Business Practice Manual For s3

Business Practice Manual for Direct Telemetry

Version 2.0

Last Revised: 12/14/2011 CAISO Business Practice Manual BPM for Direct Telemetry

Approval History Approval Date: August 2, 2011

Effective Date: August 2, 2011

BPM Owner: Nancy Traweek

BPM Owner’s Title: Director, Market Services

Revision History

Version Date Description

1 8/2/2011 Initial BPM submittal document 2 12/14/2011 Added requirement for data quality flag propagation as new Section 6.8, added requirement for preliminary revenue metering package to Section 10.2, removed unnecessary definitions from Section 4, and made changes to ISP circuit exceptions in Section 5.3 per BPM PRR 489. Effective Date 12/01/11

Version 2 Last Revised: 12/14/2011 CAISO Business Practice Manual BPM for Direct Telemetry

TABLE OF CONTENTS 1. Telemetry BPM Introduction...... 7 1.1 Purpose of California ISO Business Practice Manuals...... 7 1.2 Purpose of this Business Practice Manual...... 8 1.3 References...... 8 2. Overview of Telemetry to the CAISO...... 9 2.1 Telemetry Process...... 9 2.2 Overview of Installation & Validation of Telemetry...... 10 2.3 Overview of Flow of Real-time Data...... 11 2.4 Organization of the BPM...... 11 3. CAISO Responsibilities...... 12 3.1 Overview of CAISO Responsibilities...... 12 3.2 Telemetry Validation...... 12 3.2.1 Overview of Telemetry Installation Validation Process...... 13 3.2.2 CAISO Certification Responsibilities...... 14 4. Telemetry Standards Overview...... 16 5. Communications...... 16 5.1 Overview...... 16 5.2 Real-time Communications...... 16 5.3 ECN Communications Exception...... 17 5.4 Communication Technical Principles...... 17 5.5 Data Validation and Confidentiality...... 17 5.6 Protocols...... 18 5.7 Voice Communications...... 18 5.8 Communications During Telemetry Failure...... 18 6. Operational Requirements...... 19 6.1 Unit Telemetry Visibility...... 19 6.2 Performance Monitoring...... 19 6.2.1 Direct Telemetry Timing Requirements...... 19 6.2.2 PDR Timing Requirements...... 19 6.3 CAISO Real-time Communication Options...... 21 6.3.1 SSL TCP to Serial Data Option...... 21 6.3.2 SSL TCP to TCP Clear Text Option...... 21

6.3.3 RIG Hardware Option...... 22 6.4 SSL\TCP to Serial or TCP Clear Text Option...... 25 6.5 RIG Hardware Option...... 26 6.6 CAISO’s EMS Interrogations:...... 27 6.7 RIG Responses DNP Object and Variation Types...... 27 6.8 Quality Flag Propagation to DNP...... 28 6.9 Maximum MW RIG Limitation...... 28 6.10 RIG Location Requirements...... 29 6.11 RIG Resource Limitation...... 29 6.12 Cost Responsibility...... 29 7. Telemetry Data Points List...... 30 7.1 Point Matrix...... 30 7.1.1 Analog and Digital Notes...... 34 8. Availability & Maintenance...... 35 8.1 CAISO Reliability Requirements...... 35 8.2 CAISO Controlled Grid Operation and Market Availability Requirement...... 35 8.3 RIG Operation and Maintenance...... 35 8.3.1 Software Configuration Management with No Impact to CAISO EMS...... 37 8.3.2 Data Base Configuration and Management Impacting CAISO EMS...... 38 8.3.3 Routine Testing/ Maintenance of RIGs...... 38 9. RIG Implementation...... 40 9.1 Engineering / Deployment...... 40 9.2 RIG Database Development...... 40 9.3 Telecommunication Circuit Installation and Power Requirements...... 40 9.4 Temporary Telemetry Exemptions...... 40 10. FNM Database Process and RIG Installation...... 41 10.1 CAISO FNM Database Process...... 41 10.2 New Database Submission...... 41 10.3 RIG Database Submittal Timeline...... 41 10.4 ECN Physical Circuit Protection to the Resource...... 42 10.5 ECN Circuit Monitoring...... 42 10.6 ECN Agreement...... 42 10.7 Standards For Point-to-Point Testing with the CAISO...... 44

10.8 Required Personnel for Point testing...... 45 10.9 Upgrade or Replacement RIG...... 45 10.10SLIC Outage for Meter or RIG work...... 45 10.11RIG Certificates...... 47 10.12RIG Generation Acceptance Test...... 48 10.13Final RIG Documentation...... 48 10.14Wind and Solar FNM Documentation Required...... 49 11. AGC Operational Requirements for Generating Units...... 50 11.1 Required DNP and Telemetry Data Points for AGC...... 50 11.2 AGC Control (Bumpless Transfer)...... 50 12. Non-Spinning Reserve Logic and Testing...... 51 12.1 Non-Spinning Reserve Definition...... 51 12.2 Non-Spinning Reserve Logic Requirements...... 51 12.3 Non-Spinning Reserve Testing...... 51 12.4 Proxy Demand Resource Non-Spinning Reserve Testing...... 52 13. Eligible Intermittent Resources (EIR)...... 53 13.1 Applicability...... 53 13.2 Power Reliability Requirements...... 53 13.3 Basic Meteorological Data...... 53 13.3.1 Meteorological Wind Speed...... 53 13.3.2 Meteorological Wind Direction...... 53 13.3.3 Meteorological Barometric Pressure...... 54 13.3.4 Meteorological Ambient Temperature...... 54 13.4 Wind Generation...... 54 13.4.1 Meteorological Station Requirements...... 54 13.4.2 Designated Turbines...... 55 13.4.3 Topographical Map...... 55 13.5 Solar Generation...... 55 13.5.1 Meteorological Station Requirements...... 55 13.5.2 Meteorological Data Requirements...... 56  Flat Plate Solar Photovoltaic...... 56  Flat Panel Solar Collector...... 56  Low Concentration Solar Photovoltaic...... 56

 High Concentration Solar Photovoltaic...... 56  Concentrated Solar Thermal...... 57  Heliostat Power...... 57  Greenhouse Power Tower...... 57  Sterling Engine...... 57 13.6 Solar Meteorological Data Tables...... 58 14. Proxy Demand Resource (PDR)...... 60 14.1 PDR Point Requirements...... 60 14.1.1 Real Load MW...... 60 14.1.2 PDR Unit Connectivity Status (PDR UCON)...... 60 14.1.3 Bias Load...... 60 14.1.4 PDR Unit Ready to Start and Start Status...... 60 14.1.5 Pseudo Generation MW...... 60 14.1.6 Status` and Pseudo Generation flow...... 61 15. RIG Aggregator...... 63 15.1 Applicability...... 63 15.2 RIG Aggregator Responsibility...... 63 15.3 RIG Aggregator Authorization...... 63 16. CAISO Security Policy...... 64 16.1 Referencing CAISO Information Security Documents...... 64 17. Real-time Point Definitions...... 65 17.1 ANALOG VALUES...... 65 17.1.1 Unit Gross Megawatts (Gross MW)...... 65 17.1.2 Unit Net Megawatts (Net MW)...... 65 17.1.3 Unit Point of delivery Megawatts (POD MW)...... 66 17.1.4 Unit Auxiliary Load Megawatts (Aux MW)...... 66 17.1.5 Gross Reactive Power (Gross Megavar (MVAR))...... 66 17.1.6 Point of delivery Megavars (POD MVAR)...... 67 17.1.7 Net Reactive Power (Net MVAR)...... 67 17.1.8 Auxiliary Load Reactive Power (Aux MVAR)...... 68 17.1.9 Generating Unit Terminal Voltage (KV)...... 68 17.1.10 Unit Operating High Limit (UOHL) (AGC Units Only)...... 68 17.1.11 Unit Operating Lower Limit (UOLL) (AGC Units Only)...... 69

17.2 Digital Values...... 70 17.2.1 Unit Generator Breaker...... 70 17.2.2 Unit Connectivity Status (UCON)...... 70 17.2.3 Unit Control Status (UCTL)...... 70 17.2.4 CAISO Unit Authority Switch (UASW)...... 71 17.2.5 Unit Automatic Generation Control (UAGC)...... 72 17.2.6 Automatic Voltage Regulator (AVR) and Power System Stabilizer (PSS) Status 72 17.2.7 Peaking Unit Ready to Start and Start Status`...... 73 17.3 Switchyard Values...... 73 17.3.1 Switchyard Line and Transformer MW and MVAR Values...... 73 17.3.2 Switchyard Bus Voltage...... 74 17.3.3 Switchyard Device Status...... 74 17.3.4 Aggregated Units...... 74 17.3.5 Aggregated Gross MW and MVAR...... 74 17.3.6 Aggregated Net MW and MVAR...... 75 17.3.7 Aggregated Aux MW and MVAR...... 75 17.3.8 Aggregated Point of delivery MW...... 75 17.3.9 Aggregated Point of delivery MVAR...... 75 17.3.10 Aggregated Unit Connectivity (UCON)...... 75 17.3.11 Aggregated Peaking Unit Start and Ready to Start...... 75 17.4 Wind and Solar Point Definitions...... 75 17.4.1 Direct Irradiance (DIRD)...... 75 17.4.2 Global Horizontal Irradiance (GHIRD)...... 75 17.4.3 Global Irradiance / Plane of Array Irradiance (PAIRD)...... 76 17.4.4 Diffused Irradiance...... 76 17.4.5 Back Panel Temperature (BPTEMP)...... 76 18. Drawing Requirements...... 77 19. Sub-LAP Resource Names...... 79

1. Telemetry BPM Introduction

Welcome to CAISO BPM for Direct Telemetry. In this Introduction you will find the following information:

 The purpose of CAISO BPMs

 What you can expect from this CAISO BPM

 Other CAISO BPMs or documents that provide related or additional information

1.1 Purpose of California ISO Business Practice Manuals

The Business Practice Manuals (BPMs) developed by CAISO are intended to contain implementation detail, consistent with and supported by the CAISO Tariff, including: instructions, rules, procedures, examples, and guidelines for the administration, operation, planning, and accounting requirements of CAISO and the markets. Exhibit 1-1 lists CAISO BPMs.

Exhibit 1-1: CAISO BPMs

BPM for Market Operations BPM for Market Instruments BPM for Settlements & Billing BPM for Scheduling Coordinator Certification & Termination and Convergence Bidding Entity Registration & Termination BPM for Congestion Revenue Rights BPM for Candidate CRR Holder Registration BPM for Managing Full Network Model BPM for Rules of Conduct Administration BPM for Outage Management BPM for Metering BPM for Reliability Requirements BPM for Credit Management BPM for Compliance Monitoring BPM for Definitions & Acronyms BPM for BPM Change Management BPM for the Transmission Planning Process BPM for Direct Telemetry

1.2 Purpose of this Business Practice Manual

The BPM for Direct Telemetry covers the responsibilities of the CAISO, Participating Generators, Participating Loads, Proxy Demand Resources, and Scheduling Coordinators representing these entities for telemetry installation, validation, and maintenance, in addition to the telemetry data required.

The provisions of this BPM are intended to be consistent with the CAISO Tariff. If the provisions of this BPM nevertheless conflict with the CAISO Tariff, the CAISO is bound to operate in accordance with the CAISO Tariff. Any provision of the CAISO Tariff that may have been summarized or repeated in this BPM is only to aid understanding. Even though every effort will be made by CAISO to update the information contained in this BPM and to notify Market Participants of changes, it is the responsibility of each Market Participant to ensure that he or she is using the most recent version of this BPM and to comply with all applicable provisions of the CAISO Tariff.

A reference in this BPM to the CAISO Tariff, a given agreement, or any other BPM or instrument, is intended to refer to the CAISO Tariff, that agreement, or BPM or instrument as modified, amended, supplemented, or restated.

The captions and headings in this BPM are intended solely to facilitate reference and not to have any bearing on the meaning of any of the terms and conditions.

1.3 References

Other reference information related to this BPM includes:

 The BPM for Full Network Model

 The BPM for Metering

 The CAISO’s standard documents pertaining to direct telemetry, posted on the CAISO Website at the following link: http://www.caiso.com/thegrid/operations/gcp/index.html

2. Overview of Telemetry to the CAISO

Welcome to the Overview of Telemetry section of the BPM for Direct Telemetry. In this section you will find the following information:

 A description of the telemetry process;

 A diagram of the telemetry installation and validation process; and

 A diagram of the flow of telemetry data

2.1 Telemetry Process

This BPM sets forth requirements for the provision of real-time data to the CAISO applicable to all Participating Generators’ Generating Units providing Ancillary Services (including Regulation) or Energy in the CAISO’s markets. This BPM also applies to Participating Loads and Proxy Demand Resources participating in the CAISO’s markets. This BPM describes the process and procedures used by the CAISO to obtain real-time data from the resources of Participating Generators, Participating Loads, Proxy Demand Resources, and Scheduling Coordinators representing these entities for operating the CAISO Balancing Authority Area reliably and balancing the CAISO Markets.

A Generator with a Generating Unit connected to the electric grid within the CAISO Balancing Authority Area that (1) has a capacity of ten (10) megawatts (MW) or greater that is not exempt pursuant to the CAISO Tariff, (2) provides Ancillary Services, or (3) is an Eligible Intermittent Resource not exempt pursuant to the CAISO Tariff must install, in accordance with the requirements specified in this BPM, equipment and/or software that can interface with the CAISO’s Energy Management System (EMS) to supply telemetered real-time data. That Remote Intelligence Gateway (RIG) or equivalent will serve as the primary means for secure communications and direct control between the Generator’s Generating Unit and the CAISO’s EMS as a prerequisite for participation in any of the CAISO markets requiring real-time data. In some circumstances, the CAISO allows for aggregation of Generating Units and the associated direct telemetry. While this BPM does not address all issues related to Aggregated Units, it does address the required points for Aggregated Units herein. The resources of Participating Loads and Proxy Demand Resources are also subject to these requirements for telemetry of real-time data.

This BPM provides information regarding:

 The CAISO installation requirements for telemetry facilities;

 How the CAISO validates direct telemetry facilities for Participating Generators, Participating Loads, Proxy Demand Resources, and Scheduling Coordinators representing these entities; and

 Direct telemetry validation, testing, and maintenance requirements for telemetry for resource owners’ facilities participating in the CAISO markets.

