The Customer Baseline (CBL) establishes a method for setting a customer’s baseline load, an estimate of how much electricity a customer would have used had it not reduced its use in response to Day-Ahead or Real-Time prices. The Customer Baseline of a PDR or RDRR is compared against its actual Load during times it receives a market award or dispatch, referred to as a Demand Response event, in order to calculate the Demand Response Energy Measurement. 10 in 10 non-event day selection method

The following section specifies the methodology employed to calculate the Customer Load Baseline for determination of PDR or RDRR performance.

• 10 in 10 non-event day selection method (an average of the load in the last 10 eligible days)

Customer Baseline Window

• The Customer Baseline window for Meter Data will be 45 calendar days from which the 10 most recent eligible days will be selected.

• The selection of Customer Baseline data will include a number of the most recent days, excluding different day-types and previous events days (definitions below)

• Two different day-types will be supported:

o Weekday (Monday through Friday)

o Weekend/Holiday (Saturday, Sunday, or any NERC holiday)

A previous event day is a day on which there was either a PDR/ RDRR event or an Outage recorded in OMS. Previous event days are specific to the PDR or RDRR. The following table specifies under which conditions a PDR or RDRR is considered to have an “event day”.

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Market Participation Status Event Day

Day-Ahead Schedule (Expected Energy) yes yes

Real Time Energy Dispatch (Expected Energy) yes yes

AS Capacity Award only (PDR only)

yes no

AS Energy Dispatch (PDR only)

yes yes

RUC Capacity Award only

yes no

Outage (Expected Energy) yes yes

Non-CAISO Reliability Dispatch (RDRR only) (Expected Energy)

yes yes

• The selection of Customer Baseline days is performed by iterating backward through the acceptable days prior to the event day.

• Once the target number of days is reached, selection ends.

• If the target number of days is not reached, but the minimum number of days is reached, the Customer Baseline is calculated on the selected days (see below).

• If the minimum number of days is not reached, the highest usage prior event days within the Customer Baseline window will be used to reach the minimum number of days. The highest usage event days are defined as the highest totalized load for the resource during event hours.

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• Target & minimums are defined as:

Weekday Weekend/Holiday

Target 10 4

Minimum 5 4

• There is no elimination for “abnormally low” or “abnormally high” usage days.

• The Customer Baseline shall be calculated as a simple hourly average of the selected days’ Meter Data. (Note: five-minute Meter Data received for the selected days will be converted to hourly data for the purposes of calculating the Customer Baseline, as calculation is based on the average MWh consumption for each hour of the event period across all the selected days).

• The Customer Baseline will be calculated at the registration level to facilitate versioning of the underlying customers in a registration.

Load Point Adjustment

• The Customer Baseline calculation will include a symmetric multiplicative adjustment, morning adjustment, unless otherwise requested by the DRP and approved by the CAISO.

• The multiplier will be calculated by averaging at the 4 hours prior to the event, excluding the hour immediately prior to the event start and defined as the ratio of the average load for these 3 hours relative to the same 3 hour average of the Customer Baseline calculation data set. The same multiplier will be applied to each hour of the event.

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• The multiplier will be capped at both a 20% increase (load ratio = 1.2) and a 20% decrease (load ratio = 0.8).

The following provide various Load Point Adjustment examples:

Example 7: Event Day/Hour: August 15, 2010 – HE 16

Load Meter Raw Baseline

HE12 11 14

HE13 10.2 14.2

HE14 12.5 15.5

Average 11.23 14.57

Load Point Adjustment Ratio = PDR or RDRR Meter/Raw Baseline

= 11.23 / 14.57

= .7707 or 77.07%

= 80%

Load Point Adjustment uses a floor of 80% as multiplier against raw Customer Baseline to establish adjusted Customer Baseline

Example 8: Event Day/Hour: November 15, 2011 – HE 16


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HE12 18 15

HE13 19.2 15.2

HE14 20.75 16.5

Average 19.32 15.57

Load Point Adjustment = Meter/Raw Baseline

= 19.32 / 15.57

= 1.24 or 124%

= 120% Load Point Adjustment uses a ceiling of 120% as multiplier against raw Customer Baseline to establish adjusted Customer Baseline

Example 9: Event Day/Hour: August 15, 2011 – HE 12, 13, and HE18



HE08 16 15

HE09 16.5 15.2

HE10 17. 5 16.5

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Average 16.67 15.57


= 16.67 / 15.57

= 1.07 or 107%

A Load Point Adjustment of 107% will be applied as multiplier against raw Customer Baseline to establish adjusted Customer Baseline for HE12 and 13.


