IEEE Standard For Calculating The Current-Temperature Relationship of Bare Overhead Conductors

IEEE Standard Definitions for Use in
STANDARDS
Reporting Electric Generating Unit
Reliability, Availability, and
Productivity
IEEE Power and Energy Society
Developed by the
Analytic Methods in Power Systems Committee
IEEE Std 762™-2023

(Revision of IEEE Std 762-2006)
Authorized licensed use limited to: Bursa Uludag Universitesi. Downloaded on January 29,2024 at 21:06:21 UTC from IEEE Xplore. Restrictions apply.
Productivity
Developed by the
Analytic Methods in Power Systems Committee

of the
IEEE Power and Energy Society
Approved 30 March 2023
IEEE SA Standards Board
Abstract: Outlined in this document are standardized terminology and indexes for reporting electric
generating unit reliability, availability, and productivity performance measures that recognize the
power industry’s needs, including marketplace competition. This standard also includes equations
for equivalent demand forced outage rate (EFORd), newly identified outage states, energy
weighted equations for group performance indexes, definitions of outside management control
(OMC), pooling methodologies, and time-based calculations for group performance indexes. It
includes consideration of variable energy resource units and resource unavailability and new
indexes appropriate for that purpose.
Keywords: available state, EFORd, equivalent demand forced outage rate, forced outage, IEEE
762, maintenance outage, OMC, outside management control, planned outage, pooling
methodology, power generation reliability, renewable energy, solar power generation, transition
between active states, unavailable state, weighted factor, wind energy generation •
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Participants
At the time this draft standard was completed, the Standard 762 Working Group had the following
membership:
Douglas M. Logan, Chair

Murty P. Bhavaraju, Vice Chair
Fred “Doc” Beasom Ronald Fluegge Alexander W. Schneider, Jr.

Jerry Bell Kai Jiang Robert F. Steele, Jr.
X. Henry Chao Wenyuan Li Robert Tallman
Chris J. Dent Joydeep Mitra Lee Thaubald
Milorad Papic
The following members of the individual Standards Association balloting group voted on this standard.
Balloters may have voted for approval, disapproval, or abstention.
Murty P. Bhavaraju Werner Hoelzl Howard Penrose

Gustavo Brunello Kai Jiang Branimir Petosic
Koti Reddy Butukuri Piotr Karocki Charles Rogers
Paul Cardinal Mikhail Lagoda Bartien Sayogo
X. Henry Chao Wang Lei Alexander W. Schneider, Jr.
Shengen Chen Wenyuan Li Robert Seitz
Abhinav Chopra Douglas M. Logan Gary Smullin
Chris J. Dent Greg Luri Joseph Sowell
Kurniawan Diharja Joydeep Mitra David Tepen
Neal Dowling Ali Moeini James Timperley
Rostyslaw Fostiak Melvin Moncey Joseph James Van De Ligt
Kamal Garg Arthur Neubauer John Vergis
Shubhanker Garg Lorraine Padden Rachel Wood
Haiping Guo Bansi Patel John Yale
When the IEEE SA Standards Board approved this standard on 30 March 2023, it had the following
membership:
David J. Law, Chair

Ted Burse, Vice Chair
Gary Hoffman, Past Chair
Konstantinos Karachalios, Secretary
Sara R. Biyabani Joseph S. Levy Paul Nikolich

Doug Edwards Howard Li Annette D. Reilly
Ramy Ahmed Fathy Gui Lin Robby Robson
Guido R. Hiertz Johnny Daozhuang Lin Lei Wang
Yousef Kimiagar Kevin W. Lu F. Keith Waters
Joseph L. Koepfinger* Daleep C. Mohla Karl Weber
Thomas Koshy Andrew Myles Philip B. Winston
John D. Kulick Don Wright
*Member Emeritus
7
Copyright © 2023 IEEE. All rights reserved.
Introduction
This introduction is not part of IEEE Std 762-2023, IEEE Standard Definitions for Use in Reporting Electric Generating
Unit Reliability, Availability, and Productivity.
Measures of generating unit performance have been defined, recorded, and utilized by the electric power
industry for more than 60 years. The continuing focus on generating unit performance in a competitive
marketplace has caused regulatory agencies, system operators, and generator owners to place strong emphasis
on performance measures.
This standard was first approved for trial use in 1980 and for full use in 1987, based on efforts started in
1968, to provide terminology and indexes for use in existing data systems or in future systems. A revision in
2006 provided new indexes for units providing non-base load service. It defined sufficient data categories
(states, times, capacity levels) such that suitable indexes for conventional units in all types of service can be
calculated. It also provided indexes for groups of units, indexes that include the time a unit performs non-
generating functions, and indexes that exclude events outside management control (OMC).
The focus of this 2023 revision is on adding performance measures for variable energy resource (VER) or
renewable generation, reflecting the rapidly increasing share of such generators in the supply portfolio of
many regions around the world and interest in their impact on resource adequacy. Concepts introduced in
this revision include:
 Energy resource (3.11), the energy in a renewable energy source or a fuel, and resource unavailability
(3.21), including both full and partial unavailability of the energy resource
 System vs. unit indexes (5.1), where a system index represents the effect of a generator on system
reliability analysis and reflects resource unavailability, while a unit index represents the performance
of a generator excluding the influence of a variable energy resource
 Expected capacity (5.2.6), the calculated capacity available at a particular time for given ambient or
meteorological conditions and energy resource limitations
 Sub-units (3.22), multiple identical generators at a single location reported as an aggregate
 Generation-based performance indexes (9.3, 9.5, and 9.7), for which the base is maximum or
expected generation rather than active hours
 Critical period (3.7), a specified set of hours of elevated risk for the system, and critical period
indexes (9.8.4–9.8.7), which are calculated from data restricted to the critical period
Generation-based factors and rates are regarded as essential for the incorporation of variable energy resource
units into the standard, because expected generation is not a simple multiple of the active hours in the period.
In a sense, these are a class of indexes measuring the productivity of a generating unit. The IEEE 762-2006
Working Group performed an in-depth review of the concept and practices for commercial availability, but
concluded that commercial availability should be studied further, and should not be incorporated into the
standard at that time. Although the current Working Group did not address commercial availability in depth,
the new generation-based indexes may be considered a first step in toward indexes of commercial availability.
A future step would be to account for the financial impacts of variations in unit performance, which may be
considered for a revised or new standard concerning commercial availability. Nor is the storage component
of hybrid VER/storage plants addressed. It is anticipated that storage will be addressed in a subsequent
revision.
The IEEE 762-2023 Working Group has sought in developing the terms and indexes defined for VER units
both to accommodate the fundamental differences between VER and Conventional units, and to maintain as
8
much conceptual and logical consistency as possible between the two types. The Working Group has also
sought in communicating these terms and indexes to facilitate ready understanding both of the similarities
and differences between the types, and of the background and application of the terms and indexes to each
of the types with minimal confusion from the other type.
To these ends, this 2023 revision includes as informative annexes application guides focusing exclusively on
each of categories, while the main body presents the formal definitions with the variations among the types
together in the same place. Therefore, the reader seeking an introduction to or an overview of use of the
standard for one type of generator—conventional or VER—is directed first to Annex A for Conventional
units or Annex B for VER units.
Acknowledgments
Permissions have been granted as follows:
Figure A.3, Figure B.2, Figure B.4, Figure B.5, and Figure B.6 reprinted with permission from North
American Electric Reliability Corporation, © 2022.
9
Contents
1. Overview ...................................................................................................................................................13
1.1 Scope ..................................................................................................................................................13
1.2 Purpose ...............................................................................................................................................14
1.3 Word usage .........................................................................................................................................14
1.4 Using this standard .............................................................................................................................15
2. Normative references.................................................................................................................................16
3. Definitions of general terms ......................................................................................................................16

3.1 Introduction ........................................................................................................................................16
3.2 Auxiliary group...................................................................................................................................16
3.3 Auxiliary load .....................................................................................................................................16
3.4 Auxiliary unit......................................................................................................................................16
3.5 Capacity ..............................................................................................................................................16
3.6 Conventional unit ...............................................................................................................................16
3.7 Critical period .....................................................................................................................................17
3.8 Customer.............................................................................................................................................17
3.9 Dates ...................................................................................................................................................17
3.10 Demand (for a unit) ..........................................................................................................................17
3.11 Energy resource ................................................................................................................................18
3.12 Equivalent .........................................................................................................................................18
3.13 Gross .................................................................................................................................................18
3.14 Group ................................................................................................................................................18
3.15 Interconnection provider...................................................................................................................18
3.16 Net ....................................................................................................................................................18
3.17 Outside management control ............................................................................................................19
3.18 Plant ..................................................................................................................................................19
3.19 Plant operator....................................................................................................................................19
3.20 Plant owner .......................................................................................................................................19
3.21 Resource unavailability ....................................................................................................................19
3.22 Sub-unit ............................................................................................................................................19
3.23 Unit ...................................................................................................................................................19
3.24 Unit owner ........................................................................................................................................21
3.25 Unit starts..........................................................................................................................................21
3.26 Weighted...........................................................................................................................................21
4. Unit states ..................................................................................................................................................22

4.1 Introduction ........................................................................................................................................22
4.2 Active .................................................................................................................................................22
4.3 Inactive (Deactivated shutdown) ........................................................................................................26
5. Capacity terms ...........................................................................................................................................27

5.1 Introduction ........................................................................................................................................27
5.2 Capacity ..............................................................................................................................................28
5.3 Capacity reduction ..............................................................................................................................32
6. Time designations......................................................................................................................................35
6.1 Introduction ........................................................................................................................................35
6.2 Total hours (TH) .................................................................................................................................37
6.3 Capacity reduction hours ....................................................................................................................40
10
7. Generation (energy) terms .........................................................................................................................43
7.1 Introduction ........................................................................................................................................43
7.2 Maximum generation (MG) ................................................................................................................44
7.3 Critical period maximum generation (MGK).......................................................................................44
7.4 Dependable generation (DPG)............................................................................................................44
7.5 Expected generation (EG)...................................................................................................................44
7.6 Available generation ...........................................................................................................................44
7.7 Unavailable generation .......................................................................................................................46
8. Equivalent hours ........................................................................................................................................50

8.1 Introduction ........................................................................................................................................50
8.2 Equivalent partial reserve reduction hours .........................................................................................51
8.3 Equivalent partial resource unavailable hours ....................................................................................51
8.4 Equivalent partial resource unavailable hours overlapping period of demand for the unit to generate
..................................................................................................................................................................52
8.5 Equivalent derated hours ....................................................................................................................53
9. Performance indexes of an individual unit ................................................................................................56

9.1 General ...............................................................................................................................................56
9.2 Availability factors, time-based ..........................................................................................................57
9.3 Availability factors, generation-based ................................................................................................59
9.4 Equivalent availability factors, time-based .........................................................................................62
9.5 Equivalent availability factors, generation-based ...............................................................................64
9.6 Rates and equivalent rates, time-based ...............................................................................................67
9.7 Rates and equivalent rates, generation-based .....................................................................................69
9.8 Restricted factors and rates .................................................................................................................71
9.9 Production factors ...............................................................................................................................73
9.10 Derating factors ................................................................................................................................74
9.11 Average time durations and occurrence rates ...................................................................................75
9.12 Probabilities: proportion of attempts successful or unsuccessful .....................................................78
10. Group performance indexes.....................................................................................................................79

10.1 Overview ..........................................................................................................................................79
10.2 Purposes of pooling outage data .......................................................................................................79
10.3 Performance index grouping categories............................................................................................80
10.4 Weighting performance data.............................................................................................................80
10.5 Equations for selected performance indexes.....................................................................................81
Annex A (informative) Application of IEEE Std 762 to conventional generation ........................................86

A.1 Overview ...........................................................................................................................................86
A.2 Normative references .........................................................................................................................86
A.3 Definitions of general terms ..............................................................................................................87
A.4 Unit states ..........................................................................................................................................87
A.5 Capacity terms ...................................................................................................................................89
A.6 Time designations ..............................................................................................................................93
A.7 Generation (energy) terms .................................................................................................................94
A.8 Equivalent hours ................................................................................................................................95
A.9 Performance indexes for an individual unit .......................................................................................97
A.10 Group performance indexes ...........................................................................................................106
Annex B (informative) Application of IEEE Std 762 to VER generation ...................................................108

B.1 Overview ..........................................................................................................................................108
B.2 Normative references .......................................................................................................................108
B.3 Definitions of general terms .............................................................................................................109
B.4 Unit states ........................................................................................................................................109
B.5 Capacity terms .................................................................................................................................112
11
B.6 Time designations ............................................................................................................................115
B.7 Generation (energy) terms ...............................................................................................................117
B.8 Equivalent hours ..............................................................................................................................120
B.9 Performance indexes for an individual unit .....................................................................................122
B.10 Group performance indexes ...........................................................................................................138
Annex C (informative) Glossary of terms and abbreviations ......................................................................140
Annex D (informative) Outside management control .................................................................................151
Annex E (informative) Comparison of terminology between current and prior versions ...........................154
Annex F (informative) Transitions between active states............................................................................156
Annex G (informative) Approximate calculation of demand factor (f) .......................................................159

G.1 Demand factor f for forced outages .................................................................................................159
G.2 Demand factor fp for forced deratings ..............................................................................................161
Annex H (informative) Limiting conditions for forced outage rates during periods of demand .................162
Annex I (informative) Pooling methodologies for EFORd ..........................................................................165

I.1 General ..............................................................................................................................................165
I.2 Unweighted pooling ..........................................................................................................................165
I.3 Capacity-weighted pooling................................................................................................................169
Annex J (informative) Example of duty cycle impact on EFORd................................................................171
Annex K (informative) CEA indexes for reference .....................................................................................172

K.1 Derating adjusted forced outage rate (DAFOR) ...............................................................................172
K.2 Utilization forced outage probabilities .............................................................................................172
Annex L (informative) Applicability of VER rates .....................................................................................174
Annex M (informative) Energy accounting for overlapping unit states ......................................................175

M.1 Allocation schemes .........................................................................................................................176
M.2 Analysis of accounting priorities.....................................................................................................177
Annex N (informative) Bibliography ..........................................................................................................184
12
Productivity
1. Overview
1.1 Scope
A generating Unit generally includes all equipment from the resource supply system up to the high-voltage
terminals of the generator step-up transformer and the station service transformers. Any event preventing the
generating Unit from producing electricity at its maximum capacity is covered in the scope of this standard.
Reliability in this standard encompasses measures of the ability of generating Units to perform their intended
function in a specified period. Availability measures are concerned with the fraction of time in which a Unit
is capable of providing service and accounts for outage frequency and duration. Productivity measures
compare the total power produced by a Unit to its potential power production. Productivity measures consider
the magnitude of events as well as the frequency and duration of events.
Sometimes, unforeseen events render the generating Unit unable to provide the power required to the
customer because of problems unrelated to the power plant equipment. Some examples of these “external
events,” called “Outside management control,” are transmission system failures, labor disputes, catastrophic
storms and lack of fuel or another needed energy resource. Other events deprive the Unit of a resource needed
for it to generate electricity, in a way that was anticipated in the planning and design of the plant. Units of
this type are referred to as Variable energy resource (VER) units.
Many of the performance indexes defined in Clause 9 are expressed as either outage rates or factors, and it
is important to note the difference. A factor represents the percentage of time in the active state within a
period of study that a Unit or Units occupied a given state, as in Availability factor (AF), Forced outage factor
(FOF), or Service factor. A factor may also represent the percentage of a total outcome achieved. For
example, Net capacity factor is the ratio of Net actual generation to Net maximum generation. Factors may
be added to provide a total accounting for unit states during a given period.
By comparison, outage rates provide a measure of the probability, calculated from historical data, of the
existence of an outage state any time in the future or under certain conditions. While the denominator of the
Forced outage factor, for example, is Active hours, the denominator of the Forced outage rate excludes
Planned outage hours, Maintenance outage hours, and Reserve shutdown hours.
13
Attaching the term “equivalent” to any rate or factor, as Equivalent availability factor (EAF) or Equivalent
forced outage rate (EFOR), indicates that both full outages and deratings have been considered in the
calculation.
The term “demand” applied to a rate, as in EFORd, indicates that the rate of occurrence has been calculated
for periods when the Unit is in demand to generate. The term “Critical period” denotes an index calculated
using only data from historical hours included in a specified Critical period, hours in which there was an
elevated risk of shortage.
This standard includes indexes both for application at the unit level and for pooling the performance of a
Group of Units. Group indexes can be either Weighted, indicating that data from each Unit influence the total
in proportion to its capacity or other indicated weighting factor, or unweighted. See Clause 10.
This document standardizes terminology and indexes for reporting electric generating unit reliability,
availability, and productivity performance measures that recognize the power industry’s needs, including
marketplace competition. This standard also includes consideration of VER units and Resource
unavailability, and new indexes appropriate for that purpose. This document does not address common mode
or dependent outages.
1.2 Purpose
This standard is intended to aid the electric power industry in reporting and evaluating electric generating
unit reliability, availability, and productivity. It was originally developed to overcome difficulties in the
interpretation of electric generating unit performance data from various systems and to facilitate comparisons
among different systems. The standard also makes possible the exchange of meaningful data among systems
in North America and throughout the world. It includes both indexes for unit performance analysis, which
exclude outages or deratings owing to resource unavailability, and indexes for system reliability analysis,
which include outages and deratings owing to Resource unavailability as well as equipment unavailability.
The distinction recognizes that Resource unavailability affects the contribution of a Unit to system reliability,
but is not something for which plant management should be held responsible.
The primary purpose of this standard is to define summary statistics of historical data, for reporting and
analyzing outage occurrences, and to facilitate exchange of data between utilities. If indexes from Clause 9
or Clause 10 of this standard are used as inputs to predictive models, it is necessary to ensure that (a) the
generators and the environment in which their performance was observed are similar to the system whose
performance is to be predicted; (b) the period of observation over which the input data were collected is a
sufficient multiple of the mean service time to outage to achieve a reasonable confidence interval for the
indexes to be used in the predictive models, and (c) although this standard does not address common mode
and dependent events, adequate consideration of such events has been given to avoid the fallacy of assuming
that all outages are independent.
1.3 Word usage
The word shall indicates mandatory requirements strictly to be followed in order to conform to the standard
and from which no deviation is permitted (shall equals is required to). 6,7
6
The word must is deprecated and cannot be used when stating mandatory requirements; must is used only to describe unavoidable
situations.
7
The word will is deprecated and cannot be used when stating mandatory requirements; will is only used in statements of fact.
14
The word should indicates that among several possibilities one is recommended as particularly suitable,
without mentioning or excluding others; or that a certain course of action is preferred but not necessarily
required (should equals is recommended that).
The word may is used to indicate a course of action permissible within the limits of the standard (may equals
is permitted to).
The word can is used for statements of possibility and capability, whether material, physical, or causal (can
equals is able to).”
1.4 Using this standard
Review the application guide for the type of generation of interest—Annex A or Annex B—for an overview
of the key concepts in the context of the selected generation type.
Equations are presented starting in Clause 6. Performance indexes are presented in Clause 9. Because
equations and the definitions of variables make up the bulk of the standard, variables are only occasionally
defined immediately following an equation. Rather, the reader is advised to refer to Annex C, in which
acronyms are listed in alphabetical order with the full name of the variable and a cross-reference to the place
the variable is defined. Also, at the beginning of Annex C, there is a list of letters used to denote some of the
most common words in variable names and subscripts used to denote variants of variables or indexes.
Note also the general progression of clauses within the main body of the standard, starting with Clause 3:
3) Definitions of general terms

4) Unit states
5) Capacity terms
6) Time designations
7) Generation (energy) terms
8) Equivalent hours
9) Performance indexes of an individual unit
10) Group performance indexes
The application guides have diagrams showing the hierarchical relationships between key terms in Clause 4
through Clause 7.
15
2. Normative references
The following referenced documents are indispensable for the application of this document (i.e., they must
be understood and used, so each referenced document is cited in text and its relationship to this document is
explained). For dated references, only the edition cited applies. For undated references, the latest edition of
the referenced document (including any amendments or corrigenda) applies.
There are no normative references in this standard.
3. Definitions of general terms
3.1 Introduction
For the purposes of this document, the following terms and definitions apply. The IEEE Standards Dictionary
Online should be consulted for terms not defined in this clause. 8
For abbreviations and acronyms see Annex C.
3.2 Auxiliary group
A Group (3.14) of Units (3.23) designated as Auxiliary units (3.4).
3.3 Auxiliary load
Energy consumed within the plant boundary to support energy production, also called plant use.
3.4 Auxiliary unit
A Unit whose output can be temporarily added to replace that of another Unit (or Units) within the same
Plant (3.18) that become(s) unavailable. Auxiliary units are available and connected to the system but are
generally held in reserve.
3.5 Capacity
(See 5.2.)
3.6 Conventional unit
(See 3.23.2.)
8
IEEE Standards Dictionary Online is available at: http://dictionary.ieee.org.
16
3.7 Critical period
A specified set of hours for which particular time, generation, or index values are to be accumulated or
calculated. A value restricted to a Critical period is denoted by the subscript K, for example AHK is the
Available hours in the Critical period.
The set of hours in a Critical period is denoted {THK}.
NOTE—A Critical period should be specified to represent hours with elevated risk of capacity shortfall. Examples of a
Critical period:
 Selected hours of peak demand, or peak net demand after subtracting an hourly VER generation profile or other
load modifier, or shortage periods defined by low reserve margins
 A multi-year set of seasons or selected hours from multiple years 9
3.8 Customer
An entity that purchases the power produced by a Plant, whether for its own use or for resale.
NOTE—The power produced may be delivered through facilities owned by a separate Interconnection provider (see
3.15).
3.9 Dates
3.9.1 Service date
The date when a Unit is initially made available to supply power commercially to the system.
NOTE—A Unit may have generated power on a test basis before its Service date.
3.9.2 Deactivation date
The date when a Unit was placed into an Inactive state (see 4.3).
NOTE—Inactive state was formerly named Deactivated shutdown state.
3.9.3 Reactivation date
The date when a Unit was returned to the Active state from an Inactive state.
3.10 Demand (for a unit)
A condition where a Unit will be dispatched for economic or reliable operation of the system (security
reasons) if it is available. Economic reasons occur when the Unit’s incremental cost of operation is lower
than the marginal cost of production for the dispatched system as a whole. Security reasons occur if the Unit
is a preferred source of VAr support, operational reserves, local support in the event of tie line outages, or
9
Notes to text, tables, and figures are for information only and do not contain requirements needed to implement the standard.
17
other measures of system support, even if its MW output is not competitive under economic dispatch. This
term is not applicable to Units whose output must be taken by the Customer for contractual or other reasons.
A time period where there is demand for the Unit may be referred to as a “period of demand,” whether or not
the Unit is available to satisfy that Demand. Such a period is not a “unit state,” but it is a condition which
can exist for any Unit in the Active state (4.2). Typically, periods of demand during planned or maintenance
outages, i.e., those taken intentionally, are not reported, and periods when the Unit is in Reserve shutdown
are never periods of demand.
3.11 Energy resource
The energy contained in burnable or nuclear fuel, flowing water, wind, sunlight or geothermally heated water
that can be converted into electrical energy.
NOTE—Cooling water at a particular temperature needed to support Unit operation at a specified capacity is not an
“Energy resource” within the meaning of this definition. Hence a reduction in capacity due to lack of cooling water is a
derating, not a state of Resource unavailability.
3.12 Equivalent
A performance index adjusted to consider the effect of Unit deratings.
3.13 Gross
Referring to the total capacity for energy production or the total energy produced, without reduction for
Auxiliary load (3.3). Also see Net (3.16).
3.14 Group
A subset of the Units within a Plant, designated by the Plant owner, distinguished by some common attribute
such as ownership, manufacturer, model, commissioning year, collector feeder or step-up transformer.
Groups may be further divided into sub-groups if desired.
3.15 Interconnection provider
An entity that takes responsibility for delivering the power generated by the Plant beyond a specified point,
usually the revenue meter.
NOTE—A related industry term is “off-taker”.
3.16 Net
Referring to the capacity for energy production or the energy produced that is deliverable at the revenue
meter, after reduction for Auxiliary load (3.3).
18
3.17 Outside management control
A particular reporting system may choose to exclude some outages as “Outside management control”.
Typically, these are either external to a defined interface between the Plant and the system, due to an extreme
weather event, or due to regulatory or environmental constraints. See Annex D for further discussion.
3.18 Plant
An energy generating facility consisting of one or more Units.
NOTE—An aggregation of distributed generators within the area served by a distribution substation may be considered
a Plant for reporting or modeling purposes; however, such distributed generators should not be combined in a single Plant
with Conventional units.
3.19 Plant operator
An organization that operates all Units in a specified Plant.
NOTE—The Plant operator is responsible for reporting the performance of the Units they operate.
3.20 Plant owner
An organization that owns all Units in a specified Plant.
3.21 Resource unavailability
The full or partial unavailability of the Energy resource (3.11) for a generator.
3.22 Sub-unit
One of multiple identical generators at a single location that is reported as an aggregate.
3.23 Unit
3.23.1 Introduction
One or more generators, collectors or other devices converting another form of energy to electrical energy,
including, but not limited to, any thermodynamic devices such as boilers, reactors, reciprocating engines, or
turbines performing an intermediate conversion to mechanical energy. If multiple devices are used to convert
another form of energy to electrical energy, they are so interrelated that the combination is normally and most
efficiently operated as a single entity.
A Unit is the lowest reportable entity for reliability indexes.
19
Examples include:
a) A generator, a steam turbine on a common shaft with the generator, and one or more boilers dedicated
to that turbine.
b) Multiple generators and turbines, one turbine being supplied from dedicated boilers, the other being
supplied by reheated steam from the first turbine. This is referred to as a cross-compound Unit.
c) A generator and a steam turbine supplied from one or more boilers supplying other similar turbines.
The boiler, or any combination of boilers, can supply any turbine. Each turbine and its connected
generator are referred to as a common header Unit and the Group of such Units supplied from a
common steam header is referred to as a common header Group.
d) A generator and a waterwheel.
e) A generator and a combustion turbine.
f) Two or more generators, each powered by a combustion turbine, together with an additional generator
powered by a steam turbine receiving its energy from a heat recovery boiler utilizing the exhaust
gases of the combustion turbine(s). This is referred to as a combined cycle Unit. However, the
performance of the turbines may be reported individually under particular reporting schemes.
g) A wind turbine.
h) One or more photovoltaic (PV) panels whose dc output is inverted to system frequency by a common
inverter.
i) A Group or sub-group (3.14) of multiple identical wind turbines or PV panel-supplied inverters at a

single location, for which the individual wind turbines or inverters are denoted Sub-units (3.22).
NOTE 1—Multiple generators within a single Unit may operate at different voltages and/or speeds, except in the case of
example i).
NOTE 2—Multiple identical Units within a Plant, particularly smaller Units, may be reported at the Group or sub-group
level rather than the individual unit level.
NOTE 3—A hydroelectric Unit may be classified as either Conventional or VER, depending on how it is operated.
3.23.2 Conventional unit
Conventional units include:
 Nuclear and fossil (steam) Units, including multi-boiler/multi-turbine Units;
 Hydro and pumped storage Units (see note below),
 Gas turbines, jet engines, and reciprocating engines (including diesel engines);
 Combined-cycle Units (or blocks) consisting of one or more gas turbines/jet engines and one or more
heat recovery boilers;
 Co-generation Units;
 Fluidized bed combustion Units;
20
 Geothermal Units,
 Other miscellaneous Conventional units (such as variable fuel, biomass, landfill gases, etc.) used to
generate electric power for the grid and similar in design and operation as the Units listed.
NOTE 1—A run-of-river hydro Unit may be categorized as a Variable energy resource unit.
NOTE 2—Units burning biomass and landfill gas, using conventional steam or combustion turbine technology but
operating primarily to dispose of something undesirable, whenever available, may exhibit the characteristics of a Variable
energy resource unit in that Resource unavailability is a normal part of operation and the electricity generated is a
byproduct.
3.23.3 Variable energy resource unit (VER unit)
A Unit for which Resource unavailability (see 3.21) is a normal occurrence. Run of river hydro Units, wind
turbines and PV arrays are examples of VER units.
3.24 Unit owner
An organization that owns one or more Units and is responsible for reporting their performance.
3.25 Unit starts
3.25.1 Attempted unit start
An Attempted unit start is the action to bring a Unit from a shutdown to the In-service state. Repeated
initiations of the starting sequence without performing corrective repairs are counted as a single attempt.
NOTE—Unit starts may include those for pumping or synchronous condensing mode, if applicable.
3.25.2 Starting failure
Starting failure is the inability to bring a Unit from an Unavailable state or Reserve shutdown state to the In-
service state within a specified period. The specified period may be different for individual Units. Repeated
failures within the specified starting period are counted as a single starting failure.
3.25.3 Actual unit start
The Actual unit start is the occurrence of bringing a Unit from an Unavailable state or the Reserve shutdown
state to the In-service state within a specified period. The specified period may be different for individual
Units.
3.26 Weighted
A group performance index where the performance of the Units is weighted.
NOTE—Net installed capacity is often used but other weighting methods may be appropriate.
21
4. Unit states
4.1 Introduction
A unit state is a particular unit condition that is important for collecting data on performance. Unit state does
not depend on the generation level it can achieve (its capacity) but on whether it can generate at all, and if
not, the reasons why it cannot. See Clause 5 for a discussion of partial unit capacity and the measurement of
hours within this condition.
NOTE—The state definitions are related as shown in Figure 1. The basic and extended maintenance outage and class 0,
1, 2, and 3 unplanned outage stages are not applicable to VER units. Annex E lists the states that were defined in each
version of this standard and, for the small number of states whose names have changed, each version of the name.
Transitions between active states are described in Annex F.
Active Inactive
Inactive
Available Unavailable
Reserve
Reserve Resource Unit

In-service Mothballed
Shutdown Unavailable Outage
In-service
In-service Planned Unplanned
Non- Retired
Generating Outage Outage
generating
Basic
Planned Mainte-
Forced
Outage nance
Outage
Outage
Extended Basic Class 0 Class 1
Planned Maint. Unplanned Unplanned
Outage Outage Outage Outage
Extended Class 2 Class 3

Maint. Unplanned Unplanned
Outage Outage Outage
Figure 1—Relationships between unit states
4.2 Active
4.2.1 General
A Unit initially enters the Active state on its Service date (3.9.1) and leaves the Active state on a Deactivation
date (3.9.2).
NOTE—A Unit can be returned to the Active state from the Inactive state.
22
4.2.2 Available
4.2.2.1 General
The Available state is where a Unit is capable of providing service, regardless of whether it is actually in
service and regardless of the capacity level that can be provided.
4.2.2.2 In-service
The In-service state is where a Unit is electrically connected to the system.
4.2.2.2.1 In-service generating
The In-service generating state is where a Unit is electrically connected to the system and performing its
generating function.
4.2.2.2.2 In-service non-generating
The In-service non-generating state is where a Unit is electrically connected to the system and performing a
non-generating function. This state may occur when the Energy resource is either available or not available.
However, for accounting purposes, the In-service non-generating and Resource unavailable states are
mutually exclusive, with In-service non-generating having priority. That is, if the Unit is providing non-
generating service when the resource is unavailable, the state is accounted as In-service non-generating.
NOTE—Certain types of Units may be performing functions other than generating while in service and exposed to
failure: A pumped storage Unit can be in pumping mode, and a steam or combustion turbine or a hydro Unit can be in
synchronous condensing mode.
4.2.2.3 Reserve shutdown
The Reserve shutdown state is where a Unit is available, but not in service. This is usually due to lack of
Demand, to low or negative energy pricing, or where the cost of operation exceeds the market price of
electricity.
NOTE—This state is sometimes referred to as economy shutdown.
4.2.3 Unavailable
4.2.3.1 General
The Unavailable state is where a Unit is not capable of operation because of a Unit outage or Resource
unavailability. The Unavailable state persists until the Unit is made available for operation as described in
4.2.3.3.1 in the case of a Unit outage or, in the case of Resource unavailability, until that state ends.
23
4.2.3.2 Resource unavailable
A state in which the Energy resource (see 3.11) used by the Unit is not available but the Unit is otherwise
available. Examples include:
1. Unavailability that is normal to the technology employed and occurs regularly (hour to hour, diurnal,
seasonal) for such resources as sunlight, wind, and water, as for VER units.
2. Unavailability due to interruption of an Energy resource caused by inadequacy or diversion of the