2.2 Overview of Installation & Validation of Telemetry

Exhibit 2-1 illustrates the process for installation and validating telemetry installation for owners of resources required to provide real-time telemetry.

Exhibit 2-2: Overview of Installation and Validation of Telemetry Installations

Design Telemetry Database from Resource Owner single line diagrams

CAISO Resource Owner RIG Agreement and CAISO RIG Telemetry Design Engineering (i.e. PGA) Engineering finalized Database

Telemetry Database is submitted for the next Installation and EMS\FNM built. Integration

Establish Communication link between Validate Real-time The Resource Owner data with CAISO And CAISO EMS EMS

Declared Validate Resource Test energy phase Commercial Owner Real-time and real data Operations data to CAISO EMS validation

2.3 Overview of Flow of Real-time Data

Exhibit 2-2 illustrates the flow of real-time telemetry data between resources and the CAISO’s EMS and from the CAISO’s EMS to other CAISO systems.

Exhibit 2-3: Overview of Real-Time Telemetry Data Flow

CAISO Interrogates Resource Owner CAISO EMS Telemetry Device

CAISO Pi Generation Control Historian and Balancing

Real-time data stored for CAISO usage only

2.4 Organization of the BPM

The following Sections describe the respective responsibilities of the CAISO, Participating Generators, Participating Loads, Proxy Demand Resources, and Scheduling Coordinators representing these entities for provision of direct telemetry. Sections 4 through 17 describe provisions for configuration, installation, and validation of telemetry facilities for resources providing Ancillary Services or Energy only, and for wind, solar, and Proxy Demand Resources.

3. CAISO Responsibilities

Welcome to the CAISO Responsibilities section of the BPM for Direct Telemetry. In this section you will find the following information:

 An overview of CAISO responsibilities

 A description of the installation and point to point validation process for telemetry facilities

 A description of the documentation requirements

 A description of the testing and completion requirements

3.1 Overview of CAISO Responsibilities

CAISO Tariff Section 7.6.1(d) Actions For Maintaining Reliability Of CAISO Controlled Grid

Section 7.6.1(d) of the CAISO Tariff provides the CAISO authority to obtain the control over Generating Units that it needs to control the CAISO Controlled Grid and maintain reliability by ensuring that sufficient Energy and Ancillary Services are procured through the CAISO Markets. That provision requires each Participating Generator to take, at the direction of the CAISO, such actions affecting such Generator as the CAISO determines to be necessary to maintain the reliability of the CAISO Controlled Grid. Such actions include (but are not limited to) the provision of communications, telemetry and direct control requirements, including the establishment of a direct communication link from the control room of the Generator to the CAISO in a manner that ensures that the CAISO will have the ability to direct the operations of the Generator as necessary to maintain the reliability of the CAISO Controlled Grid, except that a Participating Generator will be exempt from these requirements with regard to any Generating Unit with a rated capacity of less than ten (10) MW, unless that Generating Unit is certified by the CAISO to provide Ancillary Services. This BPM sets forth the provisions by which the CAISO implements the foregoing responsibilities for direct telemetry.

3.2 Telemetry Validation

The CAISO has overall responsibility for validating real-time data to the CAISO. Some of this responsibility is accomplished by the responsibilities placed on the resource owner (or aggregator, in the case of some resources), which may include responsibilities satisfied by the Scheduling Coordinator for the resource. This Section 3.2 summarizes the respective certification responsibilities of the CAISO and the resource owner (or aggregator or Scheduling Coordinator, as applicable).

3.2.1 Overview of Telemetry Installation Validation Process Exhibit 3-1 provides a high level illustration of the overall validation process for telemetry facilities.

Exhibit 3-4: Telemetry Installation Validation Process

Prospective participant signs applicable agreement

CAISO Contracts group submits project into RIMS

and review and approval process begins

CAISO reviews telemetry package and identifies any engineering variances

RIG Engineering reviews required documentation and sends out initial spreadsheet to resource owner

Make changes Resource owner verifies that required real-time and resubmit to points can be provided in real-time from plant RIG Eng. control system

CAISO RIG Engineering submits database

for the next FNM build

Resource owner procures and installs CAISO

approved telemetry equipment

Resource owner integrates telemetry equipment Resource owner orders and installs required communication circuit and and tests all required real-time points for the equipment for real-time data to the CAISO CAISO EMS. EMS

Testing and validating real-time data

to the CAISO EMS

Resources owner supplies all finish paper work

and informs CAISO project management that all

testing is complete

CAISO RIG Engineering sends validation complete email to resource owner

3.2.2 CAISO Certification Responsibilities The CAISO does not accept real-time telemetry data from a resource unless that telemetry data is produced by telemetry facilities that have been validated in accordance with the CAISO Tariff and this BPM.

3.2.2.1 Documentation Requirements

To initiate the submission process in the scheduled FNM build, the resource owner must provide the following information to the CAISO Generator Connection Project Manager:  Schematics – For Generating Units, the Generator shall provide one line drawings that depict the Generating Unit connecting to the grid. Such drawings must be dated, bear the current drawing revision number and show all wiring, connections and devices in the circuits. Drawings must be provided for:

 Schematics requirements

Detailed station one-line showing how generators, transformers, aux transformers are connected, showing all breaker and disconnect names, showing CAISO meter, PT and CT locations, showing how the station is interconnected to the grid. These schematics shall be type of released for construction and/or Professional Engineer stamp and released for construction.

Generator data  MVA rating  Rated power factor at PMax  Nominal terminal voltage  Reactive power capability curve (limits)  Terminal voltage control target/range Transformer data  MVA ratings (normal and emergency ratings in different seasons)  Nominal voltages for all terminal sides  Impedances (listing voltage base and MVA base where the impedance is calculated)  LTC data, if applicable o Max tap and min tap o Voltage control range o Tap step size and range o Normal tap position Gen tie data  Line impedance  MVA ratings (normal and emergency ratings in different seasons) Breaker data  if the breaker is normal open, it needs to be shown in the diagram Aux load  MW and MVar level Reactive support devices (shunt capacitor/reactor, SVC, synchronous condenser)

 Rated nominal voltage  Rated MVar capacity  Number of banks and size of each bank if it has multiple banks  Voltage control target/range

. Database submission process

. Full Network Model build process

. Meter to Point of delivery (POD), where the POD differs from the meter location

 Additional Documentation

. Map to the site and GPS coordinates

. Contact personnel with phone, e-mail address and site address

. System Description Overview: An overview should include a brief description one page or less of the operation of the site. Examples would be the telemetry used and how it communicates with the CAISO EMS. The size of the Generating Unit and associated Load should also be included. Other examples include the Point of delivery of Energy to the CAISO Controlled Grid.

. Communication information: Provide the IP address of the telemetry device and all router ports if using the ECN. Otherwise only the ISP IP address.

3.2.2.2 CAISO Review of Documentation

If there are any discrepancies between the CAISO RIG Engineering drawings on file and the actual telemetry installation, then the resource owner or authorized resource owner representative must document that discrepancy and revise the drawings provided to the CAISO. Where the resource owner integrator discovers a discrepancy, that person must notify the CAISO and the resource owner of the discrepancy within 24 hours of the discovery.

If the resource owner doesn’t provide all the required documentation set forth in Section 3.2.2.1 for a FNM build then the CAISO will notify the resource owner. If the documentation that is required is not delivered within the FNM build time line, the opportunity for the resource to participate in the CAISO markets will be deferred to the next FNM build time line. The time lines dates are communicated to the resource owner at the time the Grid Connection Project Manager receives a request to participate.

4. Telemetry Standards Overview

Power generation scheduling, control, and real-time monitoring are vital aspects in the daily operation of the CAISO Controlled Grid and the CAISO Balancing Authority Area. The CAISO’s EMS simultaneously controls and monitors Generating Unit output to match resources to load and maintain system frequency. Generating Units offering Automatic Generation Control (AGC) must be capable of being controlled by the CAISO’s EMS. The technology that the CAISO has selected for direct communication with and control of Generating Units is a secure socket layer protocol gateway or RIG interface system utilizing the Energy Communications Network (ECN), as it meets all operational and market requirements. Generators participating in the CAISO Ancillary Services and Energy markets shall meet technical requirements and standards for real-time communication and direct digital control established pursuant to CAISO Tariff Section 7.6.1. The CAISO from this time forward will refer to all real-time communication and control devices as RIGs and will no longer refer to the Data Processing Gateway (DPG), which is a concept and name used in prior CAISO real-time data technical standards but which is no longer needed as a distinction from RIG technology.

5. Communications

5.1 Overview The CAISO technical operations systems architecture, implemented to carry out resource monitoring and control, incorporates two central systems comprising the CAISO’s EMS operating at each of the two CAISO operating locations: Alhambra and Folsom. The CAISO’s EMS provides AGC and operator dispatch support for monitoring and control of each resource and provides for the monitoring of the transmission system within the CAISO Balancing Authority Area. Technical System Interface Requirement: The Generator shall install a CAISO validated RIG or comparable CAISO validated system to establish real-time data interfaces between resource local control systems and the CAISO’s EMS. This is typically through the CAISO’s ECN to the CAISO’s EMS. The resource owner can validate its own RIG system to interface with the CAISO’s EMS. The following is a link to the technical standard document, which is used to validate a RIG with the CAISO: http://www.caiso.com/2082/2082cdca3ece0.pdf 5.2 Real-time Communications The CAISO recommends a full ECN T1 circuit implementation. The resource owner should consider the financial implications of losing a single circuit when evaluating the cost of redundant circuits. In general, a single T1 ECN circuit shall be deemed adequate to meet the CAISO’s communication requirement.

A 128K ISDN ECN digital dial backup circuit is recommended by the CAISO for primary circuit backup for all RIG classes. This recommendation is a redundancy for a primary circuit failure. A diversely routed secondary T1 ECN access circuit may be optionally implemented on RIGs equipped with redundant capability and is recommended by the CAISO to enhance reliability. The CAISO also recommends using redundant circuit paths wherever possible. The procurement of redundant circuits and paths is the resource owner’s responsibility. Resource owners’ systems shall comply with the CAISO’s Security Policy as set forth on the CAISO Website at http://www.caiso.com/docs/2003/02/18/200302181600117192.html

5.3 ECN Communications Exception A resource owner participating in the CAISO markets may request as an alternative to establishing a real-time data interface between resource local control systems and the CAISO’s EMS through the CAISO’s ECN to install an Internet Service Provider (ISP) circuit between the RIG and the CAISO’s EMS. This communication exception can be requested only if the following participation conditions apply:  The resource is smaller than 400 MW; and  The resource is providing Energy only, with the exception that it may provide Ancillary Services of Spinning Reserve and Non-Spinning Reserve up to a total of 10 MW for the resource.

Note: If a resource owner subsequently decides to participate in the Ancillary Services markets for more than 10 MW or to participate in the Regulation market, option 3a set forth in Section 6.3.3 shall be the communication path. The switch to option 3a from an ISP circuit will require a database build and coordination with a CAISO RIG Engineer.

5.4 Communication Technical Principles Ping (a computer network administration utility) is a network testing function that shall be turned on for all ECN connected RIGs and router network ports connecting to the RIG.

5.5 Data Validation and Confidentiality All telemetry data reported via the RIG must be within +/-2% of the true value. The CAISO or its designee may inspect the resource owner’s RIG and related facilities to verify the accuracy and validity of all data telemetry to the CAISO. The CAISO reserves the right to periodically audit and re-verify the accuracy and validity of all telemetry data. In addition, the CAISO’s verification activities will be coordinated with the resource owner at least 24 hours in advance.

Information transmitted via the RIG from a resource owner to the CAISO will be treated by the CAISO as the resource owner’s confidential information in accordance with the CAISO Tariff. All data telemetry provided through the resource owner’s RIG shall be tested by the resource owner or resource owner’s representative for accuracy and validity on a periodic basis as necessary to assure that the accuracy requirements are maintained. The best practice is to test all resource data annually for accuracy. 5.6 Protocols The protocol required between the RIG and the CAISO’s EMS is DNP 3 with PKI security. RIGs may support a number of standard available plant interface protocols. The resource owner should contact a validated RIG vendor for more information. http://www.caiso.com/thegrid/operations/gcp/index.html 5.7 Voice Communications Each Generator participating in the CAISO’s markets must be able to establish normal voice communication over a dedicated voice communications circuit from the Generator’s local control center that has immediate remote and manual control of the Generating Unit(s). A dedicated voice communication circuit is one that is available at all times for communication purposes between the CAISO’s dispatchers and the Generating Unit’s local control center.

5.8 Communications During Telemetry Failure Each resource owner participating in the CAISO’s markets and providing real-time data is responsible to provide communications of generation values to the CAISO on a 24 hour per day, 7 days per week basis until normal telemetry is restored.

6. Operational Requirements

6.1 Unit Telemetry Visibility Each resource participating in the CAISO’s Ancillary Services markets or any Eligible Intermittent Resource or any resource providing Energy with a capacity of 10 MW or greater that is not exempt pursuant to the CAISO Tariff must provide telemetry data according to the point matrix specified in Section 7. This BPM will be revised should additional data points be required, pursuant to CAISO Tariff Section 7.6.1(d). 6.2 Performance Monitoring 6.2.1 Direct Telemetry Timing Requirements The timing diagram (Figure 1) shows the performance and timing requirements a Generating Unit connected to the CAISO EMS must meet.

 A Generating Unit must be able to accept and begin processing direct digital control (DDC) signals (Set Point) within the CAISO time standard (two-second maximum from CAISO’s EMS to output of RIG). The two-second maximum includes any Generator or “third party” owned communication equipment located between the CAISO ECN and Generating Unit.

 A Generating Unit must be able to send SCADA data to the CAISO within the CAISO time standard (two seconds from the input of the RIG to the CAISO EMS).

 The governor or controller must receive the signal from the RIG within the CAISO time standard (another two seconds from output of RIG to governor controller).

 The time standards also apply in the return direction resulting in a total maximum of eight seconds round trip for the signal to travel from the CAISO EMS to the Generating Unit governor controller and back.

 The timing requirements from the CAISO EMS to the plant control system (e.g. DCS, RTU) through the use of non-CAISO communication equipment must meet the CAISO two second time standard in one direction.

 The timing requirements from the plant control system back to the CAISO EMS through the use of non-CAISO communication equipment must meet the CAISO two second time standard in the return direction.