HE14 16 17.13

HE15 16.5 17.25

HE16 17. 5 17.67

Average 16.67 17.35


= 16.67 / 17.35

= .96 or 96%

A Load Point Adjustment of 96% will be applied as multiplier against raw Customer Baseline to establish adjusted Customer Baseline for HE18.

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DRS calculation - Customer Baseline and Demand Response Energy Measurements

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The following details the calculation of raw and adjusted baselines and the Energy measurements used in the settlement of PDR or RDRR:

Baseline Variables

r = registration

e = event day

d = historical basis day (days used for the baseline)

h = hour (hours of the defined event)

m = 5 minute interval (0,5,10…55)

x = discrete AS dispatch event for a PDR

n = number of 5 minute intervals in the specific AS dispatch event

Adjustment Variables

s = adjustment window size (always 3)

t = adjustment window offset (always 2)

i = adjustment window start hour (for the defined method, this is always min(h) – 4 )

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j = adjustment window end hour (for the defined method, this is always min(h) – 2 )

Raw Baseline

A raw baseline for the registration (r) for a given PDR or RDRR for the event day for each event hour using the historical basis days identified through the iterative process is calculated first:

Raw Baselinereh= (1 / (count (d)) * ∑d Loadrdh

Where Load is the SQMD submitted for underlying Load at the registration level for the PDR or RDRR Resource ID.

Next, the adjustment ratio is calculated which will be used for this registration for the entire event day based on the first event hour of the day. Note that h (the event hours) are those for the entire PDR or RDRR, and are thus the same for all underlying registrations that are effective on the event day.

i = min(h) – s - t + 1

j = min(h) - t

If ( i<1 )

o then Adjustmentre = 1

o else Adjustmentre = max( 0.8 , min( 1.2, ∑h=i..j Loadrdh / ∑h=i..j RawBaselinerdh ) )

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Finally, the final adjusted baseline for the registration for the event day for each event hour is calculated.

Baselinereh= Adjustmentre * Raw Baselinereh (1 / (count (d)) * ∑d Loadrdh

Demand Response Energy Measurements (DR Energy Measurements)

Each registration will have its own generation curve, calculated as the difference between that registration’s baseline and the Load for the registration for each event hour.

Energyreh= Baselinereh - Loadreh

The PDR or RDRR totals will be based on the underlying registrations that are effective on the event day.

DRLoadeh= ∑rLoadreh

DRBaselineeh= ∑rBaselinereh

DREnergyeh= ∑rEnergyreh

Note, DREnergy = max (0, DREnergy)

DR Energy Measurement Adjustment for Real Time

For those time periods when a PDR or RDRR was RT dispatched during the event hour and 5-minute load data has been supplied for all underlying registrations for all whole event hours, the following Real-Time adjustment will be made to the DR Energy Measurement in order to simulate a Real-Time Energy curve. SQMD in Settlement Intervals of five (5) minutes must be submitted for all whole hours in which a PDR is

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awarded Ancillary Services (AS) and/or a PDR or RDRR is dispatched for RT Imbalance Energy.

DREnergyem= 1/12 * DRBaselinereh - ∑rLoadrem (for each m in h)

Note, DREnergyem = max (0, DREnergyem) for each m in h

The Real-Time adjustment calculates a DR Energy Measurement for each 5-minute interval by subtracting the 5 minute interval load from the pro-rated hourly baseline.

Example 9: Example of Real-Time UIE adjustment for a resource in Interval 15. Where PDR EM = DR energy measurement for PDR resource

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DR Energy Measurement and the Default Load Adjustment (DLA) will be calculated and presented in the UI (user -interface) at the 5' granularity with the UIE adjustment.

Example 10: Example noting that even if Hourly Performance > 0, there may be 5’ interval < 0 which will be set = 0

Where PDR EM = DR energy measurement for PDR resource

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As noted, in this example hourly performance is positive but small, and thus 5' performance is varied. All 5' performance intervals with negative energy measurement will be set = 0 as part of the UIE adjustment calculation logic. Both DR Energy Measurement and the Default Load Adjustment (DLA) will be calculated and presented in the UI (user -interface) at the 5' granularity with this UIE adjustment logic.

Default Load Adjustment (DLA)

When applicable, a Default Load Adjustment will be used to adjust the UIE Settlement of the LSE for the measured Energy of all PDR or RDRR associated with the LSE’s SC within a particular DLAP. The Default Load Adjustment will also be based on the underlying registrations that are effective on the event day within a given DLAP Load Resource ID.