Energy resource to other users by the supplier, or transportation infrastructure disruption, including
interruptions that may be declared to be Outside management control (see 3.17) or force majeure.
3. A state in which the amount of the Energy resource available to the Unit is insufficient to allow
operation at the installed net capacity, but is sufficient to allow operation above a threshold amount.
All Unit outages take precedence over Resource unavailability. A state in which both the Unit and the Energy
resource are unavailable contributes to unit unavailability indexes but does not contribute to resource
unavailability indexes. The application of this rule ensures that the Unit outage state and the Resource
unavailable state are mutually exclusive in calculating the unavailability indexes.
4.2.3.3 Unit outage
4.2.3.3.1 General
The Unit outage state is where a Unit is not capable of operation because of operational or equipment failures,
external restrictions (as defined in Annex D), testing, work being performed, or an adverse condition. The
Unit outage state persists until the Unit is made available for operation, either by being synchronized to the
system (In-service state) or by being placed in the Reserve shutdown state.
4.2.3.3.2 Planned outage
4.2.3.3.2.1 General
The Planned outage state is where a Unit is unavailable due to inspection, testing, nuclear refueling, or
overhaul. A Planned outage is scheduled well in advance.
NOTE—The distinction between Basic and Extended planned outages is not applicable to VER units.
4.2.3.3.2.2 Basic planned outage
The Basic planned outage state is the Planned outage as originally scheduled and with a predetermined
duration.
4.2.3.3.2.3 Extended planned outage
The Extended planned outage state is the extension of the Basic planned outage beyond its predetermined
duration.
24
NOTE—Extended planned outage applies only when planned work exceeds predetermined duration. An extension due
to a condition discovered during the Planned outage that forces the extension of the Planned outage is classified as a
Class 1 unplanned outage (see 4.2.3.3.3.3.3). A Starting failure would result in a Class 0 unplanned outage (see
4.2.3.3.3.3.2).
4.2.3.3.3 Unplanned outage
4.2.3.3.3.1 General
The Unplanned outage state is where a Unit is Unavailable, but is not in the Planned outage state.
NOTE 1—When an Unplanned outage is initiated, the Unit outage is classified according to one of five classes, as defined
in 4.2.3.3.3.2.2, 4.2.3.3.3.2.3, and 4.2.3.3.3.3.2 through 4.2.3.3.3.3.5. A Class 0 unplanned outage applies to a Starting
failure, and Class 1 applies to a condition requiring immediate outage. Also, an Unplanned outage starts when a Planned
outage ends, but is extended due to unplanned work. Class 2, Class 3, and Maintenance outage apply to Unit outages
where some delay is possible in removing the Unit from service. The class (2, 3, or maintenance) of outage is determined
by the amount of delay that can be exercised in the removal of the Unit. The class of outage is not made more urgent if
the time of removal is advanced due to favorable conditions of system reserves or availability of replacement capacity
for the predicted duration of the outage. However, an Unplanned outage starts when the Unit is removed from service or
is declared Unavailable when it is not in service.
NOTE 2—During the time the Unit is in the Unplanned outage state, the outage class is determined by the outage class
that initiates the state.
NOTE 3—In some cases, the opportunity exists during Unplanned outages to perform some of the repairs or maintenance
that would have been performed during the next Planned outage. If the additional work extends the outage beyond that
required for the Unplanned outage, the remaining outage should be reported as a Planned outage.
4.2.3.3.3.2 Maintenance outage
4.2.3.3.3.2.1 General
A Maintenance outage could be deferred beyond the end of the next weekend but requires that a Unit be
removed from the Available state or another Unplanned outage state before the next Planned outage.
NOTE—The distinction between Basic and Extended maintenance outages is not applicable to VER units.
4.2.3.3.3.2.2 Basic maintenance outage
The Basic maintenance outage state is the Maintenance outage as originally anticipated, and it may or may
not be of a predetermined duration.
4.2.3.3.3.2.3 Extended maintenance outage
The Extended maintenance outage state is the extension of the Basic maintenance outage beyond its
anticipated duration.
NOTE—Extended maintenance outage applies only when the maintenance work exceeds anticipated duration. The
extension, due to a condition discovered during the Maintenance outage that forces the extension of the Maintenance
outage, is classified as a Class 1 unplanned outage (see 4.2.3.3.3.3.3). A Starting failure would result in a Class 0
unplanned outage (see 4.2.3.3.3.3.2).
25
4.2.3.3.3.3 Forced outage
4.2.3.3.3.3.1 General
A Unit outage that cannot be deferred beyond the end of the next weekend.
NOTE—The distinction between Class 0, 1, 2, and 3 unplanned outages is not applicable to VER units.
4.2.3.3.3.3.2 Class 0 unplanned outage (starting failure)
A Class 0 unplanned outage results from the unsuccessful attempt to place the Unit in service (see 3.25.2).
4.2.3.3.3.3.3 Class 1 unplanned outage (immediate)
A Class 1 unplanned outage requires immediate removal from the existing state.
NOTE—A Class 1 unplanned outage can be initiated from either the In-service state or Reserve shutdown state. A Class 1
unplanned outage can also be initiated from the Planned outage state. See the note in 4.2.3.3.2.3.
4.2.3.3.3.3.4 Class 2 unplanned outage (delayed)
A Class 2 unplanned outage does not require immediate removal from the In-service state, but requires
removal within six hours.
4.2.3.3.3.3.5 Class 3 unplanned outage (postponed)
A Class 3 unplanned outage can be postponed beyond six hours but requires that a Unit be removed from the
In-service state before the end of the next weekend.
NOTE—Class 2 and Class 3 can be initiated only from the In-service state.
4.3 Inactive (Deactivated shutdown)
4.3.1 General
A Unit is in the Inactive state when it is declared out of service by the Unit owner with a distant or indefinite
date for its return to service, and no work is scheduled to permit a return to service. A Unit is in the Inactive
state only if it was previously in the Active state. This does not include a Unit under construction or pre-
operational testing because it is not yet in the Active state.
A Unit may be placed in an Inactive state due to component failure, damage from an external cause,
regulatory requirements, or other issues necessitating repairs that are uneconomic. When a Unit is placed in
the Inactive state the Unit is typically unstaffed.
26
4.3.2 Inactive reserve
A Unit in the Inactive reserve state is unavailable for service, but can be brought back into service in a
relatively short period of time, typically measured in days.
4.3.3 Mothballed
A Unit in the Mothballed state is unavailable for service, but can be brought back into service with appropriate
amount of notification, typically weeks or months. The Unit is complete but its condition may be unknown,
or extensive work would be required to return it to service.
4.3.4 Retired
A Unit in the Retired state is unavailable for service and not expected to return to service in the future.
Essential parts may be removed for use on other Units or the Unit may be partially or completely
disassembled.
5. Capacity terms
5.1 Introduction
Terms that involve capacity or energy or that are derived from capacity or energy quantities can be expressed
as Gross or Net quantities. (A “G” or an “N” prefix is used to indicate the basis.) The mandating authority
should specify whether capacity (and energy) quantities are to be reported on a Gross or Net basis. In any
case, users should take care to use a Gross or Net basis consistently as appropriate to the purposes of the
analysis. Otherwise comparisons and calculated rates or factors may have limited usefulness.
Terms in Clause 7 through Clause 10 may apply or be defined in different ways for different types of Units
or for different purposes. Thus there are variants for different types of generating Units (conventional vs.
VER) and for different purposes (system vs. unit). System terms represent the contribution of Units to system
reliability analysis. Unit terms represent the performance of Units excluding the influence of a variable
Energy resource. The acronyms of variants will be denoted by subscripts:
 C: Conventional units
 V: VER units
 S: System reliability analysis
 U: Unit performance analysis
If neither C nor V is present, the term is applicable to both Conventional and VER units; if neither S or U, to
both system and unit analyses. Legacy databases might not include any of these subscripts, in which case the
term should be interpreted as the CS variant, since the terms in previous editions of this standard were defined
primarily for Conventional units and system reliability analysis.
When there are variants, a subheading indicates the applicability or definition for each generator type—
conventional or VER—and purpose—system or unit. When there is no such subheading, the applicability
and definition are the same for all generator types and all purposes. When a generator type is indicated, but
27
not a purpose, the applicability and definition are the same for both purposes for that generator type.
Similarly, when a purpose is indicated, but not a generator type, the applicability and definition are the same
for both generator types for that purpose.
NOTE—The capacity definitions are related as shown in Figure 2 for Conventional units and in Figure 3 for VER units.
5.2 Capacity
5.2.1 Introduction
The capability of a Unit to convert another form of energy to electrical energy, measured in watts or a multiple
of watts.
Conventional Unless qualified as “short term” or a “variable energy resource,” Capacity is understood to be
continuous, or sustainable indefinitely without degradation of life due to equipment heating.
NOTE 1—Capacity is commonly qualified as nameplate, dependable, available, installed or maximum.
NOTE 2—Capacity may be aggregated for Units in a Group or Plant.
VER VER capacity is energy resource constrained and can vary from zero to maximum in a short time.
NOTE 1—VER capacity is commonly qualified as available, expected, installed or maximum.
NOTE 2—VER units typically comprise multiple identical Sub-units (see 3.22). Therefore, VER capacity is usually
aggregated for Sub-units and may be aggregated for Units in a Group or Plant.
NOTE 3—Individual VER Sub-units may have Unit outages and Unit deratings; but it is more common to look at Plant,
Group, or Unit indexes where individual Sub-unit outages and deratings are aggregated to the Plant, Group, or Unit level.
Maximum Capacity
Seasonal Derating = Maximum Capacity - Dependable Capacity
Dependable Capacity
Resource Unavailable Resource Unavailable
Basic Planned Derating

Planned Derating
Extended Planned Derating
Basic Maintenance (Class 4)

Unit Derating =
Dependable Capacity - Available Capacity
Extended Maintenance (Class 4)
Forced Class 3 (Postponed) Unplanned Derating
Forced Class 2 (Delayed)
Forced Class 1 (Immediate)
Available Capacity
Figure 2—Unit capacity levels for Conventional units
28
5.2.2 Installed capacity (IC)
The Installed capacity, determined in accordance with ISO (International Standards Organization) standards,
without any Unit derating or limitation of any needed resource.
Conventional Installed capacity may be modified by the Plant owner for different ambient conditions
specified by the system operator.
VER For wind Units, the capacity of the Unit is also known as the system capacity and is defined by the
manufacturer usually in equipment purchase agreements.
For solar, the capacity of the Unit is defined by the inverter ac capacity and may be adjusted lower if the dc
capacity (panels) is less than the ac inverter Capacity.
For run of river hydro Units, the capacity of the Unit is defined in the same manner as for Conventional units.
Maximum Capacity
Partial Resource Unavailable Capacity = Maximum Capacity - Expected Capacity
Expected Capacity
Planned Derating Planned Derating
Unit Derating =
Maintenance Derating
Expected Capacity - Available Capacity
Unplanned Derating
Forced Derating
Available Capacity
Partial Reserve Reduction
Figure 3—Unit capacity levels for VER
5.2.3 Nameplate capacity (NPC)
The full-load continuous Gross capacity of a Unit or other conversion device under specified operating
conditions, without any Unit derating or limitation of any needed resource, as displayed on the electric
generator nameplate. Nameplate capacity of an ac generator can be calculated by multiplying the
megavoltampere rating by the power factor. If a Unit includes multiple Sub-units the sum of the individual
Nameplate capacities is taken as the Nameplate capacity of the Unit.
The Nameplate capacity of the electric generator may be more than the Installed capacity (5.2.2) because
another component (such as the turbine or the step-up transformer for a Conventional unit or the gearbox,
inverter, or rotor system for a VER unit) may limit Unit output.
29
Conventional The Nameplate capacity of the electric generator may be more or less than the Maximum
(5.2.4) or Dependable (5.2.5) capacity because of differing operating conditions, including ambient
temperature, elevation above sea level, or hydrogen pressure in hydrogen cooled generators.
VER Nameplate capacity is not applicable for VER units other than run of river hydro. See Maximum
capacity (5.2.4).
5.2.4 Maximum capacity (MC)
The capacity that a Unit has been demonstrated to sustain over a specified period of time, without any Unit
derating or limitation of any needed resource. To establish this capacity, formal demonstration may be
required. The test should be repeated periodically.
Conventional This demonstrated capacity level shall be corrected to generating conditions for which there
should be minimum ambient restriction. When a demonstration test has not been conducted, an estimate of
Maximum capacity may be used.
NOTE 1—Maximum capacity may differ from Installed capability if different ambient conditions were assumed, such
as the temperature of cooling water to the condenser or inlet air temperature or humidity.
NOTE 2—The Maximum capacity rating is typically the Dependable capacity (see below) achieved under the most
favorable seasonal ambient conditions.
VER VER units are Energy resource dependent; therefore a period of sufficient resource should be chosen.
There are no corrections for ambient conditions as the VER unit should always be able to reach Maximum
capacity when operating within design specifications and sufficient Energy resource. When a demonstration
test has not been conducted, the Installed capacity of the Unit shall be used as an estimate of Maximum
capacity.
NOTE—In most cases Maximum capacity will be the same as Installed capacity. Minor system improvements (software,
blade vortex generators, etc.) may increase the Maximum capacity above Installed capacity.
5.2.5 Dependable capacity (DPC)
Conventional The Maximum capacity when reduced for expected or actual ambient conditions during a
specified period of time, such as a month or a season, without any Unit derating or limitation of any needed
resource.
NOTE 1—Dependable capacity may be qualified as “daytime” or “mid-day” if appropriate.
NOTE 2—Many Plant owners, or mandating authorities to which they are subject, specify seasonal ambient conditions
for determining Dependable capacity rating (e.g., summer and winter). The conditions may be based on the seasonal
averages over several years at the time of annual system peak demand or some other criteria, and in general, conditions
better or worse than the defined criteria can occur.
VER Not applicable. See Expected capacity.
5.2.6 Expected capacity (EC)
Conventional Not applicable. See Dependable capacity.
VER The calculated capacity available at a particular time for given ambient conditions and Energy resource
limitations. For wind these are wind speed and air density; for solar PV, plane of array (POA) irradiance and
30
panel temperature; for run of river hydro, stream flow. Reductions due to any cause other than Resource
unavailability are not considered.
NOTE 1—Expected capacity is used for VER units as the highest capacity from which Unit deratings are calculated. It
can vary hourly or more frequently, and is calculated using a model and actual Energy resource conditions at the time.
The modeling required to make such projections for any particular VER technology is beyond the scope of this standard.
NOTE 2—The word “expected” in this instance means “calculated for specified conditions in the absence of Unit
deratings,” rather than a statistical expectation.
5.2.7 Available capacity (AC)
The Capacity actually available at any time, taking equipment limitations, ambient conditions, and Energy
resource limitations into account.
NOTE—In prior versions this has been called Actual capacity. This use is deprecated because it is not specific.
Conventional
NOTE—Because the Maximum capacity of a Conventional unit depends on the ambient conditions specified as the basis
for Maximum capacity, and because the actual ambient conditions at a particular time may be different, the Available
capacity may be higher than the Maximum capacity.
VER
NOTE—A VER unit that is operating under a must-take contract generally operates at full Available capacity, unless it
is curtailed because of a system constraint or Reserve shutdown.
5.2.8 Group capacity
The aggregate simultaneous capacity of all Units within a particular Group. In most instances this is the sum
of the capacities of all Units within the Group; however, it may be reduced if some shared element, such as
a step-up transformer, has a lower capacity.
NOTE—Because Group capacity may be Gross or Net, and may be Maximum, Installed, Dependable (for Conventional
units only), Expected (for VER units only), or Available, it must be determined using consistent measurements for all
Units in the Group.
5.2.9 Auxiliary group capacity
The Group capacity of an Auxiliary group of Units.
5.2.10 Plant capacity
The aggregate simultaneous capacity of all Units within a particular Plant. In most instances this is the sum
of the Installed capacities of all Units within the Plant; however, it may be reduced if some shared element,
such as a step-up transformer or contract, has a lower capacity.
NOTE—Because Plant capacity may be Gross or Net, and may be Maximum, Installed, Dependable (for Conventional
units only), Expected (for VER units only), or Available, it must be determined using consistent measurements for all
Units in the Plant.
31
5.3 Capacity reduction
5.3.1 General
Conventional A Unit may be operable at less than Maximum capacity due to equipment or seasonal
limitations. The reduction in capacity is commonly referred to as a derating, specified in percent of Maximum
capacity or in MW.
VER A Unit may be operable at less than Expected capacity due to equipment limitations. The reduction in
Capacity is commonly referred to as a Unit derating, specified in percent of Expected capacity or in MW.
5.3.2 Partial reserve reduction (PRR)
Conventional Not applicable.
VER The amount by which output is limited below Available capacity for reserve reasons, such as lack of
demand, low or negative energy pricing, or the cost of operation exceeding the market price of electricity. It
is similar to dispatch at less than Available capacity for conventional generation, and not equipment related.
5.3.3 Seasonal derating (SD)
Conventional The difference between Maximum capacity and Dependable capacity during a specified
season or month, commonly due to ambient conditions.
NOTE 1—If ambient conditions are more favorable than projected a Unit may temporarily operate above its Dependable
capacity. Likewise, if ambient conditions are less favorable than projected a Unit may temporarily operate below its
Dependable capacity.
NOTE 2—Seasonal deratings may relate to historical patterns in ambient conditions such as cooling water or air
temperatures.
VER Not applicable.
5.3.4 Partial resource unavailable capacity (PRUC)
The unavailable capacity of a Unit due to limitations imposed by the availability of an Energy resource, such
as when there is insufficient fuel (for Conventional units) or resources (such as wind, solar, hydro for VER
units) to be converted to electrical energy. This is used similarly to a Unit derating for system reliability
indexes but not for unit reliability indexes. At various points in time the resource limited capacity may take
any value between the Maximum capacity and zero. If the Energy resource is fully unavailable, the Unit is
in the Resource unavailable state.
NOTE 1—Past editions of IEEE Std 762 did not distinguish the reasons a Unit did not produce power, other than
distinguishing between Planned and Unplanned outages and Reserve shutdown. Although this distinction is critical for
variable energy resources, in principle other types of Units may experience a resource limitation due to factors such as
an interruption of fuel deliveries or a prolonged drought.
32
NOTE 2—Resource limitation may depend on the specific unit operating policy in case of generation from stored fuels
such as coal, oil, and nuclear. Even if there is sufficient fuel to operate the Unit at the Maximum capacity the Plant
operator may limit the Capacity during low load periods to have sufficient fuel to operate the Unit at Maximum capacity
at peak demand, or to extend the fuel stored until the fuel supply limitations are resolved (or until the next refueling
period in case of nuclear generation). In this case, the Partial resource unavailable capacity is not a hard limit but an
estimated value based on a specific unit operating policy.
5.3.5 Unit derating
5.3.5.1 General
Conventional-system (UNDCS) The difference between Dependable capacity and Available capacity,
attributable to failure of component(s) or to a need to reduce strain on a defective component or Partial
resource unavailable capacity. While a Unit derating is in effect the Unit is in the Available state.
Conventional-unit (UNDCU) The difference between Dependable capacity and Available capacity,
attributable to failure of component(s) or to a need to reduce strain on a defective component, but not Partial
resource unavailable capacity. While a Unit derating is in effect the Unit is in the Available state.
NOTE 1—Except as provided in NOTE 2, a Unit derating generally has a constant magnitude in MW throughout the
Unit derating. If the set of affected components changes and the magnitude of the Unit derating consequently changes,
this should be recorded as a separate Unit derating.
NOTE 2—If a Unit is under both Seasonal and Unit deratings at the same time, the magnitude of the Unit derating may
change if the Seasonal derating changes, even without a change in status of any component.
NOTE 3—Unit derating periods may be subdivided into a basic and an extended period in the same manner as for Unit
outages. However, none of the indexes defined in this standard distinguish between basic and extended Unit derating
periods.
NOTE 4—Conventional-system indexes treat partial Resource unavailability similarly to a Unit derating; conventional-
unit indexes do not do so.
VER—System (UNDVS) The difference between Expected capacity and Available capacity, attributable to
failure of component(s) or to a need to reduce strain on a defective component or Partial resource unavailable
capacity. While a Unit derating is in effect the Unit is in the Available state.
VER—Unit (UNDVU) The difference between Expected capacity and Available capacity, attributable to
failure of component(s) or to a need to reduce strain on a defective component. While a Unit derating is in
effect the Unit is in the Available state.
NOTE 1—VER Unit deratings are typically determined on the basis of Expected capacity calculated for 1- to 10-minute
data point time intervals and then averaged over the reporting period.
NOTE 2—Unit derating does not include whatever Partial resource unavailable capacity is already reflected in Expected
capacity.
5.3.5.2 Planned derating (PD)
A Unit derating or portion thereof that is scheduled well in advance.
NOTE—The distinction between basic and extended planned outages is not applicable to VER units.
33
5.3.5.2.1 Basic planned derating
Conventional A Planned derating as originally scheduled and with a predetermined duration.
VER Not applicable.
5.3.5.2.2 Extended planned derating
Conventional An extension of a Basic planned derating beyond its predetermined duration.
VER Not applicable.
5.3.5.3 Unplanned derating
5.3.5.3.1 General
A Unit derating or portion thereof that is not a Planned derating. Unplanned deratings are classified according
to the urgency with which the derating needs to be initiated, as either Maintenance or Forced deratings.
5.3.5.3.2 Maintenance derating (MD)
A Unit derating or portion thereof that can be deferred beyond the end of the next weekend, but requiring a
reduction of capacity before the next Planned outage.
5.3.5.3.2.1 Basic maintenance derating
Conventional A Maintenance derating as originally scheduled and with a predetermined duration.
VER Not applicable.
5.3.5.3.2.2 Extended maintenance derating
Conventional An extension of a Maintenance derating beyond its predetermined duration.
VER Not applicable.
5.3.5.3.3 Forced derating (FD)
A Unit derating or portion thereof that cannot be deferred beyond the end of the next weekend.
Conventional Such deratings are further classified as Class 1, Class 2, or Class 3 unplanned deratings.
VER Class 1, Class 2, or Class 3 categories are not applicable to VER units.
NOTE—There is no Class 0 derating, because Class 0 refers to a Starting failure, which causes a full Forced outage.
34
5.3.5.3.3.1 Class 1 unplanned derating (immediate)
Conventional An Unplanned derating resulting from a condition requiring an immediate reduction of

Capacity.
VER Not applicable.
5.3.5.3.3.2 Class 2 unplanned derating (delayed)
Conventional An Unplanned derating resulting from a condition not requiring an immediate reduction of
Capacity, but requiring a reduction of capacity within six hours.
VER Not applicable.
5.3.5.3.3.3 Class 3 unplanned derating (postponed)
Conventional An Unplanned derating postponable beyond six hours, but requiring a reduction of Capacity
before the end of the next weekend.
VER Not applicable.
6. Time designations
6.1 Introduction
Terms for the time spent in the various unit states in Clause 4 are defined in this clause. See Figure 4. The
time a Unit is subject to the various categories of Capacity reduction is shown in Figure 5. Note that a portion
of each set of hours defined in Figure 4 may be Capacity reduction hours as defined in Figure 5.
NOTE 1—Resource unavailable is a new state (4.2.3.2) added in this version of the standard.
NOTE 2—These terms may be applicable to a Group of Units or a Plant.
35
Total Hours
Active Inactive
Hours Hours
Inactive
Reserve
Hours Hours
Hours

Hours Hours
Hours Hours Hours
In-service In-service Planned Unplanned

Retired
Generating Non-gen Outage Outage
Hours
Hours Hours Hours Hours
Maint. Forced
Outage Outage
Hours Hours
Figure 4—Time spent in various unit states
Conventional Derated time is accumulated only during the Available state, including both In-service and
Reserve shutdown states.
VER Derated time is accumulated only during the In-service state.
Time variables for a Unit that consists of multiple identical Sub-units are reported in terms of Sub-unit hours.
Because Sub-units may enter and depart a particular state independently, Sub-unit hours for that state is the
sum over Sub-units of the hours each Sub-unit was in that state.
Capacity
Reduction
Hours
Partial
Reserve Derated
Reduction Hours
Hours
Seasonal
Unit Derated
Derated
Hours *
Hours
Partial
Planned Unplanned
Resource
Derated Derated
Unavailable
Hours * Hours *
Hours
Maint. Forced
Derated Derated
Hours * Hours *
NOTE—Time in Capacity reduction states marked with an asterisk (*) may be disaggregated between In-service and
Reserve shutdown hours.
Figure 5—Time spent in Capacity reduction states
36
6.2 Total hours (TH)
6.2.1 General
The number of hours spanned by a particular report or study.
For a report or study covering multiple Units or Sub-units, the hours from the beginning to the end of the
reporting or study period multiplied by the number of Units or Sub-units covered but excluding hours prior
to a Unit or Sub-unit entering service.
NOTE—Active hours and Inactive hours sum to Total hours.
6.2.2 Critical period hours (THK)
The number of hours in a defined Critical period.
NOTE—Critical period hours are not shown in Figure 4 since they can be any subset of Total hours. The subset of any
category of hours defined below which also falls within Critical period hours can be denoted by the subscript “K”, for
instance ACTHK.
6.2.3 Active hours (ACTH)
The number of Hours a Unit was in the Active state.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 = 𝐴𝐴𝐴𝐴 + 𝑈𝑈𝑈𝑈 (1)
The set of hours a Unit was in the Active state is denoted {ACTH}.
NOTE 1—The use of the term period hours to denote hours in the Active state is historical in the industry. Localized
data collection of the performance of a set of Units during a reporting period such as a month implicitly collected data
on only the Units that were active throughout the month. If a Unit entered or left the Active state during the month, it
might not be reported as its performance was deemed unrepresentative.
NOTE 2—The advent of centralized reporting, calculation of performance over longer time periods, and data pooling
create a need to report the Active hours for each Unit rather than using the civil calendar as a basis for each Unit. Pooling
unit performance over multiple Units and longer analysis periods provides indexes that can serve as benchmarks for
identification of superior or inferior performance or for projection of the performance of similar Units into the future.
NOTE 3—Performance indexes having Active hours in the denominator are not defined for Units that were not in the
Active state during the study period.
6.2.3.1 Available
6.2.3.1.1 Available hours (AH)
The number of hours a Unit was in the Available state.
NOTE 1—Available hours are the sum of Service hours connected and Reserve shutdown hours. Alternatively, Available
hours are Active hours less Unavailable hours.
NOTE 2—Derated hours and Partial resource unavailable hours are included in Available hours.
37
NOTE 3—Resource unavailable hours are not included in Available hours, but Partial resource unavailable hours are
included.
NOTE 4—Resource unavailable hours are used similarly to Unit outage hours for system reliability indexes and to
Available hours for unit reliability indexes.
6.2.3.1.2 Service hours connected (SHC)
6.2.3.1.2.1 General
The number of hours a Unit was in the In-service connected state.
𝑆𝑆𝑆𝑆𝑆𝑆 = 𝑆𝑆𝑆𝑆 + 𝑆𝑆𝑆𝑆𝑆𝑆𝑆𝑆 (2)
6.2.3.1.2.2 Service hours generating (SH)
The number of connected hours a Unit was in the In-service generating state.
NOTE—Service hours generating was called Service hours in previous versions of this standard.
6.2.3.1.2.3 Service hours non-generating (SHNG)
The number of hours a Unit was in the In-service non-generating state. This may occur when providing
services other than generation, for example, when operating as a synchronous condenser.
6.2.3.1.3 Reserve shutdown hours (RSH)
The number of hours a Unit was in the Reserve shutdown state.
6.2.3.2 Unavailable hours (UH)
6.2.3.2.1 General
The number of hours a Unit was in the Unavailable state.
NOTE 1—Unavailable hours are the sum of Planned outage hours, Unplanned outage hours, and Resource unavailable
hours, or equivalently, the sum of Planned outage hours, Maintenance outage hours, Forced outage hours, and Resource
unavailable hours for system indexes.
NOTE 2—Resource unavailable hours are used similarly to Unit outage hours for system reliability indexes and to
Available hours for unit reliability indexes.
38
6.2.3.2.2 Resource unavailable
6.2.3.2.2.1 Resource unavailable hours (RUH)
The number of hours a Unit was in the full Resource unavailable state.
NOTE—Resource unavailable hours are a subset of Active hours and are included in Unavailable hours. They are used
similarly to Unit outage hours for system reliability purposes and Available hours for unit reliability purposes.
6.2.3.2.2.2 Resource unavailable hours overlapping the period of demand for the unit to
operate (RUHd)
Conventional The number of hours a Unit was in the Resource unavailable state AND the Unit would have
operated had it been available.
RUHd can be determined directly if periods of demand are recorded. Demand can be defined as the traditional
Demand for the generating Unit for economic or reliable operation of the system. Another user-defined
condition, such as specific weather condition, load level, or energy price, may be used if the value of RUHd
obtained therefrom is assumed to be a reasonable approximation of that yielded by the traditional definition.
If periods of demand are not recorded, RUHd may be estimated using the following formula:
𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑 = 𝑓𝑓 × 𝑅𝑅𝑅𝑅𝑅𝑅 (3)
where f is the Demand factor defined in Annex G, which is applicable to traditional Demand for economic
or reliable system operation.
VER Not applicable.
6.2.3.2.3 Unit outage hours
6.2.3.2.3.1 Planned outage hours (POH)
The number of hours a Unit was in the Planned outage state.
6.2.3.2.3.2 Unplanned outage hours (UOH)
The number of hours a Unit was in a Forced or Maintenance outage state.
6.2.3.2.3.2.1 Maintenance outage hours (MOH)
The number of hours a Unit was in a Maintenance outage state.
6.2.3.2.3.2.2 Forced outage hours (FOH)
The number of hours a Unit was in a Class 0, Class 1, Class 2, or Class 3 unplanned outage state.
39
6.2.3.2.3.2.3 Forced outage hours overlapping the period of demand for the unit to operate
(FOHd)
Conventional The number of hours a Unit was in a Forced outage state AND the Unit would have operated
had it been available.
FOHd can be determined directly if periods of demand are recorded. Demand can be defined as the traditional
Demand for the Unit for economic or reliable operation of the system. Another user-defined condition, such
as specific weather condition, load level, or energy price, may be used if the value of FOHd obtained
therefrom is assumed to be a reasonable approximation of that yielded by the traditional definition.
If periods of demand are not recorded, FOHd may be estimated as described in Annex G, which is applicable
to traditional Demand for economic or reliable system operation.
VER Not applicable.
6.2.4 Inactive hours (IACTH)
6.2.4.1 General
The number of hours a Unit was in the Inactive state.
NOTE 1—The term Inactive hours was called deactivated shutdown hours in previous versions of this standard.
NOTE 2—Inactive hours should be excluded from the calculation of any index in this standard.
6.2.4.2 Inactive Reserve Hours (IRH)
The number of hours the Unit was in the Inactive reserve state.
6.2.4.3 Mothballed Hours (MH)
The number of hours the Unit was in the Mothballed state.
6.2.4.4 Retired Hours (RH)
The number of hours the Unit was in the Retired state.
6.3 Capacity reduction hours
6.3.1 General
The available hours during which a Capacity reduction was in effect.
40
6.3.2 Partial reserve reduction hours (PRRH)
VER The number of hours a Unit was in the In-service state but operating below Available capacity due to
Partial reserve reduction.
6.3.3 Partial resource unavailable hours (PRUH)
The number of hours in which a partial Resource unavailable state was in effect.
6.3.4 Derated Hours
6.3.4.1 General
The available hours during which a Unit derating was in effect.
NOTE 1—Derated hours is clock hours or Sub-unit hours if applicable and is used as an intermediate step in calculating
equivalent hours.
NOTE 2—Derated hours occur at the same time as Service hours or Reserve shutdown hours. At any one time, multiple
deratings may be in effect.
NOTE 3—Partial resource unavailable hours are used similarly to Unit derated hours for system reliability purposes but
not for unit reliability purposes.
6.3.4.2 Seasonal derated hours (SDH)
Conventional The available hours during which a Seasonal derating was in effect.
NOTE—Seasonal derated hours are included in calculating the EAF but not in EAFXSS.
VER Not applicable.
6.3.4.3 Unit derated hours (UNDH)
6.3.4.3.1 General
The Available hours during which a Unit’s capability was reduced because of Unit deratings.
NOTE 1—For the system index (UNDHCS), Unit derated hours include Planned, Unplanned (Maintenance and Forced)
derated hours and Partial resource unavailable hours.
NOTE 2—For the unit index (UNDHCU), Unit derated hours include Planned, Unplanned (Maintenance and Forced)
derated hours.
6.3.4.3.1.1 In-service unit derated hours (IUNDH)
The In-service hours during which a Unit derating was in effect.
41
6.3.4.3.1.2 Reserve shutdown unit derated hours (RSUNDH)
The Reserve shutdown hours during which a Unit derating was in effect.
6.3.4.3.2 Planned derated hours (PDH)
The Available hours during which a Planned derating was in effect.
6.3.4.3.2.1 In-service planned derated hours (IPDH)
The In-service hours during which a Planned derating was in effect.
6.3.4.3.2.2 Reserve shutdown planned derated hours (RSPDH)
The Reserve shutdown hours during which a Planned derating was in effect.
6.3.4.3.3 Unplanned derated hours (UDH)
6.3.4.3.3.1 General
The Available hours during which an Unplanned derating was in effect.
6.3.4.3.3.1.1 In-service unplanned derated hours (IUDH)
The In-service hours during which an Unplanned derating was in effect.
6.3.4.3.3.1.2 Reserve shutdown unplanned derated hours (RSUDH)
The Reserve shutdown hours during which an Unplanned derating was in effect.
6.3.4.3.3.2 Maintenance derated hours (MDH)
6.3.4.3.3.2.1 General
The Available hours during which a Maintenance derating was in effect.
6.3.4.3.3.2.2 In-service maintenance derated hours (IMDH)
The In-service hours during which a Maintenance derating was in effect.
6.3.4.3.3.2.3 Reserve shutdown maintenance derated hours (RSMDH)
The Reserve shutdown hours during which a Maintenance derating was in effect.
42
6.3.4.3.3.3 Forced derated hours (FDH)
6.3.4.3.3.3.1 General
The Available hours during which a Forced derating was in effect.
NOTE—This includes hours in which a Class 1, Class 2, or Class 3 derating was in effect but does not include hours in
which a Maintenance derating was in effect.
6.3.4.3.3.3.2 In-service forced derated hours (IFDH)
The In-service hours during which a Forced derating was in effect.
6.3.4.3.3.3.3 Reserve shutdown forced derated hours (RSFDH)
The Reserve shutdown hours during which a Forced derating was in effect.
7. Generation (energy) terms
7.1 Introduction
Each measure of generation can be expressed on a Gross (3.13) or a Net (3.16) basis. A “G” or an “N” prefix
is used to indicate the basis used. Net generation is negative if the Unit’s Auxiliary loads (or Plant use) exceed
Gross generation. Net generation is measured at the revenue meter and Gross generation is measured at the
generator terminals.
A generation measure may be limited to a specific state by adding a subscript denoting that state as follows:
 S: In-service generating
 R: Reserve shutdown
 P: Planned
 M: Maintenance
 F: Forced
 U: Resource unavailable
 N: In-service non-generating
For example:
 MGF is the Maximum generation that potentially could have been produced by the Unit when it was
in the Forced outage state, absent the outgage, that is,
𝑀𝑀𝐺𝐺𝐹𝐹 = 𝑀𝑀𝑀𝑀 × 𝐹𝐹𝑂𝑂𝐻𝐻 (4)
 EGS is the Expected generation over the hours the Unit was in the In-service generating state.
43
 FDGR is the Forced derated generation in the Reserve shutdown state that is, generation that a Unit
could not have produced, even if it had been online, because of Forced deratings during Reserve
shutdown hours.
The value of a generation measure for a given time interval t is denoted by (t). For example:
 EG(t) is the Expected generation in interval t.
A generation measure may be limited to demand periods by adding the subscript “d”, for instance PRUGd.
Similarly, a generation measure may be limited to a Critical period by adding the subscript “K”, for instance
MGK.
7.2 Maximum generation (MG)
The energy that could have been produced by a Unit in a given period if operated continuously at Maximum
capacity.
𝑀𝑀𝑀𝑀 = 𝑀𝑀𝑀𝑀 × 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 (5)
7.3 Critical period maximum generation (MGK)
The energy that could have been produced by a Unit in a specified Critical period if operated at Maximum
capacity in the Critical period hours.
7.4 Dependable generation (DPG)
Conventional The energy that could have been produced by a Unit in a given period if operated continuously
at Dependable capacity.
VER Not applicable.
7.5 Expected generation (EG)
VER The energy that could have been produced by a Unit in a given period taking into account measured
ambient conditions and resource limitations, as calculated by a model.
NOTE 1—See Expected capacity (5.2.6). Reductions due to any cause other than Resource unavailability are not
considered.
NOTE 2—“Expected” means a calculated value given specific conditions and should not be taken in a statistical sense.
7.6 Available generation
Available generation is the energy that could have been generated by a Unit in a given period if operated
throughout the period at its Available capacity.
NOTE 1—Available capacity may have varied during the period.
44
Conventional (AGC)
NOTE 2—Available generation is Dependable generation less Unavailable generation.
𝐴𝐴𝐺𝐺𝐶𝐶 = 𝐷𝐷𝐷𝐷𝐷𝐷 − 𝑈𝑈𝐺𝐺𝐶𝐶 (6)
VER (AGV)
NOTE 3—Available generation is Expected generation less Unavailable generation.
𝐴𝐴𝐺𝐺𝑉𝑉 = 𝐸𝐸𝐸𝐸 − 𝑈𝑈𝐺𝐺𝑉𝑉 (7)
7.6.1 Actual generation (AAG)
The energy that was generated by a Unit in a given period.
7.6.2 Critical period actual generation (AAGK)
The energy that was generated by a Unit in a specified Critical period.
7.6.3 Reserve generation (RG)
7.6.3.1 General
The energy that a Unit could have produced in a given period but did not because it was not required by the
system. This is the difference between Available generation and Actual generation.
𝑅𝑅𝑅𝑅 = 𝐴𝐴𝐴𝐴 − 𝐴𝐴𝐴𝐴𝐴𝐴 (8)
NOTE—Reserve generation includes energy that could have been produced in Service hours non-generating had the Unit
been in the generating mode rather than non-generating.
7.6.3.2 Reserve shutdown generation (RSG)
The energy that a Unit could have produced in a given period but did not due to Reserve shutdown.
7.6.3.3 Partial reserve reduction generation (PRRG)
VER The generation loss due to Partial reserve reduction.
𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 = 𝐸𝐸𝐸𝐸 − 𝐴𝐴𝐴𝐴𝐴𝐴 − 𝑈𝑈𝑈𝑈 (9)
45
7.7 Unavailable generation
7.7.1 Unavailable generation—version 1
Conventional (UGC) The difference between Dependable generation less Resource unavailable generation
and Available generation. This is the energy that could not be generated by a Unit due to Planned and
Unplanned outages and Unit deratings.
𝑈𝑈𝑈𝑈 = (𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 ) × 𝑀𝑀𝑀𝑀 (10)
where EPDHC, EMDHC, and EFDHC are defined in 8.5.2.1, 8.5.2.2.1, and 8.5.2.2.2.
NOTE 1—There is an inconsistency between the description of the term and Equation (10), which appeared in the 1987
and 2006 versions of the standard. The inconsistency is between the definitions of PUGC, MUGC, and FUGC as the
product of Dependable generation and POH, MOH, and FOH, respectively (see NOTE 2), and the multiplication of the
hours and Maximum capacity in Equation (10). The term is retained in the current version of the standard for legacy
purposes, and a new term that corrects the inconsistency is added, Unavailable generation—version 2 (UG2).
NOTE 2—Unavailable generation resulting from a full Unit outage is the product of Dependable capacity and duration
of the outage.
NOTE 3—Unavailable generation resulting from a Unit derating is the product of the Capacity reduction (PD, MD, or
FD) and duration of the derating, that is, for a Unit derating characterized by J discrete periods of constant capacity, with
Unit derating DCj(y) within each period of duration Tj, type y Derated generation DG(y) may be calculated as:
𝐷𝐷𝐷𝐷(𝑦𝑦) = �∑𝐽𝐽𝑗𝑗=1 𝐷𝐷𝐷𝐷𝑗𝑗 (𝑦𝑦) × 𝑇𝑇𝑗𝑗 � (11)
NOTE 4—Because Dependable capacity is Maximum capacity reduced by Seasonal derating, Seasonal unavailable
generation is excluded from Unavailable generation for conventional indexes.
7.7.2 Unavailable generation—version 2
Conventional-system (UG2CS) The difference between Dependable generation and Available generation.
This is the energy that could not be generated by a Unit due to Planned and Unplanned outages, Unit
deratings, and Resource unavailability.
𝑈𝑈𝑈𝑈2𝐶𝐶𝐶𝐶 = 𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 + 𝑀𝑀𝑀𝑀𝑀𝑀𝐶𝐶 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 + 𝑀𝑀𝑀𝑀𝑀𝑀𝐶𝐶 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 (12)
= (𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅) × 𝐷𝐷𝐷𝐷𝐷𝐷 + (𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 ) × 𝑀𝑀𝑀𝑀 (13)
where EPDHC, EMDHC, EFDHC, and EPRUHC are defined in 8.5.2.1, 8.5.2.2.1, 8.5.2.2.2, and 8.3.
Conventional-unit (UG2CU) The difference between Dependable generation less Resource unavailable
generation and Available generation. This is the energy that could not be generated by a Unit due to Planned
and Unplanned outages and Unit deratings.
𝑈𝑈𝑈𝑈2𝐶𝐶𝐶𝐶 = 𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 + 𝑀𝑀𝑀𝑀𝑀𝑀𝐶𝐶 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 + 𝑀𝑀𝑀𝑀𝑀𝑀𝐶𝐶 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶 (14)
= (𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹) × 𝐷𝐷𝐷𝐷𝐷𝐷 + (𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 ) × 𝑀𝑀𝑀𝑀 (15)
NOTE 1—This version 2 of the index was created to correct an inconsistency in the definition of the original UG, while
leaving UG unchanged for legacy purposes. See NOTE 1 under 7.7.1.
NOTE 2—NOTE 2, NOTE 3, and NOTE 4 under 7.7.1 Unavailable generation apply to this index as well.
46
VER-system (UG2VS) The difference between Maximum generation and Available generation. This is the
energy that could not be generated by a Unit due to Planned and Unplanned outages and Unit deratings and
Resource unavailability.
𝑈𝑈𝐺𝐺2𝑉𝑉𝑉𝑉 = 𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 (16)
VER-unit (UG2VU) The difference between Expected generation and Available generation. This is the energy
that could not be generated by a Unit due to Planned and Unplanned outages and Unit deratings.
𝑈𝑈𝑈𝑈2𝑉𝑉𝑉𝑉 = 𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉 (17)
NOTE 1—Unavailable generation resulting from a full Unit outage is the Expected generation over the duration of the
Unit outage.
NOTE 2—Unavailable generation resulting from a Unit derating is typically calculated as the residual remaining after
subtracting Actual generation and any Partial reserve reduction from Expected generation during the derating.
NOTE 3—The allocation of outage or derated generation among generation or derating categories is informed by the
data point status flag in the database and by other information that may be in operating logs.
7.7.3 Total resource unavailable generation (TRUG)
7.7.3.1 General
The total unavailable generation due to insufficient resource, including both full and partial Resource
unavailable hours.
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 = 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 (18)
NOTE—(VER only) TRUG is the difference between Maximum generation and Expected generation.
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 = 𝑀𝑀𝑀𝑀 – 𝐸𝐸𝐸𝐸 (19)
7.7.3.2 Resource unavailable generation (RUG)
Resource unavailable generation is the energy a Unit could have produced during periods of full Resource
unavailability if the resource had been fully available.
𝑅𝑅𝑅𝑅𝑅𝑅 = 𝑅𝑅𝑅𝑅𝑅𝑅 × 𝑀𝑀𝑀𝑀 (20)
7.7.3.3 Partial resource unavailable generation
Conventional (PRUGC) The portion of the difference between Dependable generation and Available
generation attributable to partial Resource unavailability.
𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑗𝑗 × 𝑇𝑇𝑗𝑗 � (21)
where
J is the number of periods of constant partial Resource unavailability
PRUCj is the Partial resource unavailable capacity
Tj is the duration within each period
47
VER (PRUGV) The difference between Maximum Generation and Expected generation during periods of
partial Resource unavailability. Equivalently:
𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑉𝑉 = 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 − 𝑅𝑅𝑅𝑅𝑅𝑅 (22)
7.7.4 Seasonal unavailable generation (SUG)
Conventional The difference between the energy that would have been generated if operating continuously
at Maximum capacity and the energy that would have been generated if operating continuously at Dependable
capacity, calculated only during the time (T) the Unit was in the Available state.
𝑆𝑆𝑆𝑆𝑆𝑆 = ∑𝐽𝐽𝑗𝑗=1 𝑆𝑆𝑆𝑆𝑗𝑗 × 𝑇𝑇𝑗𝑗 (23)
Equivalently:
𝑆𝑆𝑆𝑆𝑆𝑆 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 × 𝑀𝑀𝑀𝑀 (24)
where ESDH is defined in 8.5.1.
VER Not applicable.
7.7.5 Seasonal derated generation (SDG)
Conventional The difference between the energy that would have been generated if operating continuously
at Maximum capacity and the energy that would have been generated if operating continuously at Dependable
capacity.
𝑆𝑆𝑆𝑆𝑆𝑆 = 𝑀𝑀𝑀𝑀 − 𝐷𝐷𝐷𝐷𝐷𝐷 (25)
NOTE—The distinction between SUG and SDG is that SUG is calculated only on the basis of hours the Unit was
Available, while SDG is not subject to this restriction.
VER Not applicable.
7.7.6 Unit outage generation
7.7.6.1 Planned unavailable generation
Conventional (PUGC) Dependable generation that was Unavailable due to Planned outages.
VER (PUGV) Expected generation that was Unavailable due to Planned outages.
7.7.6.2 Unplanned unavailable generation
7.7.6.2.1 Maintenance unavailable generation
Conventional (MUGC) Dependable generation that was Unavailable due to Maintenance outages.
VER (MUGV) Expected generation that was Unavailable due to Maintenance outages.
48
7.7.6.2.2 Forced unavailable generation
Conventional (FUGC) Dependable generation that was Unavailable due to Forced outages.
VER (FUGV) Expected generation that was Unavailable due to forced outages.
7.7.7 Derated
7.7.7.1 Derated generation
Conventional-system (DGCS) The generation that was Unavailable due to Unit deratings or partial Resource
unavailability.
𝐷𝐷𝐷𝐷𝐶𝐶𝐶𝐶 = 𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 + 𝑀𝑀𝑀𝑀𝑀𝑀𝐶𝐶 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐶𝐶 (26)
= (𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 ) × 𝑀𝑀𝑀𝑀 (27)
where EPDHC, EMDHC, EFDHC, and EPRUHC are defined in 8.5.2.1, 8.5.2.2.1, 8.5.2.2.2, and 8.2.
Conventional-unit (DGCU) The generation that was Unavailable due to Unit deratings.
𝐷𝐷𝐷𝐷𝐶𝐶𝐶𝐶 = 𝑃𝑃𝑃𝑃𝑃𝑃𝐶𝐶 + 𝑀𝑀𝑀𝑀𝑀𝑀𝐶𝐶 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶 (28)
= (𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 ) × 𝑀𝑀𝐶𝐶 (29)
Alternatively:
𝐷𝐷𝐺𝐺𝐶𝐶𝐶𝐶 = ∑𝐽𝐽𝑗𝑗=1 𝑈𝑈𝑈𝑈𝑈𝑈𝑗𝑗 × 𝑇𝑇𝑗𝑗 (30)
VER-system (DGVS) The generation that was Unavailable due to Unit deratings or partial Resource
unavailability.
𝐷𝐷𝐷𝐷𝑉𝑉𝑉𝑉 = 𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑉𝑉 (31)
VER-unit (DGVU) The generation that was Unavailable due to Unit deratings.
𝐷𝐷𝐷𝐷𝑉𝑉𝑉𝑉 = 𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉 (32)
7.7.7.2 Planned derated generation
Conventional (PDGC) Dependable generation that was Unavailable due to Planned deratings.
VER (PDGV) Expected generation that was Unavailable due to Planned deratings.
7.7.7.3 Unplanned derated generation
7.7.7.3.1 Maintenance derated generation
Conventional (MDGC) Dependable generation that was Unavailable due to Maintenance deratings.
VER (MDGV) Expected generation that was Unavailable due to Maintenance deratings.
49
7.7.7.3.2 Forced derated generation
Conventional (FDGC) Dependable generation that was Unavailable due to Forced deratings.
VER (FDGV) Expected generation that was Unavailable due to Forced deratings.
8. Equivalent hours
8.1 Introduction
Equivalent hours express the number of hours a Unit was in a time category involving a Capacity reduction
as full-load equivalent hours of full outage at a reference quantity.
For Conventional units, the reference quantity is Maximum capacity (MC). For VER units the reference
quantity is Expected generation (EG) for equivalent hours expressed from the unit perspective and Maximum
generation (MG) for equivalent hours from the system perspective.
The capacity and generation quantities for Capacity reductions and the reference quantity shall be expressed
on a consistent basis, Gross or Net. Equivalent hours can be calculated for each of the time categories of
Capacity reduction hours in Clause 6. The acronym for equivalent hours is formed by adding an E in front of
the acronym for the corresponding time designation. For example, Equivalent unit derated hours is
“E” + “UNDH”, that is, EUNDH.
NOTE 1—In order to apportion equivalent hours among the various time categories, appropriate ground rules shall be
established in the reporting system such that after each change in either Available capacity or Dependable capacity, the
sum of all subcategories of Capacity reduction is equal to the total amount of Capacity reduction.
NOTE 2—Historically, the term “full-load equivalent hours” has also been used.
Conventional Formulas for equivalent hours can be derived from the following general equation for
Conventional units:
∑𝐽𝐽𝑗𝑗=1 𝐷𝐷𝑗𝑗 (𝑦𝑦)×𝑇𝑇𝑗𝑗