6.2.2 PDR Timing Requirements The provisions of Section 6.2.1 shall apply to PDR telemetry, except that all references to timing in Section 6.2.1 are increased to one minute.

Figure 1 - Timing of Telemetered Data for Generators Providing A/S or Energy Only through the RIG

4 second maximum 4 second maximum

Unit controls (e.g. DCS, RTU, etc. Governor Controller

ISO EMS Field Generating ECN Cloud RIG Unit Unit

6.3 CAISO Real-time Communication Options The CAISO is continually looking for options where resource owners can connect to the CAISO’s EMS in a cost effective manner. The RIG is defined as a combination of hardware and software; this combination can be co-located or logically and/or physically separated to form the RIG as defined by the CAISO. This section will describe multiple secure options that will allow the resource owner’s control system to connect to the CAISO’s EMS. The CAISO’s EMS controls and monitors resource sites from two physical locations. This exchange of data is performed using RIGs. It occurs over a private, high-reliability, and high bandwidth communication system, which is the Energy Communications Network (ECN) established by the CAISO. All communications between the CAISO and the RIG are accomplished in a secure manner using certificate encryption.

6.3.1 SSL TCP to Serial Data Option The SSL TCP to serial data communication option consists of a device that performs the SSL secure connection separately. The plant control system and SSL device functions as a RIG. Communication between the plant control system and the CAISO’s EMS is conducted via DNP 3 protocol; the device that handles the SSL security shall have dual serial connection to the plant control system unless the serial SSL device has the ability to manage two logical DNP TCP protocol data streams to one serial connection. A single serial connection is only acceptable if approved by a CAISO RIG Engineer. The plant control system shall have a subordinate DNP 3 protocol driver. The data that comes from metering shall reside in the plant control system. This option SSL TCP to serial data must pass the CAISO security validation process located on the CAISO Website at http://www.caiso.com/thegrid/operations/gcp/index.html (document: RIG Validation Procedure; section 16). The general data flow of a SSL TCP to serial data option is depicted in Figure 2. Appliances that perform SSL TCP connection may be similarly found in network load balancer devices.

6.3.2 SSL TCP to TCP Clear Text Option The SSL TCP to TCP clear text communication option consists of a device or software (software can reside on the plant control system) that performs the SSL TCP secure connection. The plant control system functions as the RIG pursuant to the standards set forth in this BPM. Communication between the plant control system and the CAISO’s EMS is conducted via DNP 3 protocol. The SSL device handles the SSL TCP security as defined by the CAISO. The plant control system must have a subordinate DNP 3 protocol driver. The data that comes from metering shall reside in the plant control system. This option SSL TCP to TCP clear text must pass the CAISO security validation process located on the CAISO Website at http://www.caiso.com/thegrid/operations/gcp/index.html (document: RIG Validation

Procedure; section 16). The general data flow of a SSL TCP to TCP in-the-clear hardware option is depicted in Figure 3. Appliances that perform SSL TCP connection may be found similarly in network load balancer devices. 6.3.3 RIG Hardware Option The data communication system consists of two main parts, the RIG and the CAISO’s EMS. Communication between the RIG and the CAISO’s EMS is conducted via DNP 3 protocol. This option may be used when a resource owner’s control system cannot communicate DNP 3 protocol. The RIG hardware is a device that can be validated by the CAISO to perform all required functions and can be posted on the CAISO Website as a validated RIG. All posted validated RIGs on the CAISO Website have gone through the validation process posted on the CAISO Website at http://www.caiso.com/thegrid/operations/gcp/index.html (document: RIG Validation Procedure). The general data flow of the RIG is depicted in Figure 4.

5 - CAISO EMS - Folsom Future Folsom Redundant FEP’s

SSL TCP to Serial System Data Flow Overview

Redundant Connection Future

1 - Plant Control 2 – SSL\TCP to System Serial Interface 3A - ECN Connection is Preferred

4 – SSL/DNP 3 over TCP\IP DNP Serial Connection 3B – Internet Connection Non-Ancillary Services RIG Functionality

Future Alhambra Redundant Figure 2 FEP’s

5 - CAISO EMS - Alhambra

5 - CAISO EMS - Folsom Future Folsom Redundant FEP’s

SLL TCP to TCP In -The-Clear System Data Flow Overview

1 - Plant Control 2 – SSL\TCP to System TCP Interface 3A - ECN Connection Hardware is Preferred

4 – SSL/DNP 3 over TCP\IP DNP TCP Connection 3B – Internet Connection Non-Ancillary Services RIG Functionality (This can function in one computer)

Future Alhambra Redundant FEP’s Figure 3 5 - CAISO EMS - Alhambra

System Data Flow Overview 5 - CAISO EMS - Folsom Future Folsom Redundant FEP’s RIG Hardware System Data Flow Overview

1 - Plant Control System 3A - ECN Connection RIG is Preferred

4 – SSL/DNP 3 2 - Plant Interface over TCP\IP Protocol 3B – Internet Connection Non-Ancillary Services

Future Alhambra Redundant FEP’s Figure 4

5 - CAISO EMS - Alhambra

1. Plant Systems: Each plant providing Ancillary Services or Energy has a control system that can obtain telemetry from Generating Units. Various measured values will be available from the control system. Included in this BPM are specifications for the data points required to comply with the CAISO’s standards herein for providing Ancillary Services or Energy. The plant control system constitutes the source of the

telemetry necessary to comply with the CAISO’s standards, pursuant to CAISO Tariff Section 7.6.1(d).

2. SSL TCP to serial or TCP in-the-clear: Has the capability to translate the CAISO’s EMS real-time IP DNP 3 protocol into serial or TCP in-the-clear DNP 3 protocol at the resource control system. The CAISO may grant an exemption from the simultaneous connection requirement for a resource with a capacity less than 10 MW and that is considered an intermittent resource. The SSL TCP option shall meet the simultaneous connection standard for a resource with a capacity of 10 MW or greater. The SSL TCP to TCP in-the-clear can reside on the plant control system. Plant Interface Protocol: The interface between the RIG device and the plant can be any protocol convenient to the plant, according to the relationship between the supplier and the Generator.

3A. ECN Connection: Primary CAISO communication method for the transmission of telemetry from the RIG device to the CAISO’s EMS is the private communications network, the Energy Communications Network (ECN). Connection to this network is obtained by contacting AT&T. 3B. Internet Connection: The internet connection option is for real-time data through an ISP for the purpose of telemetry. 4. Secure DNP 3 over TCP/IP: The protocol communicated over the TCP/IP transport is required to be secured DNP 3. Secured DNP 3 is achieved by the combination of encrypting DNP 3 telemetry over a TCP/IP transport (internet or ECN) using X.509v3 PKI encryption.

5. CAISO EMS: All telemetry arrives at the CAISO’s EMS on the TCP/IP transport via either the internet or the ECN networks as encrypted DNP 3 protocol.

6.4 SSL\TCP to Serial or TCP Clear Text Option

Functionality can be developed by the Generator and validated by the ISO. Folsom

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Alhambra Figure 5 RIG functionality resides in the plant control system

The figure 5 identifies, by number, the critical aspects of a serial or TCP clear text solution. The diagram represents a high-level overview of the perceived functionality of the solution. It is provided for illustration purposes only. The interfaces that are envisioned, through abstraction of the internal functionality of the device, are: 1. Plant Control System: Shall perform all the RIG functionality as illustrated herein.

2. DNP 3 Interface: The plant control system shall communicate with DNP 3 subordinate protocol supporting the objects and variations listed herein.

3. PKI Encryption Interface: This layer will be an implementation of SSL using basic assurance certificates for the CAISO’s ECN or the internet.

4. TCP/IP Interface: The serial to IP device acts as the TCP server/connection. Once the serial to IP device has requested and established the TCP connection, the encrypted DNP compatible data stream passes through a TCP/IP connection over a TCP/IP network.

5. Secure DNP 3 over TCP/IP: Secure DNP 3 data over TCP/IP is achieved when the encrypted DNP compatible data stream (through SSL) is transported onto the TCP/IP network.

6. Multi-porting Capability: The SSL TCP device shall have the ability to communicate to multiple host connections simultaneously over secure TCP/IP connections at the CAISO’s EMS, which can be up to four simultaneous connections. For resources with a capacity of less than 10 MW, the CAISO may grant an exemption from the multiple simultaneous connection requirements for intermittent resources.

6.5 RIG Hardware Option

RIG functionality can be developed by the Generator and validated by the ISO or procure a third party RIG vender from the ISO web site . Folsom

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RIG functionality could reside on the same computer Alhambra Figure 6 hardware of the plant control system

The figure 6 identifies, by number, the critical aspects of the RIG. The diagram represents a high-level overview of the perceived functionality of the RIG. It is provided for illustration purposes only. The interfaces that are envisioned, through abstraction of the internal functionality of the RIG device are:

1. Plant Interface Protocol: The input to the RIG device is a data stream compatible to the plant systems. This may also be individual hardwired inputs.

2. Internal Plant Interface Protocol Layer: The input data stream is received internally by an interface layer compatible to the plant systems.

3. DNP Database Profile Specifics: The input data is processed internally in the RIG as data points in a DNP 3 compatible database structure. Since the RIG must be DNP 3 Level 1 compliant and could contain a database large enough to require more than a single data link frame for a Class 0 data response, the RIG must support both static and event type data points. The RIG is required to support polling by class.

4. DNP 3 Output Interface Layer: As the DNP server, the RIG device will parse all client requests and supply the appropriate data designated in the aforementioned point database.

5. PKI Encryption Output Interface Layer: In transferring the data from the RIG to a destination DNP 3 compatible data, elements are encrypted by a PKI encryption interface layer. This layer will be an implementation of SSL using basic assurance certificates for the CAISO ECN or the internet.

6. TCP/IP Output Interface Layer: The RIG is to act as the TCP server/connection. Once the client device has requested and established the TCP connection, the encrypted DNP compatible data stream passes through a TCP/IP interface layer over a TCP/IP network. 7. Secure DNP 3 over TCP/IP: Secure DNP 3 data over TCP/IP is achieved when the encrypted DNP compatible data stream (through SSL) is transported onto the TCP/IP network.

8. Multi-porting Capability: The RIG shall have one TCP/IP address that has the ability to communicate to a multiple secure connections at the CAISO’s EMS that can be up to four simultaneous connections.

6.6 CAISO’s EMS Interrogations: The CAISO’s EMS DNP front-end processors interrogate each RIG with DNP Object 60, Variations 2 for event data polling (class 1 data). Responses shall be the event objects and variations listed below. The CAISO’s EMS DNP front-end processors interrogate each RIG with DNP Object 01 Variation 00 “digital static updates” and Object 30 Variations 00 for “analog static updates.” The response shall be the Static Objects and Variations listed in Section 6.7 below.

6.7 RIG Responses DNP Object and Variation Types Objects and Variations supported by the RIG device must include, but are not limited to:  Static: Object 1 Variation 2 (Digital) Object 30 Variation 2 (Analog)  Event: Object 2 Variation 2 (Digital) Object 32 Variation 2 (Analog)  Time: Object 50 Variation 1 (read and write)

 Control: Object type 41 (analog setpoint) Variation 2

Important The CAISO’s EMS DNP front-end processors will utilize other DNP group and variations, other than listed above. All RIG solutions must be DNP 3 Level 1 certified. Deadband: Analog events should be set to .5 Engineering Units. The deadband must be configurable on a point-by-point basis. Exception for the analog deadband is analog points associated with wind, solar, and PDR resources. These types of resources have a much smaller deadband requirement and higher resolution. Please consult a CAISO RIG Engineer for proper deadband settings.

6.8 Quality Flag Propagation to DNP When a resource owner installs a RIG and it communicates to downstream devices that are not directly connected to the RIG, the originating device(s) shall propagate a data quality communication flag for each point to the RIG through each non-originating device. A data port alarm point may not be required; however, this will be determined by CAISO RIG Engineering. Other protocols with data quality flags maybe used to propagate flags into DNP flags (i.e., OPC (object linking and embedding for process control)).

An originating device is one that gathers field data directly (for inputs) or issues controls directly to the field (for outputs). A non-originating device is one that obtains input data or issues control commands via a communications link from originating or non-originating devices. A reporting device is a device that acts as a DNP3 outstation, sending DNP3 messages to an upstream device.

Data from an originating device may arrive at the master via one or more data concentrator devices. In this case, each device in the communications chain, other than the master, is a reporting device. This identification of various devices is illustrated below. The terms “upstream” and “downstream” that indicate relative device hierarchy are also shown in this diagram.

Communication Links Upstream Downstream

RIG, Master Non- Non- Originating/ Originating/ Originating or Reporting Reporting Reporting Device Device Device Device

A COMM_LOST indicator indicates that there is a communication failure in the path between the device where the data originates and the reporting device on a point to point basis. This flag indicates that the value reported for the object may be stale or in bad quality. If set, the data value reported shall be the last value available from the originating device before communications were lost.

An originating device never sets this flag. A non-originating or master device sets this flag if it loses communication with the adjacent downstream device; otherwise it propagates the state of COMM_LOST flag as received from the downstream device. Once set, this flag may only be cleared when data for this point is received from the adjacent downstream device and the COMM_LOST flag received with that data is cleared.

6.9 Maximum MW RIG Limitation The CAISO’s grid and market operations depend on RIG data to reliably run real-time operations, the Full Network Model, and the State Estimator. To minimize potential impact to the CAISO’s grid and market operations, the CAISO sets a maximum MW limitation. The limitation is set to protect the CAISO’s markets and grid, should a RIG failure occur.

The maximum generation that can be put on a single RIG cannot exceed 1200 MW from a physical location. This includes the ECN circuit and router. The CAISO reserves the right to review all proposed telemetry systems for compliance with this and other RIG limitations. For Eligible Intermittent Resources and RIG Aggregators, the maximum combined generation for a single RIG (including the ECN circuit and router) is 400 MW.