DLADLAPresourceid = ∑DREnergyDLAPresourceid

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The DR Energy Measurement will be provided as a Generation quantity and the Default Load Adjustment data will be provided as a load quantity.

DREnergyem = 1/12 * DREnergyreh (for each m in h)

DLALoadem = 1/12 * DLAEnergyreh (for each m in h)

If a DRP’s SC fails to submit SQMD for a PDR or RDRR, then the CAISO will be unable to create a baseline or calculate the DR Energy Measurement for the resource even if it was an event day for that resource. Therefore, there would be no default load adjustment associated with the resource and there will be no adjustment made to the Meter Data of the SC Default LAP resource ID of the LSE for that particular PDR or RDRR which would have an impact to the UIE Settlement of the LSE in which the PDR or RDRR resided.

Additionally, the CAISO is indifferent to the treatment of Estimated Settlement Quality Meter Data and Actual Settlement Quality Meter Data submitted by the LSE’s SC for the DLAP Resource ID in which a PDR or RDRR may be associated. The CAISO will create a Default Load Adjustment and apply it to either the ESQMD or SQMD submitted. The Default Load Adjustment will also be applied to CAISO Estimated Settlement Quality Meter Data if applicable, in the event that no meter data is submitted by the LSE’s SC for the DLAP Resource ID by T+8B (see CAISO Tariff Section 10.3.6.2). The Default Load Adjustment will not be calculated, estimated, or be applied for the Initial Settlement Statement Calculation or for any Recalculation Settlement Statement Calculation for PDR or RDRR for which CAISO Estimated Meter Data is calculated.

Metering Generator Output Methodology

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The Metering Generator Output Methodology requires a second meter, or “sub-meter” to isolate the output from any behind-the-meter generation. Under this metering configuration, the MGO methodology provides for the use of this meter to calculate a Demand Response Energy Measurement based upon the load curtailment provided by that behind-the-meter generator(s) only. The MGO Methodology utilizes a Generator Output Baseline calculation to determine load curtailment provided by the behind-the-meter generator during market participation that is in excess of what it generally provides to curtail facility load, namely, its generating baseline.

The following illustration reflects the metering configuration that includes a generation meter enabling the overall demand response at the location to be separated into a pure load (facility) response and a behind-the-meter generation device’s response or contribution.

MGO is calculated by the DRP and not the CAISO within the DRS. The SC for the DRP is responsible for ensuring that SQMD submitted to the DRS represents an accurate generation quantity for the resource which represents the Demand Response Energy Measurement calculated in compliance with the MGO Methodology per tariff section 4.13.4.2.

This option would apply in instances where only the behind-the-meter device is registered in the PDR/RDRR (not the facility load as in the option available under the customer load baseline methodology). The demand response performance, referred to as DRSUPPLY(t), is the demand reduction resulting from the output of the behind-the-meter generation device for dispatch interval t. The demand response performance DRSUPPLY(t) would be evaluated based on the physical meter generator output G for

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dispatch interval t or G(t), adjusted by a quantity GLM which represents an estimate of the typical energy output used for retail load modifying purposes and benefits. The calculated value, GLM18, would appropriately remove an estimated quantity of energy delivered by the device to the facility for its retail load modifying purposes, i.e. energy not produced in response to an ISO PDR/RDRR dispatch. The performance evaluation introduces an adjusted MGO value calculated by taking the difference between G(t) and GLM, where the demand response performance attributed to a PDR/RDRR supply dispatch would be calculated as:

DRSUPPLY(t) = – [G(t) – GLM]

The adjustment for typical retail load modifying behavior, or GLM, is established using a 10-in-10 non-event hour selection method on similar day types, i.e. comparing weekday events to weekday non-events, and weekend and holiday events to weekend and holiday non-events. An “event” is any ISO dispatch of a PDR/RDRR that occurs during an ISO Hour Ending interval, be it the full hour or a 5-minute interval in that hour. GLM is calculated by looking back as far as 45 calendar days and calculating the simple average energy delivered during the 10 most recent non-event hours for the same day type and for the same event hour when the PDR/RDRR dispatch event occurred.

GLM Calculation rules

Following are the rules to calculate GLM:

• A 10-in-10 non-event hour selection method is used o The selection of non-event hours is performed by iterating backward up to

45 calendar days to find the target number of non-event hours for the same event hour and same day type beginning with the most recent days and calculating the simple average energy delivered by the device.

18 GLoad Modifying or GLM is an ISO term used to represent an estimated value of the typical retail load modifying behavior

of the behind the meter generating device.