𝐸𝐸𝐶𝐶 (𝑦𝑦) = (33)
𝑀𝑀𝑀𝑀
where
EC(y) is equivalent hours in a given period in the time category of type y, which can be any one of the
time categories in 6.3
Dj(y) is the partial reduction capacity for the time category of type y, in MW, after the jth change in either
Available capacity (Unit deratings or partial reductions) or Dependable capacity (Seasonal
deratings)
Tj is the number of Available hours accumulated in the time category of type y between the jth and
the (j+1)th change in either Available capacity (Unit deratings or partial reductions) or Dependable
capacity (Seasonal deratings)
MC is Maximum capacity
50
Alternatively:
𝐷𝐷𝐷𝐷(𝑦𝑦)
𝐸𝐸𝐶𝐶 (𝑦𝑦) = (34)
𝑀𝑀𝑀𝑀
where DG(y) is the Capacity reduction of type y for the period, for any of these time categories, as defined
in 7.7.7.1 or 7.7.3.3, respectively.
VER Formulas for equivalent hours, from the system and unit perspectives, EGVS(y) and EGVU(y), can be
derived from the following general equations for VER units:
𝐷𝐷𝐷𝐷(𝑦𝑦) 𝐷𝐷𝐷𝐷(𝑦𝑦)
𝐸𝐸𝑉𝑉𝑉𝑉 (𝑦𝑦) = = × 𝑆𝑆𝑆𝑆 (35)
𝑀𝑀𝑀𝑀 𝑀𝑀𝑀𝑀
𝐸𝐸𝑉𝑉𝑉𝑉 (𝑦𝑦) = × 𝑆𝑆𝑆𝑆 (36)
𝐸𝐸𝐸𝐸
where
EV•(y) is equivalent hours in a given period in the time category of type y, which can be any one of the
time categories in 6.3
DG(y) is the Capacity reduction of type y for the same period, for any of these time categories, as defined
in 7.6.3.3, 7.7.3.3, or 7.7.7 respectively
SH is the Service hours in the period
8.2 Equivalent partial reserve reduction hours
VER-system (EPRRHVS)
Partial reserve reduction generation converted to equivalent hours with respect to Maximum generation.
𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (37)
𝑀𝑀𝑀𝑀
VER-unit (EPRRHVU) Partial reserve reduction generation converted to equivalent hours with respect to
Expected generation.
𝐸𝐸𝐸𝐸
8.3 Equivalent partial resource unavailable hours
Conventional (EPRUHC) Partial resource unavailable hours converted to equivalent hours with respect to
Maximum capacity.
∑𝐽𝐽𝑗𝑗=1 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑗𝑗 × 𝑇𝑇𝑗𝑗

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 = (39)
𝑀𝑀𝑀𝑀
where PRUCj is the MW derating reduction in partial resource reduction interval j.
51
Equivalently:
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 = (40)
𝑀𝑀𝑀𝑀
NOTE 1—For Conventional units, partial resource reductions occur as discrete events with fixed capacity reduction.
NOTE 2—This does not include hours when the Unit was completely off due to Resource unavailability.
NOTE 3—If a Unit subject to partial Resource unavailability is not dispatched at its maximum available level, it may be
necessary to specify a process for tracking the difference.
VER (EPRUHV) Partial resource unavailable generation converted to equivalent hours with respect to
Maximum generation.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (41)
𝑀𝑀𝑀𝑀
NOTE 2—If a Unit subject to partial Resource unavailability is not dispatched at its maximum available level, it may be
necessary to specify a process for tracking the difference.
8.4 Equivalent partial resource unavailable hours overlapping period of demand

for the unit to generate
Conventional (EPRUHd) Partial resource unavailable hours converted to equivalent hours with respect to
Maximum capacity.
∑𝐽𝐽𝑗𝑗=1 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑗𝑗 × 𝑇𝑇𝑗𝑗

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑑𝑑 = (42)
𝑀𝑀𝑀𝑀
where PRUCj is the MW derating reduction in partial resource reduction interval j overlapping periods of
demand.
Equivalently,
𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑑𝑑
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑑𝑑 = (43)
𝑀𝑀𝑀𝑀
where PRUGd is the partial resource reduction overlapping periods of demand.
NOTE 1—For Conventional units, partial resource reductions occur as discrete events with fixed capacity reduction.
NOTE 3—Accurately determining EPRUHd requires collecting data so that in-service deratings are separated from
reserve shutdown deratings. Demand can be defined as the traditional Demand for the generating Unit for economic or
reliable operation of the system. Another user-defined condition, such as specific weather condition, load level, or energy
price, may be used if the value of EPRUHd obtained therefrom is assumed to be a reasonable approximation of that
yielded by the traditional definition. However, if data collection does not make such a separation, EPRUHd may be
estimated as described in Annex G.
VER Not applicable.
52
8.5 Equivalent derated hours
8.5.1 Equivalent seasonal derated hours (ESDH)
Conventional Seasonal derated hours converted to equivalent hours with respect to Maximum capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = �∑𝐽𝐽𝑗𝑗=1 𝑆𝑆𝑆𝑆𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (44)
where SDj is the MW derating in seasonal derated state interval j.
VER Not applicable.
8.5.2 Equivalent unit derated hours
Conventional (EUNDHC) Unit derated hours converted to equivalent hours with respect to Maximum
capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑈𝑈𝑈𝑈𝑈𝑈𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (45)
where UNDj is the MW derating in Unit derated interval j.
VER-system (EUNDHVS) Unit derated generation converted to equivalent hours with respect to Maximum
generation.
(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹)
𝑀𝑀𝑀𝑀
VER-unit (EUNDHVU) Unit derated generation converted to equivalent hours with respect to Expected
generation.
𝐸𝐸𝐸𝐸
8.5.2.1 Equivalent planned derated hours
Conventional (EPDHC) Planned derated hours converted to equivalent hours with respect to Maximum
capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑃𝑃𝑃𝑃𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (48)
where PDj is the MW derating in planned derated interval j.
VER-system (EPDHVS) Planned derated generation converted to equivalent hours with respect to Maximum
generation.
𝑃𝑃𝑃𝑃𝑃𝑃
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (49)
𝑀𝑀𝑀𝑀
VER-unit (EPDHVU) Planned derated generation converted to equivalent hours with respect to Expected
generation.
𝐸𝐸𝐸𝐸
53
8.5.2.2 Equivalent unplanned derated hours
Conventional (EUDHC) Unplanned derated hours converted to equivalent hours with respect to Maximum
capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑈𝑈𝑈𝑈𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (51)
where UDj is the MW derating in unplanned derated interval j.
VER-system (EUDHVS) Unplanned derated generation converted to equivalent hours with respect to
Maximum generation.
(𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹)
𝑀𝑀𝑀𝑀
VER-unit (EUDHVU) Unplanned derated generation converted to equivalent hours with respect to Expected
generation.
(𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹)
𝐸𝐸𝐸𝐸
8.5.2.2.1 Equivalent maintenance derated hours
Conventional (EMDHC) Maintenance derated hours converted to equivalent hours with respect to Maximum
capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑀𝑀𝑀𝑀𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (54)
where MDj is the MW derating in maintenance derated interval j.
VER-system (EMDHVS) Maintenance derated generation converted to equivalent hours with respect to
Maximum generation.
𝑀𝑀𝑀𝑀𝑀𝑀
𝑀𝑀𝑀𝑀
VER-unit (EUNDHVU) Maintenance derated generation converted to equivalent hours with respect to
Expected generation.
𝐸𝐸𝐸𝐸
8.5.2.2.2 Equivalent forced derated hours
Conventional (EFDHC) Forced derated hours converted to equivalent hours with respect to Maximum
capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝐹𝐹𝐹𝐹𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (57)
where FDj is the MW derating in forced derated interval j.
VER-system (EFDHVS) Forced derated generation converted to equivalent hours with respect to Maximum
generation.
54
𝐹𝐹𝐹𝐹𝐹𝐹
𝑀𝑀𝑀𝑀
VER-unit (EFDHVU) Forced derated generation converted to equivalent hours with respect to Expected
generation.
𝐸𝐸𝐸𝐸
8.5.2.2.3 Equivalent forced derated hours overlapping period of demand for the unit to
generate
Conventional (EFDHd) In-service forced derated hours converted to equivalent hours with respect to
Maximum capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑 = �∑𝑚𝑚
𝑗𝑗=1 𝐼𝐼𝐼𝐼𝐼𝐼𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (60)
where IFDj is the MW derating in forced derated interval j overlapping periods of demand.
NOTE—Accurately determining EFDHd requires collecting data so that in-service deratings are separated from reserve
shutdown deratings. Demand can be defined as the traditional Demand for the generating Unit for economic or reliable
operation of the system. Another user-defined condition, such as specific weather condition, load level, or energy price,
may be used if the value of EFDHd obtained therefrom is assumed to be a reasonable approximation of that yielded by
the traditional definition. However, if data collection does not make such a separation, EFDHd may be estimated as
described in Annex G.
VER Not applicable.
8.5.2.2.4 Equivalent reserve shutdown forced derated hours
Conventional (ERSFDHC) Reserve shutdown forced derated hours converted to equivalent hours with
respect to Maximum capacity.
NOTE—Reserve shutdown forced derated hours are, by definition, not during a period of demand for the Unit to operate.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (61)
where RSFDj is the MW derating in reserve shutdown forced derated interval j.
VER-system (ERSFDHVS) Reserve shutdown forced derated generation converted to equivalent hours with
respect to Maximum generation.
𝐹𝐹𝐹𝐹𝐹𝐹𝑅𝑅
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (62)
𝑀𝑀𝑀𝑀
VER-unit (ERSFDHVU) Reserve shutdown forced derated generation converted to equivalent hours with
respect to Expected generation.
𝐹𝐹𝐹𝐹𝐹𝐹𝑅𝑅
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (63)
𝐸𝐸𝐸𝐸
55
9. Performance indexes of an individual unit
9.1 General
This clause provides both the conceptual definitions of the basic performance indexes and the equations to
calculate the indexes for an individual Unit from the system and unit reliability perspectives. These
performance indexes fall into the following groups:
 Availability factors: Time ratios having Active hours (ACTH) as the denominator (9.2). ACTH may
be over the entire operating history of the Unit(s) or a subset thereof. Availability factors for VER
units may be calculated on the basis of generation (9.3).
 Equivalent availability factors: Time ratios having Active hours (ACTH) as the denominator and
considering equivalent derated hours (9.4). Equivalent availability factors for VER units may be
calculated on the basis of generation (9.5).
 Rates and equivalent rates: Measures of the occurrence of various outage states, both time-based
(9.6) and generation-based (9.7).
 Restricted factors and rates: Factors and rates based on a restricted subset of hours (9.8).
 Production factors: Expressing generation as a percentage of Maximum generation (9.9).
 Derating factors: Fractions of maximum generation that could not be produced due to deratings
(9.10).
 Average time durations and occurrence rates: Hours in a state divided by the number of occurrences
of the state (9.11).
 Probabilities: Proportion of attempts successful or unsuccessful (9.12).
Generation-based indexes are introduced in this 2023 version of the standard. They are recommended for
VER units. But they are not prohibited for Conventional units. A future version of the standard might make
a recommendation on the applicability of generation-based indexes, after some industry experience with them
has accumulated.
“Equivalent” variants of the availability factors, grouped in 9.4, insert the word “Equivalent” before the name
of the basic index. These treat deratings of the Unit in terms of equivalent hours of full outage which would
result in the same loss of Maximum generation for Conventional units or Expected generation for VER units.
For instance, if a Conventional unit’s output was reduced by 50% of Maximum capacity for 24 hours due to
outage of one of its two boilers, this is equivalent to 12 hours of full outage. Such records of derated hours
are most commonly kept for Units larger than some threshold such as 100 MW. Equivalent forced outage
rates are defined similarly starting in 9.6.4.
For Conventional units, “Demand” variants of Forced outage rate and Equivalent forced outage rate confine
attention to periods of demand for the particular Unit, inserting “Demand” before “Forced” in the names. It
is seldom considered necessary to record periods of demand for VERs and indexes considering periods of
demand have not been developed. But “Critical period” variants, applicable to both Conventional and VER
units, are presented in 9.8.
Variants are denoted by a subheading in the description. A.9.5 discusses the relationships among the
performance indexes that are based on Active hours (ACTH). When dealing with overlapping equivalent
periods the partial resource unavailable period takes precedence over the derating.
Historically, the individual unit performance indexes have been used to assess Unit reliability, availability,
and productivity. Individual Unit performance indexes are commonly compared to performance indexes of a
56
“peer” Group of Units, the Group performance indexes defined in Clause10. Clause 10 equations are built
upon the individual Unit performance indexes in this Clause 9.
NOTE 1—These indexes are defined only for Units in the Active state. Inactive hours (IH) are excluded.
NOTE 2—Because of the convention adopted in this standard by which periods in which Unit outages overlap full
Resource unavailability are assigned to the Unit outage category rather than Resource unavailability (see 4.2.3.2), the
reported value of Resource unavailable hours (RUH) may be less than the actual time the resource was fully unavailable,
and therefore, rates and factors expressing Resource unavailability, such as RUF (9.2.3.2) may understate actual Resource
unavailability. For the same reason, rates and factors expressing resource availability, such as RAF (9.2.3.3) may overstate
actual resource availability.
When the formulas for two or more variants of an index differ only in subscripts on the terms in the formulas,
only one formula is presented in some cases, with the understanding that it is straightforward for the user to
determine the appropriate subscripts for the terms from the definition of each term.
NOTE 3—For example, only one formula, (101), is provided for the system variants of Equivalent unavailability factor
(EUF), applicable to both conventional and VER units. For both kinds of Units, POH, MOH, FOH and RUH are the
same for all variants; therefore no subscripts are required. However, EPRUH is defined differently for the two kinds of
Units; therefore EPRUHC and EPRUHV must be used on the right-hand side for EUFCS and EUFVS, respectively. There
are three versions of the other three equivalent terms—C, VS, and VU; therefore EPDHC, EMDHC, and EFDHC must be
used for EUFCS, while EPDHVS, EMDHVS, and EFDHVS must be used for EUFVS. Similarly, in applying (102) for the unit
variants, EPDHC, EMDHC, and EFDHC are used for EUFCU, while EPDHVU, EMDHVU, and EFDHVU are used for EUFVU,
and POH, MOH, and FOH for both.
9.2 Availability factors, time-based
9.2.1 General
Time ratios having Active hours (ACTH) as the denominator.
9.2.2 Availability factor
System (AFS) The fraction of Active hours in which a Unit was available without any Unit outages and with
sufficient resources to generate.
𝐴𝐴𝐴𝐴
𝐴𝐴𝐴𝐴𝑆𝑆 = (64)
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴
Unit (AFU) The fraction of Active hours in which a Unit was available without any Unit outages.
𝐴𝐴𝐴𝐴+𝑅𝑅𝑅𝑅𝑅𝑅
𝐴𝐴𝐴𝐴𝑈𝑈 = (65)
𝐴𝐴𝐶𝐶𝐶𝐶𝐶𝐶
9.2.3 Unavailability factor
9.2.3.1 General
System (UFS) The fraction of Active hours in which a Unit was not available due to Unit outages or full
57
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
𝑈𝑈𝑈𝑈𝑆𝑆 = (66)
Unit (UFU) The fraction of Active hours in which a Unit was unavailable due to Unit outages.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹
𝑈𝑈𝑈𝑈𝑈𝑈 = (67)
9.2.3.2 Resource unavailability factor (RUF)
The fraction of Active hours in which a Unit was not available due to full Resource unavailability.
𝑅𝑅𝑅𝑅𝑅𝑅
𝑅𝑅𝑅𝑅𝑅𝑅 = (68)
9.2.3.3 Resource availability factor (RAF)
The fraction of Active hours in which the Energy resource was available for generation.
(𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴−𝑅𝑅𝑅𝑅𝑅𝑅)
𝑅𝑅𝑅𝑅𝑅𝑅 = = 1 − 𝑅𝑅𝑅𝑅𝑅𝑅 (69)
9.2.3.4 Unit outages
9.2.3.4.1 Planned outage factor (POF)
The fraction of Active hours in which a Unit was not available due to Planned outages.
𝑃𝑃𝑃𝑃𝑃𝑃 = (70)
9.2.3.4.2 Unplanned outage factor (UOF)
9.2.3.4.2.1 General
The fraction of Active hours in which a Unit was not available due to Unplanned outages.
𝐹𝐹𝐹𝐹𝐹𝐹+𝑀𝑀𝑀𝑀𝑀𝑀
9.2.3.4.2.2 Maintenance outage factor (MOF)
The fraction of Active hours in which a Unit was not available due to Maintenance outages.
𝑀𝑀𝑀𝑀𝑀𝑀 = (72)
58
9.2.3.4.2.3 Forced outage factor
System (FOFS) The fraction of Active hours in which a Unit was not available due to Forced outages or
𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
𝐹𝐹𝐹𝐹𝐹𝐹𝑆𝑆 = (73)
Unit (FOFU) The fraction of Active hours in which a Unit was not available due to Forced outages.
𝐹𝐹𝐹𝐹𝐹𝐹𝑈𝑈 = (74)
𝐴𝐴𝐴𝐴𝑇𝑇𝑇𝑇
9.2.3.5 Unplanned unavailability factor (UUF)
The fraction of Active hours in which a Unit was not available due to Unplanned outages or Resource
unavailability.
𝐹𝐹𝐹𝐹𝐹𝐹+𝑀𝑀𝑀𝑀𝑀𝑀 + 𝑅𝑅𝑅𝑅𝑅𝑅
9.2.4 Service factor (SF)
The fraction of Active hours in which a Unit was in the In-service state.
𝑆𝑆𝑆𝑆
𝑆𝑆𝑆𝑆 = (76)
9.3 Availability factors, generation-based
9.3.1 General
Generation ratios having Maximum generation or Expected generation (for VER units only) as the
denominator.
9.3.2 Availability generation factor
System (AGFS) The fraction of Maximum generation remaining after subtracting the generation that could
not be produced due to Unit outages or full Resource unavailability.
𝑀𝑀𝑀𝑀−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅)
𝐴𝐴𝐴𝐴𝐹𝐹𝑆𝑆 = (77)
𝑀𝑀𝑀𝑀
Equivalently:
𝐴𝐴𝐴𝐴𝐹𝐹𝑆𝑆 = 1 − 𝑈𝑈𝑈𝑈𝐹𝐹𝑆𝑆 (78)
Unit (AGFU) The fraction of Expected generation remaining after subtracting the generation that could not
be produced due to Unit outages.
𝐸𝐸𝐸𝐸−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹)
𝐴𝐴𝐴𝐴𝐴𝐴𝑈𝑈 = (79)
𝐸𝐸𝐸𝐸
59
Equivalently:
𝐴𝐴𝐴𝐴𝐹𝐹𝑈𝑈 = 1 − 𝑈𝑈𝑈𝑈𝐹𝐹𝑈𝑈 (80)
9.3.3 Unavailability generation factor
9.3.3.1 General
System (UGFS) The fraction of Maximum generation a Unit could not produce due to Unit outages or full
𝑈𝑈𝑈𝑈𝐹𝐹𝑆𝑆 = (81)
𝑀𝑀𝑀𝑀
Unit (UGFU) The fraction of Expected generation a Unit could not produce due to Unit outages.
𝑈𝑈𝑈𝑈𝑈𝑈𝑈𝑈 = (82)
𝐸𝐸𝐸𝐸
9.3.3.2 Resource unavailability generation factor (RUGF)
The fraction of Maximum generation a Unit could not produce due to full Resource unavailability.
𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 = (83)
𝑀𝑀𝑀𝑀
9.3.3.3 Resource availability generation factor (RAGF)
The fraction of Maximum generation remaining after subtracting the generation that could not be produced
due to full Resource unavailability.
(𝑀𝑀𝑀𝑀−𝑅𝑅𝑅𝑅𝑅𝑅)
𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 = = 1 − 𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 (84)
𝑀𝑀𝑀𝑀
9.3.3.4 Unit outages
9.3.3.4.1 Planned outage generation factor
System (POGFS) The fraction of Maximum generation a Unit could not produce due to Planned outages.
𝑃𝑃𝑃𝑃𝐺𝐺𝐺𝐺𝑆𝑆 = (85)
𝑀𝑀𝑀𝑀
Unit (POGFU) The fraction of Expected generation a Unit could not produce due to Planned outages.
𝑃𝑃𝑃𝑃𝑃𝑃𝐹𝐹𝑈𝑈 = (86)
𝐸𝐸𝐸𝐸
60
9.3.3.4.2 Unplanned outage generation factor
9.3.3.4.2.1 General
System (UOGFS) The fraction of Maximum generation a Unit could not produce due to Unplanned outages.
𝑈𝑈𝑈𝑈𝐺𝐺𝐺𝐺𝑆𝑆 = (87)
𝑀𝑀𝑀𝑀
Unit (UOGFU) The fraction of Expected generation a Unit could not produce due to Unplanned outages.
𝑈𝑈𝑈𝑈𝑈𝑈𝐹𝐹𝑈𝑈 = (88)
𝐸𝐸𝐸𝐸
9.3.3.4.2.2 Maintenance outage generation factor
System (MOGFS) The fraction of Maximum generation a Unit could not produce due to Maintenance
outages.
𝑀𝑀𝑀𝑀𝑀𝑀𝐹𝐹𝑆𝑆 =
𝑀𝑀𝑀𝑀
(89)
Unit (MOGFU) The fraction of Expected generation a Unit could not produce due to Maintenance outages.
𝑀𝑀𝑀𝑀𝐺𝐺𝐺𝐺𝑈𝑈 = (90)
𝐸𝐸𝐺𝐺
9.3.3.4.2.3 Forced outage generation factor
System (FOGFS) The fraction of Maximum generation a Unit could not produce due to Forced outages or
resource unavailability (system version).
𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑆𝑆 = (91)
𝑀𝑀𝑀𝑀
Unit (FOGFU) The fraction of Expected generation a Unit could not produce due to Forced outages.
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑈𝑈 = (92)
𝐸𝐸𝐸𝐸
9.3.3.5 Unplanned unavailability generation factor (UUGF)
The fraction of Maximum generation a Unit could not produce due to Unplanned outages or full Resource
unavailability.
𝐹𝐹𝐹𝐹𝐹𝐹+𝑀𝑀𝑀𝑀𝑀𝑀+𝑅𝑅𝑅𝑅𝑅𝑅
𝑈𝑈𝑈𝑈𝑈𝑈𝑈𝑈 = (93)
𝑀𝑀𝑀𝑀
9.3.3.6 Forced equipment outage generation factor (FEOGF)
The fraction of Maximum generation a Unit could not produce due to Forced outages.
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 = (94)
𝑀𝑀𝑀𝑀
61
9.4 Equivalent availability factors, time-based
9.4.1 General
Time ratios having Active hours (ACTH) as the denominator and considering equivalent Derated hours.
9.4.2 Equivalent availability
9.4.2.1 Equivalent availability factor
Conventional-system (EAFCS) The fraction of Active hours in which a Unit was available without any Unit
outages, Seasonal or Unit deratings, or full or partial Resource unavailability.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴− (𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸)

𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 = (95)
Conventional-unit (EAFCU) The fraction of Active hours in which a Unit was available without any Unit
outages, or Seasonal or Unit deratings.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸)

𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 = (96)
NOTE—The sum of EUF and EAF is not equal to 1.0. The sum of EUF and EAFXS, (see 9.4.2.2) is equal to
1.0.
VER-system (EAFVS) The fraction of Active hours in which a Unit was available without any Unit outages,
Unit deratings, or full or partial Resource unavailability.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉 )

𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑆𝑆 = (97)
VER-unit (EAFVU) The fraction of Active hours in which a Unit was available without any Unit outages or
Unit deratings.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 )

𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = (98)
9.4.2.2 Equivalent availability factor excluding seasonal deratings
Conventional-system (EAFXSS) The fraction of Active hours in which a Unit was available without any Unit
outages, Unit deratings, or full or partial Resource unavailability (system version only), but ignoring Seasonal
deratings.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴− (𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 )

𝐸𝐸𝐸𝐸𝐸𝐸𝑋𝑋𝑋𝑋𝑋𝑋 = (99)
Conventional-unit (EAFXSU)
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 )