6.10 RIG Location Requirements The purpose of a RIG location requirement is to limit the impact of possible RIG failures to a smaller geographical area. Location limits are defined by the standard 23 Sub-LAPs within the CAISO Balancing Authority Area. The location limitation provides that only resources within a Sub-LAP can be aggregated within a RIG. The RIG shall reside within the Sub-LAP for the resources it is aggregating. The CAISO can make an exception to the location limits for aggregating resources within a RIG if a resource is located in an adjacent Sub-LAP that does not have a RIG. A RIG Aggregator can combine multiple physical resource locations within a Sub-LAP. The MW limitation and limitation of aggregation location to Sub-LAPs is due to the unpredictable nature of these resource types (i.e., solar and wind). Only a CAISO RIG Engineer may authorize an exception to location limits. The list of the Sub-LAPs is set forth in Section 19. These limitations do not apply if a RIG Aggregator desires to transmit real-time data to the CAISO for information only. 6.11 RIG Resource Limitation The purpose of a resource limit is to mitigate the impact of a RIG failure on the CAISO’s State Estimator. If the CAISO loses communication with many resources at once, it may impact the CAISO’s modeling calculations. To mitigate this risk, the CAISO has set the resource limit for a single RIG to 25 Resource IDs, subject to the defined MW limits set forth in Section 6.9 above. 6.12 Cost Responsibility Each resource owner will be responsible for all costs incurred for RIG procurement and installation for the purpose of meeting its obligations under this CAISO BPM, notwithstanding other CAISO policies, procedures, and contracts that may affect the distribution of costs to participating parties.

7. Telemetry Data Points List The following values are the minimum requirements for real-time visibility of each resource. The CAISO’s Operations & Engineering groups have approved these requirements. They are the minimum standards that will allow the CAISO to manage effectively the reliability of the grid. At any time, the CAISO may require additional points to be added to meet real-time requirements. The following points must be provided for each resource in the specified category. The resource owner must obtain the required point list from a CAISO RIG Engineer.

7.1 Point Matrix

The following pages represent the minimum point requirement matrix for each type of RIG configuration that the CAISO requires for real-time control or monitoring. The matrix specifies the telemetry points required for the following categories of resources: AGC: Resources certified to provide Regulation in the CAISO Markets. Spinning Reserve: Resources certified to provide Spinning Reserve in the CAISO Markets. Non-Spinning Reserve: Resources certified to provide Non-Spinning Reserve in the CAISO Markets. QF Conversion: Resources that are Qualifying Facilities not exempt from CAISO Tariff telemetry requirements pursuant to pre-existing agreements. Note that MW, MVAR, and voltage values are measured based on the Point of Demarcation for a Net Scheduled QF subject to a QF PGA. Energy Only: Resources that provide Energy only. PDR: Proxy Demand Resources. Solar: Solar resources. Wind: Wind resources.

If a resource falls within more than one category, the resource owner or RIG Aggregator must provide the telemetry points specified for each applicable category. Section 17 has the detailed definitions for the following point matrix.

Non- Energy Spinnin Only Spinning g QF Analogs AGC Reserve Reserve Conversion PDR Solar Wind X Unit Gross MW X X X X Note9 X Note10 X X Unit Net MW X Note1 X Note1 X Note1 X Note1 & 9 X Note1 XNote1 Unit Point of delivery MW X X X X X X X Unit Auxiliary MW X Note2 X Note2 X Note2 X Note2 & 9 X Note2 XNote1 Pseudo Gen MW X Bias Load MW X Unit Generator Terminal Voltage X X X X X X X Unit Gross MVAR X X X XNote9 X X X Unit Net MVAR X Note3 X Note3 X Note3 X Note3 & 9 X Note3 XNote3 Point of delivery MVAR X X X X X X X Auxiliary MVAR X Note4 X Note4 X Note4 X Note4 & 9 X Note4 XNote3 Capacitor Bank VAR X X High\Line Side Bank MW X Note5 X Note5 X Note5 X Note5 X Note5 X X High\Line Side Bank MVAR X Note5 X Note5 X Note5 X Note5 X Note5 X X High\Line Side Bank Voltage X Note5 X Note5 X Note5 X Note5 X Note5 X X X Aggregated Gross MW X Note6 X Note6 X Note6 X Note9 X Note6 Note10 Aggregated Net MW X Note6 X Note6 X Note6 X Note9 X Note6 Aggregated Point of delivery MW X Note6 X Note6 X Note6 X Note6 X Note6 Aggregated Gross MVAR X Note6 X Note6 X Note6 X Note6 X Note6 Resource ID Setpoint Feedback X RIG Heart Beat X X X X X X X X

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Non- Energy Spinnin Only Spinning g QF Analogs AGC Reserve Reserve Conversion PDR Solar Wind

Aggregate\Unit Operating High Limit X Aggregate\Unit Operating Low Limit X Wind Speed (Meter / Second) X X Wind Direction (Degrees - Zero North 90CW) X X Air Temperature (Degrees Celsius) X X Barometric Pressure (HPA) X X Back Panel Temperature (Degree C) X Note11 Plane Of Array Irradiance Watts\Meter Sq. X Note11 Global Horizontal Irradiance Watts\Meter Sq. X Note11 Direct Irradiance Watts\Meter Sq. X Note11 Diffused Plane Of Array Irradiance Watts\Meter Sq. X Note11 Diffused Global Horizontal Irradiance Watts\Meter Sq. X Note11 Reference Cell (MW @ .001 resolution) X Note11

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Non- Energy Spinnin Only Spinning g QF Digitals AGC Reserve Reserve Conversion PDR Solar Wind Unit\Resource Connect X X X X X X X PDR Resource Connect X Power System Stabilizer X Note 7 X Note 7 X Note 7 X Note 7 X Note 7 Automatic Voltage Regulator X Note 7 X Note 7 X Note 7 X Note 7 X Note 7 X Note 7 Capacitor Bank Breakers X X Unit Low Side Breaker X X X X X X X Related Unit Breakers X X X X X X X Related Unit MOD's Disconnects X X X X X X X Data Port Alarms X X X X X X X X Switchyard Line Breakers (if Generator Owned) X X X X X X X Switchyard Line MOD (if Generator Owned) X X X X X X X X Aggregated\Unit Connected X Note6 X Note6 X Note6 X Note6 X Note6 Note6 Aggregated\Unit Authority Switch X Note8 Aggregated\Unit Control Switch X Note8 Aggregated\Unit Automatic Generation Control X Note8 Aggregated\Unit Ready To Start X X Aggregated\Unit Start X X

7.1.1 Analog and Digital Notes

1. If Aux MW are over 1 MW then Net MW are required. 2. Required If Aux MW are over 1 MW. 3. If Aux MW are over 1 MW then Net MVR are required. 4. Required if Aux MW are over 1 MW. 5. Transformer High Side or Line values required depending on meter location. 6. Provide Unit Connected and Gross MW for each unit and aggregated values if Resource ID is an aggregate. Individual POD not required if the Resource ID is an aggregate. 7. PSS \ AVR indication is needed if plant is required to install these devices. 8. Required point for each Resource ID. 9. Required if the QF is not subject to a QF Participating Generator Agreement. 10. Resolution @ .001 Gross MW = POD. 11. See the Solar Meteorological Data Tables in Section 13.5 and definitions of data points in Section 17.4. Note that some data points are not required from solar thermal facilities.

8. Availability & Maintenance

8.1 CAISO Reliability Requirements The resource owner shall be responsible for maintaining the availability of the RIG, all RIG interface systems, and RIG communications access to the ECN. The RIG (including all parts thereof) is and will at all times remain the property of the resource owner. Risk of loss, theft, or damage of the RIG will be the responsibility of the resource owner. A resource owner will be solely responsible, at the resource owner’s cost, for preparing and maintaining the site at which a RIG will be installed, and for engineering, installation, operation, and maintenance of that RIG and all other activities associated with the installation, operation, and maintenance of that RIG; except that this provision does not supersede agreements addressing responsibility for costs of engineering, design, installation, and testing set forth in any agreement for the installation of a RIG. The CAISO will provide support as described herein to ensure that the RIG properly interfaces with the CAISO’s EMS. The local communications access circuit generally represents the highest risk to plant interface availability. Proper engineering of circuit pathways with alternate paths and redundancy wherever feasible is recommended. In all cases, the CAISO recommends that the resource owner consider implementation of an ISDN digital dial backup circuit at a minimum to maintain communications.

An owner of a RIG is responsible for:  Meeting the CAISO security requirements  Acting as the main point of contact for any data quality issue.  Ensuring the accuracy of the data transmitted to the CAISO.  Resolving any data quality issues identified by the CAISO.  For a RIG Aggregator, see Section 15.

8.2 CAISO Controlled Grid Operation and Market Availability Requirement A resource owner will be solely responsible for all costs and other consequences associated with the unavailability of the RIG and the inability of the RIG to communicate with the CAISO’s EMS, including any financial consequences pursuant to the terms of the CAISO Tariff. Such failure may result in penalties for failure to perform in accordance with the terms of the CAISO Tariff. Additionally, the resource owner’s certification to provide Ancillary Services may be affected in accordance with the provisions of Sections 8.9 and 8.10 and other provisions of the CAISO Tariff. 8.3 RIG Operation and Maintenance

The resource owner is responsible for all activities associated with the operation and maintenance of the RIG. The purpose of this section is to describe the notification and interface requirements for the following activities.

 Software Upgrades  Data Base Revisions  Routine Testing/Maintenance

The diagram below illustrates the boundaries of responsibility for maintenance of the system from the CAISO to a Generating Unit. Sections of the system are illustrated with responsibility assigned to either the CAISO or the Generator. The CAISO is responsible for the maintenance of the CAISO’s systems, such as the EMS and the SCADA equipment interfacing to the ECN. The CAISO’s ECN contract provider has responsibility for maintaining the ECN through contract to the CAISO. The CAISO, as the organization securing the services of the CAISO’s ECN contract provider, has accountability for the maintenance of the ECN. The Generator has the responsibility of operating and maintaining the plant systems, the RIG, and the communication circuit connecting to the ECN.

Figure 7 Operation and Maintenance Boundaries

Plant Metering Energy APOP E C N Control Management System RIG System

ISO ECN Contract ISO O&M Generator O&M Provider O&M

8.3.1 Software Configuration Management with No Impact to CAISO EMS The intent of the following requirements is to provide a notification and approval process for the installation of software upgrades requested by a resource owner or required by the CAISO, based on the understanding that overall functionality of the system shall be ensured through consistency of software and software upgrades.

Each resource owner must safeguard the RIG software and treat it as its own confidential business property, but in no event may it use less than reasonable care to protect the confidentiality of the RIG software. Each resource owner must ensure: (i) that neither it nor any person having access to the RIG will attempt to modify or reverse engineer the RIG software; and (ii) that it takes reasonable steps to ensure that all persons having access to the RIG will observe the resource owner’s obligations relating to the RIG.

 The CAISO maintains a database spreadsheet for each RIG that contains the required data points from the plant information data acquisition point list contained herein. The RIG database spreadsheet may also contain additional data as required for mapping to the CAISO’s EMS. In order to maintain operation of the EMS, the CAISO requires prior notification and approval of all revisions to the RIG database spreadsheet. The resource owner must obtain the latest spreadsheet revision from a CAISO RIG Engineer before making modifications to the spreadsheet. A resource owner may make modifications to its RIG to support its operations, including the addition of data input/output points, which may not be made available to the CAISO, and the addition or replacement of hardware, as required to accomplish the resource owner’s purposes, provided that the resource owner must coordinate any modification of the RIG database spreadsheet with the CAISO and will be solely responsible for all costs and other consequences associated with the performance and/or unavailability of the RIG and/or the inability of the RIG to communicate with the CAISO’s EMS, including any financial consequences pursuant to the terms of the CAISO Tariff, as a result of any such modifications. The resource owner shall notify the CAISO at least seven days prior to any database spreadsheet revision. The resource owner shall submit a database revision for review by a CAISO RIG Engineer that clearly states the proposed database changes, including the revision and installation date and a valid SLIC Outage number. Following CAISO approval of the database revision request, the resource owner shall adhere to the requirements contained herein during the installation of the new database. The resource owner shall notify the CAISO before installation of the new database and participate in joint testing with the CAISO prior to placing the RIG back in service.

 The resource owner may at times require a software upgrade from the RIG vendor that has no impact on the CAISO EMS database. In order to ensure these activities do not impact the CAISO’s EMS at the Folsom and Alhambra facilities, the CAISO requires prior notification and approval of all vendor software upgrades to the RIG. The resource owner shall notify the CAISO at least seven days prior to any software upgrade installation, and provide a

valid outage number that clearly covers the software upgrade. Should the CAISO approve the software upgrade installation request, the resource owner shall adhere to the requirements contained herein during the installation of the new software; as well the resource owner shall follow all Outage Coordination process in accordance with the CAISO Tariff. The resource owner shall notify a CAISO RIG Engineer before installation of the software upgrade.

Outage Coordination internet address: http://www.caiso.com/docs/2001/02/01/2001020108211325518.html

8.3.2 Data Base Configuration and Management Impacting CAISO EMS The intent of the following requirements is to provide a process for RIG database changes  The CAISO or the resource owner may make modifications to the CAISO’s EMS functionality, software, or database. The CAISO will notify each affected resource owner 120 days in advance of any such modification and will provide a detailed explanation of the modifications that will be made. The resource owner may require changes to the RIG database that impact the EMS database and shall contact a CAISO RIG Engineer 120 days in advance of requested change. In such event, the resource owner will be responsible for making any necessary conforming changes to the RIG to maintain the interface with the EMS. The CAISO will work with the affected resource owner to stage the work, such that no Generating Unit will be impacted in its ability to provide Regulation due to the unavailability of the human resources required to accomplish the changes. No such modifications may compromise the resource owner’s right or ability to restrict access to information associated with the resource owner’s resources by any party, as provided herein.

8.3.3 Routine Testing/ Maintenance of RIGs

Each resource owner will remain solely responsible for the completeness and accuracy of all information transmitted by the resource to the RIG. The CAISO will not be responsible for the quality of the data transmitted through the RIG and will only validate that information for accuracy. The CAISO and the resource owner will monitor the resource owner’s data transmitted through the RIG and, upon observation of any problems with that data, must provide the other party notice of that problem and must work together to correct the problem. The resource owner is responsible for all routine testing and maintenance of the RIGs. The intent is to provide resource owners with the process to follow in order to maximize RIG operation while periodic maintenance and/or testing is performed. Minimizing the loss of RIG communication, and thereby minimizing the period when a resource is unavailable for bidding in the Ancillary Services markets, is in the best interest of both the resource owner and the CAISO. The resource owner must also avoid sending spurious or inaccurate data through the RIG as a result of testing and maintenance activities without first coordinating test plans and actions with the CAISO. Spurious and inaccurate data sent

through a RIG to the CAISO and which the CAISO is not expecting to receive will impact the CAISO’s real time Balancing Authority Area load and reserve requirements calculations and its markets. Scheduling Planned periodic maintenance and/or testing of the RIGs must be scheduled with the CAISO at least 72 hours in advance with a valid SLIC Outage number from the CAISO Outage Coordination Office.