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• The selection of Customer Baseline data will include a number of the most recent days, excluding different day-types and previous events hours within those days (definitions below)

• Two different day-types will be supported:

o Weekday (Monday through Friday)

o Weekend/Holiday (Saturday, Sunday, or any NERC holiday)

• An event hour is any hour when there was an ISO market award or dispatch at or above the demand response net benefits test price threshold19 or outage recorded for the PDR or RDRR.

Market Participation Status Event Hour

DA award or RT dispatch ≥ NBT yes yes

AS Capacity Award only (PDR only)

yes no

AS Energy Dispatch (PDR only)

yes yes

RUC Capacity Award only

yes no

Outage yes yes

o Periods when the generating device meter is recording a load (charging) is not categorized as an event.

• Target & minimums are defined as:

Weekday Weekend/Holiday

19 In compliance with the direction provided in FERC Order No. 745, the ISO posts the price thresholds and supply

curves that would have been in effect for the previous 12 months, as well as the threshold price and supply curve for the next trade month by the 15th day of the current month.

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Target 10 Hours 4 Hours

Minimum 5 Hours 4 Hours

• Once the target number of hours is reached, selection ends and a simple average is calculated to determine GLM.

• If the target number of hours is not reached, but the minimum number of hours is reached, GLM is calculated on the selected hours.

o Example: If only 8 non-event hours for a week day for the applicable event- hour can be found across a 45-day look back, then those set of 8 non-event hours will be averaged.

• If the minimum number of hours is not reached, then GLM is set to zero.

Once the value for GLM is determined, the demand response performance, DRSUPPLY(t), representing the demand response energy measurement would be calculated as:

DRSUPPLY(t) = – [G(t) – GLM]

Charging and Export Treatment

For hours when a behind-the-meter storage device is charging, the scheduling coordinator metered entity should record a “zero” for those hours or intervals in that hour. For calculating GLM, the ISO is only interested in the average energy output (not input) across the target or minimum number of hours required for that day type.

For hours when a behind-the-meter generation results in the export of generation from the location, net meter N< 0 (see behind-the-meter generation meter configuration illustration above for reference), then the MWh amount settled in that interval is the MWh delivered up to N = 0. This net export check is done at each location level, not at the PDR/RDRR aggregate level. The ISO retains the authority to audit both the N and

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G meter data values submitted by the scheduling coordinator metered entity to ensure compliance with this net export rule.

Metering Generator Output with Customer Load Baseline In cases where both the load and the behind-the-meter generation at a location respond to a market award or dispatch, the load curtailment provided would be the combined demand response performance attributed to both reduced load consumption by traditional load reduction methods and the behind-the-meter generation. 20 The Demand Response Energy Measurement would combine calculated results using the Customer Load Baseline Methodology, using gross load meter data,21 and the MGO Methodology.

The combined CLB and MGO is calculated by the DRP and not the DRS. The SC for the DRP is responsible for ensuring that SQMD submitted to the DRS represents an accurate generation quantity for the resource which represents the combined Demand Response Energy Measurement calculated in compliance with both the CLB and MGO Methodologies per tariff section 4.13.14. This option would apply in instances where both the load and the behind-the-meter device together are registered as the PDR/RDRR resource. Under this option, the demand response performance would be the combined demand response performance attributed to DRLOAD(t) and DRSUPPLY(t), as previously detailed under Customer Load Baseline and Metering Generator Output respectively, resulting in a total demand response reduction calculated as:

DRTOTAL(t) = DRLOAD(t) + DRSUPPLY(t)

Or, DRTOTAL(t) = BN-G(t) – N(t) + GLM(t)

Consider the following example where N(t) = 15, G(t) = - 7, BN-G(t) = 25 and GLM(t) = - 3. In this example, the total performance evaluation would be:

20 Generally referred to as the combined CLB and MGO Methodology. 21 The gross load meter data reflects the load consumption at that location independent of any offsetting Energy

produced by behind-the-meter generation.

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DRLOAD(t) = BN-G(t) – [N(t) – G(t)] = 3 and DRSUPPLY(t) = – [G(t) – GLM(t)] = 4

Or, DRTOTAL(t) = 7

The net export rule must be applied to DRSUPPLY(t) consistent with MGO. If N < 0, then the MWh amount settled in that interval is the MWh delivered up to N = 0. The ISO retains the authority to audit both the N and G meter data values submitted by the scheduling coordinator acting as the scheduling coordinator metered entity to ensure compliance against this net export rule.