𝐸𝐸𝐸𝐸𝐸𝐸𝑋𝑋𝑋𝑋𝑋𝑋 = (100)
VER Not applicable.
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9.4.3 Equivalent unavailability
9.4.3.1 Equivalent unavailability factor
System (EUFS) The fraction of Active hours in which a Unit was not available due to Unit outages, Unit
deratings, or full or partial Resource unavailability.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+𝐸𝐸𝐸𝐸𝐷𝐷𝐷𝐷+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+ 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝑆𝑆 = (101)
Unit (EUFU) The fraction of Active hours in which a Unit was not available due to Unit outages or Unit
deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝑈𝑈 = (102)
9.4.3.2 Equivalent resource unavailability factor (ERUF)
The fraction of Active hours in which a Unit was not available due to full or Partial resource unavailability.
𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = (103)
9.4.3.3 Equivalent resource availability factor (ERAF)
The fraction of Active hours in which the Energy resource was available for generation.
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴−(𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 (104)
9.4.3.4 Equivalent outages
9.4.3.4.1 Equivalent planned outage factor (EPOF)
The fraction of Active hours in which a Unit was not available due to Planned outages and Planned deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
9.4.3.4.2 Equivalent unplanned unavailability
9.4.3.4.2.1 Equivalent unplanned unavailability factor
System (EUUFS) The fraction of Active hours in which a Unit was not available due to Unplanned outages,
Unplanned deratings, and full or partial Resource unavailability.
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+𝑀𝑀𝑀𝑀𝑀𝑀+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 +𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑆𝑆 = (106)
Unit (EUUFU) The fraction of Active hours in which a Unit was not available due to Unplanned outages and
Unplanned deratings.
63
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+𝑀𝑀𝑀𝑀𝑀𝑀+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑈𝑈 = (107)
9.4.3.4.2.2 Equivalent maintenance outage factor (EMOF)
The fraction of Active hours in which a Unit was not available due to Maintenance outages and Maintenance
deratings.
𝑀𝑀𝑀𝑀𝑀𝑀+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
9.4.3.4.2.3 Equivalent forced outage factor
System (EFOFS) The fraction of Active hours in which a Unit was not available due to Forced outages and
Forced deratings and to full and Partial resource unavailability.
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐹𝐹𝐹𝐹𝐹𝐹 +𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑆𝑆 = (109)
Unit (EFOFU) The fraction of Active hours in which a Unit was not available due to Forced outages and
Forced deratings.
𝐹𝐹𝐹𝐹𝐹𝐹+ 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
9.5 Equivalent availability factors, generation-based
9.5.1 General
Generation ratios having Maximum generation (MG) or Expected generation (EG) (for VER units only) as
the denominator and considering Derated generation.
9.5.2 Equivalent availability generation factor
System (EAGFS) The fraction of Maximum generation remaining after subtracting the generation that could
not be produced due to Unit outages, Unit deratings, or partial Resource unavailability.
𝑃𝑃𝑃𝑃𝐺𝐺+𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑆𝑆 = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑆𝑆 = 1 − (111)
𝑀𝑀𝑀𝑀
Unit (EAGFU) The fraction of Expected generation remaining after subtracting the generation that could not
be produced due to Unit outages or Unit deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑈𝑈 = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑈𝑈 = 1 − (112)
𝐸𝐸𝐸𝐸
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9.5.3 Equivalent unavailability generation factor
9.5.3.1 General
System (EUGFS) The fraction of Maximum generation a Unit could not produce due to Unit outages, Unit
𝑃𝑃𝑃𝑃𝑃𝑃+𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑆𝑆 = (113)
𝑀𝑀𝑀𝑀
Unit (EUGFU) The fraction of Expected generation a Unit could not produce due to Unit outages or Unit
deratings.
𝐸𝐸𝐸𝐸
9.5.3.2 Equivalent resource unavailability generation factor (ERUGF)
The fraction of Maximum generation a Unit could not produce due to full or partial Resource unavailability.
𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = = �1 − � (115)
9.5.3.3 Equivalent resource availability generation factor (ERAGF)
The fraction of Maximum generation remaining after subtracting the generation that could not be produced
due to full or partial Resource unavailability or, equivalently, Expected generation as a fraction of Maximum
generation.
𝑀𝑀𝑀𝑀−𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 (116)
𝑀𝑀𝑀𝑀
Equivalently:
𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = (117)
𝑀𝑀𝑀𝑀
9.5.3.4 Equivalent outage generation factor
9.5.3.4.1 Equivalent planned outage generation factor
System (EPOGFS) The fraction of Maximum generation that could not be produced due to Planned outages
and Planned deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑃𝑃𝑃𝑃𝑃𝑃
𝐸𝐸𝐸𝐸𝐸𝐸𝐺𝐺𝐺𝐺𝑆𝑆 = (118)
𝑀𝑀𝑀𝑀
Unit (EPOGFU) The fraction of Expected generation a that could not be produced due to Planned outages
and Planned deratings.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑈𝑈 = (119)
𝐸𝐸𝐸𝐸
65
9.5.3.4.2 Equivalent unplanned unavailability generation factor
9.5.3.4.2.1 General
System (EUUGFS) The fraction of Maximum generation that could not be produced due to Unplanned
outages, Unplanned deratings, and full and partial Resource unavailability.
(𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀 +𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑆𝑆 = (120)
𝑀𝑀𝑀𝑀
Unit (EUUGFU) The fraction of Expected generation that could not be produced due to Unplanned outages
and Unplanned deratings.
𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑈𝑈 = (121)
𝐸𝐸𝐸𝐸
9.5.3.4.2.2 Equivalent maintenance outage generation factor
System (EMOGFS) The fraction of Maximum generation that could not be produced due to Maintenance
outages and Maintenance deratings.
𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀
𝑀𝑀𝑀𝑀
Unit (EMOGFU) The fraction of Expected generation that could not be produced due to Maintenance outages
and Maintenance deratings.
𝐸𝐸𝐸𝐸
9.5.3.4.2.3 Equivalent forced outage generation factor
System (EFOGFS) The fraction of Maximum generation that could not be produced due to Forced outages,
Forced deratings, and full and partial Resource unavailability.
𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝑀𝑀𝑀𝑀
Unit (EFOGFU) The fraction of Expected generation that could not be produced due to Forced outages and
Forced deratings.
𝐹𝐹𝐹𝐹𝐹𝐹+ 𝐹𝐹𝐹𝐹𝐹𝐹
𝐸𝐸𝐸𝐸
9.5.3.4.2.4 Equivalent forced equipment outage generation factor
System (EFEOGFS) The fraction of Maximum generation that could not be produced due to Forced outages
and Forced deratings.
𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑆𝑆 = (126)
𝑀𝑀𝑀𝑀
Unit (EFEOGFU) The fraction of Expected generation that could not be produced due to Forced outages and
Forced deratings.
(Same as EFOGFU.)
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9.6 Rates and equivalent rates, time-based
9.6.1 General
A time-based rate represents the proportion of time a Unit was in a particular state given the time the Unit
was expected to be available. An equivalent rate is calculated as the average proportion of a Unit’s capacity
that was in that state, considering equivalent Derated hours.
A time ratio rate is commonly used as an estimate of the probability a Unit is in that state for future system
reliability assessment.
9.6.2 Forced outage rate
The proportion of time that a Unit was not available due to Forced outages or full Resource unavailability
(system version only) during Service hours, Forced outage hours, and full Resource unavailable hours (except
conventional-unit version).
NOTE 1—This and similar rates are equivalent to the average proportion of the Unit’s capacity that was not available,
where the proportion is 0.0 when the Unit was available and 1.0 when it was not available, that is, fully unavailable.
NOTE 2—For Units regularly operating in a non-generating mode, including pumped storage and battery storage Units,
such operation may have exposure to Forced outages comparable to operation in a generating mode. As such, SHNG is
counted as exposure only in Forced outage rate total, generating or other functions (FORT).
Conventional-system (FORCS)
𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶𝐶𝐶 = (127)
𝑆𝑆𝑆𝑆 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
NOTE—When RUH = 0, this and other indexes become the same as the indexes in previous versions of IEEE Std 762,
for example:
𝐹𝐹𝐹𝐹𝐹𝐹 = (128)
𝑆𝑆𝑆𝑆 +𝐹𝐹𝐹𝐹𝐹𝐹
Conventional-unit (FORCU)
𝐹𝐹𝐹𝐹𝐹𝐹𝐶𝐶𝐶𝐶 = (129)
𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹
VER-system (FORVS)
𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = (130)
𝑆𝑆𝑆𝑆 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
VER-unit (FORVU)
𝐹𝐹𝐹𝐹𝑅𝑅𝑉𝑉𝑉𝑉 = (131)
𝑆𝑆𝑆𝑆−𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
NOTE—In this and several other VER indexes, EPRRH is excluded from the denominator similarly to the exclusion of
RSH.
67
9.6.3 Forced outage rate total
The proportion of time that a Unit was not available due to Forced outages or full Resource unavailability
(system version only) during Service hours, Forced outage hours, and full Resource unavailable hours (except
conventional-unit version).
NOTE—The indexes in this subclause are the same as those in 9.6.2, except that SH is replaced by SHC.
Conventional-system (FORTCS)
𝐹𝐹𝐹𝐹𝐹𝐹𝑇𝑇𝑇𝑇𝑇𝑇 = (132)
𝑆𝑆𝑆𝑆𝑆𝑆 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
Conventional - Unit (FORTCU)
𝑆𝑆𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹
VER-system (FORTVS)
𝑆𝑆𝑆𝑆𝑆𝑆 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
VER-unit (FORTVU)
𝑆𝑆𝑆𝑆𝑆𝑆−𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
9.6.4 Equivalent forced outage rate
The average proportion of a Unit’s capacity that was not available due to Forced outages, Forced deratings,
or full or partial Resource unavailability (system version only) during Service hours, Forced outage hours,
and full Resource unavailable hours (except conventional-unit version).
Conventional-system (EFORCS)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝑅𝑅𝑈𝑈𝐻𝐻+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 = (136)
𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝑅𝑅𝑅𝑅𝑅𝑅
Conventional-unit (EFORCU)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 = (137)
𝑆𝑆𝑆𝑆 +𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
VER-system (EFORVS)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = (138)
𝑆𝑆𝑆𝑆−𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+ 𝑅𝑅𝑅𝑅𝑅𝑅
VER-unit (EFORVU)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉
𝐸𝐸𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = (139)
𝑆𝑆𝑆𝑆−𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
68
9.6.5 Equivalent forced outage rate total
or full or partial Resource unavailability (system version only) during Service hours, Forced outage hours,
and full Resource unavailable hours (except conventional-unit version).
Conventional-system (EFORTCS)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑇𝑇𝑇𝑇𝑇𝑇 = (140)
𝑆𝑆𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝑅𝑅𝑅𝑅𝑅𝑅
Conventional-unit (EFORTCU)
𝑆𝑆𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
VER-system (EFORTVS)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉
𝑆𝑆𝑆𝑆𝑆𝑆−𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+ 𝑅𝑅𝑅𝑅𝑅𝑅
VER-unit (EFORTVU)
𝑆𝑆𝑆𝑆𝑆𝑆−𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
9.7 Rates and equivalent rates, generation-based
9.7.1 General
A generation-based rate represents the proportion of the generation capability of a Unit during the time the
Unit was in a particular state given the time the Unit was expected to be available. An equivalent rate is
calculated considering generation capability lost to Deratings.
A generation ratio rate is commonly used as an estimate of the probability a Unit is in that state for future
system reliability assessment.
9.7.2 Forced outage generation rate
The average proportion of a Unit’s Maximum generation (system version) or Expected generation (unit
version) that was not available due to Forced outages or full Resource unavailability (system version only)
during Service hours, Forced outage hours, and full Resource unavailability hours (system version only).
NOTE—This is equivalent to the average proportion of the Unit’s capacity that was not available, where the proportion
is 0.0 when the Unit was fully available and 1.0 when it was fully unavailable.
System (FOGRS)
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑆𝑆 = (144)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
69
Unit (FOGRU)
𝐹𝐹𝑂𝑂𝐺𝐺𝐺𝐺𝑈𝑈 = (145)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐹𝐹𝐹𝐹𝐹𝐹
NOTE—In this and several other VER rates, PRRG is excluded from the denominator similarly to the exclusion of RSG
in rates for both conventional and VER units.
9.7.3 Forced outage generation rate total
version) that was not available due to Forced outages or full Resource unavailability (system version only)
during Service hours connected (both generating and non-generating), Forced outage hours, and Resource
unavailable hours (system version only).
System (FOGRTS)
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑇𝑇𝑇𝑇 = (146)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝑀𝑀𝐺𝐺𝑁𝑁 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
Unit (FOGRTU)
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑇𝑇𝑇𝑇 = (147)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐸𝐸𝐺𝐺𝑁𝑁 +𝐹𝐹𝐹𝐹𝐹𝐹
9.7.4 Equivalent forced outage generation rate
version) that was not available due to Forced outages, Forced deratings, or full or partial Resource unavailable
(system version only) during Service hours, Forced outage hours, and full Resource unavailability hours
(system version only).
System (EFOGRS)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑆𝑆 = (148)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
Unit (EFOGRU)
9.7.5 Equivalent forced outage generation rate total
version) that was not available due to Forced outages, Forced deratings, and full or partial Resource
unavailability (system version only) during Service hours connected (both generating and non-generating),
Forced outage hours, and Resource unavailable hours (system version only).
System (EFOGRTS)
𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑅𝑅𝑅𝑅𝑅𝑅
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑇𝑇𝑇𝑇 = (150)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐸𝐸𝐺𝐺𝑁𝑁 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
70
Unit (EFOGRTU)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑇𝑇𝑇𝑇 = (151)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐸𝐸𝐺𝐺𝑁𝑁 +𝐹𝐹𝐹𝐹𝐹𝐹
9.8 Restricted factors and rates
9.8.1 General
Factors and rates based on restricted sets of hours.
9.8.2 Demand forced outage rate
The proportion of time a generating Unit was not available due to Forced outages and full Resource
unavailability (system version only) when there was Demand (see 3.10) on the Unit to generate.
NOTE 1—This is commonly used as a measure of the probability that a Unit will not be available due to Forced outages
when there is Demand on the Unit to generate.
NOTE 2—When FOHd is determined directly from recorded periods of demand, Resource unavailable hours (RUH) in
the above equation should include only those meeting the specified Demand conditions. Service hours SH are implicitly
hours of Demand but Service hours non-generating SHNG are not.
NOTE 3—This is equivalent to the average proportion of the Unit’s capacity that was not available, where the proportion
is 0.0 when the Unit was available and 1.0 when it was not available, that is, fully unavailable.
NOTE 4—A similar index, UFOP, is used in Canada (Annex K).
Conventional-system (FORdS )
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 = (152)
𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑
Conventional-unit (FORdU)
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 = (153)
𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑
VER Not applicable.
9.8.3 Equivalent demand forced outage rate
and full and partial Resource unavailability (system version only) when there was Demand on the Unit to
generate.
NOTE 1—When EFDHd is determined directly from recorded periods of demand as noted in 8.5.2.2.3, Service hours
(SH) are implicitly hours of Demand.
NOTE 2—See Annex H for limiting conditions for use of EFORd and Annex J for an illustration of the impact of duty
cycle on EFORd.
NOTE 3—ERSFDHd is zero, because periods of demand and period of Reserve shutdown are mutually exclusive.
71
Conventional-system (EFORdS)
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 +𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = (154)
𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑
Conventional-unit (EFORdU)
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = (155)
VER Not applicable.
9.8.4 Equivalent critical period availability factor (EAFK)
The average proportion of a Unit’s capacity that was available in a specified Critical period.
𝐴𝐴𝐴𝐴𝐾𝐾
𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾 = (156)
𝑀𝑀𝑀𝑀𝐾𝐾
9.8.5 Equivalent critical period unavailability factor (EUFK)
The average proportion of a generating Unit’s capacity that was not available in a specified critical period
due to any cause (Unit outages, Unit deratings, or Resource unavailability).
𝑈𝑈𝑈𝑈𝑈𝑈𝐾𝐾 = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾 (157)
9.8.6 Equivalent critical period forced outage rate
or full or partial Resource unavailability during Service hours, Forced outage hours, and full Resource
unavailable hours (system version only) that occurred during a specified Critical period.
NOTE—A recorded period of demand and the Critical period are both sets of hours in which the system needs or
potentially needs generation, and may potentially, but not completely, overlap. No meaningful generalization can be
made about the results of attempting to combine the two in any way, except that using the f and/or fp factors for
approximating the effect of restricting an index to the demand period as described in Annex G together with the Critical
period may result in approximately double-counting that effect and obtaining useless results.
Conventional-system (EFORKCS)
𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾 +𝑅𝑅𝑅𝑅𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾𝐾𝐾𝐾𝐾 = (158)
𝑆𝑆𝐻𝐻𝐾𝐾 +𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾 + 𝑅𝑅𝑅𝑅𝐻𝐻𝐾𝐾
where FOHK is the Forced outage hours occurring during the Critical period, etc.
Conventional-unit (EFORKCU)
𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾
𝑆𝑆𝐻𝐻𝐾𝐾 +𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾
VER-system (EFORKVS)
𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾𝐾𝐾 +𝑅𝑅𝑅𝑅𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾

𝑆𝑆𝐻𝐻𝐾𝐾 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾𝐾𝐾 +𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 + 𝑅𝑅𝑅𝑅𝐻𝐻𝐾𝐾
72
VER-unit (EFORKVU)
𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾𝐾𝐾
𝐸𝐸𝐹𝐹𝐹𝐹𝐹𝐹𝐾𝐾𝐾𝐾𝐾𝐾 = (161)
𝑆𝑆𝐻𝐻𝐾𝐾 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐾𝐾𝐾𝐾𝐾𝐾 +𝐹𝐹𝐹𝐹𝐻𝐻𝐾𝐾 +𝑅𝑅𝑅𝑅𝐻𝐻𝐾𝐾
9.8.7 Equivalent critical period forced outage generation rate
The average proportion of a Unit’s Maximum generation that was not available due to Forced outages, Forced
deratings, or full or partial Resource unavailability during the Service hours, Forced outage hours, and full
Resource unavailable hours (system version only) that occurred during a specified critical period.
NOTE—The NOTE under 9.8.6 Equivalent critical period forced outage rate applies to this index as well.
System (EFOGRKS)
𝐹𝐹𝐹𝐹𝐺𝐺𝐾𝐾 +𝐹𝐹𝐹𝐹𝐺𝐺𝐾𝐾 +𝑇𝑇𝑇𝑇𝑇𝑇𝐺𝐺𝐾𝐾

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾𝐾𝐾 = (162)
𝐴𝐴𝐴𝐴𝐺𝐺𝐾𝐾 +𝐷𝐷𝐺𝐺𝐾𝐾 +𝐹𝐹𝐹𝐹𝐺𝐺𝐾𝐾 +𝑇𝑇𝑇𝑇𝑇𝑇𝐺𝐺𝐾𝐾
where FUGK is the Forced outage hours occurring during the Critical period, etc.
Unit (EFOGRKU)
𝐹𝐹𝐹𝐹𝐺𝐺𝐾𝐾 +𝐹𝐹𝐹𝐹𝐺𝐺𝐾𝐾
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾𝐾𝐾 = (163)
𝐴𝐴𝐴𝐴𝐺𝐺𝐾𝐾 +𝐷𝐷𝐺𝐺𝐾𝐾 +𝐹𝐹𝐹𝐹𝐺𝐺𝐾𝐾
9.9 Production factors
9.9.1 General
These indexes express Actual generation as a fraction of Maximum generation.
NOTE—Capacity factor considers generation during Active hours; Output factor considers generation only during
Service hours.
9.9.2 Gross capacity factor (GCF)
The Gross energy that was produced by a Unit in a given period as a fraction of the Gross maximum
generation (GMG) (7.1, 7.2).
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺 𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺
𝐺𝐺𝐺𝐺𝐺𝐺 = = (164)
𝐺𝐺𝐺𝐺𝐺𝐺 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝑥𝑥 𝐺𝐺𝐺𝐺𝐺𝐺
9.9.3 Net capacity factor (NCF)
The Net energy that was produced by a Unit in a given period as a fraction of the Net maximum generation
(NMG) (7.1, 7.2).
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁
𝑁𝑁𝑁𝑁𝑁𝑁 = = (165)
𝑁𝑁𝑁𝑁𝑁𝑁 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴×𝑁𝑁𝑁𝑁𝑁𝑁
NOTE—NCF calculated using this equation can be negative during a period when the Unit is shut down. For meaningful
pooling of data on several Units, NCF can be defined to be zero when the Unit is shut down.
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9.9.4 Total net capacity factor (NCFT)
VER The proportion of Gross generation that was delivered to the Net metering point.
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁
𝑁𝑁𝑁𝑁𝐹𝐹𝑇𝑇 = (166)
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺
9.9.5 Gross output factor (GOF)
The Gross energy that was produced by a Unit in a given period as a fraction of the Gross maximum
generation it could have produced during the Service hours within that period.
𝐺𝐺𝐴𝐴𝐴𝐴𝐴𝐴
𝐺𝐺𝐺𝐺𝐺𝐺 = (167)
𝑆𝑆𝑆𝑆×𝐺𝐺𝐺𝐺𝐺𝐺
9.9.6 Net output factor (NOF)
The Net energy that was produced by a Unit in a given period as a fraction of the Net maximum generation
it could have produced during the Service hours within that period.
𝑁𝑁𝑁𝑁𝐹𝐹 = (168)
𝑆𝑆𝑆𝑆×𝑁𝑁𝑁𝑁𝑁𝑁
9.9.7 Performance Index (PI)
VER The Gross energy that was produced by a Unit as a fraction of Expected generation for the period.
𝑃𝑃𝑃𝑃 = (169)
𝐸𝐸𝐸𝐸
9.10 Derating factors
9.10.1 General
The fraction of Maximum generation or Expected generation (VER-unit version only) that could not be
produced due to Unit deratings or partial Resource unavailability. Derating factors are expressed in terms of
equivalent hours as a fraction of Active hours for Conventional units.
9.10.2 Seasonal derating factor (SDF)
Conventional The fraction of Maximum generation that could not be produced due to Seasonal deratings.
𝑆𝑆𝑆𝑆𝑆𝑆 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝑆𝑆𝑆𝑆𝑆𝑆 = = (170)
𝑀𝑀𝑀𝑀 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴
VER Not applicable.
74
9.10.3 Unit derating factor
Conventional-system (UDFCS) The fraction of Maximum generation that could not be produced due to Unit
deratings and partial Resource unavailability.
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
𝑈𝑈𝑈𝑈𝑈𝑈𝐶𝐶𝐶𝐶 = (171)
Conventional-unit (UDFCU) The fraction of Maximum generation that could not be produced due to Unit
deratings.
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶

𝑈𝑈𝑈𝑈𝑈𝑈𝐶𝐶𝐶𝐶 = (172)
VER-system (UDFVS) The fraction of Maximum generation that could not be produced due to Unit deratings
and partial Resource unavailability.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝑈𝑈𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = (173)
𝑀𝑀𝑀𝑀
VER-unit (UDFVU) The fraction of Expected generation based on the resource available (EG) that could not
be produced due to Unit deratings.
𝑈𝑈𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = (174)
𝐸𝐸𝐸𝐸
9.11 Average time durations and occurrence rates
9.11.1 General
Average time durations are the hours in a state divided by the number of occurrences of the state. Occurrence
rates are the number of occurrences of a state per unit time. The intent of an occurrence rate is to estimate the
frequency at which a Unit enters a state for future system reliability assessment. An occurrence rate is the
reciprocal of an average time duration.
9.11.2 Mean service times and outage durations
9.11.2.1 General
The average service time from unit start-up to shut down upon the occurrence of an Unit outage or the end
of the Demand period. Only outages occurring from the In-service state are considered. The name for a mean
service time index could be “mean service time to in-service (forced, maintenance, planned) outage.”
However, for simplification, “in-service” is not included in the name.
Similar indexes can also be calculated for Unit outages that occur during a Reserve shutdown state.
Unit outage durations may be distinguished between Unit outages occurring from the In-service state and
other active states if desired.
75
9.11.2.2 Mean service time to planned outage (MSTPO)
𝑆𝑆𝑆𝑆
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 = (175)
where NPOI is the number of Planned outages occurring from the In-service state.
9.11.2.3 Mean service time to maintenance outage (MSTMO)
𝑆𝑆𝑆𝑆
where NMOI is the number of Maintenance outages occurring from the In-service state.
9.11.2.4 Mean service time to forced outage (MSTFO or m)
𝑆𝑆𝑆𝑆
where NFOI is the number of Forced outages occurring from the In-service state.
9.11.2.5 Average demand time (D)
Conventional Service hours divided by the number of Demand occurrences. If the number of Demand
occurrences is not available, the number of Attempted unit starts may be used as an approximation. This
assumes that all Attempted unit starts are from a Reserve shutdown state (due to increased demand) and none
are from a Planned or Unplanned outage state. If the number of Attempted unit starts is not available the
number of Actual unit starts may be used.
VER Not applicable.
9.11.2.6 Average reserve shutdown time (T)
Conventional Reserve shutdown hours divided by the number of reserve shutdowns. If the number of reserve
shutdowns is not available, the number of Attempted unit starts may be used as an approximation. This
assumes that all Attempted unit starts are from a Reserve shutdown state and none are from a Planned or
Unplanned outage state. If the number of Attempted unit starts is not available the number of Actual unit
starts may be used.
VER Not applicable.
9.11.2.7 Cycle time (T+D)
Conventional The average time for a cycle from the start of one Demand period to the next, excluding Forced
outages.
VER Not applicable.
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9.11.2.8 Average run time (ART)
Conventional
𝑆𝑆𝑆𝑆
𝐴𝐴𝐴𝐴𝐴𝐴 = (178)
𝑁𝑁𝑁𝑁
where NS is the number of Actual unit starts.
NOTE—Starts and Service hours may include those for pumping or synchronous condensing mode, if applicable.
VER Not applicable.
9.11.2.9 Mean planned outage duration (MPOD)
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 = (179)
𝑁𝑁𝑁𝑁𝑁𝑁
where NPO is the number of Planned outages.
9.11.2.10 Mean maintenance outage duration (MMOD)
where NMO is the number of Maintenance outages.
9.11.2.11 Mean forced outage duration (MFOD or r)
where NFO is the number of Forced outages.
9.11.3 Occurrence rates
9.11.3.1 Rate of departure from the in-service state (1/D)
Conventional The number of Demand occurrences divided by Service hours.
VER Not applicable.
9.11.3.2 Rate of recall from reserve shutdown (1/T)
Conventional The number of reserve shutdowns divided by Reserve shutdown hours.
VER Not applicable.
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9.11.3.3 Unit failure rate (1/m)
1
𝑈𝑈𝑈𝑈𝑈𝑈𝑈𝑈 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 = (182)
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀
9.11.3.4 Repair rate (1/r)
The number of Forced outages divided by Forced outage hours.
9.11.3.5 Cycling rate (CR)
Conventional
1 𝑁𝑁𝑁𝑁
𝐶𝐶𝐶𝐶 = = (183)
𝐴𝐴𝐴𝐴𝐴𝐴 𝑆𝑆𝑆𝑆
NOTE—This is different from the Rate of departure from the In-service state 1/D, defined at 9.11.3.1, to the extent that
the number of starts is unequal to the number of Demand occurrences.
VER Not applicable.
9.12 Probabilities: Proportion of attempts successful or unsuccessful
9.12.1 General
These are used as measures of the probability that an Attempted unit start will be successful or fail.
9.12.2 Starting reliability (SR)
The proportion of Attempted unit starts that was successful.
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠

𝑆𝑆𝑆𝑆 = (184)
𝑁𝑁𝑁𝑁𝑁𝑁𝑏𝑏𝑒𝑒𝑒𝑒 𝑜𝑜𝑜𝑜 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠
9.12.3 Probability of starting failure (PS)
The proportion of Attempted unit starts that failed.
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓

𝑃𝑃𝑠𝑠 = (185)
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑎𝑎𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠
NOTE—SR + PS = 1.0.
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10. Group performance indexes
10.1 Overview
Clause 9 addressed performance indexes at the individual Unit level. Typically, the historical individual
performance indexes are used to estimate future performance for various purposes, including (a) reliability
modeling in system planning, and (b) assigning a market product value in capacity markets. For example, in
a large power pool EFORd based on five-years history is used to model generating Units in the reliability
model to calculate system Loss of load expectation and generation reserve requirements. In the same power
pool EFORd based on the most recent one-year history is used to determine “Unforced capacity (UCAP)
value” for use in payments in capacity market. UCAP = Installed capacity * (1 – EFORd).
However, pooling of outage data of a Group of Units (homogenous or heterogenous) is also common in the
industry to determine Group performance indexes. Pooling can be Weighted or unweighted. A Group
typically includes multiple Units at different locations. When multiple identical VER units at a single location
are aggregated, the aggregate is the Unit and the individual generators are called Sub-units (see 3.22). There
are different purposes of pooling outage data and different methods used. Any of the performance indexes
defined in Clause 9 may be grouped using one of the pooling methods. When pooling is Weighted, the
weights may be Gross or Net capacity, Expected energy (especially for VER unit groups), or some other
value.
10.2 Purposes of pooling outage data
Below are typical purposes of Group performance indexes based on pooling outage data [B4]:
a) Homogenous population: To estimate unit performance based on performance indexes applicable to

a homogeneous population of “similar” Units. The Group performance indexes may be used:
1) To provide a basis for writing reliability/availability standards for Units
2) To predict future performance of a Unit considering the homogenous population performance
3) To use in computer-based models (e.g., reliability models, production costing models, and
generation scheduling models) to model future similar Units that have no performance history.
b) Heterogenous population: To estimate system performance directly: The Group in this case is an
electrical utility system or power pool which consists of a Group of Units that in general have
different characteristics (heterogeneous). System performance indexes may be used:
1) To monitor system performance in order to track, say, yearly trends
2) To compare a certain system's performance with standards, e.g., national averages
3) To provide a reference for contractual capacity payments. For example, a large power pool uses
pool-wide capacity weighted average EFORd in the capacity market as a system reference value.
(See Annex H for a discussion of alternative pooling methodologies for EFORd.)
79
10.3 Performance index grouping categories
The Group performance indexes in this clause fall into the same eight groups as do individual performance
indexes in Clause 9:
 Availability factors
 Equivalent availability factors
 Rates and equivalent rates
 Restricted factors and rates
 Production factors
 Derating factors
 Average time durations and occurrence rates
 Probabilities
The usage of “Equivalent,” “Resource,” and “Demand” to modify a basic index is the same as described in
Clause 9 for indexes for individual Units.
10.4 Weighting performance data
In determining the performance indexes of a Group of Units of dissimilar type and size or service history
(heterogenous population), weighting is believed to better reflect the contribution of each Unit to the Group’s
composite indexes. Without weighting, smaller Units will have the same impact on Group performance
indexes as larger Units, and those in service for a brief period will have the same impact on those in service
throughout the period analyzed. However, there are also valid applications for using unweighted performance
indexes.
To calculate a Weighted performance index, one does not simply take each Unit’s performance index (EFOR,
for example) and multiply that index by the weight, add these products up, and divide by the sum of the
weights. Each term in the equation must be multiplied by the weight, and then all those products must be
summed over all the Units before the rest of the calculation is performed.
Generating unit capacity (5.2) is a common weight used in pooling performance indexes for Conventional
units. However, other weights are appropriate in some cases, particularly weights which consider the service
period of the Unit as well as its size. If the value used for weighting changes within the period being reported,
the numerator and denominator terms for each Unit become a summation of hours or MWh over sub-periods,
weighted by the weight during that sub-period. For instance, if Dependable capacity (5.2.5) is used as the
weighting, it may be reduced during Seasonal derating periods, which are not necessarily the same for all
Units studied. Expected generation (7.5) is commonly used for weighting in case of VER units.
Recommending appropriate weights to be used for different applications is not in the scope of this standard.
Explicit weighting by capacity or other variable is not necessary for production factors or generation-based
factors, because these factors are inherently energy-weighted. Weighting is also not necessary for average
time durations, occurrence rates, and probabilities categories as these are averages over events, not Units.
80
10.5 Equations for selected performance indexes
Selected indexes are shown below as examples and the equations include a weighting factor ‘w’. An
unweighted group index is determined by simply setting the weighting factor equal to 1.0 in the Group index
equation.
10.5.1 Conventional generation
10.5.1.1 Availability factors category
Group unavailability factor, system (GUFCS, see 9.2.3)
∑𝑛𝑛
𝑖𝑖=1 (𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
𝐺𝐺𝑈𝑈𝐹𝐹𝐶𝐶𝐶𝐶 = ∑𝑛𝑛
(186)
𝑖𝑖=1(𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝑖𝑖 × 𝑤𝑤𝑖𝑖 )
10.5.1.2 Equivalent availability factors category
Group equivalent availability factor, unit (GEAFCU , see 9.4.2)
∑𝑛𝑛
𝑖𝑖=1{𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝑖𝑖 −(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑖𝑖 )}× 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝐶𝐶𝐶𝐶 = ∑𝑛𝑛
(187)
Group equivalent unavailability factor, system (𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐶𝐶𝐶𝐶 , see 9.4.3.1)
∑𝑛𝑛
𝑖𝑖=1(𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 +𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 )× 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝐶𝐶𝐶𝐶 = ∑𝑛𝑛
(188)
10.5.1.3 Rates and equivalent rates category
Group forced outage rate, unit (GFORCU, see 9.6.2)
∑𝑛𝑛
𝑖𝑖=1 𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 × 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝐶𝐶𝐶𝐶 = ∑𝑛𝑛 (189)
𝑖𝑖=1(𝑆𝑆𝑆𝑆𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
Group equivalent forced outage rate, system (GEFORCS, see 9.6.4)
∑𝑛𝑛
𝑖𝑖=1 (𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 ) × 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝐶𝐶𝐶𝐶 = ∑𝑛𝑛
(190)
𝑖𝑖=1(𝑆𝑆𝑆𝑆𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
Group equivalent forced outage rate, unit (GEFORCU, see 9.6.4)
∑𝑛𝑛
𝑖𝑖=1 (𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 ) × 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝐶𝐶𝐶𝐶 = ∑𝑛𝑛 (𝑆𝑆𝑆𝑆
(191)
𝑖𝑖=1 𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 ) × 𝑤𝑤𝑖𝑖
10.5.1.4 Restricted factors and rates
Group equivalent demand forced outage rate, system (GEFORdCS, see 9.8.3)
∑𝑛𝑛
𝑖𝑖=1(𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑𝑑𝑑 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑𝑑𝑑 ) × 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑑𝑑𝑑𝑑𝑑𝑑 = ∑𝑛𝑛
(192)
𝑖𝑖=1�𝑆𝑆𝑆𝑆𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑𝑑𝑑 𝑖𝑖 � × 𝑤𝑤𝑖𝑖
81
10.5.1.5 Production factors category
Weighting is not required.
Group gross capacity factor (GGCF, see 9.9.2)
∑𝑛𝑛
𝑖𝑖=1 𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺 = ∑𝑛𝑛
(193)
𝑖𝑖=1 𝐺𝐺𝐺𝐺𝐺𝐺𝑖𝑖
10.5.1.6 Derating factors category
Group seasonal derating factor (GSDF, see 9.10.2)
∑𝑛𝑛
𝑖𝑖=1 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑖𝑖
(194)
𝑖𝑖=1 𝐴𝐴𝐴𝐴𝐴𝐴𝐻𝐻𝑖𝑖
10.5.1.7 Average time durations and occurrence rates category
Group mean service time to forced outage (GMSTFO, see 9.11.2.4)
∑𝑛𝑛 𝑆𝑆𝑆𝑆𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺 = ∑𝑛𝑛𝑖𝑖=1 (195)
𝑖𝑖=1 𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑖𝑖
10.5.1.8 Probabilities category
Group probability of starting failure (GP, see 9.12.3)
∑𝑛𝑛
𝑖𝑖=1(𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓) 𝑖𝑖
𝐺𝐺𝐺𝐺𝑠𝑠 = ∑𝑛𝑛
(196)
𝑖𝑖=1(𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠)𝑖𝑖
10.5.2 VER, Time-based
Group unavailability factor, system (GUFVS, see 9.2.3.1)
(same as Conventional)
∑𝑛𝑛
𝑖𝑖=1 (𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝑉𝑉𝑉𝑉 = ∑𝑛𝑛
(197)
Group equivalent availability factor, unit (GEAFVU, see 9.4.2)
82
∑𝑛𝑛
𝑖𝑖=1{𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝑖𝑖 −(𝑃𝑃𝑃𝑃𝐻𝐻𝑖𝑖 +𝑀𝑀𝑀𝑀𝐻𝐻𝑖𝑖 +𝐹𝐹𝐹𝐹𝐻𝐻𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 )}× 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 = ∑𝑛𝑛
(198)
Group equivalent unavailability factor, system (GEUFVS, see 9.4.3.1)
(same as Conventional)
∑𝑛𝑛
𝑖𝑖=1(𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 +𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑖𝑖𝑖𝑖𝑖𝑖 )× 𝑤𝑤𝑖𝑖
(199)
Group forced outage rate, unit (GFORVU, see 9.6.2)
∑𝑛𝑛
𝑖𝑖=1 𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 × 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑉𝑉𝑉𝑉 = ∑𝑛𝑛 (200)
𝑖𝑖=1(𝑆𝑆𝑆𝑆𝑖𝑖 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
Group equivalent forced outage rate, system (GEFORVS, see 9.6.4)
∑𝑛𝑛
𝑖𝑖=1 (𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 )× 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑉𝑉𝑉𝑉 = ∑𝑛𝑛
(201)
𝑖𝑖=1(𝑆𝑆𝑆𝑆𝑖𝑖 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
Group equivalent forced outage rate, unit (GEFORVU, see 9.6.4)
∑𝑛𝑛
𝑖𝑖=1 (𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 )× 𝑤𝑤𝑖𝑖
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑉𝑉𝑉𝑉 = ∑𝑛𝑛 (𝑆𝑆𝑆𝑆
(202)
𝑖𝑖=1 𝑖𝑖 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 ) × 𝑤𝑤𝑖𝑖
Group equivalent critical period availability factor (GEAFK, see 9.8.4)
∑𝑛𝑛
𝑖𝑖=1 𝐴𝐴𝐴𝐴𝐾𝐾𝐾𝐾
𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝐾𝐾 = ∑𝑛𝑛
(203)
𝑖𝑖=1 𝑀𝑀𝑀𝑀𝐾𝐾𝐾𝐾
Group performance index (GPI, see 9.9.7)
∑𝑛𝑛
𝐺𝐺𝐺𝐺𝐺𝐺 = ∑𝑛𝑛
(204)
𝑖𝑖=1 𝐸𝐸𝐸𝐸𝑖𝑖
Group unit derating factor, system (GUDFVS, see 9.10.3)
∑𝑛𝑛
𝑖𝑖=1 (𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 +𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐷𝐷𝐷𝐷𝑖𝑖 +𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑉𝑉𝑉𝑉 )
(205)
𝑖𝑖=1 𝑀𝑀𝑀𝑀𝑖𝑖
83
Not applicable.
10.5.3 VER, Generation-based
Group unavailability generation factor, system (GUGFVS, see 9.3.3.1)
∑𝑛𝑛
𝑖𝑖=1 (𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑖𝑖 )
(207)
𝑖𝑖=1𝑀𝑀𝑀𝑀𝑖𝑖
Group equivalent unavailability generation factor, system (GEUGFVS, see 9.5.3.1)
∑𝑛𝑛
𝑖𝑖=1(𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 +𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 + 𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑖𝑖 )
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 = ∑𝑛𝑛
(208)
𝑖𝑖=1𝑀𝑀𝑀𝑀𝑖𝑖
Group equivalent unavailability generation factor, unit (GEUGFVU, see 9.5.3.1)
∑𝑛𝑛
𝑖𝑖=1(𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 +𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 )
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 = ∑𝑛𝑛
(209)
𝑖𝑖=1𝐸𝐸𝐸𝐸𝑖𝑖
Group equivalent availability generation factor, system (GEAGFVS), and unit (GEAGFVU), see 9.5.2)
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 = 1 − 𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 (210)
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 = 1 − 𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝑉𝑉𝑉𝑉 (211)
Group equivalent forced outage generation rate, system (GEFOGRVS, see 9.7.4)
∑𝑛𝑛
𝑖𝑖=1(𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑖𝑖 )
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑉𝑉𝑉𝑉 = ∑𝑛𝑛 (212)
𝑖𝑖=1(𝐴𝐴𝐴𝐴𝐴𝐴𝑖𝑖 +𝐷𝐷𝐷𝐷𝑖𝑖 +𝐹𝐹𝐹𝐹𝐹𝐹𝑖𝑖 +𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑖𝑖 )
84
Group equivalent critical period availability factor (GEAFK, see 9.8.4)
∑𝑛𝑛
𝑖𝑖=1 𝐴𝐴𝐴𝐴𝐾𝐾𝐾𝐾
𝐺𝐺𝐺𝐺𝐺𝐺𝐹𝐹𝐾𝐾 = ∑𝑛𝑛
(213)
𝑖𝑖=1 𝑀𝑀𝑀𝑀𝐾𝐾𝐾𝐾
Group net capacity factor (GNCF, see 9.9.3)
∑𝑛𝑛
𝑖𝑖=1 𝑁𝑁𝐴𝐴𝐴𝐴𝐴𝐴𝑖𝑖
(214)
𝑖𝑖=1 𝑁𝑁𝑁𝑁𝑁𝑁𝑖𝑖
Group Performance Index (GPI, see 9.9.7)
∑𝑛𝑛
𝐺𝐺𝐺𝐺𝐺𝐺 = ∑𝑛𝑛
(215)
𝑖𝑖=1 𝐸𝐸𝐸𝐸𝑖𝑖
Group unit derating factor, system (GUDFVS, see 9.10.3)
∑𝑛𝑛
𝑖𝑖=1 (𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 +𝑀𝑀𝑀𝑀𝑀𝑀𝑖𝑖 +𝐹𝐹𝐷𝐷𝐷𝐷𝑖𝑖 +𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑖𝑖 )
(216)
𝑖𝑖=1 𝑀𝑀𝑀𝑀𝑖𝑖
Same as time-based.
Not applicable.
85
Annex A
(informative)
Application of IEEE Std 762 to conventional generation
A.1 Overview
A.1.1 Purpose of IEEE Std 762
The purpose of IEEE Std 762 is to define terms and indexes for power plant performance and reliability.
These indexes are used for several purposes, including:
 Comparing the performance of individual Units or Groups of Units

 Derating the capacity of a Unit in determining its approximate contribution to the supply/demand
balance of a system
 Serving as input data for a model that calculates predictive system reliability indexes
 Comparing the performance of components or subsystems within a Unit
 Determining performance-based bonuses to plant owners or managers
Collection and reporting of data for the calculation of the types of indexes defined in this standard may occur
under rules established by a government agency, regional reliability organization, market operator, or
industry association, referred to generically as a mandating authority herein. When this is the case, the
mandating authority’s rules have precedence. An example of a mandating authority is the North American
Electric Reliability Corporation (NERC), which collects data in its Generation Availability Data System
(GADS) as specified in one or another Data Reporting Instruction (DRI) documents [B17], [B18].
A.1.2 Purpose of this annex
The purpose of this annex is to provide an introduction to the application of IEEE Std 762 to conventional
generating plants. These include fossil-fueled Units, nuclear plants, and other generators whose output does
not depend on a variable energy resource (VER).
The language in this annex is in many places less formal and less concise than in the main body of the
standard. If there is an inconsistency, the main body should prevail.
A.2 Normative references
The subclause headings and numbers of this application guide correspond to clause headings and numbers in
the main body. This subclause A.2 is merely a placeholder corresponding to Clause 2 of the main body, which
would list “documents that contain material that must be understood and used to implement the standard.” 10
But no such documents have been identified. Various documents that are helpful, although not essential, in
understanding and implementing the standard are listed in Annex N.
10
IEEE Standards Association, Standards Style Manual.
86
A.3 Definitions of general terms
Clause 3 of the main body provides formal definitions of general terms underlying the standard. Many of
these are introduced in the subclause of this application guide corresponding to the context in which they are
used. However, a few terms are introduced in this subclause.
Plant. A Plant is a collection of Units at a particular geographical location.
Unit. A Unit is defined as one or more generators, collectors or other devices converting another form of
energy to electrical energy. It is the fundamental level at which status, capacity, and energy are typically
reported.
Energy resource. The energy contained in flowing water and burnable or nuclear fuel. It also includes the
energy in wind, sunlight or geothermally heated water that can be converted into electrical energy.
Resource unavailability. This is unavailability that is normal to the technology employed and occurs
regularly (hour-to-hour, diurnally, or seasonally) for such resources as sunlight, wind, and water, as is the
case for VER units. It also applies to unavailability due to interruption of the Energy resource (or simply
“resource”) for a Conventional unit caused by inadequacy or diversion of the resource to other users by the
supplier, or transportation infrastructure disruption. It includes both full Resource unavailability, in which
the Unit is unable to generate because the energy resource is entirely absent, and partial resource
unavailability, in which the energy resource is above the threshold for operation but insufficient for operation
at full capacity.
Although the terms energy resource and energy resource unavailability were defined originally for VER
units, they are also applicable to Conventional units in some extreme instances, such as a severe winter storm
in which firm natural gas deliveries to a plant are curtailed. Indexes that account for Resource unavailability
are described in A.9.2.
System vs. unit. The standard includes both indexes for system planning, called “system” indexes, which
include output limitations owing to full or partial Resource unavailability, and indexes for equipment
performance, called “unit” indexes, which exclude any limitations owing to Resource unavailability. Both
consider equipment unavailability. The distinction recognizes the different needs of different users. System
planners need to account for all causes of unavailability in generation. Performance benchmarking of
equipment and plant operations—which can be in the context of such things as monitoring warranty
performance and equipment degradation, estimation of remaining useful life, and determination of
performance incentives—typically needs to exclude Resource unavailability, which is outside the control of
equipment manufacturers and plant personnel. Recognizing that some potential uses of unit indexes are
determination of monetary compensation to plant personnel and vendors, a concern underlying their design
is that they focus on controllable factors.
A.4 Unit states
At any moment, an active Unit or Sub-unit will be in one of the mutually exclusive states in Table A.1,
column a. An inactive Unit will be in the Inactive reserve, Mothballed, or Retired states. These states are
arranged in the hierarchy shown in Figure A.1. In some of these states, a Unit may also have one or more of
the potentially overlapping Capacity reduction states listed in Table A.1, column b, with an associated
capacity or energy reduction quantity.
Unavailability owing to full Resource unavailability is represented by “Resource unavailability.”