Planned periodic maintenance and/or testing of the RIGs should be performed during resource Outages whenever possible.

Loss of RIG communication will result in the inability of the resource to participate in the Ancillary Services markets.

For a resource having seven consecutive and/or nonconsecutive calendar days of failed communications or failed required telemetry data, the CAISO will send a letter to the Scheduling Coordinator. If the compliance issue is not resolved within 30 days, the CAISO will send an additional letter to inform the resource owner and Scheduling Coordinator that the resource’s ability to participate in the Energy market or Ancillary Services markets may be removed.

Outages shall be requested through the resource’s Scheduling Coordinator, and planned RIG work should only take place between 8:00 am and 4:00 pm Monday through Friday, excluding CAISO holidays.

Outage Coordination internet address: http://www.caiso.com/docs/2001/02/01/2001020108211325518.html

9. RIG Implementation

9.1 Engineering / Deployment The resource owner is responsible for all procurement, engineering services, and maintenance with regard to the installation of the RIG. The CAISO suggests that the first step in the installation process be that the resource coordinates a “kick off” meeting. 9.2 RIG Database Development The CAISO’s RIG Engineer will provide technical assistance as required to the resource owner during the RIG hardware selection process. The CAISO’s RIG Engineer will also provide assistance during the development of the RIG database. 9.3 Telecommunication Circuit Installation and Power Requirements The resource owner may obtain ECN access circuit(s) from the ECN contract provider. The ECN contract provider will typically utilize a local exchange carrier (LEC), to provide last-mile cable service to a plant from an ECN point-of-presence (POP) facility location. The LEC is responsible to provide the circuit to the plant main point of entry (MPOE) only. It is the resource owner’s responsibility to provide for, or contract services for, the implementation of high voltage protection (HVP) for these circuits where required. HVP is highly recommended by the CAISO and required in cases where the LEC requires high voltage protection unless fiber optic cabling is used. It is also the resource owner’s responsibility to provide on-site extension of the ECN circuit(s) to the actual RIG cabinet location on-site, preferably by fiber optic cabling. All service power to communication equipment and the RIG must be powered by an uninterruptable power supply (UPS) for the same amount of time the LEC is providing. This is not limited to RIG router, fiber optic power on both ends of the cabling, and Channel Service Unit/Data Service Unit (DSUCSU). Any communication equipment and device providing real-time communications to the RIG (i.e. CAISO revenue meter) shall install a UPS or equivalent. For Eligible Intermittent Resources, see Section 13 (Power Reliability Requirements). 9.4 Temporary Telemetry Exemptions The CAISO may grant a temporary telemetry exemption for a resource that is new to participation in the CAISO’s markets, but an exemption is not guaranteed. The exemption is used for a resource owner that is unable to comply with applicable telemetry requirements prior to the transition of its resource to commercial operations in the CAISO’s markets. Temporary telemetry exemptions are focused on particular data. A resource owner must provide all required documentation in order to submit a request for a telemetry exemption. More information regarding the CAISO’s telemetry exemption process can be found at the following location on the CAISO Website: http://www.caiso.com/thegrid/operations/gcp/index.html

10. FNM Database Process and RIG Installation The FNM database process and RIG installation for real-time telemetry data section references the required steps for new and existing RIGs entering or maintaining the installation. 10.1 CAISO FNM Database Process External Cut Off Date and Database Timing The CAISO’s Full Network Model (FNM) database build process has specific dates to meet in order to deliver new additions to the network model. The external cut off date is the date that resource owners must meet all requirements herein. . Timing parameters are derived from the external cut off date set by the CAISO FNM project manager. They are specified in Business Days –XB (-XB: minus the total Business Days (X) from the external cut off date). Contact the RIG Engineer by e-mail or phone to obtain these dates. . All of the required information shall be submitted on or before the timing parameter offset from the external cut off date in order to be added to the next FNM database build. . A completed RIG database includes: IP address, database spreadsheet approved by the resource owner and the CAISO, required real-time points that are verified and available, and all RIG Engineer questions answered.

10.2 New Database Submission Standards in order to submit a RIG database for a CAISO database build In order for a new telemetry site to be submitted for the next FNM database build, the list of items and milestone timing parameters below must be met prior to the FNM submission external cut off date: . Energy Communications Network (ECN) circuit order submitted to AT&T. . (-15B) Approved construction single-line diagrams that show connection from resource to grid. Drawings shall be as built; released for construction, and\or Professional Engineer (P.E.) electrical stamped and subject to the CAISO’s approval. See Section 18. . (-15B or before CAISO revenue metering is installed, whichever is greater) Initial metering package submittal as defined by the metering file documents check off list. This applies to CAISO revenue meter(s) that are used for a real-time device. . (-5B) Resource owner shall email the ECN IP address range and the RIG communications block diagram to the CAISO’s RIG Engineering group. . (-1B) A list of owner, site, and integrator names, phone numbers, and e-mail contact information. . (-1B) Fully collaborated, completed and approved database by resource owner (previously discussed) and the CAISO. . Wind and solar sites have additional documentation required. See Section 13. . An authorization letter or e-mail from the resource owner, if a third party is to receive FNM information from the RIG Engineer.

The resource ECN IP address range is obtained from AT&T and is required to be e-mailed to the CAISO at least six (6) Business Days before the database external cut off date. 10.3 RIG Database Submittal Timeline

10.4 ECN Physical Circuit Protection to the Resource . Copper installation at your de-mark o High voltage protection (HVP) may be required by the local exchange carrier (LEC) o Longer lead time (up to 90 days)

. Fiber optic installation at the de-mark o Shorter lead time (30 to 60 days) o No HVP required in most cases

10.5 ECN Circuit Monitoring . AT&T o AT&T provides 24/7 router and circuit monitoring with same-day technician dispatch.

. Other circuit monitoring o Resource owners can provide or contract their own monitoring of the ECN circuit. o Resource owners are responsible for resolving ECN circuit problems.

10.6 ECN Agreement . The resource owner must sign the ECN agreement and mail it to the CAISO before the communication from the CAISO’s EMS is opened and testing can be scheduled. The CAISO may accept an e-mailed version of the signed ECN agreement on a case-by- case basis, conditional on subsequent receipt of a hard copy.

. Network Connectivity Security Requirements and ECN agreement are posted on the CAISO Website at the following link: http://www.caiso.com/docs/2001/09/26/2001092611012525611.pdf

. The following is the address to which the resource owner is required to send the hard copy of the signed ECN agreement:

CAISO 250 Outcropping Way Folsom, CA 95630 Attn: RIG Engineering

10.7 Standards For Point-to-Point Testing with the CAISO

Before a resource owner submits a request to test its RIG installation, the resource owner must pretest all data points to a DNP master simulating the CAISO connection without security prior to the scheduled test date. This pretest is to assure quick testing with the CAISO. The resource owner has the responsibility to validate and notify the CAISO that the DNP protocol point to point pretesting has been completed by either email sent to [email protected] or letter sent to the address earlier in this section. Without this notice, the schedule test date may be canceled. Methods of Pretesting: . DNP master emulator . DNP master test set . Other DNP software capable of polling the RIG

Additional RIG configuration needed before final testing can be performed: . Device PKI certificates installed . Review documentation provided by CAISO RIG Engineering

It is essential that pretesting is done with the plant control system and revenue metering through to a DNP master simulation before testing with the CAISO. Manipulation of real-time data at the RIG is not an acceptable method of testing.

Testing of Points . Each analog point shall be tested to full, mid, and low scale. CAISO RIG Engineers at their discretion may allow other values. . Each digital point On and Off state verified. . Calculated points shall be tested by changing inputs to the calculation. . Set Points will be tested to full, mid, and low scale. . Each port alarm shall be tested. With each port alarm a subset of analog and digital telemetry Online\Offline flag is set appropriately.

Revenue Meter Real-time Point Testing for a New RIG Installation: . The meter analog points shall be tested with a test set by injecting voltage and current to the meter.

Revenue Meter Real-time Point Testing for an Existing RIG Installation: . A synced resource or a meter test set may be used to verify the real-time values.

Point testing with the CAISO shall be undertaken as the last part of the testing and installation phase.

The resource owner has the responsibility to have all pre-testing completed before scheduling CAISO testing. If not, a delay or rescheduling of CAISO testing may be required.

10.8 Required Personnel for Point testing . At the scheduled RIG testing date, the following personnel are needed for testing: o Resource personnel capable of exercising each real-time point required to be sent to the CAISO’s EMS from the resource control system through the RIG. o Integrator responsible for the RIG installation. o Revenue meter personnel who can inject test values into the meter to verify real- time data going to the CAISO’s EMS through the RIG. The CAISO may make an exception to this requirement for an operating resource if it does not include new generation.

. Testing from the RIG to the CAISO’s EMS alone is not considered sufficient for a CAISO point test (i.e., plant control system to RIG to CAISO’s EMS). . The final CAISO test will be complete at the parallel of the resource. 10.9 Upgrade or Replacement RIG

Standards of replacing, upgrading, or modifying an existing RIG device o The resource owner must submit a SLIC Outage for some time during the period Monday-Friday between 8:00 a.m. and 4:00 p.m. only. The existing RIG must be returned to service after 4:00 p.m. daily. o The resource owner must provide 72 hours lead time for scheduled testing times. o A third-party engineering firm may not request the existing RIG spreadsheet directly from the CAISO. The CAISO must receive an e-mail from the resource owner granting permission for the CAISO to provide the spreadsheet to the third party. o The CAISO will verify the request with the resource owner. o The CAISO will only give IP addresses to the resource owner, unless directed differently. o All other point testing discussed previously is required. o If the resource is operating, generally, calculated points (UCON) cannot be tested. These points will be verified when the resource shuts down.

10.10 SLIC Outage for Meter or RIG work

The CAISO RIG Engineering group will not approve any work on a RIG or CAISO revenue meter without a verified SLIC outage.

The plant personnel will need to call the CAISO RIG Engineering group before work is started.

. Before the plant personnel calls, they must verify that: o The SLIC outage has a valid SLIC number. o The SLIC # is for the actual times, work, and equipment being performed. o The SLIC # Outage has been started and the OUT (Active) state. o The call is made to CAISO RIG Engineering, 916-608-5897

. Plant\Generator personnel coordinates all work for: o Third Party Meter Engineers: They are to call the CAISO RIG Engineering group at the number above before removing a meter out of service. o RIG Integrators: They are to call the CAISO RIG Engineering group at the number above before starting work on a RIG.

. What CAISO RIG Engineering is not responsible for: o Submitting the SLIC outage. o Starting the SLIC outage. o Obtaining the SLIC outage number. o Calling all the parties responsible. o Taking the SLIC to the OUT (active) state.

. CAISO RIG Engineering Action with a SLIC Outage. o Call the CAISO Real-Time Operator before work starts. o Call the CAISO’s service center (SMSC) about the pending work. o Lock down the resource’s current MW output for the FNM and EMS load calculation, and coordinate with the plant personnel to keep values current during the outage.

10.11 RIG Certificates The resource owner must meet the following requirements to obtain a CAISO RIG certificate: . New Installations o Indicate in an e-mail to CAISO RIG Engineering containing the request form and certificate file that the request is for a new installation. o Obtain the common name from CAISO RIG Engineering either by e-mail or phone (916) 608-5897. o Copy the CAISO RIG Engineers on all certificate requests at [email protected]

. Existing RIG o The CAISO will verify with the resource owner if a certificate request comes from a third-party entity. o The CAISO will inquire from the resource owner the intended party that will be installing the renewed certificate. o Copy the CAISO RIG Engineers on all certificate requests at [email protected]

. All Certificate Requests o There is a minimum ten-day lead time for all certificate requests. o All certificate requests must include a device request certificate form and certificate file. o The device request form can be found on the CAISO Website at http://www.caiso.com/pubinfo/info-security/certs/. The requester should access that website and open the Excel Device Certificate Request Form. o The resource owner must e-mail a complete certificate request to [email protected] and to [email protected]. o The resource owner must obtain a SLIC outage for the installation of the new certificate. o The resource owner must inform CAISO RIG Engineering of the scheduled SLIC outage a minimum of two weeks before existing certificate expires. o CAISO RIG Engineering shall not be responsible for the timing of the renewal request sent to the CAISO certificate request e-mail address. o The RIG certificate can be installed on an end device as soon as it is received by the intended party. As specified above, the resource owner must obtain a SLIC outage and schedule the installation with CAISO RIG Engineering before installing the certificate. o CAISO RIG Engineering will diligently inform each resource owner of the end date of its RIG certificate. CAISO RIG Engineering will provide the resource owner notification by phone and e-mail at least two months in advance of each certificate deadline. However, resource owners should be aware of certificate expiration dates.

10.12 RIG Generation Acceptance Test The resource owner must provide the CAISO documentation confirming a successful RIG Generation Acceptance Test (RGAT).

o This documentation should not be considered a payment milestone for a resource owner’s third-party engineering firms.  These documents are not a requirement to deliver power, which will come from the CAISO Implementation Project Manager.  The content of this documentation must be completed and signed off.  These documents are not required to be signed immediately after a successful end-to-end test with the CAISO.  Plant personnel involved or knowledgeable with the installation of the RIG are required to sign these documents.  The resource’s CAISO RIG Engineer will typically visit the resource site for signature by the resource owner and to answer any questions. Alternatively, the CAISO RIG Engineer may send an electronic copy of the RGAT for signature.  CAISO RIG Engineering Website: http://www.caiso.com/thegrid/operations/gcp/index.html

10.13 Final RIG Documentation

Final RIG documentation is a required piece of a larger package delivered to the CAISO’s Grid Operations group. In order to transfer a resource that was in a construction phase to a production connected resource, Operations requires particular sets of information documenting that all CAISO functionality has been tested and verified. This assures Operations that the site is visible and ready for production. CAISO RIG Engineering needs the following items from the resource owner in order to complete the RIG Engineering piece of the whole package sent to CAISO Operations:

. Site contact spreadsheet completely filled out and shall include: . 24/7 site contact number (typically the control room phone number) . Technical RIG personnel phone numbers and e-mail addresses . Resource owner phone numbers and e-mail addresses . As built RIG database spreadsheet. . Final revised version of the Excel database spreadsheet provided by the CAISO RIG Engineering group at the start of the project. . Resource site narrative document. This document will describe the overall resource and project. Examples are available upon request. These required documents are in addition to all other documentation required by this BPM.