Approved Statistical Sampling Methodology A Demand Response Provider representing a PDR or RDRR must obtain CAISO approval of any methodology used to statistically derive meter data for the PDR or RDRR that consists of a statistical sampling of Energy usage data. The CAISO will accept, as pre-approved,22 any request for use of the methodology detailed in this section for the following cases:

• For day-ahead energy participation only, when hourly interval metering is not installed at all underlying resource locations. Not applicable for ancillary service participation.

• For day-ahead energy participation only, when hourly interval metering is installed at all underlying resource locations but RQMD is not derived using the hourly interval meter data for settlement purposes, but is developed using load profiles. Not applicable for ancillary service participation.

• For real-time and ancillary services participation when interval metering installed at all underlying resource locations is not recorded in 5- or 15-minute intervals.

22 Attachment A provides DRPs with a template that can be submitted to the CAISO to request use of the approved

Statistical Sampling Methodology. The CAISO requires 10 business days to process requests submitted with completed template provided.

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The ISO tariff provision to statistically derive meter data was included to accommodate participation of an aggregated PDR/RDRR comprising several locations, some of which are interval metered and have revenue quality meter data available, and with the condition that the balance of locations would mimic the metered random sample. Once the randomly sampled fraction of revenue quality meter data is converted to settlement quality meter data (SQMD), the sum is then scaled to derive the SQMD sized for the PDR/RDRR. Virtual SQMD Calculation

This scaled SQMD value is called the Virtual SQMD and is calculated as:

𝑚𝑚𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉𝑉 =𝑁𝑁𝑛𝑛 ∙�𝑚𝑚𝑖𝑖

𝑛𝑛

𝑖𝑖=1

where: 𝑁𝑁 = 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑁𝑁𝑁𝑁𝑚𝑚𝑁𝑁𝑁𝑁𝑁𝑁 𝑇𝑇𝑜𝑜 𝐿𝐿𝑇𝑇𝐿𝐿𝑇𝑇𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛𝐿𝐿 𝑃𝑃𝑇𝑇𝑁𝑁𝑇𝑇𝐿𝐿𝐿𝐿𝐿𝐿𝑃𝑃𝑇𝑇𝑇𝑇𝐿𝐿𝑛𝑛𝑃𝑃 𝑛𝑛 = 𝑁𝑁𝑁𝑁𝑚𝑚𝑁𝑁𝑁𝑁𝑁𝑁 𝑇𝑇𝑜𝑜 𝑀𝑀𝑁𝑁𝑇𝑇𝑁𝑁𝑁𝑁𝑁𝑁𝑀𝑀 𝐿𝐿𝑇𝑇𝐿𝐿𝑇𝑇𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛𝐿𝐿 𝑚𝑚𝑖𝑖 = 𝑆𝑆𝑆𝑆𝑀𝑀𝑆𝑆 𝑜𝑜𝑇𝑇𝑁𝑁 𝐿𝐿𝑇𝑇𝐿𝐿𝑇𝑇𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛 𝐿𝐿

𝑛𝑛 ∈ 𝑁𝑁 (𝑀𝑀𝑁𝑁𝑇𝑇𝑁𝑁𝑁𝑁𝑁𝑁𝑀𝑀 𝐿𝐿𝑇𝑇𝐿𝐿𝑇𝑇𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛𝐿𝐿 𝑇𝑇𝑁𝑁𝑁𝑁 𝑇𝑇 𝐿𝐿𝑁𝑁𝑁𝑁𝐿𝐿𝑁𝑁𝑇𝑇 𝑇𝑇𝑜𝑜 𝐿𝐿𝑇𝑇𝐿𝐿𝑇𝑇𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛𝐿𝐿 𝑃𝑃𝑇𝑇𝑁𝑁𝑇𝑇𝐿𝐿𝐿𝐿𝐿𝐿𝑃𝑃𝑇𝑇𝑇𝑇𝐿𝐿𝑛𝑛𝑃𝑃) It is critical that the members of the sample (n) be selected at random from within the population (N). This means that sample members must be selected without bias to any factor such as size, location, or customer type. The participant may be required to demonstrate that each PDR/RDRR sample was selected at random.