Unavailability owing to equipment outages can be planned, maintenance, or forced, depending on their timing
and urgency.
87
a) Planned. A Planned outage is one that is scheduled well in advance.
b) Unplanned. An Unplanned outage is one that is not a Planned outage. Unplanned outages are
classified according to the urgency with which the Unit outage needs to be initiated, as either a
Maintenance or Forced outage.
1) Maintenance. A Maintenance outage is one that can be deferred beyond the end of the next
weekend but must be taken before the next planned outage.
2) Forced. A Forced outage is one that cannot be deferred beyond the end of the next weekend.
In Figure A.1 and in the organization of the subclauses in the standard, “unavailability” is a general term that
includes both Resource unavailability and Unit outages, and Unit outages represents a subset of
unavailability. However, in industry practice in the context of system indexes, the term “Forced outage” may
include both equipment Forced outages and Resource unavailability. Therefore, this latter usage has been
retained in particular index names.
The mandating authority should specify how to record the time when full Resource unavailability and a Unit
outage occur simultaneously.
The time a Unit is on Planned or Maintenance outage may be either basic or extended. A Basic planned or
maintenance outage is the Unit outage as originally scheduled and with a predetermined duration. An
extended outage is the extension of the basic outage beyond its predetermined duration.
A Forced outage may be further identified by class.
 A Class 0 unplanned outage (starting failure) results from the unsuccessful attempt to place the Unit
in service.
 A Class 1 unplanned outage (immediate) requires immediate removal from the existing state.
 A Class 2 unplanned outage (delayed) does not require immediate removal from the In-service state,
but requires removal within six hours.
 A Class 3 unplanned outage (postponed) can be postponed beyond six hours, but requires that the
Unit be removed from the In-service state before the end of the next weekend.
Table A.1—Unit states
a. Mutually-exclusive states b. Capacity reduction states

In-service generating (S) Planned derating
In-service non-generating (N) Maintenance derating
Reserve shutdown (R) Forced derating
Planned outage (P) Partial reserve reduction
Maintenance outage (M) Partial resource unavailable
Forced outage (F)
Resource unavailable (U)
In order to ensure statistical continuity between older versions of the standard and this 2023 version, which
introduces system and unit indexes along with Resource unavailability, it is important to recognize how data
have been collected for many years (for Conventional units) and how they can be rearranged to create these
88
more focused indexes. Currently, data are collected with Resource unavailable and Partial resource
unavailable events documented in such a way that they can be separated completely from other events in the
data collection process to allow creation of all the 2023 index variants. The 2006 version introduced events
that are Outside management control and may be included or excluded in calculations to render different
index variants. The 2023 version is not redefining OMC events, nor suggesting how they should be treated;
however, under IEEE Std 762-2023, all lack of fuel events, which may or may not be OMC, can be segregated
from existing and future data and classified as Resource unavailable events.
For instance, IEEE Std 762-2006 has a set of variables that include both Resource unavailability and Unit
outages and are used to calculate EFOR as follows, where subscripts 2006 and 2023 are added to distinguish
terms under different versions of the standard, but subscript C denoting the conventional unit variant is
suppressed:
𝐹𝐹𝐹𝐹𝐻𝐻2006 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2006
𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅2006 = (A.1)
𝑆𝑆𝐻𝐻2006 +𝐹𝐹𝐹𝐹𝐻𝐻2006 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2006
where
FOH2006 is Forced outage hours
EFDH2006 is Equivalent forced outage hours
SH2006 is Service hours generating
ERSFDH2006 is Equivalent forced derated hours during reserve shutdown
To comply with IEEE Std 762-2023, lack of fuel events can simply be separated from other forced outage
events using the following substitutions:
𝐹𝐹𝐹𝐹𝐻𝐻2006 = 𝐹𝐹𝐹𝐹𝐻𝐻2023 + 𝑅𝑅𝑅𝑅𝐻𝐻2023 (A.2)
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2006 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2023 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2023 (A.3)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2006 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2023 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻2023 (A.4)
This yields the 2023 EFORCS formula:
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝐶𝐶𝐶𝐶 = (A.5)
𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
Hence, EFORCS, the new conventional-system version of EFOR, is equal to the 2006 version of EFOR. This
provides statistical continuity between older versions of the standard and the 2023 version. This also allows
prior data to be analyzed using the new variant indexes with the same statistical continuity. OMC events can
be further processed to create more refined system and unit indexes. That said, removing Resource
unavailable events from the conventional-unit variants might render the Demand factor inappropriate for use
in calculating unit EFORd; but it will preserve the system variant of EFORd and its continuity from version
to version of the standard.
A.5 Capacity terms
A.5.1 General
Capacity terms include:

 Various measures of full capability
 Available capacity
 Dependable capacity, system and unit
 Deratings and other reductions
89
Active Inactive
Inactive
Reserve

In-service
Non- Retired
generating
Basic
Planned Mainte-
Forced
Outage nance
Outage
Outage
Extended Basic Class 0 Class 1
Planned Maint. Unplanned Unplanned
Outage Outage Outage Outage
Extended Class 2 Class 3

Maint. Unplanned Unplanned
Outage Outage Outage
Figure A.1—Unit states
Maximum Capacity
Seasonal Derating = Maximum Capacity - Dependable Capacity
Dependable Capacity
Resource Unavailable Resource Unavailable
Basic Planned Derating

Planned Derating
Extended Planned Derating
Basic Maintenance (Class 4)

Unit Derating =
Dependable Capacity - Available Capacity
Extended Maintenance (Class 4)
Maintenance (Class 4) Unplanned Derating
Class 3 (Postponed)
Class 2 (Delayed)
Class 1 (Immediate)
Available Capacity
Figure A.2—Capacity terms, conventional
The relationships between some of the capacity terms are shown in Figure A.2.
There are three measures of full capability, all assuming that there is no Derating or limitation of any needed
resource, which have subtle differences between them:
90
 Installed. The Installed capacity (IC) of a Unit is determined in accordance with ISO (International
Standards Organization) standards.
 Nameplate. The Nameplate capacity (NPC) is the full-load continuous Gross capacity of a generator
or other conversion device under specified operating conditions, as displayed on the electric
generator nameplate.
 Maximum. The Maximum capacity (MC) is the capacity that a Unit has been demonstrated to sustain
over a specified period of time. This is determined by a test or other means specified by the mandating
authority.
These quantities may be expressed as Gross or Net, except Nameplate capacity, which is explicitly a Gross
measure.
 Gross. Gross capacity or energy is the quantity produced by a Unit including capacity or energy
consumed by auxiliary devices or systems supporting production by the Unit (Auxiliary load).
 Net. Net capacity or energy is the quantity delivered to the transmission or distribution system to
which the Unit is connected after deducting the capacity or energy consumed by auxiliary devices or
systems supporting production by the Unit (Auxiliary load).
The Nameplate capacity of the electric generator may be more or less than the Installed capacity because
another component (such as the turbine or the step-up transformer) may limit Unit output. Also, the nameplate
capacity of the electric generator may be more or less than the Maximum capacity or Dependable capacity
because of differing operating conditions, including ambient temperature, elevation above sea level, or
hydrogen pressure in hydrogen cooled generators.
Maximum capacity may differ from Installed capability if different ambient conditions were assumed, such
as the temperature of cooling water to the condenser or inlet air temperature or humidity. The Maximum
capacity rating is typically the Dependable capacity (see below) achieved under the most favorable seasonal
ambient conditions.
Available capacity (AC) is the capacity actually available at any time, taking equipment limitations, ambient
conditions, and resource limitations, into account. Available capacity may be anything from zero to
Maximum capacity and may even exceed Maximum capacity if current ambient conditions are more
favorable than those on which the Maximum capacity is based. Available capacity is zero if a full Unit outage
is in effect. Intermediate values of Available capacity can occur as a result of Deratings or partial Resource
unavailability, or some combination of these two.
Dependable capacity (DPC) is the Maximum capacity reduced for expected or actual ambient conditions
during a specified period of time, such as a month or a season, without any derating or limitation of any
needed resource. Note that Dependable capacity may be qualified as “daytime” or “mid-day” if appropriate.
Many Plant owners or mandating authorities specify seasonal ambient conditions for determining
Dependable capacity rating (e.g., summer and winter). The conditions may be based on the seasonal averages
over several years at the time of annual system peak demand or some other criteria, and in general, conditions
better or worse than the defined criteria can occur.
Partial resource unavailable capacity (PRUC) is the unavailable capacity of a Unit due to limitations
imposed by the availability of the fuel or other Energy resource. Expected capacity is defined for VER units
as the calculated capacity available at a particular time for given ambient conditions and resource limitations.
This term is conceptually applicable to Conventional units, as well. But as of the time of the current revision
of IEEE Std 762, there does not seem to be a need to define the term for Conventional units.
Generation in MWh is capacity in MW multiplied by, or integrated over, time in hours.
91
A.5.2 Deratings
Deratings represent lost opportunities to generate as Available capacity (or generation) is less than Maximum
capacity (or generation). A Conventional unit may be subject to a Seasonal derating, which is the difference
between Maximum capacity and Dependable capacity during a specified season or month, commonly due to
ambient conditions. If ambient conditions are more favorable than projected a Unit may temporarily operate
above its Dependable capacity. Likewise, if ambient conditions are less favorable than projected a Unit may
temporarily operate below its Dependable capacity. Seasonal deratings may relate to historical patterns in
ambient conditions such as cooling water or air temperatures.
A Unit may be subject to further deratings, called Unit deratings, below the Dependable capacity, when it is
in the Available state. The amount of a Unit derating is different between the system and unit perspectives.
As with Dependable capacity, the difference is in the consideration of resource limitations. For the system
perspective, a Unit derating is the difference between Dependable capacity and Available capacity,
attributable to failure of component(s) or to a need to reduce strain on a defective component or to Partial
resource unavailable capacity. For the unit perspective, a Unit derating is the portion of the difference
between Dependable capacity and Available capacity attributable to failure of component(s) or to a need to
reduce strain on a defective component, but not Partial resource unavailable capacity.
For Conventional units, outages and deratings are reported as discrete events with MW capacity values and
stated starting and ending times, as illustrated in Figure A.3. If the set of affected components changes and
the magnitude of the derating consequently changes, this should be recorded as a separate derating. However,
if a Unit is under both Seasonal and Unit deratings at the same time, the magnitude of the Unit derating may
change if the Seasonal derating changes, even without a change in status of any component.
Unit deratings can be planned, maintenance, or forced, depending on their urgency, similarly to full Unit
outages as described in section A.4.
a) Planned. A Planned derating (PD) is the portion of a Unit derating that is scheduled well in advance.
b) Unplanned. An Unplanned derating is a Unit derating or portion thereof which is not a Planned
derating. Unplanned deratings are classified according to the urgency with which the derating needs
to be initiated, as either a Maintenance or Forced derating.
1) Maintenance. A Maintenance derating (MD) is one that can be deferred beyond the end of the
next weekend but requires a reduction of capacity before the next Planned outage.
2) Forced. A Forced derating (FD) is one that cannot be deferred beyond the end of the next
weekend.
Unit derating periods may be subdivided into a basic and an extended period in the same manner as for Unit
outages. Unit deratings may be further categorized as class 1, class 2, or class 3, similarly to full Unit outages.
92
© North American Electric Reliability Corporation, 2022. All rights reserved.
Figure A.3—Generator deratings
A.6 Time designations
Total hours (TH) is the number of hours spanned by a particular report or study. The time a Unit spends in
each of the unit states described in section A.4 is recorded in the categories shown in Figure A.4.
As mentioned in section A.4, derating and reduction states may overlap the unit states for a Unit. The time
in derating states is shown in Figure A.5.
Derated time is accumulated only during an Available state, that is, during the In-service generating and non-
generating and Reserve shutdown states. Unit derated hours and all its subcategories may be further
distinguished between In-service and Reserve shutdown hours. For example, Forced derated hours (FDH)
may be divided into In-service forced derated hours (IFDH) and Reserve shutdown forced derated hours
(RSFDH).
93
Total Hours
Active Inactive
Hours Hours
Inactive
Reserve
Hours Hours
Hours

Hours Hours
Hours Hours Hours

Retired
Hours
Maint. Forced
Outage Outage
Hours Hours
Figure A.4—Time spent in various unit states
Capacity
Reduction
Hours
Partial
Reserve Derated
Reduction Hours
Hours
Seasonal
Unit Derated
Derated
Hours *
Hours
Partial
Planned Unplanned
Resource
Derated Derated
Unavailable
Hours * Hours *
Hours
Maint. Forced
Derated Derated
Hours * Hours *
*The hours in these states may be divided between basic and extended deratings.
Figure A.5—Time spent in capacity reduction states
A.7 Generation (energy) terms
As stated above, capacity in MW multiplied by, or integrated over, time in hours yields generation in MWh.
A generation value may be measured (for example, Actual generation) or calculated. A calculated value may
be obtained by multiplying a static capacity quantity by time (e.g., Maximum generation) or taking a sum of
or difference between other generation values.
94
Three fundamental generation quantities are defined as follows:
 Maximum generation (MG) is the energy that could have been produced by a Unit in a given period
of time if operated continuously at Maximum capacity, MG = MC x ACTH.
 Dependable generation (DPG) is the energy that could have been produced by a Unit in a given
period if operated continuously at Dependable capacity.
 Available generation (AGC) is the energy that could have been generated by a Unit in a given period
if operated continuously at its Available capacity.
 Actual generation (AAG) is the energy that was generated by a Unit in a given period.
The difference between Maximum generation and Dependable generation is Seasonal unavailable generation.
The difference between Dependable generation and Available generation is Unavailable generation.
Maximum generation in a period is divided up into the categories shown in Figure A.6. The quantity at one
hierarchical level is the sum of the quantities at the next lower level.
Maximum
Generation
(MG)
Generation Generation
(AG) (UG)
Reserve Partial Reserve Total Resource Seasonal

Actual Unit Derated
Shutdown Reduction Unavailable Unavailable
Generation Outage Generation
Generation Generation Generation Generation
(AAG) Generation (DG)
(RSG) (PRRG) (TRUG) (SUG)
Resource Partial Planned Planned

Unplanned Unplanned
Unavailable Resource Unavailable Derated
Unavailable Derated
Generation Unavail Gen Generation Generation
(RUG) (PRUG) (PUG) (PDG)
Maintenance Forced Maintenance Forced

Unavailable Unavailable Derated Derated
(MUG) (FUG) (MDG) (FDG)
Figure A.6—Generation terms
Figures showing the relationships between time, capacity, and generation are provided in the VER application
guide. Similar to capacity, each measure of generation can be expressed on a Gross or a Net basis. An “N”
or a “G” prefix may be used to indicate the basis. Net generation is negative if the Unit’s station service or
auxiliary loads exceed Gross generation, such as when the Unit is shut down. Gross generation is measured
at the generator terminals and Net generation is measured at the revenue meter.
A.8 Equivalent hours
A.8.1 Equivalent hours for conventional units
Equivalent hours represent the time a Unit was in a time category involving a Capacity reduction, expressed
as full-load equivalent hours of full outage at a reference capacity. The reference capacity is Maximum
capacity (MC) for Conventional units from both the system and unit perspectives. In a period with J discrete
periods of type y Capacity reduction with constant capacity derating DCj(y) and duration Tj, equivalent hours
of type y derating is defined in general as:
95
∑𝑚𝑚
𝑗𝑗=1 𝐷𝐷𝐷𝐷𝑗𝑗 (𝑦𝑦) × 𝑇𝑇𝑗𝑗
𝐸𝐸(𝑦𝑦) = (A.6)
𝑀𝑀𝑀𝑀
For instance, if a Unit’s Maximum capacity is 10 MW and it incurs a derating of 2.5 MW for 24 hours, this
is equivalent to 6 hours of full Unit outage. EFDH = 24 hours * 2.5 / 10 = 6 hours.
Note that derating time Tj is accumulated only when the Unit is Available. Note also that the capacity
quantities for Capacity reductions, and Maximum capacity must be expressed on a consistent basis, Gross or
Net. Equivalent hours can be calculated for each of the time categories of Reduced capacity hours. The
acronym for equivalent hours is formed by adding an E in front of the acronym for the corresponding time
designation. For example, the equivalent hours for Unit derated hours (UNDH) is EUNDH.
A few examples will suffice, after a note about the subscript convention. The subscript C denotes the version
of a term applicable to Conventional units, V to VER units; S and U denote the system and unit versions,
respectively. An acronym without a C or V is applicable to both conventional and VER units; without S or
U, applicable to both system and unit versions. Two other subscripts—T and K—will be described later in
this annex.
Equivalent seasonal derated hours (ESDHC). Seasonal derated hours converted to equivalent hours with
respect to Maximum capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑆𝑆𝑆𝑆𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (A.7)
where SDj is the MW derating in seasonal derated state interval j.
Equivalent unit derated hours (EUNDHC). Unit derated hours converted to equivalent hours with respect to
Maximum capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝑈𝑈𝑈𝑈𝑈𝑈𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (A.8)
Equivalent forced derated hours (EFDHC) Forced derated hours converted to equivalent hours with respect
to Maximum capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶 = �∑𝐽𝐽𝑗𝑗=1 𝐹𝐹𝐹𝐹𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (A.9)
A.8.2 Comparison to equivalent hours calculated on the basis of generation
While equivalent hours is defined for Conventional units on the basis of time and capacity in MW, as
described above, equivalent hours for VER units is defined in terms of Derated generation:
𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙 (𝐷𝐷𝐷𝐷)

𝐸𝐸 = × 𝑆𝑆𝑆𝑆 (A.10)
𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
Equation (A.10) is a more natural approach for VER generation, because for VER generation with
continuously variable Expected and Available generation, deratings are typically not discrete events, and
Derated generation cannot be calculated as the sum of the contribution of individual events as it is for
Conventional units in (A.6) through (A.9) but must be determined from generation quantities. For
Conventional units, Unavailable generation resulting from a Unit derating is the product of the Capacity
reduction (PD, MD, or FD) and duration of the derating:
𝐷𝐷𝐷𝐷(𝑦𝑦) = �∑𝐽𝐽𝑗𝑗=1 𝐷𝐷𝐷𝐷𝑗𝑗 (𝑦𝑦) × 𝑇𝑇𝑗𝑗 � (A.11)
96
Comparing (A.11) with equations (A.6) through (A.9), we see that the numerator of (A.6) through (A.9) has
the same form as (A.11). Therefore, equivalent hours for Conventional units calculated using any of (A.6)
through (A.9) is equivalent to Derated generation divided by Maximum capacity. That is:
𝐸𝐸(𝑦𝑦) = , (A.12)
𝑀𝑀𝑀𝑀
showing the conceptual equivalence between equivalent hours for VER and Conventional units.
A.9 Performance indexes for an individual unit
A.9.1 Index categories
Clause 9 is the core of IEEE Std 762. This clause provides both the conceptual definitions of the basic
performance indexes and the equations to calculate them for an individual Unit from the system and unit
reliability perspectives. Two broad categories of indexes are factors and rates.
A time-based factor represents the fraction of hours a Unit was in a given state. A generation-based factor
represents the fraction of generating capability that could not be produced because a Unit was in a given
unavailable state (an unavailability factor) or its complement (an availability factor). Generation-based
factors are defined for VER units. This standard does not promote generation-based factors for Conventional
units; but neither does it prohibit them.
A time-based rate represents the time a Unit was in a state as a proportion of the time the Unit would be
expected to be available. A generation-based rate represents the Unit’s generating capability during the time
a Unit was in a given state as a proportion of its capability during the time the Unit would be expected to be
available.
“Equivalent” variants of factors and rates insert the word “Equivalent” before the name of the basic index.
These treat deratings of the Unit in terms of equivalent hours of full outage which would result in the same
loss of Maximum generation.
Traditionally, performance indexes for Conventional units have been based on time, with equivalent hours
as defined in equation (A.6) used as an intermediate step in incorporating deratings in equivalent factors. But,
because equivalent hours for VER generation are defined on the basis of generation, alternative versions of
time factors are presented for VER units calculated directly on the basis of generation. These are denoted by
the addition of the word “generation” in the name and the letter “G” in the acronym. Indexes in Clause 9 are
divided into the following categories:
 Availability factors: Ratios having Active hours (ACTH) as the denominator (9.2). ACTH may be
over the entire operating history of the Unit(s) or a subset thereof. Availability factors for VER units
may be calculated on the basis of generation (9.3).
 Equivalent availability factors: Ratios having Active hours (ACTH) as the denominator and
 Derating factors: Fractions of Maximum generation that could not be produced due to deratings
(9.10).
97
Examples of indexes in each of these categories are considered below.
A.9.2 Resource unavailability
A Conventional unit may suffer unavailability of the Energy resource if its primary energy source becomes
shut off or reduced for reasons outside of the control of plant management, such as a pipeline disruption or
rail strike. Although such events could be categorized as Outside management control (see Annex D), the
concept of Resource unavailability, established for VER units, is also applicable. As described in A.3,
resource unavailability may be full or partial. The time in full and partial Resource unavailability is accounted
for in Resource unavailable hours (RUH) and Partial resource unavailable hours (PRUH). PRUH is converted
to Equivalent partial resource unavailable hours (EPRUH) for use in calculating indexes.
As also described in A.3, system indexes include Resource unavailability in unavailability, while unit indexes
do not. Because unit indexes ignore Resource unavailability, their formulas do not include RUH or EPRUH.
If there is no Resource unavailability, that is, if RUH and EPRUH are both zero, then the system and unit
indexes will be the same, as can be seen below for indexes that have both system and unit versions, for
example, Unavailability factor, in A.9.3.1.
Several indexes for resource availability and unavailability are listed in the various categories below. These
include:
 Resource unavailability factor (RUF)

 Resource availability factor (RAF) = 1 – RUF
 Equivalent resource unavailability factor (ERUF)
 Equivalent resource availability factor (ERAF)
 Resource unavailability rate (RUR)
 Equivalent resource unavailability rate (ERUR)
A.9.3 Indexes by category
A.9.3.1 Availability factors
Time-based availability factors are ratios having Active hours (ACTH) as the denominator. Alternative forms
for VER units are defined on the basis of generation.
The general form of a time-based factor is:
𝐻𝐻𝐻𝐻𝐻𝐻𝐻𝐻𝐻𝐻
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 = (A.13)
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 ℎ𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜
If a factor would make sense both with and without Resource unavailable hours, both system and unit
versions of the factor are defined. The general form of a generation-based availability factor typically has
Maximum generation in the denominator:
98
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 = (A.14)
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
The conceptual difference, as mentioned above is that system planners need to account for all causes of
unavailability in generation, while performance benchmarking of equipment and plant operations typically
needs to exclude resource unavailability.
Factors are defined for the following availability and unavailability states for both the system and unit
perspectives whenever meaningful.
 Unavailability factor (UF)

 Availability factor (AF) = 1 – UF
 Planned outage factor (POF)
 Unplanned outage factor (UOF)
 Maintenance outage factor (MOF)
 Forced outage factor (FOF)
The unavailability factors have the largest number of terms in the numerator (except for the availability
factors, which are the complements of unavailability factors). So, they are provided here as examples. Notice
that the system versions have Resource unavailability in the numerator.
Unavailability factor (UF)
System (UFS). The fraction of Active hours in which a Unit was not available due to Unit outages or full
𝑈𝑈𝑈𝑈𝑆𝑆 = (A.15)
Unit (UFU). The fraction of Active hours in which a Unit was unavailable due to Unit outages.
𝑈𝑈𝑈𝑈𝑈𝑈 = (A.16)
A.9.3.2 Equivalent availability factors
Equivalent availability factors are time ratios having active hours (ACTH) as the denominator and considering
derated generation.
The general forms for equivalent availability factors are the same as for availability factors, above, except
that the numerator consists of equivalent hours as well as full Unit outage hours.
The following equivalent factors are defined:

 Equivalent availability factor (EAF)
 Equivalent unavailability factor (EUF)
 Equivalent resource availability factor (ERAF)
99
 Equivalent planned outage factor (EPOF)
 Equivalent unplanned outage factor (UOF)
 Equivalent maintenance outage factor (EMOF)
 Equivalent forced outage factor (EFOF)
 Equivalent forced unavailability factor (EFUF)
The equivalent unavailability factors have the largest number of terms in the numerator (except for the
availability factors, which are the complements of unavailability factors). So, they are provided here as
examples. Similar observations to those for time factors apply here.
Equivalent unavailability factor
System (EUFCS). The fraction of Active hours in which a Unit was not available due to Unit outages, Unit
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶

𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 = (A.17)
Unit (EUFCU). The fraction of Active hours in which a Unit was not available due to Unit outages or Unit
deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶

𝐸𝐸𝐸𝐸𝐸𝐸𝐶𝐶𝐶𝐶 = (A.18)
A.9.3.3 Rates and equivalent rates
Rates express the proportion of time a Unit was in a particular state given the time the Unit was expected to
be available. An equivalent rate is calculated as the average proportion of a Unit’s capacity that was in that
state, considering equivalent derated hours. A time ratio rate is used as an estimate of the probability a Unit
is in that state for future system reliability assessment.
The following are examples of time ratio rates.
 Forced outage rate (FOR)

 Equivalent forced outage rate (EFOR)
 Equivalent forced outage rate total (EFORT)
Key differences among these rates are:
 The rates with the word “equivalent” in the name include terms with Capacity reductions (including
Unit deratings) in the numerator or denominator; the rates without “equivalent” do not include
Capacity reductions.
 The system versions of these rates include Resource unavailability. Unit versions do not include
We take a closer look at the time-based FOR and EFOR.
Forced outage rate, unit (FORCU). The proportion of time that a Unit was not available due to Forced outages
during Service hours and Forced outage hours.
100
𝐹𝐹𝐹𝐹𝑅𝑅𝐶𝐶𝐶𝐶 = (A.19)
𝑆𝑆𝑆𝑆 +𝐹𝐹𝐹𝐹𝐹𝐹
Equivalent forced outage rate, unit (EFORCU). The average proportion of a Unit’s capacity that was not
available due to Forced outages or Forced deratings during Service hours and Forced outage hours.
𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝐶𝐶𝐶𝐶 = (A.20)
𝑆𝑆𝑆𝑆 +𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
A.9.3.4 Restricted factors and rates
A.9.3.4.1 General
Restricted factors and rates are based on restricted sets of hours. Four indexes are defined in 9.8, two based
on a Demand period and two based on the specification of a Critical period K, which is a set of historical
hours characterized by high system demand or low operating reserve margins. The Demand period indexes
are described next, the Critical period indexes in the VER application guide (see B.9.2).
A.9.3.4.2 Demand period rates
The FOR and EFOR as defined in equations (A.19) and (A.20) may not necessarily provide a meaningful
representation of the availability of a non-base loaded Unit when needed. The problem arises when the
number of Service hours is low, as is the case for a peaking Unit. If a significant portion of the Forced outage
hours occur when the Unit is not needed, the FOR will overstate the probability that the Unit is on Forced
outage. The same is true for Forced derated hours and the EFOR. Therefore, versions of FOR and EFOR
restricted to hours when there would have been Demand on the Unit if available were defined in the 2006
revision of IEEE Std 762.
First, some additional time definitions:
Forced outage hours overlapping the period of demand for the unit to operate (FOHd). The number of hours
a Unit was in a forced outage state and the Unit would have operated had it been available.
Equivalent forced derated hours overlapping period of demand for the unit to generate (EFDHd). The In-
service forced derated hours converted to equivalent hours with respect to Maximum capacity.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑 = �∑𝑚𝑚
𝑗𝑗=1 𝐼𝐼𝐼𝐼𝐼𝐼𝑗𝑗 × 𝑇𝑇𝑗𝑗 � ÷ 𝑀𝑀𝑀𝑀 (A.21)
where IFDj is the MW derating in forced derating interval j overlapping periods of demand.
Given these definitions of FOHd and EFDHd, we can now define FORd and EFORd, for which the subscript
C is suppressed because the terms are applicable only to Conventional units.
Demand forced outage rate, system (FORdS). The proportion of time a Unit was not available due to Forced
outages or full Resource unavailability when there was Demand on the Unit to generate.
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 = 𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑
(A.22)
Demand forced outage rate, unit (FORdU). The proportion of time a Unit was not available due to Forced
outages when there was Demand on the Unit to generate.
101
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 = (A.23)
Equivalent demand forced outage rate, system (EFORdS). The average proportion of a Unit’s capacity that
was not available due to Forced outages, Forced deratings, and full and partial Resource unavailability when
there was Demand on the Unit to generate.
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 +𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = 𝑆𝑆𝑆𝑆+𝐹𝐹𝑂𝑂𝑂𝑂𝑑𝑑 + 𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑
(A.24)
Equivalent demand forced outage rate, unit (EFORdU). The average proportion of a Unit’s capacity that was
not available due to Forced outages or Forced deratings when there was Demand on the Unit to generate.
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = 𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑
(A.25)
FOHd can be determined directly if periods of demand are recorded. Demand can be defined as the traditional
Demand for the generating Unit for economic or reliable operation of the system, or it can be another user-
defined condition that yields similar results, such as specific weather condition, load level, or energy price.
When FOHd is determined directly from recorded periods of demand, Resource unavailable hours (RUH) in
the above equation should include only those meeting the specified demand conditions. Service hours SH are
implicitly hours of demand but Service hours non-generating SHNG are not.
Accurately determining EFDHd requires collecting data so that in-service deratings are separated from
reserve shutdown deratings. The same considerations for defining Demand for FOHd, above, apply to EFDHd.
When EFDHd is determined directly from recorded periods of demand, service hours (SH) are implicitly
hours of demand. See Annex H for limiting conditions for use of EFORd. ERSFDHd is zero, because periods
of demand and periods of Reserve shutdown are mutually exclusive. If periods of demand are not recorded,
FOHd and may be estimated using the following formula:
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 = 𝑓𝑓 × 𝐹𝐹𝐹𝐹𝐹𝐹 (A.26)
where f is the Demand factor.
Demand factor is defined in Annex G and described below, which is applicable to traditional Demand for
economic or reliable system operation.
Demand factor (f). The Demand factor is used to estimate Forced outage hours overlapping the period of
demand for the Unit to operate. If In-service forced derated hours and Reserve shutdown forced derated hours
are not separately recorded, a method used by NERC GADS to estimate EFDHd from EFDH is as follows.
Deratings are assumed to be uniformly distributed during the available hours. EFDHd is calculated by using
a demand factor for deratings fp.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑 = 𝑓𝑓𝑝𝑝 × 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 (A.27)
Demand factor for forced deratings (fp). An estimate of the proportion of Forced derated hours overlapping
the period of demand for the Unit to operate. If In-service forced derated hours and Reserve shutdown forced
derated hours are not separately recorded, deratings are assumed to be uniformly distributed during the
Available hours.
𝑓𝑓𝑝𝑝 = 𝑆𝑆𝑆𝑆 ⁄𝐴𝐴𝐴𝐴 (A.28)
We also define RUHd and EPRUHd as the Resource unavailable hours and Equivalent partial resource
unavailable hours overlapping periods of demand. If RUH and PRUH overlapping demand are not explicitly
tracked, and given f and fp as defined above, above we can use similar approximations:
102
𝑅𝑅𝑅𝑅𝑅𝑅𝑑𝑑 = 𝑓𝑓 × 𝑅𝑅𝑅𝑅𝑅𝑅 (A.29)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑 = 𝑓𝑓𝑝𝑝 × 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 (A.30)
A.9.3.5 Production factors
Production factors for Conventional units express Actual generation as a fraction of Maximum generation.
In general, these factors state some measure of Actual generation as a fraction of a measure of possible
generation. This section presents the following factors:
 Gross capacity factor (GCF)