10.14 Wind and Solar FNM Documentation Required The following additional items must be provided by the resource owner for wind and solar resources that are EIRs:

. Site Map (-15B) o Longitude, latitude, and elevation of all meteorological towers and hub height of all turbines. List of Designated Turbines for wind resources. Refer to Section 13 for additional detail information.  Approved by the forecast service provider and Generator. o Topographical map of the wind farm turbine layout. Refer to Section 13.4.3 for detailed map information. . Additional Requirements for Solar Resources (-15B) o Identifying the type of solar resource, i.e., photovoltaic, solar concentrator, etc. o Type of inverters used (for modeling purposes)  Inverter states (off, standby, start)

11. AGC Operational Requirements for Generating Units 11.1 Required DNP and Telemetry Data Points for AGC To meet the minimum requirement of real-time visibility for Generating Units providing Automatic Generation Control (AGC) to the CAISO, each RIG must be capable of communicating the following types of values to/from the CAISO’s EMS:

 Analog input values to the CAISO  Digital input values to the CAISO  Analog output (Set Points) from the CAISO

To meet the minimum requirement of real-time visibility for Generating Units providing Automatic Generation Control (AGC) to the CAISO, each RIG must be capable of communicating the following telemetry data points to/from the CAISO’s EMS:

 Unit Control Switch (UCTL)  Unit Authority Switch (UASW)  Automatic generation control (UAGC)  Automatic generation control Set Point  Automatic generation control feedback  Unit Operating High Limit (UOHL)  Unit Operating Low Limit (UOLL)

For a detailed description of the minimum data point requirements for Generating Units providing AGC Regulation to the CAISO please refer to Section 17.

The CAISO Operations and Engineering groups have approved the list of data point requirements described herein. They are the minimum data point standards that will allow the CAISO to manage effectively the reliability of the grid. At any time, the CAISO may require additional telemetry values to meet real-time operational requirements.

11.2 AGC Control (Bumpless Transfer) For resources providing AGC, the RIG may have the option to set up a bump less transfer method for AGC control, to track Set Point when resources are off AGC control. A calculated Set Point will be stored in the RIG, continually updating with the current MW value of the resource. When the resource transfers to AGC control, and starts accepting valid Set Points, the calculation will deactivate. The calculation should only reactivate when AGC control is disengaged.

12. Non-Spinning Reserve Logic and Testing

12.1 Non-Spinning Reserve Definition Non-Spinning Reserve is defined in the CAISO Tariff. In essence, it is off-line generation capacity that can be synched to the grid and ramped to a specified load within 10 minutes of a Dispatch Instruction by the CAISO, and that is capable of maintaining that output for at least 30 minutes. The following is the testing and functionality that will be required prior to Non-Spinning Reserve certification. For further information and requirements for Ancillary Services, see http://www.caiso.com/docs/2005/10/05/2005100520285623168.html

12.2 Non-Spinning Reserve Logic Requirements In order to bid in the 10 minute Non-Spinning Reserve markets, the following points must be provided through the RIG. Ready to Start—value provided by most peaking units is a combination of the absence of a trip or lockout, the Generating Unit is not spinning, and the sequence logic is in a ready to start condition. It is a positive value that allows the CAISO to know the availability of the peaking unit at any time. If the Ready to Start signal is not positive (high) (1), the CAISO will interpret this to mean the unit is not available for the 10-minute Non–Spinning Reserve market. Once the unit start command is issued, Ready to Start should go low and remain low until the unit is in a mode where it can be started within 10 minutes. Start-value is used when a start command has been initiated by either manual or automatic means. It is a positive value that shows the peaking unit is currently in a Start Up mode. If a purge cycle is required before a start, the Start indication should come on at the start of the purge cycle. It is maintained until a stop command is issued at which time it becomes a zero to indicate the peaking unit is currently in shutdown or is offline.

12.3 Non-Spinning Reserve Testing The test is started by observing the Ready to Start indication is on (High) and unit circuit breaker is open and Generator KV = 0 and the Start is off (Low). A Start will be requested and a 10-minute timer will commence. The CAISO expects to see Ready to Start go off (Low) at this time and Start go on (High). After 10 minutes the POD MW value will be recorded. Once the unit is shut down, both start and Ready to Start should be low until the unit is in a 10 minute start mode, then “Ready to Start” is on (HIGH). If you have any questions about these points or are not sure if they are provided from your RIG, please contact your CAISO RIG Engineer. The CAISO recommends that the Generator simulate the Non-Spinning Reserve functionality thoroughly before scheduling the actual Non-Spinning Reserve test for certification. For further information and requirements for Ancillary Services, see http://www.caiso.com/docs/2005/10/05/2005100520285623168.html

12.4 Proxy Demand Resource Non-Spinning Reserve Testing

PDR Non-Spinning Reserve Testing The test begins with the PDR Ready to Start indication set to on (High) (1) and the Start indication set to off (Low) (0). A Start will be requested and a 10-minute timer will commence. The CAISO expects to see the Ready to Start to set to off (Low) (0) at this time and the Start and UCON set to on (High) (1). When the UCON is set to on (High) (1) the Bias Load will hold the current real load value. The Pseudo Generation will be calculated from the Bias Load and the Real Load. After the test is over, the Ready to Start is set to on (High) (1) and the Start and UCON is set to off (Low) (0). Refer to Section 14 for PDR logic requirements.

13. Eligible Intermittent Resources (EIR)

13.1 Applicability

Participating Generators with EIRs who wish to enter the Participating Intermittent Resource program (PIRP) shall comply with all applicable provisions of the CAISO Tariff. The Eligible Intermittent Resources Protocol (EIRP) in Appendix Q of the CAISO Tariff imposes various communication and forecasting equipment and forecasting data requirements on EIRs with PGAs as well as additional requirements on such EIRs electing certification as a Participating Intermittent Resource (PIR). Section A13 of Appendix A of the BPM for Market Operations contains additional requirements for EIRs and PIRs that do not pertain to direct telemetry.

A Generator with an EIR that intends to participate in the CAISO PIRP shall provide additional meteorological data. The PIRP resources shall have additional data requirements beyond those applicable to other resources providing direct telemetry due to the importance of real-time data in developing the hourly forecast for the EIR resource.

13.2 Power Reliability Requirements

The EIR owner must provide a backup power source for the RIG, meteorological station equipment, revenue meter, and essential communication equipment (not limited to the router, network switch, fiber optic transceiver, 120V plug-in power supplies, etc.), the backup power source shall be sized accordingly to carry that equipment load. A backup power supply may include, but is not limited to, uninterruptable power source (UPS), battery bank with solar panel charger, or dedicated wind turbine charging a back up battery bank with inverter. Whichever backup power source is installed, it shall be sized and provide power until the primary power source is restored.

13.3 Basic Meteorological Data

These are the CAISO required meteorological data points for EIRs participating in PIRP. 13.3.1 Meteorological Wind Speed The unit of measurement for wind speed will be in meters per seconds (m/s) with a precision of one m/s. 13.3.2 Meteorological Wind Direction The unit of measurement for wind direction will be in angular degrees from true north with a precision of five degrees.

13.3.3 Meteorological Barometric Pressure The unit of measurement for barometric pressure will be in Hecto Pascal with a precision of 60 Hecto Pascal. 13.3.4 Meteorological Ambient Temperature The unit of measurement for ambient temperature will be in degrees Celsius with a precision of 1 degree Celsius.

13.4 Wind Generation 13.4.1 Meteorological Station Requirements Each Generator with a wind EIR must install and maintain equipment required by the CAISO to support accurate power generation forecasting and the communication of such forecast, meteorological, and other required data. A Generator with a wind EIR shall install a minimum of one meteorological tower and two meteorological stations measuring barometric pressure, temperature, wind speed and direction, except that the second meteorological station is only required for plants with a rated capacity of five (5) MW or greater. The meteorological tower should be located on the windward side of the wind farm. One meteorological station is required to be installed at the average hub height of the wind turbines. The second meteorological station may be co-located on the primary meteorological tower and installed approximately 30 meters below the average hub height. Where placement of the meteorological station tower(s) in accordance with this requirement would cause a reduction in production or violation of a local, state, or federal statute, regulation or ordinance, the CAISO, in coordination with any applicable forecast service provider, will cooperate with the EIR to identify an acceptable placement of the meteorological station tower. The use of SODAR1 and/or LIDAR2 equipment may be an acceptable substitute for wind direction and velocity based on consultation and agreement with the forecast service provider and the CAISO. Hub height is defined as the distance from the ground to the center of the turbine axis. The station need not actually be located at the hub height, only at a height where measurements representative of those at the hub height can be taken. The CAISO recognizes the fact that turbine hub heights are beginning to exceed 80 meters, intruding into Federal Aviation Administration (FAA) airspace. A meteorological tower exceeding 80 meters incurs additional costs to comply with the FAA lighting requirements. The wind EIRs will need to work with the forecast service provider to develop the individual algorithms to calculate the offset of a meteorological tower from the hub height.

13.4.2 Designated Turbines Designated Turbines are required to improve forecast accuracy within a wind park.

1 SODAR – SOnic Detection And Ranging- a meteorological instrument also known as a wind profiler which measures the scattering of sound waves by atmospheric turbulence. 2 LIDAR – LIght Detection And Ranging - a meteorological instrument which measures the properties of scattered light waves caused by atmospheric turbulence.

Definitions: Designated Turbine - A turbine designated by the CAISO, in which nacelle wind speed and generation in MW is required. Average Horizontal Spacing - The average horizontal distance between a turbine and its closest neighboring turbine. Vertical Distance - The elevation difference between the height of a turbine's base and the height of the base of another turbine. Designated Turbines shall be selected such that each turbine is within a horizontal distance of five times Average Horizontal Spacing and a Vertical Distance of 75 meters of a Designated Turbine and is determined by the CAISO. The Designated Turbine must be capable of sending the wind speed and power production information to the CAISO via the RIG. 13.4.3 Topographical Map A Generator will be required to submit a topographical map that illustrates the location and height for each wind turbine within the park. 13.5 Solar Generation

13.5.1 Meteorological Station Requirements Each EIR whose capacity is one MW or greater shall install a minimum of one meteorological station. Each EIR facility whose capacity is five MW or greater shall provide a minimum of two meteorological stations. The meteorological data requirements are set forth in Section 13.4.2. Solar generating facilities that require direct normal irradiance (DNI) and global horizontal irradiance (GHI) measurements may provide alternate radiometry meteorological station data. For example, meteorological station one may report DNI where meteorological station 2 may report GHI. All other meteorological data reporting requirements shall remain the same. Solar generating facilities’ meteorological stations shall cover 90% of the facility’s footprint for each Resource ID. Each meteorological station shall have a coverage radius of 7 - 10 miles. The meteorological station location requirement may be satisfied by a mutually agreeable sharing arrangement(s) between solar EIRs if:  One such EIR (“Host Plant”) meets the requirement; and

 The site of the other EIR (“Sharing Plant”) lies contiguous to or overlaps the site of the Host Plant, or

 Meteorological conditions on its plant site are substantially similar to those on the Host Plant site.

Proof of the agreement between the Host Plant and Sharing Plant must be provided to the CAISO. Should the agreement terminate, the sharing EIR must independently demonstrate satisfaction of the meteorological tower requirement specified herein.

13.5.2 Meteorological Data Requirements Table 1 in Section 13.6 represents the minimum required (R) measurement of solar irradiance by each solar generating technology. See Section 7 for required data points and Section 17.4 for definitions of the real-time telemetry data points required for EIRs. Solar technology definitions 13.5.3Flat Plate Solar Photovoltaic Photovoltaic power generation employs solar panels comprising a number of cells containing a photovoltaic material.  Fixed horizontal / flat roof: The panels are mounted parallel to the sky and the roof top.  Fixed angle: The panel is statically fixed to an angle that optimizes its exposure to the sun year around.  Azimuth tracking: A panel is attached to a device that tracks the horizontal movement of the sun to optimize solar production.  DNI: Direct Normal Irradiance (DNI) is a measure of the solar irradiation striking a surface held normal to line of sight to the sun.  Solar zenith angle: Zenith angle is the angle from the zenith (point directly overhead) to the sun's position in the sky. The zenith angle is dependent upon latitude, solar declination angle, and time of day. 13.5.4Flat Panel Solar Collector

A typical flat-plate collector is a metal box with a glass or plastic cover (called glazing) on top and a dark-colored absorber plate on the bottom. The sides and bottom of the collector are usually insulated to minimize heat loss. Sunlight passes through the glazing and strikes the absorber plate, which heats up, changing solar energy into heat energy. The heat is transferred to liquid passing through pipes attached to the absorber plate.

13.5.5Low Concentration Solar Photovoltaic Low concentration solar photovoltaic is a system that has a solar concentration of 2- 100 magnification of the suns. This is normally performed with the use of mirror or other material or devices that concentrate the suns irradiance.

13.5.6High Concentration Solar Photovoltaic High concentration solar photovoltaic is a system that has a solar concentration of 300 magnification of the suns or greater. This is normally performed with the use of mirror or other material or devices that concentrate the suns irradiance.

13.5.7Concentrated Solar Thermal Concentrated solar thermal systems use lenses or mirrors and tracking systems to focus a large area of sunlight onto a small area. The concentrated light is then used as heat or as a heat source for a conventional power plant such as a steam turbine.

13.5.8Heliostat Power Heliostat power plants or power towers are a type of solar furnace using a tower to receive the focused sunlight. They use an array of flat, movable mirrors called heliostats to focus the sun's rays upon a collector tower.

13.5.9Greenhouse Power Tower The greenhouse power tower combines the chimney effect, the greenhouse effect, and wind turbines to produce power. Air is heated by sunshine and contained in a very large greenhouse-like structure around the base of a tall chimney, and the resulting convection causes air to rise up the updraft tower. This airflow drives turbines, which produce electricity.

13.5.10 Sterling Engine Sterling engine use the expansion or hot gasses and contraction of cool gasses to produce mechanical work. The engine is designed so that the working gas is generally compressed in the colder portion of the engine and expanded in the hotter portion resulting in a net conversion of heat into work. The cooler part of the engine at times has compressors to cool the gases, and the hotter part, uses mirrors to concentrate the heat from the sun.