Sample Size Determination Determining the minimum number of metered locations providing RQMD is based on statistical sampling principles. For an infinite population, the required sample size is given as:

𝑛𝑛′ = �𝑧𝑧

𝑁𝑁𝑉𝑉𝑅𝑅𝑉𝑉�2∙ �

1 − 𝑃𝑃𝑃𝑃 �

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Where: 𝑁𝑁𝑉𝑉𝑅𝑅𝑉𝑉 = 𝑅𝑅𝑁𝑁𝑇𝑇𝑇𝑇𝑇𝑇𝐿𝐿𝑅𝑅𝑁𝑁 𝑃𝑃𝑁𝑁𝑁𝑁𝐿𝐿𝐿𝐿𝐿𝐿𝐿𝐿𝑇𝑇𝑛𝑛 𝐿𝐿𝑁𝑁𝑅𝑅𝑁𝑁𝑇𝑇

𝑧𝑧 = 𝑉𝑉𝑇𝑇𝑇𝑇𝑁𝑁𝑁𝑁 𝑁𝑁𝑇𝑇𝐿𝐿𝑁𝑁𝑀𝑀 𝑇𝑇𝑛𝑛 𝐿𝐿𝑁𝑁𝑅𝑅𝑁𝑁𝑇𝑇 𝑂𝑂𝑜𝑜 𝐶𝐶𝑇𝑇𝑛𝑛𝑜𝑜𝐿𝐿𝑀𝑀𝑁𝑁𝑛𝑛𝐿𝐿𝑁𝑁

𝑃𝑃 = 𝑇𝑇𝑁𝑁𝑁𝑁𝑁𝑁 𝑃𝑃𝑇𝑇𝑃𝑃𝑁𝑁𝑇𝑇𝑇𝑇𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛 𝑃𝑃𝑁𝑁𝑇𝑇𝑃𝑃𝑇𝑇𝑁𝑁𝑇𝑇𝐿𝐿𝑇𝑇𝑛𝑛

For a finite population, the sample fraction can be calculated as:

𝑛𝑛𝑁𝑁 =

𝑛𝑛′𝑁𝑁 + 𝑛𝑛′

This yields several different Metering Fraction curves as a function of the two variables to be fixed,in addition to the population size (N) and the True Population Proportion (p) .

The following figure shows the resulting curve based on the ISO’s approved decision to set the Relative Precision Level to 10% and the Level of Confidence to 90%, which results in a z of 1.645 23. Since the True Population Proportion is difficult to calculate, a value of p = 0.5 is chosen, similar to other ISOs and RTOs. The sample size for an infinite population with these requirements is therefore: 𝐧𝐧′ = 𝟐𝟐𝟐𝟐𝟐𝟐.

23 The value of z is derived from a distribution of samples with 10% of the high samples and 10% of the low samples

in the two respective tails of a Gaussian distribution.

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Minimum Sample Fractions

The ISO requires that every resource employing the approved statistical sampling methodology have a sample fraction:

𝑜𝑜 =𝑛𝑛𝑁𝑁

=𝑛𝑛′

𝑁𝑁 + 𝑛𝑛′=

271𝑁𝑁 + 271

The following table shows a number values for the fraction based on the number of locations:

PDRLocations

MinimumSample Fraction

10 96%

25 92%

50 84%

75 78%

100 73%

125 68%

150 64%

175 61%

200 58%

250 52%

300 47%

350 44%

400 40%

500 35%

750 27%

1000 21%

1500 15%

2000 12%

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Should the size of the population increase or decrease over time, the sample fraction must be re-evaluated and the sample size adjusted accordingly.

Virtual SQMD derived based on statistical sampled physical metering rather than physical metering data for all locations, is treated identical to any other SQMD submitted in the Demand Response System (DRS). Virtual SQMD can only be used for a PDR or RDRR selecting the Customer Load Baseline Performance Methodology. Market participants providing statistically sampled SQMD may be requested to comply with ISO information requests to audit their meter data collection and “virtual” meter data scaling process

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Helpful Links

Document Link

Application access request forms and application installation instructions

http://www.caiso.com/Documents/Application%20access%20request%20forms%20and%20application%20installation%20instructions

Access and Identity Management (AIM) User Guide

http://www.caiso.com/Documents/AccessandIdentityManagement_AIM_UserGuide.pdf

Demand Response and Proxy Demand Resources FAQ

http://www.caiso.com/Documents/DemandResponseandProxyDemandResourcesFrequentlyAskedQuestions.pdf

Demand Response Location Registration(DRRS) Training

http://www.caiso.com/Documents/EnablingDemandResponse_DemandResponseLocationRegistration.pdf

Demand Response Provider Agreement Information Request Sheet

http://www.caiso.com/Documents/DemandResponseProviderAgreementInformationRequestSheet.doc

Direct Telemetry BPM http://bpmcm.caiso.com/Pages/BPMDetails.aspx?BPM=Direct Telemetry