 Net capacity factor (NCF)
 Total net capacity factor (NCFT)
 Gross output factor (GOF)
 Net output factor (NOF)
Capacity factors consider potential generation during Active hours; output factors consider generation only
during Service hours. Gross capacity factor is:
𝐺𝐺𝐺𝐺𝐺𝐺 = (A.31)
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴×𝐺𝐺𝐺𝐺𝐺𝐺
where
GAAG is Gross actual generation
GMC is Gross maximum capacity
Net capacity factor can be obtained by substituting Net actual generation (NAAG) and Net maximum capacity
(NMC) for GAAG and GMC. Gross and Net output factors can be obtained by substituting Service hours SH
for Active hours (ACTH).
A.9.3.6 Derating factors
Derating factors express Equivalent derated hours as fractions of Active hours. A Derating factor is
equivalent to the fraction of Maximum generation that could not be produced due to deratings.
Two Derating factors are defined for Conventional units.
Seasonal derating factor (SDF). The fraction of Maximum generation that could not be produced due to
Seasonal deratings.
𝑆𝑆𝑆𝑆𝑆𝑆 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸
𝑆𝑆𝑆𝑆𝑆𝑆 = = (A.32)
𝑀𝑀𝑀𝑀 𝐴𝐴𝐴𝐴𝑇𝑇𝑇𝑇
Unit derating factor, system (UDFS). The fraction of Maximum generation that could not be produced due to
Unit deratings and partial Resource unavailability.
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶
𝑈𝑈𝑈𝑈𝑈𝑈𝐶𝐶𝐶𝐶 =
(A.33)
103
A.9.3.7 Average time durations and occurrence rates
We consider just two examples:
Average forced outage duration (r). Forced outage hours divided by the number of Forced outages.
Repair rate (1/r). The number of forced outages divided by Forced outage hours.
A.9.3.8 Probabilities
Probabilities express the proportion of attempts successful or unsuccessful. Two are defined:
Starting reliability (SR). The proportion of Attempted unit starts that was successful.
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠

𝑆𝑆𝑆𝑆 = (A.34)
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠
Probability of starting failure (PS). The proportion of Attempted unit starts that failed.
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓

𝑃𝑃𝑠𝑠 = (A.35)
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎𝑎 𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠𝑠
SR + PS = 1.0. (A.36)
A.9.4 Service hours non-generating
As mentioned above, some Units can provide ancillary services, such as voltage support, even when their
power output is zero. Service hours connected (SHC) includes Service hours generating (SH) and Service
hours non-generating (SHNG). Some indexes include SHNG and have the word “total” in the name and the
subscript “T” in the acronym. For example, Equivalent forced outage rate total (EFORT) includes SHNG;
EFOR does not. For example:
𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 +𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝑅𝑅𝑅𝑅𝐻𝐻𝐶𝐶
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑇𝑇𝑇𝑇𝑇𝑇 = 𝑆𝑆𝑆𝑆𝑆𝑆+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝐶𝐶 + 𝑅𝑅𝑅𝑅𝑅𝑅
(A.37)
A.9.5 Relationships between performance indexes
The performance indexes presented in 9.2 and 9.4, and discussed in this application guide in A.9.3.1 and
A.9.3.2 comprise a unified set of active-hour based indexes (called factors). Figure A.7 is a highly stylized
representation of the hours associated with the states and deratings used in conventional generation system
indexes. Factors such as availability factor, unavailability factor, and forced outage factor based on these
terms are defined in Clause 9. This section lists several relationships between various conventional-system
factors. The corresponding relationships between conventional-unit factors are obtained by deleting full and
partial resource unavailability RUH and EPRUH from the equations.
104
ESDH
EPRUH
EPDH
EMDH
EFDH
POH MOH FOH RUH

MC
AC
DC
SHNG SH RSH
SHNG SH RSH POH MOH FOH RUH

AH UH
ACTH
Figure A.7—Hours associated with states and deratings used in conventional-system

indexes 11
The Availability and Unavailability factors add to 100%.
𝐴𝐴𝐴𝐴 + 𝑈𝑈𝑈𝑈 = 1.0 (A.38)
Equivalent availability, Equivalent unavailability, and Seasonal derating factor also add to 1.0. However,
Equivalent availability and Equivalent unavailability alone do not, in general, add to 1.0 because this sum
does not include the effect of Seasonal deratings.
𝐸𝐸𝐸𝐸𝐸𝐸 + 𝐸𝐸𝐸𝐸𝐸𝐸 + 𝑆𝑆𝑆𝑆𝑆𝑆 = 1.0 (A.39)
Equivalent availability can be obtained by subtracting the Unit derating factor and the Seasonal derating
factor from the Availability factor.
𝐸𝐸𝐸𝐸𝐸𝐸 = 𝐴𝐴𝐴𝐴 − (𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑆𝑆𝑆𝑆𝑆𝑆) (A.40)
Equivalent unavailability can be obtained by adding the Unit derating factor, but not the Seasonal derating
factor, to the Unavailability factor.
𝐸𝐸𝐸𝐸𝐸𝐸 = 𝑈𝑈𝑈𝑈 + 𝑈𝑈𝑈𝑈𝑈𝑈 (A.41)
11
The time and generation values corresponding to deratings, EFDH, etc., and FDG, etc., span the In-service (S) and Reserve shutdown
(R) columns. The time-based quantities are disaggregated into In-service and Reserve shutdown components, as stated in the note to
Figure A.5, because some system reliability models can use the disaggregated data. For example, Forced derated hours (FDH) is
disaggregated into In-service forced derated hours (IFDH) and Reserve shutdown forced derated hours (RSFDH). (See 6.3.4.3.3.3.) The
corresponding generation quantities can be similarly disaggregated. But such disaggregation is not explicitly defined in this standard.
105
The Unavailability factor is the sum of the Planned and Unplanned outage factors and Resource unavailability
factor. (The Unplanned outage factor is the sum of Maintenance and Forced outage factors.)
𝑈𝑈𝑈𝑈 = 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑅𝑅𝑅𝑅𝑅𝑅 (A.42)
Substituting Equation (A.42) into Equation (A.41) shows that the Equivalent unavailability factor is the sum
of the Planned and Unplanned outage factors, the Unit derating factor, and the Resource unavailability factor.
𝐸𝐸𝐸𝐸𝐸𝐸 = 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑅𝑅𝑅𝑅𝑅𝑅 (A.43)
Substituting Equation (A.43) into Equation (A.39) shows that there are five recognized sources of energy
loss: Planned outages (full), Unplanned outages (full), Unit deratings, Resource unavailability, and Seasonal
deratings. Each energy loss is represented by a separate index: POF, UOF, UDF, RUF, and SDF,
respectively.
𝐸𝐸𝐸𝐸𝐸𝐸 + 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑆𝑆𝑆𝑆𝑆𝑆 = 1.0 (A.44)
These indexes are defined to be additive. Therefore, the total per-unit energy loss is the sum of the five
indexes, and the remaining per-unit energy not lost is the Equivalent availability factor (EAF).
𝐸𝐸𝐸𝐸𝐸𝐸 = 1.0 − (𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑆𝑆𝑆𝑆𝑆𝑆) (A.45)
In order for the five energy loss indexes to be additive, as in Equation (A.45), it is necessary that the capacity
loss due to each source be separated. In other words, for example, a Unit cannot be simultaneously subject
to a full Unit outage and Unit derating.
Similarly, a Unit cannot be simultaneously subject to both Seasonal derating and full Unit outage. In order
to achieve non-overlapping energy definitions, the IEEE 762 Working Group agreed to assign full
(maximum) unit capacity to the full outage state. In other words, both Unit deratings and Seasonal deratings
are considered to end when a full Unit outage starts, as far as the calculation of the Unit derating factor and
the Seasonal derating factor are concerned.
A.10 Group performance indexes
A.10.1.1 General
Historically, individual Unit performance indexes have been used to assess electric generating unit reliability,
availability, and productivity. Individual Unit performance indexes are commonly compared to performance
indexes of a “peer” Group of Units, both unweighted Group performance indexes and Weighted Group
performance indexes defined in Clause 10. Group index equations are built upon the individual Unit
performance indexes. Unweighted Group performance indexes are a special case of Weighted indexes where
the weights of all Units are identical. The individual Unit indexes of Clause 9 are the same as Group indexes
where there is only one Unit in the Group.
Pooling of outage data of a Group of Units (homogenous or heterogenous) can be Weighted or unweighted.
A Group typically includes multiple Units at different locations. When multiple identical VER units at a
single location are aggregated, the aggregate is the Unit and the individual generators are called Sub-units
(see 3.22). There are different purposes of pooling outage data and different methods used. Any of the
performance indexes defined in Clause 9 may be grouped using one of the pooling methods. Clause 10
presents only illustrative examples and does not define a comprehensive set of Group performance indexes.
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A.10.2 Weighting performance data
(heterogenous population) weighting is believed to better reflect the contribution of each Unit to the Group’s
indexes.
Generating unit capacity, (5.2) is a common weight used in pooling performance indexes for Conventional
units. However, other weights are appropriate in some cases, particularly weights which consider the service
period of the Unit as well as its size.
Explicit weighting by capacity or other variable is not necessary for production factors or generation-based
factors because these factors are inherently energy-weighted. Weighting is also not necessary for average
time durations and occurrence rates and probabilities categories as these are averages over events, not Units.
107
Annex B
(informative)
Application of IEEE Std 762 to VER generation
B.1 Overview
B.1.1 Purpose of IEEE Std 762
The purpose of IEEE Std 762 is to define terms and indexes for power plant performance and reliability.
These indexes are used for several purposes, including:
 Comparing the performance of individual Units or Groups of Units

 Derating the capacity of a Unit in determining its approximate contribution to the supply/demand
balance of a system
 Serving as input data for a model that calculates predictive system reliability indexes, subject to the
limitations outlined in Annex L
 Comparing the performance of components or subsystems within a Unit
 Determining performance-based bonuses to Plant owners or managers
Collection and reporting of data for the calculation of the types of indexes defined in this standard may occur
under rules established by a government agency, regional reliability organization, market operator, or
industry association, referred to generically as a mandating authority herein. When this is the case, the
mandating authority’s rules have precedence. An example of a mandating authority is the North American
Electric Reliability Corporation (NERC), which collects data in its Generation Availability Data System
(GADS) as specified in one or another Data Reporting Instruction (DRI) document [B17], [B18].
B.1.2 Purpose of this annex
The purpose of this annex is to provide an introduction to the application of IEEE Std 762 to Variable energy
resource (VER) units. These are Units whose output depends on a natural resource for which availability
varies on an hourly or sub-hourly time scale, such as wind, run of river hydro, and solar power. See Annex L
for a discussion of the use of VER performance indexes.
The language in this annex is in many places less formal and less concise than in the main body of the
standard. If there is an inconsistency, the main body should prevail.
B.2 Normative references
The section headings and numbers of this application guide correspond to clause headings and numbers in
the main body. This section B.2 is merely a placeholder corresponding to Clause 2 of the main body, which
would list “documents that contain material that must be understood and used to implement the standard.” 12
12
IEEE Standards Association, Standards Style Manual.
108
But no such documents have been identified. Various documents that are helpful, although not essential, in
understanding and implementing the standard are listed in Annex N.
B.3 Definitions of general terms
Clause 3 of the main body provides formal definitions of general terms underlying the standard. Many of
these are introduced in the section of this application guide corresponding to the context in which they are
used. However, a few terms are introduced this section.
Plant. A Plant is a collection of Units at a particular geographical location.
Unit. A Unit is defined as one or more generators, collectors or other devices converting another form of
energy to electrical energy. It is the fundamental level at which status, capacity, and energy are typically
reported.
Sub-unit. A “Unit” in a VER Plant often comprises several identical Sub-units, such as wind turbines or
inverters. The data reported for such a Unit is an aggregation of the Sub-unit data.
Energy resource. The energy contained in flowing water, wind, sunlight, or geothermally heated water that
can be converted into electrical energy. It also includes the energy in burnable or nuclear fuel.
Resource unavailability. This is unavailability that is normal to the technology employed and occurs
regularly (hour-to-hour, diurnally, or seasonally) for such resources as sunlight, wind, and water, as is the
case for VER Units. It also applies to unavailability due to interruption of the energy resource (or simply
“resource”) for a Conventional unit caused by inadequacy or diversion of the resource to other users by the
supplier, or transportation infrastructure disruption. It includes full Resource unavailability, in which the Unit
is unable to generate because the Energy resource is entirely absent or below the threshold required for the
Unit to operate; partial Resource unavailability, in which the Energy resource is above the threshold for
operation but insufficient for operation at full capacity; and the situation in which a Unit is shut off because
the Energy resource exceeds a limit for safe operation, such as when wind speed exceeds a wind turbine’s
cut-out speed.
System vs. unit. The standard includes both indexes for system planning, called “system” indexes, which
include output limitations owing to full or partial Resource unavailability, and indexes for equipment
performance, called “unit” indexes, which exclude any limitations owing to Resource unavailability. Both
consider equipment unavailability. The distinction recognizes the different needs of different users. System
planners need to account for all causes of unavailability in generation, while performance benchmarking of
equipment and Plant operations—which can be in the context of such things as monitoring warranty
performance and equipment degradation, estimation of remaining useful life, and determination of
performance incentives—typically needs to exclude Resource unavailability, which is outside the control of
equipment manufacturers and Plant personnel. Recognizing that a potential use of unit indexes is
determination of monetary compensation to Plant personnel and vendors, a concern underlying their design
is that they focus on controllable factors.
B.4 Unit states
At any moment, an Active Unit or Sub-unit will be in one of the mutually exclusive states in Table B.1,
column a. An Inactive Unit will be in the Inactive reserve, Mothballed, or Retired states. These states are
arranged in the hierarchy shown in Figure B.1. In some of these states, a Unit may also have one or more of
the potentially overlapping Capacity reduction states listed in Table B.1, column b, with an associated
capacity or energy reduction.
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Unavailability owing to full Resource unavailability is represented by the “Resource unavailable” state.
Unavailability owing to Unit outages can be planned, maintenance, or forced, depending on their timing and
urgency.
a) Planned. A Planned outage is one that is scheduled well in advance.

b) Unplanned. An Unplanned outage is one that is not a Planned outage. Unplanned outages are
classified according to the urgency with which the Unit outage needs to be initiated, as either a
Maintenance or Forced outage.
1) Maintenance. A Maintenance outage is one that can be deferred beyond the end of the next
weekend but must be taken before the next Planned outage.
2) Forced. A Forced outage is one that cannot be deferred beyond the end of the next weekend.
In Figure B.1 and in the organization of the subclauses in the standard, “unavailability” is a general term that
includes both Resource unavailability and Unit outages; and Unit outages represents a subset of
unavailability. However, in industry practice in the context of system indexes, the term “Forced outage” may
include both equipment Forced outages and Resource unavailability. Therefore, this latter usage has been
retained in particular index names.
The mandating authority should specify how to record the time when full Resource unavailability and a Unit
outage occur simultaneously.
Table B.1—Unit States

Forced outage (F)
Resource unavailable (U)
If the Unit consists of multiple Sub-units, each of the Sub-units will have its own state. State is typically not
tracked at the aggregate Unit level.
Further, a given Sub-unit may, for example, be in the In-service generating state but also subject to a Forced
derating and partial Resource unavailability.
Reporting granularity. A critical difference between Conventional units and VER units is the granularity
at which the Unit state, capacity, and energy are typically reported. For Conventional units, outages and
deratings are reported as discrete events with MW capacity values and stated starting and ending times, as
illustrated in Figure B.2a.
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Active Inactive
Inactive
Reserve

In-service
Non- Retired
generating
Mainte-
Forced
nance
Outage
Outage
Figure B.1—Unit states—VER
a. Conventional unit derating b. Wind unit derating

Figure B.2—Generator deratings
For VER units, data are calculated by the SCADA system and recorded at the 1- to 10-minute data point
level. A Sub-unit may transition from one state to another within a data-point interval, in which case the Sub-
unit will be recorded as existing in both states with percentages representing the portion of the interval in
each state. Capacity and energy quantities will typically fluctuate within a data-point interval and be recorded
as average or total values over the interval. More on this in the following section.
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Maximum Capacity
Partial Resource Unavailable Capacity = Maximum Capacity - Expected Capacity
Expected Capacity
Planned Derating Planned Derating
Unit Derating =
Maintenance Derating
Expected Capacity - Available Capacity
Unplanned Derating
Forced Derating
Available Capacity
Partial Reserve Reduction
Figure B.3—Capacity terms
B.5 Capacity terms
B.5.1 General
Capacity terms include:

 Various measures of full capability
 Available capacity
 Expected capacity
 Deratings and other Capacity reductions
The relationships between some of the capacity terms are shown in Figure B.3.
There are three measures of full capability, all assuming that there is no derating or limitation of any needed
resource, which have subtle differences between them:
 Installed. The Installed capacity (IC) of a Unit is determined in accordance with ISO (International
Standards Organization) standards.
 Nameplate. The Nameplate capacity (NPC) is the full-load continuous Gross capacity of a generator
or other conversion device under specified operating conditions, as displayed on the electric
generator nameplate.
 Maximum. The Maximum capacity (MC) is the capacity that a Unit has been demonstrated to sustain
over a specified period of time. This is determined by a test or other means specified by the mandating
authority.
These quantities may be expressed as Gross or Net, except Nameplate capacity, which is explicitly a Gross
measure.
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 Gross. Gross capacity or energy is the quantity produced by a Unit including capacity or energy
consumed by auxiliary devices or systems supporting production by the Unit (Auxiliary load).
 Net. Net capacity or energy is the quantity delivered to the transmission or distribution system to
which the Unit is connected after deducting the capacity or energy consumed by auxiliary devices or
systems supporting production by the Unit (Auxiliary load).
Available capacity (AC) is the capacity actually available at any time, taking equipment limitations, ambient
conditions, and resource limitations, into account. Available capacity may be anything from zero to
Maximum capacity and may even exceed Maximum capacity if current ambient conditions are more
favorable than those on which the Maximum capacity is based. Available capacity is zero if a full Unit outage
is in effect. Intermediate values of Available capacity can occur as a result of Deratings or partial Resource
unavailability, or some combination of these two.
Expected capacity (EC) is the calculated capacity available at a particular time for given ambient conditions
and resource limitations. For wind these are wind speed and air density; for solar photovoltaic (PV), plane of
array (POA) irradiance and panel temperature; for run of river hydro, stream flow. Reductions due to any
cause other than Resource unavailability are not considered.
Expected capacity is used for VER units as the reference capacity from which Deratings are calculated. It
can vary hourly or more frequently and is calculated using a model and actual resource conditions at the time.
The word “expected” in this instance means “calculated for specified conditions in the absence of Unit
deratings,” rather than a statistical expectation.
Expected capacity can vary from zero to Maximum capacity. It is zero when the variable Energy resource is
at zero or below the threshold at which the generator begins to produce power (the cut-in wind speed for a
wind turbine). It is also zero in the case of a wind turbine (WT) when the wind speed is above the cut-out
speed. Expected capacity equals the Maximum capacity when the resource is at or above rated ambient
conditions, but less than cut-out wind speed for a WT.
Partial resource unavailable capacity (PRUC) is the Unavailable capacity of a Unit due to limitations
imposed by the availability of the Energy resource (wind, solar, hydro). This can be calculated by subtracting
Expected capacity from Maximum capacity.
Partial reserve reduction (PRR) occurs when a plant is ordered by the system operator to curtail output
because the system is unable to absorb the full output of the VER unit for some reason. It is similar to
dispatching a Conventional unit at less than Available capacity, with the unused portion of Available capacity
held as reserve. When implementing a Partial reserve reduction for a Group of Units, one or more Units can
be completely shut down, or the output of a larger number of Units can be limited.
Generation in MWh is capacity in MW multiplied by, or integrated over, time in hours. Given the
continuously changing nature of Expected and Available capacity, it is often more convenient to express
VER quantities in terms of generation. VER units with must-take transmission contracts typically generate
at the calculated Expected generation level. Anything less represents an Unit outage, Unit derating or Partial
reserve reduction.
B.5.2 VER deratings
Deratings represent lost opportunities to generate as Available capacity (or generation) is less than Expected
capacity (or generation). Deratings can be planned, maintenance, or forced, depending on their urgency,
similarly to full Unit outages as described in section B.4.
a) Planned. A Planned derating (PD) is the portion of a Unit derating that is scheduled well in advance.
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b) Unplanned. An Unplanned derating is a Unit derating or portion thereof which is not a Planned
derating. Unplanned deratings are classified according to the urgency with which the derating needs
to be initiated, as either a Maintenance or Forced derating.
1) Maintenance. A Maintenance derating (MD) is one that can be deferred beyond the end of the
next weekend, but requires a reduction of capacity before the next Planned outage.
2) Forced. A Forced derating (FD) is one that cannot be deferred beyond the end of the next
weekend.
There are three basic types of VER deratings, illustrated in the following figures.
Persistent derating. A persistent derating is continuous but not necessarily of constant magnitude, and tracks
with Expected generation. There is no overlap with Resource unavailable generation. The area between
Expected and Actual generation represents the lost generation and is determined by evaluating and summing
the 144 data points in the 24-hour period of Figure B.4, if each data point represents 10 minutes, for example.
A persistent derating is the most common VER derating, and can occur as a result of, for example:
 Ice on blades
 Blade erosion
 Pitch bearing or motor malfunction
 Blade misalignment
 Wind vane misalignment
 Controller derating
 Yaw-locked wind turbine
 PV panel contamination (for example, dust, ash, or snow)
 PV panel tracking system error
 Software malfunction
Limit derating. A limit derating, illustrated in Figure B.5, occurs when the output of the Plant, Group, or a
circuit is subject to a constant limit due to curtailment resulting from a Partial reserve reduction, transmission
congestion, line constraint, or maintenance. With this type of Derating, a plant management system sets the
output individually for all or a subset of Units or Sub-units on a minute-by-minute basis to keep output at or
below the limit, illustrated by the dotted line in Figure B.5. The unit limit may vary over time as resources
vary across the plant. This derating overlaps with partial Resource unavailability, which has priority in
accounting. Lost generation is the area between Expected and Actual generation.
Conventional derating. This is the least common type of VER Derating and usually occurs when trying to
extend the life of a component, such as a gearbox. The individual Unit or Sub-unit capacity is reduced. There
are also some automatic controller Deratings that use this method. The Derating usually has a specified period
and capacity. The lost generation will vary for each data point as Expected generation changes. As illustrated
in Figure B.6, a conventional derating may overlap full or partial Resource unavailability, in which case the
overlapping energy is assigned to Resource unavailability. Accounting priorities for overlapping generation
quantities are discussed further in Annex M.
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Figure B.4—Persistent derating
B.6 Time designations
Total hours (TH) is the number of hours spanned by a particular report or study. For a report or study covering
a Unit with multiple Sub-units, which is typically the case for VER units, Total hours is the hours from the
beginning to the end of the reporting or study period multiplied by the number of Sub-units contained in the
Unit but excluding hours prior to a Sub-unit entering service. Other time designations similarly reflect the
number of Sub-units. For a single WT in a 30-day month, for example, Total hours are 720 hours in that
month. For a wind farm (WF) with 50 WTs in an Active state throughout the month, Total hours are
720 x 50 = 36 000 hours.
A mandating authority may define a distinct term for Sub-unit hours. For example, in North America, NERC
GADS data reporting instructions specify that data for a WF be reported at the “sub-group” level, where a
sub-group is defined as an aggregate of identical WTs at a single location, and that the unit of time is “turbine
hours.” The corresponding terms for solar PV facilities are “inverter group” and “inverter hours.”
115
Figure B.5—Limit derating
Figure B.6—Conventional derating
116
Since the data reported for a Unit under this standard may represent either a single Unit or multiple Sub-
units, a distinct term is not defined for Sub-unit hours. Rather, this standard relies on the context to indicate
whether a time designation such as Total hours represents a single Unit or multiple Sub-units. The
correspondence between these terms is shown in Table B.2.
Table B.2—Sub-unit relationships
IEEE Std 762 NERC Wind DRI NERC Solar DRI

Reporting level Unit Sub-group Inverter group
Represented Single unit or aggregate of Aggregate of wind Aggregate of inverters
sub-units turbines
Unit of time Hour (meaning sub-unit Turbine hour Inverter hour
hour for aggregate)
The time a Unit or Sub-unit spends in each of the Unit states listed in section B.4 is tracked by the SCADA
system or data repository, and recorded in the following categories:
 Service hours generating (SH)
 Service hours non-generating (SHNG)
 Reserve shutdown hours (RSH)
 Resource unavailable hours (RUH)
 Planned outage hours (POH)
 Maintenance outage hours (MOH)
 Forced outage hours (FOH)
 Inactive reserve hours (IRH)
 Mothballed hours (MH)
 Retired hours (RH)
Figure B.7 shows the hierarchical relationships among the Active hours categories.
As mentioned in section B.4, Unit deratings and other Capacity reduction states may overlap the unit states
for a Sub-unit. The time in Capacity reduction states is recorded in the categories shown in Figure B.8.
Derated time is accumulated only during an Available state, that is, during the In-service generating and non-
generating and Reserve shutdown states.
B.7 Generation (energy) terms
As stated above, capacity in MW multiplied by, or integrated over, time in hours yields generation in MWh.
As also mentioned above, given the continuously changing nature of Expected and Available capacity, it is
often more convenient to express VER quantities in terms of generation. A generation value for a data point
may be measured (for example, Actual generation) or calculated. A calculated value may be obtained by
multiplying a static capacity quantity by time (e.g., Maximum generation), integrating an instantaneous
capacity quantity over the time interval represented by the data point (e.g., Expected generation), or taking a
sum of or difference between other generation values. The generation value for a time period is calculated
by summing the data point generation values over the period.
117
Total Hours
Active Inactive
Hours Hours
Inactive
Reserve
Hours Hours
Hours

Hours Hours
Hours Hours Hours

Retired
Hours
Maint. Forced
Outage Outage
Hours Hours
Figure B.7—Time spent in various unit states
Capacity
Reduction
Hours
Partial
Reserve Derated
Reduction Hours
Hours
Seasonal
Unit Derated
Derated
Hours
Hours
Partial
Planned Unplanned
Resource
Derated Derated
Unavailable
Hours Hours
Hours
Maint. Forced
Derated Derated
Hours Hours
Figure B.8—Time spent in capacity reduction states
Three fundamental generation quantities are defined as follows:
 Maximum generation (MG) is the energy that could have been produced by a Unit in a given period
of time if operated continuously at Maximum capacity, MG = MC × ACTH.
 Expected generation (EG) is the generation that a VER unit was capable of producing at a particular
time, taking ambient conditions and resource limitations into account. Expected energy is the integral
of Expected capacity over a time period. Reductions due to any cause other than Resource
unavailability are not considered in calculating Expected capacity or Expected generation. Again,
the word “expected” should not be taken in a statistical sense.
118
 Actual generation (AAG) is the energy that was generated by a Unit in a given period.
The difference between Maximum generation and Expected generation is attributed to Resource
unavailability, both full and partial. The difference between Expected generation and Actual generation is
attributed to various other Unit outages, Unit deratings, and other Capacity reductions.
Maximum generation in a period is divided up into the categories shown in Figure B.9. The quantity at one
hierarchical level is the sum of the quantities at the next lower level. Note that Seasonal unavailable
generation is not applicable to VER units.
Maximum
Generation
(MG)
(AG) (UG)
Reserve Partial Reserve Total Resource Seasonal

Actual Unit Derated
Shutdown Reduction Unavailable Unavailable
Generation Outage Generation
(AAG) Generation (DG)
(RSG) (PRRG) (TRUG) (SUG)
Resource Partial Planned Planned

Unplanned Unplanned
Unavailable Resource Unavailable Derated
Unavailable Derated
Generation Unavail Gen Generation Generation
(RUG) (PRUG) (PUG) (PDG)
Maintenance Forced Maintenance Forced

Unavailable Unavailable Derated Derated
(MUG) (FUG) (MDG) (FDG)
Figure B.9—Generation terms
The challenge in defining generation-based factors and rates is allocating generation among overlapping
states. For example, if Partial resource unavailability occurs when the Unit is on a Forced outage, the
generation that would have been lost owing to the Forced outage, in the absence of Resource unavailability,
would be the product of Maximum capacity and duration of the outage. The generation that would have been
lost owing to Resource unavailability, in the absence of the Forced outage, would be the difference between
Maximum generation and Expected generation during that time. But these quantities overlap. The issue is,
how much of the lost generation should be attributed to the Forced outage and how much to Resource
unavailability?
Figure B.10 illustrates some of the relationships between time, capacity, and generation. In Figure B.10a and
Figure B.10b the horizontal and vertical axes are time and capacity. Figure B.10b has the hours and
equivalent hours replaced by generation, calculated as the area of each box, the product of time and capacity.
Similarly to capacity, each measure of generation can be expressed on a Gross or a Net basis. An “G” or a
“N” prefix may be used to indicate the basis. Net generation is negative if the Unit’s station service or
Auxiliary loads exceed Gross generation, such as when the Unit is shut down. Gross generation is measured
at the generator terminals and Net generation is measured at the revenue meter.
119
N S R P M F U N S R P M F U
PRUG
EPRUH PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF
Expected Generation (EG)
EPDH PDG
EMDH POH MOH FOH RUH MDG
FDG
EFDH
PRRG
EPRRH PUG MUG FUG RUG
NMC
GMC
AC
EC
EGN AAG RSG
MC
AC
EC
SHNG SH RSH
Plant Usage (Parasitic Loads)
SHNG SH RS POH MOH FOH

SHNG SH RSH POH MOH FOH AH UH RUH
AH UH RUH ACTH
ACTH
a Time and capacity b Generation (energy)

Figure B.10—Time, capacity, and generation relationships
The columns in the two figures represent Unit states, and the width of each column the hours in each state.
The letters above the columns correspond to the letters in parentheses listed with the states in Table B.1a.
The area of the entire box represents Gross maximum generation (GMG), which is the product of Gross
maximum capacity (GMC) and Active hours (ACTH). The large box with the thick (green) outline in the
lower left of Figure B.10b represents Expected generation (EG). Note that these figures are highly stylized.
Expected capacity is represented as a straight, horizontal line, while in actuality it is variable and might
conceptually be represented by a wavy line. Note that the widths of the columns are uniform, for readability
of the labels, and are not proportional to the hours that would be typical for a real WT or WF. Column N is
Service hours non-generating (SHNG), and is addressed later in section B.9.1.3.2. Note also that some
variables have a subscript that indicates they refer to a particular state, for example PRUGF is the Partial
resource unavailable generation during Forced outage hours and EGN the Expected generation that would be
possible were the Energy resource fully available and the Unit providing generating rather than non-
generating service.
Expected generation is the most that could possibly be produced for given resource conditions with perfect
equipment availability and no reserve reduction. In this case, Actual generation (AAG) would fill up the entire
lower left box. But in reality, there will be equipment outages and deratings. The amount of Expected
generation lost in Forced outages, for example, is the area of the rectangle labeled FUG.
The time and generation values corresponding to deratings, EFDH, etc., and FDG, etc., span the In-service
(S), In-service non-generating (N), and Reserve shutdown (R) columns. The time-based quantities are
disaggregated into In-service and Reserve shutdown components, because some system reliability models
can use the disaggregated data. For example, Forced derated hours (FDH) is disaggregated into In-service
forced derated hours (IFDH) and Reserve shutdown forced derated hours (RSFDH). (See 6.3.4.3.3.3.) The
corresponding generation quantities can be similarly disaggregated. But such disaggregation has not been
explicitly defined, because as of the time of the 2023 revision, the Standard 762 Working Group had not
identified a VER-related application for derating data disaggregated in this way.
B.8 Equivalent hours
B.8.1 General
Equivalent hours represent the time a Unit was in a time category involving Unit derating or other Capacity
reduction, expressed as full-load equivalent hours of full Unit outage at a reference generation quantity, and
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calculated from the generation quantity corresponding to the time category, as defined in section B.7. The
reference quantity is Expected generation (EG) for equivalent hours expressed from the unit perspective and
Maximum generation (MG) for those from the system perspective. Formulas for equivalent hours can be
derived from the following general equation:
𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔 𝑙𝑙𝑙𝑙𝑙𝑙𝑙𝑙 (𝐷𝐷𝐷𝐷)

𝐸𝐸 = × 𝑆𝑆𝑆𝑆 (B.1)
𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
For instance, if a Unit’s Expected generation was 10 MWh and Actual generation after derating was 7.5 MWh
for 24 hours this is equivalent to 6 hours of full Unit outage. EFDH = 24 hours * (10 – 7.5)/10 = 6 hours.
Note that the generation quantities for Capacity reductions, Maximum capacity, and Expected capacity must
be expressed on a consistent basis, Gross or Net. Equivalent hours can be calculated for each of the time
categories of Derated hours and partial reduction hours. The acronym for equivalent hours is formed by
adding an E in front of the acronym for the corresponding time designation. For example, the equivalent
hours for Unit derated hours (UNDH) is EUNDH.
A few examples will suffice, after a note about the subscript convention. The subscript V denotes the version
of a term applicable to VER units, C to Conventional units; S and U denote the system and unit versions,
respectively. An acronym without a V or C is applicable to both VER and Conventional units; without S or
C, applicable to both system and unit versions. Two other subscripts—T and K—will be described later in
this annex.
Equivalent unit derated hours
System (EUNDHVS) Unit derated generation converted to equivalent hours with respect to Maximum
generation.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (B.2)
𝑀𝑀𝑀𝑀
Unit (EUNDHVU) Unit derated generation converted to equivalent hours with respect to Expected generation.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (B.3)
𝐸𝐸𝐸𝐸
Equivalent forced derated hours
System (EFDHVS) Forced derated generation converted to equivalent hours with respect to Maximum
generation.
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (B.4)
𝑀𝑀𝑀𝑀
Unit (EFDHVU) Forced derated generation converted to equivalent hours with respect to Expected generation.
𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 = × 𝑆𝑆𝑆𝑆 (B.5)
𝐸𝐸𝐸𝐸
B.8.2 Comparison to equivalent hours for conventional generation
As stated in sections A.4 and B.4 and illustrated in Figure B.2, deratings for conventional and VER generation
are recorded differently. For Conventional units, Unavailable generation resulting from a Unit derating is the
product of the Capacity reduction (PD, MD, or FD) and duration of the derating. In a period with J discrete
periods of type y derating with constant capacity derating DCj(y) and duration Tj, total type y derated
generation DG(y) is:
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𝐷𝐷𝐷𝐷(𝑦𝑦) = �∑𝐽𝐽𝑗𝑗=1 𝐷𝐷𝐷𝐷𝑗𝑗 (𝑦𝑦) × 𝑇𝑇𝑗𝑗 � (B.6)
Equivalent hours of type y derating is defined in general as:
∑𝑚𝑚
𝑗𝑗=1 𝐷𝐷𝐷𝐷𝑗𝑗 (𝑦𝑦) × 𝑇𝑇𝑗𝑗
𝐸𝐸(𝑦𝑦) = (B.7)
𝑀𝑀𝑀𝑀
This is equivalent to Derated generation divided by Maximum capacity.
𝐸𝐸(𝑦𝑦) = (B.8)
𝑀𝑀𝑀𝑀
For VER generation, with continuously variable Expected and Available generation, deratings are typically
not discrete events, and Derated generation cannot be calculated as the sum of the contribution of individual
events, but must be determined from generation quantities. Equivalent hours for VER generation are
calculated from Derated generation, as in equation (B.8). Therefore, equivalent hours are conceptually the
same for conventional and VER generation, although the process for calculating them is different.
Specifically, for a Forced derating, starting with equation (B.8), multiplying the numerator and denominator
by SH, and noting that MG = MC × SH,
𝐹𝐹𝐹𝐹𝐹𝐹 𝐹𝐹𝐹𝐹𝐹𝐹 𝑆𝑆𝑆𝑆 𝐹𝐹𝐹𝐹𝐹𝐹