13.6 Solar Meteorological Data Tables Table1 Global Global Direct Horizonta Back Pannel Irradiance/ Irradiance l Temperature Plane of Array (DIRD) Irradiance (BPTEMP) (PAIRD) (GHIRD) Flat-Plate PV (fixed / horizontal / flat R R roof) Flat-Plat PV (fixed angle / azimuth R R tracking) Flat-Plate PV (DNI zenith & azimuth R R tracking) Flat-Plate PV (DNI zenith & azimuth R R tracking) Flat-Panel Solar (thermal fixed angle R R mounted) Flat-Panel Thermal Collector (azimuth R R tracking) Low Concentrating PV R R (LCPV) High Concentrating PV R R (HCPV) Concentrated Solar Thermal (solar through R R zenith tracking) Heliostat Power R R (tracking focusing mirrors) Greenhouse Power Tower (hot air convection R turbine) Stirling Engine (concentrated solar power R R generation)

Table 2

Element Device(s) Needed Units Accuracy

Wind Speed Anenometer, wind vane m/s ± 1 m/s (Meter / Second) and wind mast Wind Direction Anenometer, wind vane Degrees ± 5⁰ (Degrees - Zero North 90CW) and wind mast Air Temperature Temperature probe & C ± 1⁰ (Degrees Celsius) shield for ambiant temp ⁰ Barometric Pressure Barometric Temp HPA ± 60 Pa (Hecto Pascals) Back Panel Temperature Temperature probe for back C ± 1⁰ (Degree C) panel temprature ⁰ Plane Of Array Irradiance Pyranometer or Equivalent W/m² ± 25 W/m² Watts\Meter Sq. Global Horizontal Irradiance Pyranometer or Equivalent W/m² ± 25 W/m² Watts\Meter Sq. Direct Irradiance Pyranometer or Equivalent W/m² ± 25 W/m² Watts\Meter Sq.

Table 2 details the units and accuracy of measurements for telemetry data points to be sent to the CAISO in real time (i.e., 4 seconds) from solar EIRs, depending on the solar technology. Refer to Section 17.4 for detailed information.

14. Proxy Demand Resource (PDR) Proxy Demand Resources shall follow the direct telemetry standards defined in this BPM. Refer to Section 6.2.2 for telemetry timing requirements. 14.1 PDR Point Requirements 14.1.1 Real Load MW Each PDR shall be required to provide real load values. The load is the total real time load or the power consumed by the resource; it can be a directly measured or calculated. Load data can be provided directly from a field device, such as a revenue meter, or indirectly by interfacing to a PDR EMS. It can also be derived by statistical sampling a resource’s underlying load. This data point used to helps establish a baseline and calculate the load reduction of a resource when the resource is dispatched. A method for calculating load is not valid unless approved by a CAISO RIG Engineer.

14.1.2 PDR Unit Connectivity Status (PDR UCON) The PDR UCON can be manually set by an operator or programmed to change status based on an ADS Dispatch. The PDR UCON represents the resource is connected to the grid.

14.1.3 Bias Load Bias load is a calculated value that stores the initial real load of a resource when the PDR unit connectivity status (UCON) is initially set to ON (HIGH). The bias load is used to establish a resource’s baseline load.

14.1.4 PDR Unit Ready to Start and Start Status The PDR Ready to Start and Start status are required only if a PDR is participating in the Non-Spinning Reserve market. The Ready to Start status should be set to ON (HIGH) if the resource has been awarded Non-Spinning Reserve by the market and is available for dispatches. The Start status should be set to ON (HIGH) when the PDR UCON is ON (HIGH). Both status points can be linked to the PDR UCON status.

14.1.5 Pseudo Generation MW PDR will be required to provide a pseudo generation point. The pseudo generation calculates the real load, bias load, and the PDR UCON points. The pseudo generation calculation can be performed within a control system, EMS, or RIG. The pseudo generation point allows the CAISO to model the PDR resources like a market Generating Unit.

14.1.6 Status` and Pseudo Generation flow The following chart is the sequence of the ADS signal when it changes for a PDR.

1A If ADS Dispatch Signal > Zero 1B If ADS Dispatch Signal = Zero Read to Start status = 0 Read to Start status = 1 Start status = 1 Start status = 0 PDR UCON = 1 PDR UCON = 0 Real Load = Feeder Actual MW Bias Load = 0 Bias Load = Real Load Pseudo Gen = 0 2A Pseudo Gen = Bias Load - Real Load Goto 1B If ADS dispatch > 0 Then Next Else Goto 1B Wait 60 minutes Pseudo Gen = Bias Load - Real Load Goto 2A

(The CAISO ADS dispatches to non-Regulation resources)

The flow chart of the PDR status` and Pseudo Generation MW is shown on figure 8.

YES IS NO ADS Dispatch > 0

Ready to Start = OFF Start = ON PDR UCON = ON

Pseudo Gen = 0 BIAS LOAD = 0 PDR UCON = OFF READ Ready to Start = ON Real Load Start = OFF MW

BIAS LOAD = Real Load

Pseudo Gen = IS NO BIAS LOAD – ADS Dispatch Real Load > 0

The Loop shall check ADS at least every minute FIGURE 8 Calculations for Pseudo Generation

15. RIG Aggregator Refer to Sections 6.9, 6.10 and 6.11 for other direct telemetry requirements.

15.1 Applicability The RIG Aggregator standards in this Section 15 apply to resource owners who plan to use a single RIG to provide direct telemetry for multiple resources. To optimize the data gathering process, resources may use a RIG Aggregator to meet the CAISO’s telemetry requirements instead of installing a RIG for each facility. The RIG Aggregator must be a resource owner that can enter into agreements with other resource owners to provide direct telemetry through its RIG. As described in more detail in the CAISO Tariff, the CAISO Tariff only requires a resource with a capacity of ten MW or greater or participating in the Ancillary Services markets or an Eligible Intermittent Resource to provide direct telemetry. 15.2 RIG Aggregator Responsibility The RIG Aggregator is responsible for the real-time telemetry data aggregation and is the main contact for data quality issues, accuracy, and communication. The RIG Aggregator will be responsible for coordinating required data points telemetered to the CAISO EMS. In addition to meeting the requirements of Section 5.8 for its own resources, the RIG Aggregator has the obligation to maintain direct contact with the CAISO for all other resources that it is aggregating. 15.3 RIG Aggregator Authorization The RIG Aggregator shall provide a letter on the RIG Aggregator’s letterhead setting forth a list of all resources that are being aggregated. The letter shall state that the RIG Aggregator accepts all responsibilities detailed in this BPM. The RIG Aggregator shall provide accompanying letters from each resource owner granting authorization to the RIG Aggregator to telemeter data on their behalf to the CAISO.

16. CAISO Security Policy

16.1 Referencing CAISO Information Security Documents

The CAISO has information security documents relevant to each project. The following security documents and links to additional security requirements are incorporated into this BPM. For further information and reliability requirements please contact the CAISO Network Security.

 Basic Assurance Certification Practice Statement (CPS): http://www.caiso.com/17b4/17b48a5424230.pdf

 The ECN Connectivity Requirements link is: http://www.caiso.com/177d/177d93982c5c0.html

 Network Connectivity Security Requirements and ECN Agreement: http://www.caiso.com/docs/2001/09/26/2001092611012525611.pdf

17. Real-time Point Definitions The resource owner is responsible for correctly providing all required points at the accuracy herein. 17.1 ANALOG VALUES 17.1.1 Unit Gross Megawatts (Gross MW) Definition: This quantity is defined as the resource’s real power output, before subtracting the auxiliary real power load or step-up transformer real power losses. Purpose: Gross MW is used to determine the CAISO Balancing Authority Area's generation pattern in the network model. Methods of providing this value: This value can be provided from instrument devices at the resource site (accurate transducers), at the Generating Unit terminals/low side of the step-up transformer, before any generation is intermingled with auxiliary load. It may be calculated from other measured points as agreed to by the CAISO RIG Engineer (i.e., Net MW plus Aux MW = Gross MW). 17.1.2 Unit Net Megawatts (Net MW) Definition: This quantity is defined as the resource’s real power output measured at the low side of the step up transformer after the auxiliary transformer if applicable. Or the quantity available after subtracting the unit auxiliary real power load, but before subtracting the unit step-up transformer real power losses. Purpose: Net MW is used to determine the CAISO Balancing Authority Area's generation pattern used in the network model. Methods of providing this value: This value can be provided from instrument devices at the resource site or it may be calculated from other measured points as agreed to by the CAISO RIG Engineer (i.e., Gross MW minus Aux MW = Net MW). If Gross MW is equal to Net MW then Net MW is not required.

17.1.3 Unit Point of delivery Megawatts (POD MW) Definition: This quantity is defined as the compensated, real-time value of the resource’s real power output at the point the resource connects to the electric grid to the CAISO Controlled Grid. It should align with the Point-of-delivery (POD) MW calculated or measured by the CAISO revenue meters. This value is either the actual or calculated value of the unit’s output at the point where the Generating Unit connects to the electric grid into the CAISO Controlled Grid. It must be a real time updated value and not averaged over time. This value is compensated for losses typically arising from the difference between the measured point and the delivery point (such as transformer losses, line losses, etc). Purpose: POD MW is used to certify Ancillary Services and represents the Generating Unit’s real power delivery to the system. It is used to validate Ancillary Services Bids (scheduled versus actual) and to calculate accurate Operating Reserves. This point is also used as an input to real time network model used for system reliability monitoring. Methods of providing this value: This value may be obtained by installing instrument devices at the POD. This value may also be calculated by providing an accurate conversion of existing Net MW values to point of delivery values within the existing control system or external system. The value must represent an accuracy of +/-2% of the true value of POD MW represented in the CAISO revenue meter. 17.1.4 Unit Auxiliary Load Megawatts (Aux MW) Definition: Aux MW is defined as the real power load the Generating Unit provides to maintain its station service power. This point is required where a unit’s maximum auxiliary load is 1 MW or greater. Aux MW cannot represent other loads between the Generating Unit and the POD. Purpose: The CAISO uses this value to determine the amount of replacement power required by each Generating Unit based on unit trips, startups, etc. This value is used to properly model the Generating Unit’s operating condition. Methods of providing this value: Aux MW can be provided from instrument devices at the auxiliary transformer. It may be calculated from other measured points as agreed to by the CAISO RIG Engineer (i.e., Gross MW minus Net MW = Aux MW). 17.1.5 Gross Reactive Power (Gross Megavar (MVAR)) Definition: This quantity is defined as the unit’s reactive power output, before subtracting the unit auxiliary reactive power load or unit step-up transformer reactive power losses. Purpose:

Gross MVAR is used to determine the CAISO Balancing Authority Area's MVAR generation pattern in the network model. Methods of providing this value: This value can be provided from instrument devices at the generating site (accurate transducers), at the Generating Unit terminals/low side of the step-up transformer, before any generation is intermingled with auxiliary MVAR. It may be calculated from other measured points as agreed to by the CAISO RIG Engineer (i.e., Net MVAR + Aux MVAR = Gross MVAR). 17.1.6 Point of delivery Megavars (POD MVAR) Definition: This quantity is defined as the compensated, real-time value of the reactive power (MVAR) at the point the Generating Unit connects to the CAISO Controlled Grid. It should align with the Point-of-delivery (POD) MVAR calculated or measured by the CAISO revenue meters. This value is either the actual or calculated value of the unit’s output at the point where the Generating Unit connects into the CAISO Controlled Grid. It must be a real time updated value and not averaged over time. This value is compensated for losses typically arising from the difference between the measured point and the delivery point (such as transformer losses, line losses, etc). Purpose: POD MVAR is used to establish a generating site’s reactive power delivery to the system and the impact of the generating site on system voltage. It is used to verify the generating site’s operation within CAISO Tariff requirements for reactive power, and is used as an input to real time network model used for system reliability monitoring.

Methods of providing this value: This value may be obtained by installing instrument devices at the POD. This value may also be calculated by providing an accurate conversion of another data point measured at the same voltage level as the POD. The value must represent an accuracy of +/-2% of the true value of POD MVAR represented in the CAISO revenue meter. 17.1.7 Net Reactive Power (Net MVAR) Definition: This quantity is defined as the unit’s reactive power output after subtracting the unit auxiliary reactive power load, but before subtracting the unit step-up transformer reactive power losses. Purpose: Net MVAR is used to determine the CAISO Balancing Authority Area's generation pattern used in the network model.

Methods of providing this value: This value can be provided from instrument devices at the generating site or it may be calculated from other measured points as agreed to by the CAISO RIG Engineer (i.e., Gross MVAR minus Aux MVAR = Net MVAR). If Gross MVAR is equal to Net MVAR then Net MVAR is not required. 17.1.8 Auxiliary Load Reactive Power (Aux MVAR) Definition: Aux MVAR is defined as the reactive power load the Generating Unit provides to maintain station service power. This point is required where a unit’s maximum auxiliary load is one MW or greater. Aux MVAR cannot represent other loads between the Generating Unit and the POD. Purpose: The CAISO uses this value to determine the amount of replacement MVAR required by each Generating Unit based on unit trips, startups, etc. This value is used to properly model the Generating Unit’s operating condition. Methods of providing this value: Aux MVAR can be provided from instrument devices at the auxiliary transformer. It may be calculated from other measured points as agreed to by the CAISO RIG Engineer (i.e., Gross MVAR minus Net MVAR = Aux MVAR). 17.1.9 Generating Unit Terminal Voltage (KV) Definition: This quantity is defined as the terminal voltage of the Generating Unit, before the unit step-up transformer. It may be phase to phase or a calculated value of phase to ground multiplied by the square root of three. For a Net Scheduled QF subject to a QF PGA, this quantity is the voltage at the Point of Demarcation. Purpose: The CAISO uses generator terminal voltage to determine each Generating Unit’s contribution to system voltage support. Terminal voltage is critical to proper network modeling. This value is useful in identifying voltage control issues, MVAR circulation problems etc. Methods of providing this value: This value can be provided from instrument devices at the Generating Unit terminals (accurate transducers), or, for a Net Scheduled QF subject to a QF PGA, at the Point of Demarcation. 17.1.10 Unit Operating High Limit (UOHL) (AGC Units Only) Definition: The UOHL represents the maximum physical operating limit of the Generating Unit. The plant control room operator typically sets this limit to prevent the unit MW output from exceeding an upper plant operating limitation. Purpose:

The CAISO uses this value to set the maximum boundary for AGC calculations and unit availability at the POD. Method of providing this value: The real time UOHL value is typically provided directly from the device that the plant control room operator uses to manually set the operating limits.