External User Application Access request Form

http://www.caiso.com/Documents/UserApplicationAccessRequestForm.xls

Information Request Sheet to initiate a Demand Response Provider agreement with the ISO

http://www.caiso.com/Documents/ProxyDemandResourceAgreementInformationRequestSheetFeb02_2010.doc





http://bpmcm.caiso.com/Pages/BPMDetails.aspx?BPM=Direct%20Telemetry

http://bpmcm.caiso.com/Pages/BPMDetails.aspx?BPM=Direct%20Telemetry





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ISO Connected Entity Service Guide

http://www.caiso.com/Documents/ISOConnectedEntityServiceGuide.pdf

List of certified SC’s http://www.caiso.com/Documents/List-SchedulingCoordinators_CRRHoldersandConvergenceBiddingEntities.pdf

List of Demand Response Participants

http://www.caiso.com/Documents/ListofDemandResponseParticipants.pdf

Load and Demand Response Page http://www.caiso.com/participate/Pages/Load/Default.aspx

Load Serving Entity Request (LSE ID) Form

http://www.caiso.com/Documents/LoadServingEntityIDRequestForm.doc

Meter Service Agreement ISO Metered Entities Information Request Sheet

http://www.caiso.com/Documents/MeterServiceAgreement_ISOMeteredEntitiesInformationRequestSheet.doc

Meter Service Agreement Scheduling Coordinators Information Request Sheet

http://www.caiso.com/Documents/MeterServiceAgreement_SchedulingCoordinatorsInformationRequestSheet.doc

Metering BPM http://bpmcm.caiso.com/Pages/BPMDetails.aspx?BPM=Metering

New Resource Implementation Checklist

http://www.caiso.com/Documents/NewResourceImplementationChecklist.xls



http://www.caiso.com/Documents/List-SchedulingCoordinators_CRRHoldersandConvergenceBiddingEntities.pdf










http://bpmcm.caiso.com/Pages/BPMDetails.aspx?BPM=Metering

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Point of Contact (POC) form

http://www.caiso.com/Documents/Point%20of%20contact%20establishment%20and%20requirements

Proxy Demand Resource technical FAQ http://www.caiso.com/Documents/PDRTechnicalFAQs.pdf

Requirements for becoming and Scheduling Coordinator

http://www.caiso.com/participate/Pages/SchedulingCoordinator/Default.aspx

Reliability Demand Response Resource Training

http://www.caiso.com/Documents/ReliabilityDemandResponseResourceOverview.pdf

Requirements for becoming and SC


Technical Documentation http://www.caiso.com/participate/Pages/ApplicationAccess/Default.aspx

DRRS Enhancement -Business Requirements

http://www.caiso.com/Pages/documentsbygroup.aspx?GroupID=D4D32CC9-B875-450D-98D6-54C85E04CAA5

DRRS Enhancement -Demand Response Location Registration Enhancement – Technical Specifications v5








http://www.caiso.com/participate/Pages/ApplicationAccess/Default.aspx

http://www.caiso.com/participate/Pages/ApplicationAccess/Default.aspx



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DRRS Enhancement -Demand Response Location Registration Enhancement – Artifacts Package v5

http://www.caiso.com/informed/Pages/ReleasePlanning/Default.aspx

DRRS Enhancement -Summary of Use Case for Demand Response Solutions Registrations

http://www.caiso.com/Documents/SummaryofUseCaseforDemandResponseSolutions-Registrations.pdf

DRRS Enhancement -Summary of Use Case for Demand Response Solutions Locations

http://www.caiso.com/Documents/SummaryofUseCaseforDemandResponseSolutions-Locations.pdf

DRRS Enhancement -Location and Registration Life Cycle

http://www.caiso.com/Documents/LocationandRegistrationLifecycle.pdf

DRRS Enhancement -Demand Response Registration system customer partnership group meeting artifacts including presentation material

http://www.caiso.com/Pages/documentsbygroup.aspx?GroupID=AE0100B2-98B1-4343-98A3-86900014C03B

ESDER – Revised Draft Final Proposal 12/23/2015

http://www.caiso.com/Documents/RevisedDraftFinalProposal-EnergyStorageDistributedEnergyResources.pdf











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Revision History

Date Version Updated By Description

03/23/15 3.7 Monica

Added “The ALOC functionality will fully replace the concept of pseudo locations. Existing Pseudo locations would be converted to both a location and an ALOC in DRRS“ to the “Information Required When Applying for a Resource ID” section.