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = = × = × 𝑆𝑆𝑆𝑆, (B.9)
𝑀𝑀𝑀𝑀 𝑀𝑀𝑀𝑀 𝑆𝑆𝑆𝑆 𝑀𝑀𝑀𝑀
showing the conceptual equivalence between equivalent hours for VER and Conventional units.
B.9 Performance indexes for an individual unit
B.9.1 Index categories
Clause 9 is the core of IEEE Std 762. This clause provides both the conceptual definitions of the basic
performance indexes and the equations to calculate them for an individual Unit from the system and unit
reliability perspectives. Two broad categories of indexes are factors and rates.
A time-based factor represents the fraction of hours a Unit was in a given state. A generation-based factor
represents the fraction of generating capability that could not be produced because a Unit was in a given
unavailable state (an unavailability factor) or its complement (an availability factor). One of two measures
of generating capability—maximum vs. expected—is used, depending on the purpose—system vs. unit. For
the purpose of expressing the availability or unavailability of the Unit for system reliability modeling,
reflecting both equipment and Resource unavailability, Maximum generation, as defined above, is the
denominator. For the purpose of measuring the performance of a Unit reflecting only equipment
unavailability, with resource conditions removed, the Expected generation calculated from the historical
sequence of chronological meteorological data corresponding to the availability data is used as the
denominator.
A time-based rate represents the time a Unit was in a state as a proportion of the time the Unit would be
expected to be available. A generation-based rate represents the Unit’s generating capability during the time
a Unit was in a given state as a proportion of its capability during the time the Unit would be expected to be
available. Again, Maximum generation or Expected generation is used as the denominator depending on
whether the index is for system or unit purposes.
“Equivalent” variants of factors and rates insert the word “equivalent” before the name of the basic index.
These treat deratings of the Unit in terms of equivalent hours of full Unit outage that would result in the same
loss of Expected generation.
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Traditionally, performance indexes for Conventional units have been based on time, with equivalent hours
as defined in equation (B.7) used as an intermediate step in incorporating deratings in equivalent factors. But,
because equivalent hours for VER units are defined on the basis of generation, alternative versions of time
factors are presented for VER units calculated directly on the basis of generation. These are denoted by the
addition of the word “generation” in the name and the letter “G” in the acronym. Indexes in Clause 9 are
divided into the following categories:
 Availability factors: Ratios having Active hours (ACTH) as the denominator (9.2). ACTH may be
over the entire operating history of the Unit(s) or a subset thereof. Availability factors for VER units
may be calculated on the basis of generation (9.3).
 Equivalent availability factors: Ratios having Active hours (ACTH) as the denominator and
 Derating factors: Fractions of Maximum generation that could not be produced due to Unit deratings
(9.10).
Examples of indexes in each of these categories are considered below.
B.9.1.1 Availability factors
Time-based availability factors are ratios having Active hours (ACTH) as the denominator. Alternative forms
for VER units are defined on the basis of generation.
The general form of a time-based factor is:
𝐻𝐻𝐻𝐻𝐻𝐻𝐻𝐻𝐻𝐻
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 = (B.10)
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 ℎ𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜
If a factor would make sense both with and without Resource unavailable hours, both system and unit
versions of the factor are defined. The general form of a generation-based availability factor for the system
perspective has Maximum generation in the denominator:
𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
The general form of a generation-based availability factor for the unit perspective has Expected generation
in the denominator:
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
The conceptual difference, as mentioned above is that system planners need to account for all causes of
unavailability in generation, while performance benchmarking of equipment and plant operations typically
needs to exclude Resource unavailability.
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Factors are defined for the following availability and unavailability states, both time-based factors and
generation-based time factors, and for the system and unit perspectives whenever meaningful.
 Availability factor (AF) = 1 – UF

 Unavailability factor (UF)
 Planned outage factor (POF)
 Unplanned outage factor (UOF)
 Maintenance outage factor (MOF)
 Forced outage factor (FOF)
We take a closer look at the time-based UF and the corresponding generation-based UGF. These
unavailability factors have the largest number of terms in the numerator (except for the availability factors,
which are the complements of unavailability factors). So, they are provided here as examples.
Given PUG, MUG, and FUG—Planned, Maintenance, and Forced unavailable generation, the amount of
Expected generation lost during Planned, Maintenance, and Forced outage hours—and RUG—Resource
unavailable generation, the amount of Maximum generation lost during full Resource unavailability—we
define the unavailability factors for the unit perspective as follows:
Time-based: Unavailability factor, unit (UFVU). The fraction of Active hours in which a Unit was unavailable
due to Unit outages.
𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = (B.13)
Generation-based: Unavailability generation factor, unit (UGFVU). The fraction of Expected generation a
Unit could not produce due to Unit outages.
𝑈𝑈𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = (B.14)
𝐸𝐸𝐸𝐸
These two indexes are represented graphically by the shaded areas in Figure B.11, the time-based UFVU on
the left and the generation-based UGFVU on the right. The horizontally-striped (green) areas represent the
Unit outage components, which are in both the numerator and denominator, while the solid (blue) areas are
the portions of ACTH or EG that are in the denominator only.
The ratios of the areas look similar. But they are not identical because, in general, average Expected capacity
may be different between Service hours and Planned, Maintenance, or Forced outage hours. Therefore,
although the time-based and generation-based indexes appear quite similar graphically, the numerical values
may not be the same.
The system versions include Resource unavailability in the numerator, and the system versions of the
generation factor have Maximum generation in the denominator.
Time-based: Unavailability factor, system (UFVS). The fraction of Active hours in which a Unit was not
available due to Unit outages or full Resource unavailability.
𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = (B.15)
124
Generation-based: Unavailability generation factor, system (UGFVS). The fraction of Maximum generation
a Unit could not produce due to Unit outages or full Resource unavailability.
𝑈𝑈𝑈𝑈𝐹𝐹𝑉𝑉𝑉𝑉 = (B.16)
𝑀𝑀𝑀𝑀
PRUG
EPDH PDG
FDG
EFDH
PRRG
NMC
GMC
AC
EC
EGN AAG RSG
MC
AC
EC
SHNG SH RSH

AH UH RUH ACTH
ACTH
a Time-based (UFVU) b Generation-based (UGFVU)

Figure B.11—Components of unavailability factors, unit versions
B.9.1.2 Equivalent availability factors
Time-based equivalent availability factors are ratios having Active hours (ACTH) as the denominator and
considering Derated generation. Equivalent factors also have alternative forms for VER units defined on the
basis of generation.
The general forms for equivalent availability factors are the same as for availability factors, above, except
that:
 In the time-based forms, the numerator includes equivalent hours as well as full Unit outage hours.
 In the generation-based forms, the numerator includes Derated generation and Capacity reductions
as well as generation lost to full Unit outages.
The following equivalent factors are defined:

 Equivalent availability factor (EAF) = 1 – EUF
 Equivalent unavailability factor (EUF)
 Equivalent resource availability factor (ERAF) – 1 – ERUF
 Equivalent planned outage factor (EPOF)
 Equivalent unplanned outage factor (UOF)
 Equivalent maintenance outage factor (EMOF)
 Equivalent forced outage factor (EFOF)
 Equivalent forced unavailability factor (EFUF)
125
The equivalent unavailability factors have the largest number of terms in the numerator (except for the
availability factors, which are the complements of unavailability factors). So, they are provided here as
examples. Similar observations to those for availability factors apply here.
Time-based: Equivalent unavailability factor, unit (EUFVU). The fraction of Active hours in which a Unit
was not available due to Unit outages or Unit deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉
𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = (B.17)
Generation-based: Equivalent unavailability generation factor, unit (EUGFVU). The fraction of Expected
generation a Unit could not produce due to Unit outages or Unit deratings.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = (B.18)
𝐸𝐸𝐸𝐸
Time-based: Equivalent unavailability factor, system (EUFVS). The fraction of Active hours in which a Unit
was not available due to Unit outages, Unit deratings, or full or partial Resource unavailability.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉
𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = (B.19)
Generation-based: Equivalent unavailability generation factor, system (EUGFVS). The fraction of Maximum
generation a Unit could not produce due to Unit outages, Unit deratings, or full or partial Resource
unavailability.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑉𝑉𝑉𝑉 = (B.20)
𝑀𝑀𝑀𝑀
Slicing and dicing unavailability is simple for unit indexes, because Resource unavailability is ignored and
the challenges of allocating overlapping quantities are largely avoided. It is more complicated for system
indexes. (See Annex M.) The convention followed in IEEE Std 762-2023 is that lost generation is allocated
to full and partial Resource unavailability first, as RUG for full Resource unavailability and PRUG for partial
Resource unavailability, before full Unit outage and Unit derating quantities. Only the amount of Expected
generation over the duration of an Unit outage is allocated to the Unit outage, as for example FUG.
Figure B.12 shows the components of UGFVS and EUGFVS. All of the shaded areas are in the denominator.
The horizontally-striped (green) areas represent the contribution of equipment unavailability, the vertically-
striped (orange) areas Resource unavailability. The solid (blue) areas are in the denominators only.
PRUG PRUG
PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF
Expected Generation (EG) Expected Generation (EG)

PDG PDG
MDG MDG
FDG FDG
PRRG PRRG
PUG MUG FUG RUG PUG MUG FUG RUG
NMC
NMC
GMC
GMC
AC
AC
EC
EC
EGN AAG RSG EGN AAG RSG
Plant Usage (Parasitic Loads) Plant Usage (Parasitic Loads)
SHNG SH RS POH MOH FOH SHNG SH RS POH MOH FOH

AH UH RUH AH UH RUH
ACTH ACTH
Equipment unavailability Resource unavailability Denominator only

a Components of UGFVS b Components of EUGFVS
Figure B.12—Components of generation-based unavailability factors, system versions
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B.9.1.3 Rates and equivalent rates
B.9.1.3.1 General
Rates express the proportion of time a Unit was in a particular state given the time the Unit was expected to
be available. An equivalent rate is calculated as the average proportion of a Unit’s capacity that was in that
state, considering equivalent derated hours. A time ratio rate is used as an estimate of the probability a Unit
is in that state for future system reliability assessment. Alternative formulations in terms of generation have
been defined for VER units.
The following time ratio rates are defined for VER units. The corresponding generation ratio rates are also
defined for VER units.
 Forced outage rate (FOR)

 Forced outage rate total (FORT)
 Equivalent forced outage rate (EFOR)
 Equivalent forced outage rate total (EFORT)
Key differences among these rates are:

 The rates with the word “equivalent” in the name include terms with Deratings and other Capacity
reductions in the numerator or denominator; the rates without “equivalent” do not include Capacity
reductions (except for an adjustment for EPRRH, which is described below).
 The rates with “total” include time in non-generating service in the denominator.
We take a closer look at the time-based FOR and EFOR and the corresponding generation-based FOGR and
EFOGR.
Given FUG, Forced unavailable generation, the amount of Expected generation lost during Forced outage
hours, we define the Forced outage generation rate (FOGR) for the unit perspective and compare it to the
time-based FOR as follows:
Time-based: Forced outage rate, unit (FORVU). The proportion of time that a Unit was not available due to
Forced outages during Service hours, Forced outage hours, and full Resource unavailable hours.
𝐹𝐹𝐹𝐹𝑅𝑅𝑉𝑉𝑉𝑉 = (B.21)
𝑆𝑆𝑆𝑆 −𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
Generation-based: Forced outage generation rate, unit (FOGRVU). The average proportion of a Unit’s
Expected generation that was not available due to Forced outages during Service hours and Forced outage
hours.
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = (B.22)
These two indexes are represented graphically by the shaded areas in Figure B.13, the time-based FORVU
on the left and the generation-based FOGRVU on the right. The horizontally-striped (green) areas represent
Unit outages which are in both the numerator and denominator, while the shaded (blue) areas are the
components in the denominator only. Derated generation (DG) is the sum of Planned, Maintenance, and
Forced derated generation. Partial reserve reduction generation (PRRG), which is the amount by which
generation from the VER unit is reduced by order of the system control center, and its time-based equivalent
Partial reserve reduction hours (EPRRHVU) are excluded from the denominators in the formulas consistent
127
with the exclusion of Reserve shutdown generation (RSG) and Reserve shutdown hours (RSH), according to
a long-standing convention for VER indexes.
PRUG
EPDH PDG
FDG
EFDH
PRRG
NMC
GMC
AC
EC
EGN AAG RSG
MC
AC
EC
SHNG SH RSH

AH UH RUH ACTH
ACTH
a Forced outage rate (FORVU) b Forced outage generation rate (FOGRVU)

Figure B.13—Forced outage rates–unit versions
The ratios of the areas look similar. But they are not identical because, in general, average Expected capacity
may be different between Service hours and Forced outage hours, and the ratio of PRRG or EPRRHVU to the
blue areas may be different for the generation-based and time-based indexes. Therefore, although the time-
based and generation-based indexes appear quite similar graphically, the numerical values may not be the
same.
With the introduction of Resource unavailability in the 2023 version of IEEE Std 762, RUH has been added
to the denominator of various rates and equivalent rates. This is particularly important for VER units because
SH is largely determined by resource availability, and can vary widely from month to month and even from
year to year; therefore, an index like FOR would vary widely from period to period, even if FOH were steady,
making it difficult to compare unit performance between periods or observe trends in equipment availability.
Further, Forced outages can occur from both the In-service and Resource unavailable states, and FOH
includes both kinds of Forced outages.
The indexes including Forced deratings are:
Time-based: Equivalent forced outage rate, unit (EFORVU). The average proportion of a Unit’s capacity that
was not available due to Forced outages or Forced deratings during Service hours, Forced outage hours, and
Resource unavailable hours.
𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝑉𝑉𝑉𝑉 = (B.23)
𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
EFDH is calculated based on FDG, EG, and SH, as shown in equation (B.5).
Generation-based: Equivalent forced outage generation rate, unit (EFOGRVU). The average proportion of a
Unit’s Expected generation that was not available due to Forced outages or Forced deratings during Service
hours and Forced outage hours.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = (B.24)
The formulas for factors and rates presented above, together with system versions of the rates, are
summarized in Table B.3.
128
B.9.1.3.2 Service hours non-generating
As mentioned above, some VER units can provide ancillary services, such as voltage support, even when
their power output is zero. The In-service non-generating and Resource unavailable states are mutually
exclusive. So when the resource is unavailable but the VER unit is providing non-generating services, the
time is counted as Service hours non-generating (SHNG). Service hours connected (SHC) includes Service
hours generating (SH) and SHNG. Some indexes include SHNG and have the word “total” in the name and
the subscript “T” in the acronym. For example, Equivalent forced outage rate total (EFORT) includes SHNG;
EFOR does not.
The differences between FOR and FORT are in the denominators. For time-based indexes, FOR has Service
hours generating (SH) in the denominator, while FORT has Service hours connected, which includes both
Service hours generating and Service hours non-generating. For generation-based indexes, the denominator
for FOGRT implicitly includes MGN, the Maximum generation possible during SHNG for system indexes,
and EGN, Expected generation during SHNG for unit indexes, while the denominator in FOGR does not. For
example:
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑇𝑇𝑇𝑇 = (B.25)
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐸𝐸𝐺𝐺𝑁𝑁 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
The choice between indexes with and without SHNG depends on whether SHNG is significant relative to SH,
FOH, and RUH, and whether time in non-generating functions is deemed to be a significant factor in Forced
outages. Whether SHNG has any impact on generation-based unit indexes depends on whether Expected
generation during In-service non-generating hours is non-zero.
129
Table B.3—Generation-based VER indexes
UFVU UFVS EUFVU EUFVS

Unavailability factor, unit. The Unavailability factor, system. The Equivalent unavailability factor, unit. Equivalent unavailability factor,
fraction of Active hours in which a fraction of Active hours in which a The fraction of Active hours in which system. The fraction of Active hours
Unit was unavailable due to Unit Unit was not available due to Unit a Unit was not available due to Unit in which a Unit was not available due
outages. outages or full Resource outages or Unit deratings. to Unit outages, Unit deratings, or full
unavailability. or partial Resource unavailability.
Time- 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉
𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = 𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉
based 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴
+𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉
= =
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴
UGFVU UGFVS EUGFVU EUGFVS

Unavailability generation factor, unit. Unavailability generation factor, Equivalent unavailability generation Equivalent unavailability generation
The fraction of Expected generation a system. The fraction of Maximum factor, unit. The fraction of Expected factor, system. The fraction of
Unit could not produce due to Unit generation a Unit could not produce generation a Unit could not produce Maximum generation a Unit could not
outages. due to Unit outages or full Resource due to Unit outages or Unit deratings. produce due to Unit outages, Unit
unavailability. deratings, or full or partial Resource
unavailability.
Gen- 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝑀𝑀𝑀𝑀𝑀𝑀
𝑈𝑈𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = 𝑈𝑈𝑈𝑈𝐹𝐹𝑉𝑉𝑉𝑉 = +𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹
based 𝐸𝐸𝐸𝐸 𝑀𝑀𝑀𝑀 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑉𝑉𝑉𝑉 = +𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐸𝐸𝐸𝐸 𝑀𝑀𝑀𝑀
130
Table B.3—Generation-based VER indexes —cont.
FORVU FORVS EFORVU EFORVS

Forced outage rate, unit. The Forced outage rate, system. The Equivalent forced outage rate, unit. Equivalent forced outage rate, system.
proportion of time that a Unit was not proportion of time that a Unit was not The average proportion of a Unit’s The average proportion of a Unit’s
available due to Forced outages during available due to Forced outages or full capacity that was not available due to capacity that was not available due to
Service hours, Forced outage hours, Resource unavailability during Service Forced outages or Forced deratings Forced outages, Forced deratings, or
and full Resource unavailable hours. hours, Forced outage hours, and full during Service hours, Forced outage full or partial Resource unavailable
Resource unavailable hours. hours, and Resource unavailable during Service hours, Forced outage
hours. hours, and full Resource unavailable
hours.
Time- 𝐹𝐹𝐹𝐹𝑅𝑅𝑉𝑉𝑉𝑉 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉
based 𝐹𝐹𝐹𝐹𝐹𝐹 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉
= = = =
𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
FOGRVU FOGRVS EFOGRVU EFOGRVS

Forced outage generation rate, unit. Forced outage generation rate, system. Equivalent forced outage generation Equivalent forced outage generation
The average proportion of a Unit’s The average proportion of a Unit’s rate, unit. The average proportion of a rate, system. The average proportion
Expected generation that was not Maximum generation that was not Unit’s Expected generation that was of a Unit’s Maximum generation that
available due to Forced outages during available due to Forced outages or full not available due to Forced outages or was not available due to Forced
Service hours and Forced outage Resource unavailability during Service Forced deratings during Service hours outages, Forced deratings, or full or
hours. hours, Forced outage hours, and and Forced outage hours. partial Resource unavailability during
Resource unavailable hours. Service hours, Forced outage hours,
and Resource unavailable hours.
Gen- 𝐹𝐹𝐹𝐹𝐹𝐹 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 =
based 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
131
How important is the In-service non-generating state for VER generation? The non-generating function does
not at present seem to be relevant for wind but may be relevant for solar PV.
“Total” versions of each of the time ratio rates and the corresponding generation ratio rates in B.9.1.3.1 have
been defined for VER units.
B.9.1.4 Restricted factors and rates
Restricted factors and rates are based on restricted sets of hours. We consider two examples, based on the
specification of a Critical period K, which is a set of historical hours characterized by high system demand
or low operating reserve margins. The motivation is discussed in B.9.2.
Equivalent critical period availability factor (EAFK). The average proportion of a Unit’s capacity that was
available in a specified Critical period.
𝐴𝐴𝐴𝐴𝐾𝐾
𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾 = (B.26)
𝑀𝑀𝑀𝑀𝐾𝐾
Equivalent critical period unavailability factor (EUFK). The average proportion of a Unit’s capacity that was
not available in a specified Critical period due to any cause (Unit outages, Unit deratings, or Resource
unavailability).
𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾 = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐾𝐾 (B.27)
B.9.1.5 Production factors
Production factors express Actual generation as a fraction of Expected generation for unit indexes and
Maximum generation for system indexes.
In general, these factors state some measure of Actual generation as a percentage of a measure of possible
generation. This section presents the following factors:
 Gross capacity factor (GCF)
 Net capacity factor (NCF)
 Total net capacity factor (NCFT)
 Gross output factor (GOF)
 Net output factor (NOF)
 Performance Index (PI)
Capacity factors consider potential generation during Active hours; output factors consider generation only
during Service hours.
Gross capacity factor (GCF). The Gross energy that was produced by a Unit in a given period as a fraction
of the Gross maximum generation.
𝐺𝐺𝐺𝐺𝐺𝐺 = (B.28)
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴×𝐺𝐺𝐺𝐺𝐺𝐺
where GAAG and GMC are Gross actual generation and Gross maximum capacity. Net capacity factor can
be obtained by substituting Net actual generation (NAAG) and Net maximum capacity (NMC) for GAAG and
GMC. Gross and net output factors can be obtained by substituting Service hours SH for Active hours
(ACTH).
132
The two factors that are unique to VERs are NCFT and PI. They are defined as follows:
Total Net Capacity Factor (NCFT). The proportion of Gross generation that was delivered to the Net metering
point.
𝑁𝑁𝑁𝑁𝑡𝑡 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
𝑁𝑁𝑁𝑁𝐹𝐹𝑇𝑇 = (B.29)
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺 𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔𝑔
Performance Index. The Gross actual generation that was produced by a Unit as a fraction of Expected
generation for the period.
𝑃𝑃𝑃𝑃 = (B.30)
𝐸𝐸𝐸𝐸
B.9.1.6 Derating factors
Derating factors express the fraction of Maximum or Expected generation that could not be produced due to
Deratings. Derating factors are equivalent to equivalent derated hours expressed as a fraction of Active hours.
Only one factor is defined for VER units.
Unit derating factor, system (UDFVS). The fraction of Maximum generation that could not be produced due
to Unit deratings.
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝑀𝑀𝑀𝑀
Unit derating factor, unit (UDFVU). The fraction of Expected generation that could not be produced due to
Unit deratings.
𝐸𝐸𝐸𝐸
B.9.1.7 Average time durations and occurrence rates
We consider just two examples:
Average forced outage duration (r). Forced outage hours divided by the number of Forced outages.
Repair rate (1/r). The number of Forced outages divided by Forced outage hours.
B.9.2 Critical period indexes
As noted in [B21] and other references, the output of VER units may be correlated with system demand, such
as when demand and VER generation are influenced by the same meteorological conditions. When this is the
case, a performance measure based on a subset of hours in the study period, rather than the entire study
period, may be more a meaningful representation of the availability of VER units to serve system load.
133
A Critical period is defined as a set of historical hours in which the system need for generation was greatest,
that is with elevated risk of capacity shortfall (see 3.7). The need may be determined on the basis of hourly
peak demand, hourly peak net demand (after subtracting hourly VER generation from hourly demand), hourly
loss-of-load probability, or a related index. The hours may be selected from multiple years. Formally, the
Critical period is a specified set of hours for which particular indexes are to be calculated. Selecting all the
hours in a specified peak season would not yield a very good Critical period because it would include a lot
of hours with low load.
Given the specification of a Critical period, a Critical period equivalent availability factor may be calculated
as the average proportion of a Unit’s capacity that was available in the Critical period, as shown in Equation
(B.26).
However, before it is used in practical studies, the usefulness and meaningfulness of such an index should be
checked carefully, either through theoretical analysis or numerical experimentation. The value of the index
may depend sensitively on the selection of the Critical period hours in a way that captures the system’s
greatest need, with consideration of how the Critical period might shift over time, which is occurring (for
instance, in some areas with increasing penetration of VER generation). In general, it is not possible to find
a universally applicable summary statistic for the contribution of the VG in a system [B21], and for robust
results there may be no alternative to performing a full probabilistic risk calculation.
B.9.3 Numerical example
Table B.4 provides parameters representing a hypothetical wind farm with 10 turbines, 240 kW each, for a
total of 2.4 MW, over a 31-day month. Table B.5 compares numerical results for a handful of rates and
equivalent rates for a hypothetical case.
Full and partial Resource unavailability are represented by RUG and PRUG. PRUG includes reductions
occurring during equipment full Unit outages. The generation numbers FUG, etc. don’t include all the energy
lost in equipment full Unit outages. Thus, the generation lost to the type of full Unit outage, e.g., Forced
outages, is understated, as the overlapping energy is assigned to Resource unavailability. Unit unavailability
indexes change depending on Resource unavailability conditions and may be underestimated relative to time-
based indexes.
134
Table B.4—Assumptions for numerical examples
Time Hours
Active hours ACTH 7035
Service hours generating SH 5060
Resource unavailable hours RUH 1654
Planned outage hours POH 141
Maintenance outage hours MOH 46
Forced outage hours FOH 227
Equivalent partial reserve reduction hours, system EPRRHVS 53
Equivalent partial reserve reduction hours, unit EPRRHVU 96
Equivalent partial resource unavailable hours EPRUH 1099
Equivalent planned derated hours, system EPDHVS 24
Equivalent planned derated hours, unit EPDHVU 43
Equivalent maintenance derated hours, system EMDHVS 9
Equivalent maintenance derated hours, unit EMDHVU 16
Equivalent forced derated hours, system EFDHVS 64
Equivalent forced derated hours, unit EFDHVU 112
Generation MWh
Gross maximum generation GMG 17 532
Gross actual generation GAAG 8369
Available generation AG 8747
Expected generation EG 9755
Unavailable generation UG 1009
Total resource unavailable generation TRUG 7777
Resource unavailable generation RUG 3970
Partial resource unavailable generation PRUG 3807
Planned unavailable generation PUG 108
Maintenance unavailable generation MUG 53
Forced unavailable generation FUG 505
Planned derated generation PDG 83
Maintenance derated generation MDG 31
Forced derated generation FDG 228
Derated generation DG 342
Partial resource unavailable generation, service hours PRUGS 3248
Partial resource unavailable generation, planned outage hours PRUGP 230
Partial resource unavailable generation, maintenance outage hours PRUGM 57
Partial resource unavailable generation, forced outage hours PRUGF 39
135
Table B.5—Example Indexes for a hypothetical wind farm
UFVU UFVS FORVU FORVS

Time-based 5.7% 28.3% 3.3% 27.3%
UGFVU UGFVS FOGRVU FOGRVS
Gen-based 6.8% 26.4% 5.5% 33.9%
EUFVU EUFVS EFORVU EFORVS

Time-based 8.0% 44.7% 5.0% 44.2%
EUGFVU EUGFVS EFOGRVU EFOGRVS
Gen-based 10.3% 50.1% 8.0% 50.1%
B.9.4 Relationships between performance indexes
The performance indexes presented in 9.3 and 9.5, and discussed in this application guide in B.9.1.1 and
B.9.1.2 comprise a unified set of Active hour-based indexes (called factors).
In order to further illustrate the relationship between the Active hour-based performance indexes, Figure
B.10b shows a capacity versus time diagram (all capacity values must be either Gross or Net). The total
height of the diagram is Gross maximum capacity (GMC), and the total width of the diagram is Active hours
(ACTH). Thus, the total area of the diagram is Gross maximum generation:
𝐺𝐺𝐺𝐺𝐺𝐺 = 𝐺𝐺𝐺𝐺𝐺𝐺 × 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 (B.33)
This is the generation (total energy in megawatt-hours) that could have been generated during the period if
operating continuously at Maximum capacity. The generation adjusted for full and partial Resource
unavailability (RUG and PRUG) is the Expected generation. The following relationships are shown for unit
indexes considering the Expected generation.
The areas MG and EG are divided into several vertical segments by the various time and generation
designations in Clause 6, Clause 7, and Clause 8. The vertical segments involving available hours are further
divided into sections to show the generation associated with Unit deratings, Reserve generation, and Actual
generation. Because these areas represent generation, all of the performance factors in Clause 9 that are based
on generation can be expressed as ratios of the areas in Figure B.10b. For example, the unit versions of
selected generation factors (with subscripts suppressed) are:
𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 = (B.34)
𝐸𝐸𝐸𝐸
𝑀𝑀𝑂𝑂𝑂𝑂𝑂𝑂 = (B.35)
𝐸𝐸𝐸𝐸
𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹
𝑈𝑈𝑈𝑈𝑈𝑈𝑈𝑈 = = 𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 (B.36)
𝐸𝐸𝐸𝐸
𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 = (B.37)
𝐸𝐸𝐸𝐸
𝑈𝑈𝑈𝑈𝑈𝑈 = = 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 (B.38)
𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸−(𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹)
𝐴𝐴𝐴𝐴𝐴𝐴 = (B.39)
𝐸𝐸𝐸𝐸
136
𝑈𝑈𝑈𝑈𝑈𝑈 = (B.40)
𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = (B.41)
𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸
𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐺𝐺
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = 𝑈𝑈𝑈𝑈𝑈𝑈 + 𝑈𝑈𝑈𝑈𝑈𝑈 (B.44)
𝐸𝐸𝐸𝐸
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 (B.45)
The system versions and other generation factors can similarly be seen as ratios of areas, for example:
𝐺𝐺𝐺𝐺𝐺𝐺 = (B.46)
𝐺𝐺𝐺𝐺𝐺𝐺
𝑁𝑁𝑁𝑁𝑁𝑁 = (B.47)
NOTE—Capacity factor is GCF or NCF depending on Gross or Net basis used for capacity.
Using the generation quantities shown in Figure B.10b, and taking care to use Gross or Net generation
consistently, a hierarchy of capacity limitation factors can be developed as follows:
The average fraction of Maximum generation available, as limited only by full and partial Resource
unavailability, is the Equivalent resource availability generation factor (ERAGF):
𝑀𝑀𝑀𝑀−𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑀𝑀𝑀𝑀−(𝑅𝑅𝑅𝑅𝑅𝑅+𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃)
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 = = (B.48)
The average fraction of Maximum generation available, as limited by full Unit outages and Unit deratings as
well as by Resource unavailability is the Equivalent availability generation factor:
𝑃𝑃𝑃𝑃𝑃𝑃+𝑃𝑃𝑃𝑃𝑃𝑃+𝑀𝑀𝑀𝑀𝑀𝑀+𝑀𝑀𝑀𝑀𝑀𝑀+𝐹𝐹𝐹𝐹𝐹𝐹+𝐹𝐹𝐹𝐹𝐹𝐹+𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐴𝐴𝐴𝐴𝐴𝐴+𝑅𝑅𝑅𝑅𝑅𝑅+𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = 1 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = 1 − = (B.49)
The average fraction of Maximum generation actually generated is the Capacity factor:
𝐴𝐴𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴𝐴𝐴
𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 = = (B.50)
𝑀𝑀𝑀𝑀 𝐸𝐸𝐸𝐸+𝑅𝑅𝑅𝑅𝑅𝑅+𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
B.9.5 Equivalent formulas
The formulas for many terms can be written more than one way. Table B.6 shows alternative, mathematically
equivalent formulas for EFUGRTS. Only one formula is provided for most terms in the main body of the
standard. This is typically the maximum aggregation form. But another form may be used if it better
communicates an essential fact about the term. In some cases, a second formula may be provided to highlight
relationships between terms. Various relationships between indexes are presented just above, in B.9.4.
137
Table B.6—Equivalent formula forms
Formula
9.7.5 Equivalent forced outage generation rate total
System (EFOGRTVS)
The average proportion of a Unit’s Maximum generation that was not available due to Forced outages,
Forced deratings, and full or partial Resource unavailability during Service hours connected (both
generating and non-generating), Forced outage hours, and Resource unavailable hours.
Maximum aggregation (This is the form presented in 9.7.5.)

𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝑇𝑇𝑇𝑇𝑇𝑇 =
𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐸𝐸𝐺𝐺𝑁𝑁 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
TRUG replaced by RUG and PRUG

𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑇𝑇𝑇𝑇𝑇𝑇 =
𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐸𝐸𝐺𝐺𝑁𝑁 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑈𝑈𝐺𝐺 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
Maximum use of MGX, with PRUGX as needed.

𝑀𝑀𝐺𝐺𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑆𝑆 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑁𝑁 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑀𝑀
𝑀𝑀𝐺𝐺𝑆𝑆 − 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝐺𝐺𝑁𝑁 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑀𝑀 + 𝑀𝑀𝐺𝐺𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
Maximum disaggregation
𝐹𝐹𝐹𝐹𝐹𝐹+𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅+𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑆𝑆 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑁𝑁 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑅𝑅 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑃𝑃 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑀𝑀
𝐴𝐴𝐴𝐴𝐴𝐴+𝐷𝐷𝐷𝐷+𝐸𝐸𝐺𝐺𝑁𝑁 +𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃 𝑁𝑁 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑅𝑅 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑃𝑃 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑀𝑀 +𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 +𝐹𝐹𝐹𝐹𝐹𝐹+𝑅𝑅𝑅𝑅𝑅𝑅
Denominator calculates maximum generation for some columns from hours and GMC
𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
𝐸𝐸𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑇𝑇𝑇𝑇𝑇𝑇 =
(𝑆𝑆𝑆𝑆𝑆𝑆 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅) × 𝐺𝐺𝐺𝐺𝐺𝐺 − 𝑃𝑃𝑃𝑃𝑃𝑃𝑃𝑃
B.10 Group performance indexes
B.10.1 General
Historically, individual Unit performance indexes have been used to assess electric generating unit reliability,
availability, and productivity. Individual unit performance indexes are commonly compared to performance
indexes of a “peer” Group of Units, both unweighted Group performance indexes and Weighted Group
performance indexes defined in Clause 10. Group index equations are built upon the individual unit
performance indexes. Unweighted Group performance indexes are a special case of Weighted indexes where
the weights of all units are identical. The individual unit indexes of Clause 9 are the same as Group indexes
where there is only one Unit in the Group.
Pooling of outage data of a Group of Units (homogenous or heterogenous) can be Weighted or unweighted.
A Group typically includes multiple Units at different locations. When multiple identical VER units at a
single location are aggregated, the aggregate is the Unit and the individual generators are called Sub-units
(see 3.22). There are different purposes of pooling outage data and different methods used. Any of the
138
performance indexes defined in Clause 9 may be grouped using one of the pooling methods. Clause 10
presents only illustrative examples and does not define a comprehensive set of Group performance indexes.
Note that Units of the same model, or even the Sub-units of a Unit, may be subject to widely divergent
operating conditions, and may therefore exhibit significantly different performance. Therefore, care should
be exercised in deciding which Units to include in a homogeneous Group.
B.10.2 Weighting performance data
(heterogenous population) weighting is believed to better reflect the contribution of each Unit to the Group’s
indexes.
Expected energy is a common weight used in pooling performance indexes for VER units. However, other
weights may be appropriate in some cases, particularly weights which consider the service period of the Unit
as well as its size.
Explicit weighting is not necessary for production factors or generation-based factors because these factors
are inherently energy-weighted. Weighting is also not necessary for average time durations and occurrence
rates, as these are averages over events, not Units.
139
Annex C
(informative)
Glossary of terms and abbreviations
NOTE—Acronym and subscript conventions:
 Many acronyms in Clause 9, when preceded by a “G,” refer to a corresponding grouped form index
in clause 10. Acronyms referring to grouped forms are not separately listed in this annex. A “G” at
the beginning of an acronym in some instances denotes a Gross quantity (5.1).
 Acronyms beginning with “E” refer to indexes modified to transform hours of derated or reduction
hours into equivalent hours of complete outage.
 Acronyms ending in “F” refer to a “factor” defined in 9.2, NOTE 2— through 9.5, 9.8, or 9.9.
 Acronyms ending in “G” refer to a measure of generation defined in Clause 7.
 Acronyms ending in “GF” refer to a “generation factor” defined in subclauses 9.3 or 9.5.
 Acronyms ending in “GR” refer to a “generation rate” defined in 9.7.
 Acronyms ending in “H” refer to a measure of hours defined in Clause 6.
 Acronyms ending in “R” refer to a “rate” defined in 9.6, 9.7, or 9.8.
 The subscript “C” refers to Conventional units (5.1).
 The subscript “V” refers to VER units (5.1).
 The subscript “S” refers to the purpose system reliability analysis (5.1).
 The subscript “U” refers to the purpose unit performance analysis (5.1).
 The subscript “d” denotes an index based on data restricted to periods of demand (3.10).
 The subscript “K” denotes an index based on data restricted to a Critical period (3.7).
 The subscript “T” denotes an index (“Total”) based on data including the In-service non-generating
state (4.2.2.2.2) or in one instance Gross actual generation (9.9.4).
 Another subscript may be added to denote a quantity or index calculated on the basis of data restricted
to a particular unit state. The states and corresponding subscripts are listed in (7.1).
Abbreviation Reference Term
AAG 7.6.1 Actual generation
AAGK 7.6.2 Critical period actual generation
AC 5.2.7 Available capacity
ACTH 6.2.3 Active hours
AFS 9.2.2 Availability factor (for system reliability analysis)
AFU 9.2.2 Availability factor (for unit performance analysis)
AGC 7.6 Available generation (of Conventional units)
140
AGV 7.6 Available generation (of VER units)
AGFVS 9.3.2 Availability generation factor (of VER units for system reliability
analysis)
AGFVU 9.3.2 Availability generation factor (of VER units for unit performance
analysis)
AH 6.2.3.1.1 Available hours
AHK 3.7 Available hours in the critical period
ART 9.11.2.8 Average run time
CR 9.11.3.5 Cycling rate
D 9.11.2.5 Average demand time
1/D 9.11.3.1 Rate of departure from the in-service state
DGCS 7.7.7.1 Derated generation (of Conventional units for system reliability
analysis)
DGCU 7.7.7.1 Derated generation (of Conventional units for unit performance
analysis)
DGVS 7.7.7.1 Derated generation (of VER units for system reliability analysis)
DGVU 7.7.7.1 Derated generation (of VER units for unit performance analysis)
DPC 5.2.5 Dependable capacity
DPG 7.4 Dependable generation
E 8.1 Equivalent hours
EAFCS 9.4.2.1 Equivalent availability factor (of Conventional units for system
reliability analysis)
EAFCU 9.4.2.1 Equivalent availability factor (of Conventional units for unit
performance analysis)
EAFK 9.8.4 Equivalent critical period availability factor
EAFVS 9.4.2.1 Equivalent availability factor (of VER units for system reliability
analysis)
EAFVU 9.4.2.1 Equivalent availability factor (of VER units for unit performance
analysis)
EAFXSS 9.4.2.2 Equivalent availability factor excluding seasonal deratings (for