17.1.11 Unit Operating Lower Limit (UOLL) (AGC Units Only) Definition: The UOLL represents the minimum physical operating limit of the Generating Unit that participates in ACG. The plant control room operator typically sets this limit to prevent the unit MW output from exceeding a lower plant operating limitation. Purpose: The CAISO uses this value to set the minimum boundary for AGC calculations and unit availability at the POD. Method of providing this value: The real time UOLL value is typically provided directly from the device that the plant control room operator uses to manually set the operating limits.

17.2 Digital Values 17.2.1 Unit Generator Breaker Definition: The generator breaker is the breaker that closes when the unit is synchronized to the grid. Purpose: The generator breaker positions are needed to determine unit synchronization status. Method of providing this value: The plant or resource control system can provide the status of the breaker. The following three digital points are required for resources providing Automatic Generation Control (AGC). 17.2.2 Unit Connectivity Status (UCON) Definition: The UCON status is an indication that a unit is synchronized to the grid. Purpose: The UCON value is used as a validity check when counting Operating Reserve contribution. It provides a check and balance in the FNM and provides an indication of the number of Generating Units connected to the system. Method of providing this value: This value is determined from the actual breaker status points of each Generating Unit and the pre-determined value of Gross MW or the measurement of voltage is greater than a small percentage of Terminal Voltage. Consult with the CAISO RIG Engineer to determine the best solution. 17.2.3 Unit Control Status (UCTL) Definition: The UCTL represents a software or hardware switch position that the resource is controlling remotely or locally. The On (High) indicates when the resource is available for remote supervisory control. The Off (Low) indicates the resource is controlled locally. Purpose: The purpose of the UCTL is to validate whether the resource is providing remote control to supervised control operators.

Method of providing this value: The resource operator selects the UCTL value through an operator interface display or physical toggle switches. Whichever method is used to select remote or local control, the indication will come from the resource control system. 17.2.4 CAISO Unit Authority Switch (UASW)

Definition:

The RIG unit authority logic dictates which entity (the Generator, the CAISO, or other EMS system) has control over a Generating Unit at any given time. When sharing control of equipment, it is usually necessary to designate and report who has supervisory control of a specific Generating Unit at any given moment. This is done to prevent conflicting commands from being issued to the equipment. Unit authority switching is the means by which control of specific equipment is passed among the various control groups. Any logic or operator action that prevents or acts against the CAISO’s direct control will result in this status changing to Off (Low).

Purpose:

When UASW is On (High) the resource will only be available for CAISO AGC Set Point and no other. Method of providing this value:

The UASW may be defined as a hardware or software switch. In either case, the switch must be available to the resource operator through the plant control system.

17.2.5 Unit Automatic Generation Control (UAGC)

Definition: The UAGC is the final indication that the resource is ready for the CAISO to send AGC Set Points. The AGC resource requires an AGC certification in order to participate in the CAISO Regulation market. There is one UAGC digital point for each Resource ID. Purpose: This point is used for Settlement purposes to determine that the intended resource met the scheduled generation expectation. When this point is ON (High), the CAISO EMS AGC control has authority to send MW Set Points to the RIG. Method of providing the value: The UAGC status is a calculation result that is made of digital point operand of AND points UCON, UCTL and UASW. The Set Point shall move the unit within the timing parameters outline herein. 17.2.6 Automatic Voltage Regulator (AVR) and Power System Stabilizer (PSS) Status Definition: The AVR is used to automatically control Generating Unit terminal voltage. The status must be represented as ON (in automatic control) or OFF (off-line). The PSS is the system that works with the AVR to respond to frequency excursions. The status shall be represented as On (in service) or Off (out of service). Purpose: AVR and PSS device status points are required to assess system reliability. The AVR and PSS status points are required from all Generating Units subject to WECC requirements. These points are also used in post-event analysis and for system stability simulations. Method of providing this value: These values must represent the ON (high) status from the AVR and PSS devices and may not come from a calculation or user entered value. Data points for AVR and PSS status are not required for units that do not have these devices installed.

17.2.7 Peaking Unit Ready to Start and Start Status` Definition: The Ready to Start value is provided by the plant control system and shows absence of a trip or lockout and that the unit is in a ten minute ready to start condition. A positive value allows the CAISO to know the availability of the resource at any time. The Start value is the start command that has been initiated either by manual or automatic means. The Start value is On (High) when the Generating Unit is currently in a start up mode. It’s maintained On (High) until a unit stop or shutdown command is initiated at which time it transitions to Off (Low) to indicate the Generating Unit is currently shutting down or offline. Purpose: These values are used to assess the status of peaking units and are used in Ancillary Services certification and validation of reserve quantities. Method of providing this value: These values are obtained directly from plant or resource control systems (i.e., PLCs, etc). Typical control system logic provides both these quantities.

17.3 Switchyard Values The Generator may own some or all of the equipment associated with the connected switchyard. All switchyard values shall meet telemetry timing requirements. If the Generator owns switchyard breakers, it shall provide the status retransmitted through the RIG. The QF Participating Generator may own some or all of the equipment associated with the high voltage switchyard interconnecting the QF to the grid. The telemetry of all switchyard equipment (e.g., circuit breakers, circuit switchers, motor operated disconnects, transformers, transmission lines, etc.) directly associated with connecting the QF to the grid must be communicated through the DPG regardless of the interconnecting equipment’s ownership. If the switchyard directly connects to the ISO Controlled Grid and the QF Participating Generator owns the other switchyard equipment, the real time telemetry of all switchyard equipment must be communicated through the RIG. Where existing telemetry to the ISO is available for this switchyard equipment (i.e., provided through the UDC), the ISO will not require the telemetry of this other switchyard equipment to be provided through the DPG, provided the QF Participating Generator has arranged and can provide the ISO with evidence of a formal agreement with the UDC to continue to deliver real time switchyard telemetry values on behalf of the QF Participating Generator. However, the ISO Field Data Acquisition Engineer must agree with the specific methods used to provide the real time telemetry.

17.3.1 Switchyard Line and Transformer MW and MVAR Values Definition: The MW and MVAR quantities for the switchyard’s transmission lines and transformers.

Purpose: These values allow for proper network state estimation and assessment of network topology and assist in troubleshooting data quality problems (i.e., sum of flows into and out of a bus). The MW and MVAR values are essential for modeling system restoration scenarios. Method of providing this value: These values are obtained through devices connecting to the line CTs and PTs. 17.3.2 Switchyard Bus Voltage Definition: This value is the voltage at the Generating Unit’s switchyard bus. It may be phase to phase or a calculated value of phase to ground multiplied by the square root of three. Purpose: The switchyard bus voltage is used in determining network state estimation. It identifies voltage concerns and/or system-imposed limitations on reactive support. Method of providing this value: This value is provided from bus PTs. 17.3.3 Switchyard Device Status Definition: The breakers, circuit switchers, and/or motor operated disconnects (MOD) status for each Generating Unit, line, bus, and transformer breakers in the Generating Unit’s switchyard are required. Purpose: These values are used in determining network topology for state estimation. They are required for system restoration and outage information. In some arrangements, they may be the basis for forming the UCON status. Method of providing this value: These values are direct measurements from switchyard devices and/or device auxiliary contacts. 17.3.4 Aggregated Units In certain situations, the CAISO allows aggregation of Generating Units and the associated telemetry. This is typically done where Generating Units are operated in an interrelated manner (such as through use of a common watershed, operation in combined cycle configuration, etc.). In these situations it is important to work with the CAISO RIG Engineer to determine the required data points. The following provides a guideline to help determine the necessary and correct data points for Aggregated Units. 17.3.5 Aggregated Gross MW and MVAR This is a calculation of the sum of the individual unit Gross MW and Gross MVAR values. When applicable, Gross MW and MVAR are still required for the individual Generating Units. Requirements will vary on a case-by-case basis.

17.3.6 Aggregated Net MW and MVAR This is a calculation of the sum of the individual unit Net MW and Net MVAR values. When applicable, Net MW and MVAR are still required for the individual Generating Units. Requirements will vary on a case-by-case basis. 17.3.7 Aggregated Aux MW and MVAR This is a calculation of the sum of the individual unit Aux MW and Aux MVAR values. When applicable, Aux MW and MVAR are still required for the individual Generating Units. Requirements will vary on a case-by-case basis. 17.3.8 Aggregated Point of delivery MW Aggregated Point of delivery (POD) MW is a required point and is typically the value of the MW at the point of interconnection to the CAISO Controlled Grid. In this case, individual Generating Unit POD MW and MVAR are not required. 17.3.9 Aggregated Point of delivery MVAR TBD 17.3.10 Aggregated Unit Connectivity (UCON) Aggregated UCON is calculated from the status of all individual Generating Unit UCONs. For example, Aggregated UCON = Unit 1 UCON OR Unit 2 UCON. Individual Generating Unit UCON is based on a determination that at least one of the individual units’ breakers is closed and that a minimum threshold of unit Terminal Voltage or Gross MW is exceeded. Coordinate with a CAISO RIG Engineer for calculation. 17.3.11 Aggregated Peaking Unit Start and Ready to Start Aggregated Unit Start and Ready to Start status points are required. These points are calculated for the Aggregated Unit, whenever at least one of the individual units is in a Ready to Start or Start condition. 17.4 Wind and Solar Point Definitions The EIR owner shall provide the following applicable real-time data points to the technology used. Section 13.6 provides a table of the required real-time points for each type of technology.

17.4.1 Direct Irradiance (DIRD) Direct irradiance can be measured with a pyranometer or equivalent equipment which measures solar irradiance in Watts per meter (W/m2). All equipment used to measure solar irradiance shall have an accuracy of ± 25 (W/m2). Direct solar irradiance is a measure of the rate of solar energy arriving at the earth's surface from the sun's direct beam, on a plane perpendicular to the beam, and is usually measured by a sensor mounted on a solar tracker. The tracker ensures that the sun's beam is always directed into the instrument's field of view during the day.

17.4.2 Global Horizontal Irradiance (GHIRD) Global horizontal irradiance can be measured with a pyranometer or equivalent equipment which measures solar irradiance in Watts per meter (W/m2). All

equipment used to measure solar irradiance shall have an accuracy of ± 25 (W/m2). The GHI is the total solar radiation (direct, diffuse, and ground-reflected irradiance) hitting the horizontal surface of the earth. The sensor shall be mounted on a meteorological station, set at the global horizontal angle of the earth in reference to the sun solar radiation.

17.4.3 Global Irradiance / Plane of Array Irradiance (PAIRD) Plane of array irradiance can be measured with a pyranometer or equivalent equipment which measures solar irradiance in Watts per meter (W/m2). All equipment used to measure solar irradiance shall have an accuracy of ± 25 (W/m2). The sensor shall be mounted on a meteorological station, facing the same angle and direction as all other solar photovoltaic panels at the site.

17.4.4 Diffused Irradiance Diffuse irradiance refers to all the solar radiation coming from the sky and other reflected surfaces except for solar radiation coming directly from the sun and the circumsolar irradiance within approximately three degrees of the sun.  Diffused Plane of Array Irradiance (DPOA): Diffused plan of array irradiance sensors follow the same accuracy and mounting requirements as the GPOA sensors but shall be designed to measure diffused irradiance.  Global Diffused Irradiance (DIFGH): Global diffused irradiance sensors follow the same accuracy and mounting requirements as the GHI sensors but shall be designed to measure diffused irradiance.

17.4.5 Back Panel Temperature (BPTEMP) Back panel temperature is measured in degrees Celsius, with an accuracy of one degree. The temperature sensor should be mounted behind a solar photovoltaic panel.

18. Drawing Requirements

The resource owner must provide the CAISO a detailed facility one-line drawing showing how Generating Units, transformers, and auxiliary transformers are connected, all breaker and disconnect names, CAISO metering, PT, and CT locations, and how the facility is interconnected to the grid. These schematics shall be the types that are released for construction or containing a Professional Engineer stamp and released for construction. The following data can be supplied via additional drawings or supporting documentation.

Generating Unit data  MVA rating  Rated power factor at PMax  Nominal terminal voltage  Reactive power capability curve (limits)  Terminal voltage control target/range

Transformer data  MVA ratings (normal and emergency ratings in different seasons)  Nominal voltages for all terminal sides  Impedances (listing voltage base and MVA base where the impedance is calculated)  LTC data, if applicable o Max tap and min tap o Voltage control range o Tap step size and range o Normal tap position

Generating Unit interconnection facility (gen-tie) data  Line impedance  MVA ratings (normal and emergency ratings in different seasons)

Breaker data  if the breaker is normal open, it needs to be shown in the diagram

Aux load  MW and MVAR level

Reactive support devices (shunt capacitor/reactor, SVC, synchronous condenser)  Rated nominal voltage

 Rated MVAR capacity  Number of banks and size of each bank if it has multiple banks  Voltage control target/range

19. Sub-LAP Resource Names

DESCRIPTION RESOURCE NAMES PGCC Central Coast SUB LAP_PGCC PGEB East Bay (Bay Area) SUB LAP_PGEB PGF1 Fresno SUB LAP_PGF1 PGFG Geysers SUB LAP_PGFG PGHB Humboldt SUB LAP_PGHB PGLP Los Padres SUB LAP_PGLP PGNB North Bay SUB LAP_PGNB PGNC North Coast SUB LAP_PGNC PGNV North Valley SUB LAP_PGNV PGP2 Peninsula (Bay Area) SUB LAP_PGP2 PGSA Sacramento Valley SUB LAP_PGSA PGSB South Bay (Bay Area) SUB LAP_PGSB PGSF San Francisco (Bay Area) SUB LAP_PGSF PGSI Sierra SUB LAP_PGSI PGSN San Joaquin SUB LAP_PGSN PGST Stockton SUB LAP_PGST SCE Core (LA BASIN) SUB LAP_SCEC SCNO SCE North SUB LAP_SCEN SCEW SCE West SUB LAP_SCEW SCHD High Desert SUB LAP_SCHD SCLD Low Desert SUB LAP_SCLD SCNW SCE Northwest SUB LAP_SCNW SDG1 San Diego SUB LAP_SDG1

Version 2 Last Revised: 12/14/2011