03/24/15 3.7 Monica Added info on BUS Pnode

03/25/15 3.7 Monica

Added the following info to the LSE and UDC Commenting on a Registration sections Note: The Comments box is limited to 255 characters. If the LSE review generates comments larger than 255 characters. When a comment is provided by the LSE indicating that there is a “review with findings” within the registration information, the CAISO will deny the registration. The DRP is required to resolve any issues related to the "findings" with the appropriate party. During that time, additional detail may be exchanged by parties to resolve all issues determined in the review process. CAISO’s responsibility is to look for general comments as to why there is an issue with the registration and therefore does not require listing of multiple SANs that may be in conflict with availability to participate. The 255 character limitation should be sufficient to provide the CAISO with enough information to deny the registration and request issue resolution be made between the parties outside of the registration process. If the CAISO determines that there is error in the registration detail that needs to be corrected by the DRP, the registration will be denied as a means to alert the DRP of corrective actions that are being requested by the CAISO.

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06/04/15 3.8 Monica M. Updated the sections pertaining to requesting for a DRP/LSE/UDC ID and OMS.

06/05/15 3.9 Monica M. Added clarifying language for terminating location(s)/ALOC(s).

11/05/15 3.9 Monica M.

Incorporated the Jill’s Demand Response Resource Participation Guide into the current Demand Response User Guide document and removed the original document off the external site.

04/12/16 3.10 Monica M.

Added clarifying language for Reliability Demand Response Services Term. Summer term runs from June through September – Winter term runs from October through May

4/19/16 3.11 Monica M.

Updated link on page 129 regarding the XML test materials. http://www.caiso.com/Pages/documentsbygroup.aspx?GroupID=6A0B3CBD-4EE0-4BCD-B44F-CBB9E711D31F

10/01/16 4.0 Jill Powers

Updated User Guide to include information related to the Enabling Demand Response Phase II for the PDR/RDRR Registration functionality transfer from DRS to DRRS. Updates to include new baseline and statistical sampling methodologies approved as part of Energy Storage and Distributed Energy Resource Initiative.

12/06/16 4.1 Monica M.

Updated the section on “Generation Resource Data Template Submission and Processing”. Going forward, all GRDTs shall be submitted to [email protected] and no longer to [email protected].

12/13/16 4.2 Monica M. Updated the Market Participation chart under Customer Baseline Methodology.






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5/5/2017 4.3 Tim B. Completed unfinished sentence on last bullet of page 170 and changed page 84 to remove RDRR from statement regarding necessity of telemetry.

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Appendix

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Attachment A

Customer Load Baseline Calculation Example

The following is an example of a 10 in 10 Baseline, Load Point Adjustment, Demand Response Energy Measurement and Default Load Adjustment applicable for either a PDR or RDRR. (NOTE: the example does not include RT UIE adjustment as it is not applicable for this DA award only example)

Baseline Calculation

Example: PDR Resource id PGEB_1_PDRC01 with following assumptions

DA awards for Trade Dates 4/26/09 and 4/27/09 HE14 DA award occurs in HE14 for TD 5/1/09 No other event hours for 5/1/09 Data used for calculating the Raw Baselinereh= (1 / ( d ) * ∑d Loadrdh Default Load Adjustment is applicable

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Load Point Adjustment

The following is an example for the load point adjustment calculation:

Raw Baseline Metered Load

HE 10 13 12

HE 11 13 11

HE 12 13..4 12.5

SUM 39.4 35.5

Load Point Adjustment (Morning Adjustment) =

Max(.8, Min(1.2, sum load/sum raw baseline) =

Max(.8,min(1.2,35.5/39.4)) = .90

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DR Energy Measurement

Example: PDR Resource id PGEB_1_PDRC01 (continued) Assumptions:

DA award occurs in HE14 for TD 5/1/09 Real time adjustment not applicable since RT dispatch was not

during the event hour No other event hours for 5/1/09 HE 14 SQMD submitted for PDR Registration 1 underlying load =

11.90 MWH Load Point Adjustment = Morning Baseline Adjustment = .90

Default Load Adjustment (DLA) Example: PDR Resource id PGEB_1_PDRC01 (continued)

Assumptions: Four PDR resources have event on TD 5/1/09 HE14

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Therefore, a DLA is calculated for 3 separate LSEs for PDR Generation in their DLAP

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Metering Generator Output Calculation Examples (Under Development) Metering Generator Output with Customer Load Baseline Calculation Examples (Under Development) Statistical Sampling Calculation Examples and Request Template (Under Development)