system reliability analysis)
EAFXSU 9.4.2.2 Equivalent availability factor excluding seasonal deratings (for unit
EAGFVS 9.5.2 Equivalent availability generation factor (of VER units for system
141
EAGFVU 9.5.2 Equivalent availability generation factor (of VER units for unit
EC 5.2.6 Expected capacity
EFDHC 8.5.2.2.2 Equivalent forced derated hours (of Conventional units)
EFDHVS 8.5.2.2.2 Equivalent forced derated hours (of VER units for system reliability
analysis)
EFDHVU 8.5.2.2.2 Equivalent forced derated hours (of VER units for unit performance
analysis)
EFDHd 8.5.2.2.3 Equivalent forced derated hours overlapping period of demand for
the unit to generate
EFOFCS 9.4.3.4.2.3 Equivalent forced outage factor (of Conventional units for system
EFOFU 9.4.3.4.2.3 Equivalent forced outage factor (for unit performance analysis)
EFOFVS 9.4.3.4.2.3 Equivalent forced outage factor (of VER units for system reliability
analysis)
EFOGFVS 9.5.3.4.2.3 Equivalent forced outage generation factor (of VER units for system
EFOGFVU 9.5.3.4.2.3 Equivalent forced outage generation factor (of VER units for unit
EFOGRKS 9.8.7 Equivalent critical period forced outage generation rate (of VER
units for system reliability analysis)
EFOGRKU 9.8.7 Equivalent critical period forced outage generation rate (of VER
units for unit performance analysis)
EFOGRTVS 9.7.5 Equivalent forced outage generation rate total (of VER units for
EFOGRTVU 9.7.5 Equivalent forced outage generation rate total (of VER units for unit
EFOGRVS 9.7.4 Equivalent forced outage generation rate (of VER units for system
EFOGRVU 9.7.4 Equivalent forced outage generation rate (of VER units for unit
EFORCS 9.6.4 Equivalent forced outage rate (of Conventional units for system
EFORCU 9.6.4 Equivalent forced outage rate (of Conventional units for unit
EFORKCS 9.8.6 Equivalent critical period forced outage rate (of Conventional units
for system reliability analysis)
142
EFORKCU 9.8.6 Equivalent critical period forced outage rate (of Conventional units
for unit performance analysis)
EFORKVS 9.8.6 Equivalent critical period forced outage rate (of VER units for
EFORKVU 9.8.6 Equivalent critical period forced outage rate (of VER units for unit
EFORTCS 9.6.5 Equivalent forced outage rate total (of Conventional units for system
EFORTCU 9.6.5 Equivalent forced outage rate total (of Conventional units for unit
EFORTVS 9.6.5 Equivalent forced outage rate total (of VER units for system
EFORTVU 9.6.5 Equivalent forced outage rate total (of VER units for unit
EFORVS 9.6.4 Equivalent forced outage rate (of VER units for system reliability
analysis)
EFORVU 9.6.4 Equivalent forced outage rate (of VER units for unit performance
analysis)
EFORdCS 9.8.3 Equivalent demand forced outage rate (of Conventional units for
EFORdCU 9.8.3 Equivalent demand forced outage rate (of Conventional units for
unit performance analysis)
EFEOGFVS 9.5.3.4.2.4 Equivalent forced unit outage generation factor (of VER units for
EFEOGFVU 9.5.3.4.2.4 Equivalent forced unavailability generation factor (of VER units for
EG 7.5 Expected generation
EMDHC 8.5.2.2.1 Equivalent maintenance derated hours (of Conventional units)
EMDHVS 8.5.2.2.1 Equivalent maintenance derated hours (of VER units for system
EMDHVU 8.5.2.2.1 Equivalent maintenance derated hours (of VER units for unit
EMOF 9.4.3.4.2.2 Equivalent maintenance outage factor
EMOGFVS 9.5.3.4.2.2 Equivalent maintenance outage generation factor (of VER units for
EMOGFVU 9.5.3.4.2.2 Equivalent maintenance outage generation factor (of VER units for
EPDHC 8.5.2.1 Equivalent planned derated hours (of Conventional units)
143
EPDHVS 8.5.2.1 Equivalent planned derated hours (of VER units for system
EPDHVU 8.5.2.1 Equivalent planned derated hours (of VER units for unit
EPOF 9.4.3.4.1 Equivalent planned outage factor
EPOGFVS 9.5.3.4.1 Equivalent planned outage generation factor (of VER units for
EPOGFVU 9.5.3.4.1 Equivalent planned outage generation factor (of VER units for unit
EPRRHVS 8.2 Equivalent partial reserve reduction hours (of VER units for system
EPRRHVU 8.2 Equivalent partial reserve reduction hours (of VER units for unit
EPRUHC 8.3 Equivalent partial resource unavailable hours (of Conventional

units)
EPRUHV 8.3 Equivalent partial resource unavailable hours (of VER units)
EPRUHd 8.4 Equivalent partial resource unavailable hours overlapping period of

demand for the unit to generate
ERSFDHC 8.5.2.2.4 Equivalent reserve shutdown forced derated hours (of Conventional
units)
ERSFDHVS 8.5.2.2.4 Equivalent reserve shutdown forced derated hours (of VER units for
ERSFDHVU 8.5.2.2.4 Equivalent reserve shutdown forced derated hours (of VER units for
ERAF 9.4.3.3 Equivalent resource availability factor
ERAGF 9.5.3.3 Equivalent resource availability generation factor
ERUF 9.4.3.2 Equivalent resource unavailability factor
ERUGF 9.5.3.2 Equivalent resource unavailability generation factor
ESDH 8.5.1 Equivalent seasonal derated hours
EUDHC 8.5.2.2 Equivalent unplanned derated hours (of Conventional units)
EUDHVS 8.5.2.2 Equivalent unplanned derated hours (of VER units for system
EUDHVU 8.5.2.2 Equivalent unplanned derated hours (of VER units for unit
EUFK 9.8.5 Equivalent critical period unavailability factor
EUFS 9.4.3.1 Equivalent unavailability factor (for system reliability analysis)
144
EUFU 9.4.3.1 Equivalent unavailability factor (for unit performance analysis)
EUGFVS 9.5.3.1 Equivalent unavailability generation factor (of VER units for system
EUGFVU 9.5.3.1 Equivalent unavailability generation factor (of VER units for unit
EUNDHC 8.5.2 Equivalent unit derated hours (of Conventional units)
EUNDHVS 8.5.2 Equivalent unit derated hours (of VER units for system reliability
analysis)
EUNDHVU 8.5.2 Equivalent unit derated hours (of VER units for unit performance
analysis)
EUUFCS 9.4.3.4.2.1 Equivalent unplanned unavailability factor (of Conventional units

EUUFU 9.4.3.4.2.1 Equivalent unplanned unavailability factor (for unit performance

analysis)
EUUFVS 9.4.3.4.2.1 Equivalent unplanned unavailability factor (of VER units for system
EUUGFVS 9.5.3.4.2.1 Equivalent unplanned unavailability generation factor (of VER units
EUUGFVU 9.5.3.4.2.1 Equivalent unplanned unavailability generation factor (of VER units
for unit performance analysis)
FD 5.3.5.3.3 Forced derating
FDGC 7.7.7.3.2 Forced derated generation (of Conventional units)
FDGV 7.7.7.3.2 Forced derated generation (of VER units)
FDH 6.3.4.3.3.3 Forced derated hours
FOFS 9.2.3.4.2.3 Forced outage factor (for system reliability analysis)
FOFU 9.2.3.4.2.3 Forced outage factor (for unit performance analysis)
FOGFVS 9.3.3.4.2.3 Forced outage generation factor (of VER units for system reliability
analysis)
FOGFVU 9.3.3.4.2.3 Forced outage generation factor (of VER units for unit performance
analysis)
FOGRTVS 9.7.3 Forced outage generation rate total (of VER units for system
FOGRTVU 9.7.3 Forced outage generation rate total (of VER units for unit
FOGRVS 9.7.2 Forced outage generation rate (of VER units for system reliability
analysis)
145
FOGRVU 9.7.2 Forced outage generation rate (of VER units for unit performance
analysis)
FOH 6.2.3.2.3.2.2 Forced outage hours
FOHd 6.2.3.2.3.2.3 Forced outage hours overlapping the period of demand for the unit
to operate
FORCS 9.6.2 Forced outage rate (of Conventional units for system reliability
analysis)
FORCU 9.6.2 Forced outage rate (of Conventional units for unit performance
analysis)
FORTCS 9.6.3 Forced outage rate total (of Conventional units for system reliability
analysis)
FORTCU 9.6.3 Forced outage rate total (of Conventional units for unit performance
analysis)
FORTVS 9.6.3 Forced outage rate total (of VER units for system reliability
analysis)
FORTVU 9.6.3 Forced outage rate total (of VER units for unit performance analysis)
FORVS 9.6.2 Forced outage rate (of VER units for system reliability analysis)
FORVU 9.6.2 Forced outage rate (of VER units for unit performance analysis)
FORdCS 9.8.2 Demand forced outage rate (of Conventional units for system
FORdCU 9.8.2 Demand forced outage rate (of Conventional units for unit
FUGC 7.7.6.2.2 Forced unavailable generation (of Conventional units)
FUGV 7.7.6.2.2 Forced unavailable generation (of VER units)
FEOGFVS 9.3.3.6 Forced unit outage generation factor (of VER units for system reliability
analysis)
GCF 9.9.2 Gross capacity factor
GOF 9.9.5 Gross output factor
IACTH 6.2.4.1 Inactive hours
IC 5.2.2 Installed capacity
IFDH 6.3.4.3.3.3.2 In-service forced derated hours
IMDH 6.3.4.3.3.2.2 In-service maintenance derated hours
IPDH 6.3.4.3.2.1 In-service planned derated hours
IRH 6.2.4.2 Inactive Reserve Hours
146
IUDH 6.3.4.3.3.1.1 In-service unplanned derated hours
IUNDH 6.3.4.3.1.1 In-service unit derated hours
MC 5.2.4 Maximum capacity
MD 5.3.5.3.2 Maintenance derating
MDGC 7.7.7.3.1 Maintenance derated generation (of Conventional units)
MDGV 7.7.7.3.1 Maintenance derated generation (of VER units)
MDH 6.3.4.3.3.2.1 Maintenance derated hours
MFOD 9.11.2.11 Mean forced outage duration
MG 7.2 Maximum generation
MGK 7.3 Critical period maximum generation
MH 6.2.4.3 Mothballed Hours
MMOD 9.11.2.10 Mean maintenance outage duration
MOF 9.2.3.4.2.2 Maintenance outage factor
MOGFVS 9.3.3.4.2.2 Maintenance outage generation factor (of VER units for system
MOGFVU 9.3.3.4.2.2 Maintenance outage generation factor (of VER units for unit
MOH 6.2.3.2.3.2.1 Maintenance outage hours
MPOD 9.11.2.9 Mean planned outage duration
MSTFO 9.11.2.4 Mean service time to forced outage
MSTMO 9.11.2.3 Mean service time to maintenance outage
MSTPO 9.11.2.2 Mean service time to planned outage
MUGC 7.7.6.2.1 Maintenance unavailable generation (of Conventional units)
MUGV 7.7.6.2.1 Maintenance unavailable generation (of VER units)
NCF 9.9.3 Net capacity factor
NCFT 9.9.4 Total net capacity factor
NOF 9.9.6 Net output factor
NPC 5.2.3 Nameplate capacity
PS 9.12.3 Probability of starting failure
PD 5.3.5.2 Planned derating
147
PDGC 7.7.7.2 Planned derated generation (of Conventional units)
PDGV 7.7.7.2 Planned derated generation (of VER units)
PDH 6.3.4.3.2 Planned derated hours
PI 9.9.7 Performance index
POF 9.2.3.4.1 Planned outage factor
POGFVS 9.3.3.4.1 Planned outage generation factor (of VER units for system
POGFVU 9.3.3.4.1 Planned outage generation factor (of VER units for unit
POH 6.2.3.2.3.1 Planned outage hours
PRR 5.3.2 Partial reserve reduction
PRRG 7.6.3.3 Partial reserve reduction generation
PRRH 6.3.2 Partial reserve reduction hours
PRUC 5.3.4 Partial resource unavailable capacity
PRUGC 7.7.3.3 Partial resource unavailable generation (of Conventional units)
PRUGV 7.7.3.3 Partial resource unavailable generation (of VER units)
PRUH 6.3.3 Partial resource unavailable hours
PUGC 7.7.6.1 Planned unavailable generation (of Conventional units)
PUGV 7.7.6.1 Planned unavailable generation (of VER units)
RAF 9.2.3.3 Resource availability factor
RAGF 9.3.3.3 Resource availability generation factor
RG 7.6.3.1 Reserve generation
RH 6.2.4.4 Retired Hours
RSFDH 6.3.4.3.3.3.3 Reserve shutdown forced derated hours
RSG 7.6.3.2 Reserve shutdown generation
RSH 6.2.3.1.3 Reserve shutdown hours
RSMDH 6.3.4.3.3.2.3 Reserve shutdown maintenance derated hours
RSPDH 6.3.4.3.2.2 Reserve shutdown planned derated hours
RSUDH 6.3.4.3.3.1.2 Reserve shutdown unplanned derated hours
RSUNDH 6.3.4.3.1.2 Reserve shutdown unit derated hours
148
RUF 9.2.3.2 Resource unavailability factor
RUG 7.7.3.2 Resource unavailable generation
RUGF 9.3.3.2 Resource unavailability generation factor
RUH 6.2.3.2.2.1 Resource unavailable hours
RUHd 6.2.3.2.2.2 Resource unavailable hours overlapping the period of demand for
the unit to operate
1/r 9.11.3.4 Repair rate
SD 5.3.3 Seasonal derating
SDF 9.10.2 Seasonal derating factor
SDG 7.7.5 Seasonal derated generation
SDH 6.3.4.2 Seasonal derated hours
SF 9.2.4 Service factor
SH 6.2.3.1.2.2 Service hours generating
SHC 6.2.3.1.2.1 Service hours connected
SHNG 6.2.3.1.2.3 Service hours non-generating
SR 9.12.2 Starting reliability
SUG 7.7.4 Seasonal unavailable generation
T 9.11.2.6 Average reserve shutdown time
1/T 9.11.3.2 Rate of recall from reserve shutdown
T+D 9.11.2.7 Cycle time
TH 6.2.1 Total hours
THK 6.2.2 Critical period hours
TRUG 7.7.3.1 Total resource unavailable generation
UDFCS 9.10.3 Unit derating factor (of Conventional units for system reliability
analysis)
UDFCU 9.10.3 Unit derating factor (of Conventional units for unit performance
analysis)
UDFVS 9.10.3 Unit derating factor (of VER units for system reliability analysis)
UDFVU 9.10.3 Unit derating factor (of VER units for unit performance analysis)
UDH 6.3.4.3.3.1 Unplanned derated hours
UFS 9.2.3.1 Unavailability factor (for system reliability analysis)
149
UFU 9.2.3.1 Unavailability factor (for unit performance analysis)
UGC 7.7.1 Unavailable generation—version 1 (of Conventional units)
UGVS 7.7.2 Unavailable generation—version 2 (of VER units for system

UGVU 7.7.2 Unavailable generation—version 2 (of VER units for unit

UG2CS 7.7.2 Unavailable generation—version 2 (of Conventional units for

UG2CU 7.7.2 Unavailable generation—version 2 (of Conventional units for unit

UGFVS 9.3.3.1 Unavailable generation factor (of VER units for system reliability
analysis)
UGFVU 9.3.3.1 Unavailable generation factor (of VER units for unit performance
analysis)
UH 6.2.3.2.1 Unavailable hours
UNDCS 5.3.5.1 Unit derating (of Conventional units for system reliability analysis)
UNDCU 5.3.5.1 Unit derating (of Conventional units for unit performance analysis)
UNDVS 5.3.5.1 Unit derating (of VER units for system reliability analysis)
UNDVU 5.3.5.1 Unit derating (of VER units for unit performance analysis)
UNDH 6.3.4.3.1 Unit derated hours
UNDHCS 6.3.4.3.1 Unit derated hours (of Conventional units for system reliability
analysis)
UNDHCU 6.3.4.3.1 Unit derated hours (of Conventional units for unit performance
analysis)
UOF 9.2.3.4.2.1 Unplanned outage factor
UOGFVS 9.3.3.4.2.1 Unplanned outage generation factor (of VER units for system
UOGFVU 9.3.3.4.2.1 Unplanned outage generation factor (of VER units for unit
UOH 6.2.3.2.3.2 Unplanned outage hours
UUF 9.2.3.5 Unplanned unavailability factor
UUGFVS 9.3.3.5 Unplanned unavailability generation factor (of VER units for system
VER 1.1, 3.23.3 Variable energy resource
150
Annex D
(informative)
Outside management control
The electric industry in Europe and other parts of the world has changed reporting practices to distinguish
losses of generation caused by problems within and outside management control. However, after reviewing
the approaches used by others, the IEEE 762 Working Group does not feel that such a distinction is necessary
in all reporting systems. If such a distinction is to be made within a particular reporting system, the outage
events to be excluded or included may be distinguished based on location or cause, or both.
Some causes are internal to the plant operation and equipment while others are external and may be
appropriate to exclude when calculating performance indexes for some reporting purposes. This standard
does not set nor recommend a particular boundary between the Unit and the transmission and/or distribution
to determine what equipment is “Outside management control.” Such an equipment boundary for a particular
Plant or Unit may include all equipment up to the following:
 The high-voltage terminals of the generator step-up (GSU) transformer and the station service
transformers, as shown in Figure D.1
 The GSU transformer or distribution system (load) side of the generator-voltage circuit breakers
 Another location that may be reasonable considering the design and operating practices of the
generating Unit
It may or may not be appropriate to assume that all problems within the power station boundary are within
plant management control. Therefore, rather than attempt to exhaustively identify the responsibilities of plant
management, the more feasible approach is to specify certain outage causes as possibly Outside management
control. With this approach, it is necessary within each particular reporting system to clearly establish the
outage causes that are and are not deemed to be under plant management control. That said, with changes the
2023 version of IEEE Std 762 that explicitly define unit (equipment only failure) indexes and system (failure
to serve load irrespective of cause) indexes it is important to ensure that the specific index type, unit or
system, exclude or include OMC events such that proper values of these indexes are rendered. It is reasonable
for the control area operator or mandating authority to specify what OMC causes can or cannot be excluded
from system indexes for use in reliability studies and calculating system reliability indexes such as Loss of
load expectation. It is also reasonable for the control area operator or mandating authority to administer rules
and requirements granting OMC status for particular events.
The following examples are offered as causes that may be considered as external, that is, Outside
management control.
 Grid connection or substation failure

 Transmission operating/repair errors
 Acts of terrorism or war
 Extreme acts of nature, such as ice storms, tornadoes, winds, and lightning, whether inside or outside
the plant boundary
 Wildlife activity (birds, bats, fish, etc.) requiring plant shutdown or derating
151
Figure D.1—Physical boundary of outside management control
 Reduction of solar panel output due to dust storms or smoke from fires outside the plant.
 Special environmental limitations, such as low cooling pond level, water intake restrictions, opacity
or nitrogen oxides (NOx) limit reductions that could not be prevented by operator action. This
situation should be limited to acts of nature where the equipment is working within design
specifications and should exclude unavailability owing to failure to maintain the equipment or
operate it correctly.
 Interruption of fuel supply or curtailment of water flows below those reasonably expected. However,
if the operator elected to contract for fuels on an interruptible basis allowing the fuel supplier to
withhold fuel and sell it to others (e.g., part of a plant fuel cost-saving measure), then the lack of fuel
is under management control and OMC is not applicable.
 Strikes or labor disputes, particularly strikes against suppliers or transportation carriers under
separate management from the generating plant under consideration. However, grievances within the
plant that result in a strike are under plant management control, and lost energy production is included
as a penalty against the plant. If a strike occurs during an outage, any outage extensions are included
as energy losses as long as the Unit is incapable of being restarted.
 Failure of external communication systems which are essential or mandatory for plant operation.
152
These examples should not automatically be considered OMC, as there may be operating agreements or
contracts that require certain output reductions or shutdowns to keep Units in compliance with such
agreements. The merits of some of these examples as OMC may also be evaluated based on the probabilities
of these events and plant design.
Seasonal variations in Dependable capacity due to ambient air or cooling water temperature variations are
not losses of energy or capacity, and therefore, should not be considered OMC.
153
Annex E
(informative)
Comparison of terminology between current and prior versions
Table E.1 compares the definitions of unit states used in this edition of IEEE Std 762 with the definitions
used by the previous edition of this standard.
Table E.1—Current and former terms
IEEE Std 762-1987 IEEE Std 762-2006 IEEE Std 762-2023
Active No change No change
Available No change No change
Not defined Not defined In-service connected
In service No change In-service generating
Not defined In-service nongenerating mode In-service non-generating
Reserve shutdown No change No change
Unavailable No change No change
Not defined Not defined Resource unavailable
Not defined Not defined Unit outage
Planned outage (basic or extended) No change No change
Unplanned outage No change No change
Forced outage No change No change
Class 0 unplanned outage (starting failure) No change No change
Class 1 unplanned outage (immediate) No change No change
Class 2 unplanned outage (delayed) No change No change
Class 3 unplanned outage (postponed) No change No change
Not defined Maintenance outage No change
Class 4 unplanned outage (deferred) Basic maintenance outage No change
Not defined Extended maintenance outage No change
Deactivated shutdown No change Inactive
Not defined Inactive reserve No change
Not defined Mothballed No change
154
IEEE Std 762-1987 IEEE Std 762-2006 IEEE Std 762-2023
Not defined Retired No change
Not defined Not defined Partial resource unavailable
Seasonal derating No change No change
Unit derating No change No change
Planned derating (basic or extended) No change No change
Unplanned derating No change No change
Not defined Forced derating No change
Class 1 unplanned derating (immediate) No change No change
Class 2 unplanned derating (delayed) No change No change
Class 3 unplanned derating (postponed) No change No change
Not defined Maintenance derating No change
Class 4 unplanned derating (deferred) Basic maintenance derating No change
Not defined Extended maintenance derating No change
Not defined Not defined Partial reserve reduction
Starting success Actual unit start No change
155
Annex F
(informative)
Transitions between active states
Sometimes events occur in succession with no intervening unit synchronization. These events are considered
“related,” even though they must be reported separately. The matrix below (Table F.1—Transition matrix
between states) presents the relationships between events and details permissible event type changes. In some
cases, a change from one event type to another without intervening synchronization is permissible, and the
end date of the first event can be the same as the start date of the successive event; however, in other cases,
there is no relationship between the event types and individual events must be separated by some period of
time.
An Active unit is mechanically either Available or Unavailable, and if available, may or may not have the
required Energy resource, per Clause 4, which defines two primary unit states—Available and Unavailable—
with the Unavailable state further divided into Resource unavailable and Unit outage. Although conceptually
Resource unavailable and Unit outage may occur at the same time, the Unit outage state has priority for such
occurrences. Thus the following three states:
 Available (see 4.2.2)
 Unit outage (see 4.2.3.3)
 Resource unavailable (see 4.2.3.2)
are mutually exclusive and collectively exhaustive in calculating the unavailability indexes (see 4.2.3.2). An
Active unit will be in exactly one of these states at any time. Thus, these states divide Active hours into three
non-overlapping segments.
The Resource unavailable state may be considered for some purposes, such as performance measurement, to
be a state in which the Unit is available and cannot perform only because it lacks an adequate supply of the
needed Energy resource, such as wind speed, solar irradiance, or streamflow. Examples of such instances are
when Plant owners use indexes for comparing performance between peer Units as performance metrics for
contractual obligations. The Resource unavailable state may be considered for other purposes, such as
resource planning, to be a state where the Unit is Unavailable. Typically, this concept is used in reliability
analysis when a Unit’s ability to meet load requires quantification. This standard now contains two sets of
similar statistics one that treats Resource unavailable hours similarly to Available hours (referred to as unit
statistics) and one that treats Resource unavailable hours similarly to Unavailable hours (referred to as system
statistics).
The Available and Unit outage states are each divided into additional, mutually exclusive states. The
Available state is divided into In-service and Reserve shutdown states, and the Unit outage state is divided
into Planned and Unplanned outage states. These four secondary states, together with the Inactive
(deactivated shutdown) state, also form a mutually exclusive and collectively exhaustive set.
Finally, the Planned outage state is divided into Basic and Extended planned outage states. Also, the
Unplanned outage state is divided into five outage classes, according to the urgency with which the outage
is initiated. Like the other states, the unplanned outage classes are defined to be mutually exclusive. The
unplanned outage state “maintenance” can be further divided into basic and extended states.
The unit state structure can also be described by starting with the lowest level states. Thus, there are eleven
basic states. These basic states are defined to be mutually exclusive and collectively exhaustive. By grouping
various basic states together, each of the secondary and primary states can be formed.
156
 In service
 Reserve shutdown
 Resource unavailability
 Planned outage (basic)
 Planned outage (extended)
 Maintenance outage (basic)
 Maintenance outage (extended)
 Unplanned outage class 0
Table F.1 shows the transitions between unavailable states that are permissible. However, detailed definitions
for the transition events in Table F.1 have not been included in this standard. In the actual reporting of
generating unit performance, the transition event occurrence times are in fact reported. The state duration
times are then calculated from these reported times. Therefore, the reporting instructions that implement the
collection of unit performance data should give careful consideration to defining precisely and clearly the
exact point in time at which the various transitions take place.
“Yes” denotes that a change from one unit state to another is permissible and the end date/time of the first
state can be the same as the start date/time of the successive state. The Unit need not be brought to
synchronous speed nor loaded between the two states. “No” indicates that there is no direct transition between
the From state and the To state and the Unit must transition into another, allowable state.
When a unit transitions between states, the start time of the successive state is the same as the end time of
the immediately preceding state.
157
Table F.1—Transition matrix between states
TO state
Planned Unplanned
Reserve shutdown
FROM state Defined in
maintenance
maintenance
unavailable
In-service
Extended
Extended
Resource
Class 0
Class 1
Class 2
Class 3
Basic
Basic
Available states
In-service 4.2.2.2 Yes Yes Yes Yes No No Yes Yes Yes Yes No
Reserve shutdown 4.2.2.3 Yes Yes Yes Yes No Yes Yes No No Yes No
Resource unavailable state
Resource unavailable 4.2.3.2 Yes Yes Yes Yes No Yes Yes No No Yes No
Unavailable states
Planned outage
Basic planned outage 4.2.3.3.2.2 Yes Yes Yes Yes Yes Yes Yes No No Yes No
Extended planned outage 4.2.3.3.2.3 Yes Yes Yes Yes No Yes Yes No No Yes No
Unplanned outage
Forced outage
Class 0 unplanned outage 4.2.3.3.3.3.2 Yes Yes Yes Yes No Yes Yes No No Yes No
(starting failure)
(immediate)
(delayed)
(postponed)
Maintenance outage
Basic maintenance outage 4.2.3.3.3.2.2 Yes Yes Yes Yes No Yes Yes No No Yes Yes
Extended maintenance 4.2.3.3.3.2.3 Yes Yes Yes Yes No Yes Yes No No Yes No
outage
158
Annex G
(informative)
Approximate calculation of demand factor (f)
G.1 Demand factor f for forced outages
This annex describes an approximation for estimating FOHd, the number of hours a Unit was in a Forced
outage state and the Unit would have operated had it been available. This approximation may be used when
periods of demand are not recorded. As with any approximation, it is important that the analyst consider
carefully the assumptions underlying the approximation to ensure that these assumptions are valid in the
context at hand.
FOHd is defined in 6.2.3.2.3.2.3 as the number of hours a Unit was in a Forced outage state and the Unit
would have operated had it been available. FOHd can be determined directly if periods of demand are
recorded in the database with the chronological history of unit states. Demand can be defined as the traditional
Demand for the Unit for economic or reliable operation of the system. Another user-defined condition, such
as specific weather condition, load level, or energy price, may be used if the value of FOHd obtained
therefrom is assumed to be a reasonable approximation of that yielded by the traditional definition.
G.1.1 Definition of demand factor f
If periods of demand are not recorded, FOHd may under particular circumstances be estimated using the
Demand factor 𝑓𝑓 defined in (G.2) The Demand factor is applicable to traditional Demand for economic or
reliable system operation.
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑 = 𝑓𝑓 × 𝐹𝐹𝐹𝐹𝐹𝐹 (G.1)
G.1.2 IEEE Task group estimation approach
The following method was proposed by the IEEE Task Group on Models for Peaking Service Units to provide
an estimate of 𝑓𝑓 where periods of demand are not recorded, derived from a four-state Markov model [B19].
1 1 1 1 1
𝑓𝑓 = �� + �� + + �� (G.2)
𝑟𝑟 𝑇𝑇 𝑟𝑟 𝑇𝑇 𝐷𝐷
where
𝑟𝑟 = 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 =
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜
1
= 𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 (see 9.11.3.4)
𝑟𝑟
𝑇𝑇 = 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 𝑠𝑠ℎ𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 =
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 𝑠𝑠ℎ𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢
1
= 𝑅𝑅𝑅𝑅𝑅𝑅𝑅𝑅 𝑜𝑜𝑜𝑜 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 𝑓𝑓𝑓𝑓𝑓𝑓𝑓𝑓 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟 𝑠𝑠ℎ𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢𝑢 (see 9.11.3.2)
𝑇𝑇
𝑆𝑆𝑆𝑆
𝐷𝐷 = 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 𝑜𝑜𝑜𝑜 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐𝑐 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡 =
𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁𝑁 𝑜𝑜𝑜𝑜 𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑𝑑 𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜𝑜
1
= Rate of departure from the in-service state (see 9.11.3.1)
𝐷𝐷
Figure G.1 illustrates the behavior of f as a function of the ratio D/(T+D) for selected values of r / (T + D).
159
NOTE—Users are reminded of the need to check carefully that the assumptions underlying this or other statistical
estimation approaches match their particular circumstances.
G.1.3 Approximation without knowledge of number of reserve shutdowns
Accurate computation of T requires collecting the number of Reserve shutdowns. If the number of Reserve
shutdowns is not available, and if it is assumed that all attempts to start are from a Reserve shutdown state
and none are from a Planned or Unplanned outage state, the following approximation may be used.
𝑇𝑇 = (G.3)
Number of attempted starts to generate
The number of demand occurrences is presumably equal to the number of Attempted unit starts to generate.
But if this is not available, and if it is assumed, again, that all attempts to start are from a Reserve shutdown
state and none are from a Planned or Unplanned outage state, the following approximation may be used:
𝑆𝑆𝑆𝑆
𝐷𝐷 = (G.4)
Number of successful starts to generate
NOTE—These methods are used by NERC GADS [B17] to calculate T and D.
Demand Factor f
1.0
r/(T+D)=0.01
0.9
0.02
0.8
0.05
0.7 0.10
r/(T+D) = 0.01
0.20
0.6
0.02
0.50 0.05
0.5
f
1.0
2.0 0.10
5.0
0.4 10.0 0.20
0.3 0.50
1.00
0.2 2.00
5.00
0.1
10.00
0.0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
D/(T+D)
Figure G.1—Demand factor f
NOTE 1—The methodology described above is an approximation. Its accuracy and consistency as an indication of unit
performance during periods of demand depend on the degree to which the assumptions stated in this annex are valid.
Directly recording whether Forced outage hours occur during a historical period of demand will provide more meaningful
measures of performance. Near-real time data systems now make efficient recording of Demand practical.
NOTE 2—See Annex H for limiting conditions.
NOTE 3—The Demand factor primarily applies to Conventional units. VER units typically run when energy resources
are sufficient. Hence they have low RSH and the Demand factor will be close to 1.0.
NOTE 4—The Demand factor as used here should not be confused with the same words used in a different context to
refer to the ratio of peak demand to connected load on a system.
160
G.2 Demand factor fp for forced deratings
EFDHd is defined in 8.5.2.2.3 as the number of hours a Unit was in a Forced derated state and would have
operated at reduced capacity had it been available. EFDHd can be determined directly from the In-service
forced derated hours if In-service and Reserve shutdown forced derated hours are separately recorded. If they
are not separately recorded, and if Deratings are assumed to be uniformly distributed during the Available
hours, then the Demand factor fp is an estimate of the proportion of Forced derated hours overlapping the
period of demand for the unit to operate.
𝑆𝑆𝑆𝑆
𝑓𝑓𝑝𝑝 = (G.5)
𝐴𝐴𝐴𝐴
Then EFDHd can be estimated from fp and the unrestricted EFDH.
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑 = 𝑓𝑓𝑝𝑝 × 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸 (G.6)
NOTE—This method is used by NERC GADS [B17] to calculate EFDHd.
161
Annex H
(informative)
Limiting conditions for forced outage rates during periods of demand
An index that measures unit performance during periods of demand, FORd (see 9.8.2) may be calculated
directly if Forced outage hours are categorized as either during a period of demand for the unit to operate,
FOHd (see 6.2.3.2.3.2.3), or during a period of no demand. Similarly, if Forced derated hours are
distinguished they may be converted to Equivalent forced derated hours during a period of demand EFDHd
(see 8.5.2.2.3) for use in calculating EFORd (see 9.8.3). However, some data collection systems do not record
these separately, and calculating such indexes relies on Demand factors f and fp (see Annex G) calculated
using the Repair rate, Rate of recall from reserve shutdown, and Rate of departure from the in-service state.
This factor implicitly assumes that Forced outages occur at a similar rate during periods of demand and
periods of no demand. But if such outages last a long time, even those occurring when demand is low will
extend into a period of demand. Service hours and Reserve shutdown hours are used as a proxy for periods
of demand and periods of no demand. Figure G.1 provides values for f as a function of the ratio D / (T + D),
where T and D are the Average reserve shutdown time and the Average demand time, and the ratio r/(T + D),
where r is the Mean forced outage duration (or average repair time). As long as the denominator, T + D, is
greater than zero, f can be taken from the figure or calculated by equation (G.2), and used, along with fp
calculated by (G.5), to estimate FOHd or EFDHd, from which FORd or EFORd may be calculated.
If a Unit has neither Service hours nor Reserve shutdown hours, or in other words, no Available hours, T and
D will both be zero. In this case the data do not support an estimate of the proportion of forced outage hours
during periods of demand.
Table H.1 below shows combinations of Service hours, Forced outage hours, and Reserve shutdown hours
for which FORd and EFORd can be calculated mathematically. However, when Available hours are a small
fraction of the reporting period, projections of the proportion of Forced outages during periods of demand
will have a large margin of error and may be very unrepresentative of future periods.
Table H.1—Limiting conditions for forced outage rates during periods of demand
Case SH FOH RSH FORd EFORd

Base >0 >0 >0 Applicable Applicable
1 >0 >0 0 FOR EFOR
2 >0 0 >0 0 EFDH/AH
3 >0 0 0 0 EFDH/AH
4 0 >0 >0 Cannot be determined Cannot be determined
5 0 >0 0 Cannot be determined Cannot be determined
6 0 0 >0 Cannot be determined Cannot be determined
7 0 0 0 Cannot be determined Cannot be determined
The choice of methodology for the limiting conditions (i.e., division by zero) will affect the calculated FORd
and EFORd values; so, care must be taken when selecting a methodology. This is especially important when
calculating periods less than one year (e.g., monthly EFORd) where hours and starts are more likely to be
zero.
In some implementations, processing logic and order of precedence (i.e., which limiting condition is
processed first) determine the f factor, such as that used by PJM below, where EFORd is always calculated.
The following PJM rules are applied when the indicated condition is encountered:
162
If RSH < 1 Then f =1
Else if (SH + SHNG) = 0 Then f = 1
Else if (1/r + 1/T + 1/D) = 0 Then f = 0
Else if # of forced outages = 0 or FOH = 0 Then 1/r = 0
Else if RSH = 0 or # of attempted starts = 0 Then 1/T = 0
Else if # of actual starts = 0 Then 1/D = 0
Else if (SH + SHNG) = 0 Then 1/D = 0
Else if (SH + SHNG + RSH) = 0 Then fp = 0
Else if ((SH + SHNG) + (f x FOH)) = 0 Then EFORd = 0
More details on the application of default values for various parameters, f, and demand forced outage indexes
are provided in Table H.2.
Typically, performance indexes are calculated using performance data over at least a year. However, if any
of the variables SH, FOH, or RSH is zero in a period, one approach is assign a default value of 0.001 for
computing indexes. Similarly, if any of the variables Number of forced outages, Number of Attempted unit
starts, or Number of actual unit starts is zero in the period, assign a value of 1 for computing indexes. The
default values can give meaningless indexes in some cases as indicated in the table.
If any of the hours—SH, FOH, or RSH—is zero, set it equal to 0.001. This is different from the historical
NERC approach of setting 1/SH, 1/FOH, or 1/RSH equal to 0.001. The reason given by NERC is that a small
value for the hours will make the factors 1/D, 1/r, or 1/T too large and dominant in the f-factor equation. But
if, for example, RSH = 0, the time between demand periods 1/T should be very large (continuous demand)
and should not be 0.001.
NOTE—Case 1 uses the fact that, if SH > 0 and FOH > 0, then 1/r and 1/D are finite, and therefore:
1 1
+
lim 1 𝑟𝑟 1 𝑇𝑇 1 = 1 (H.1)
𝑇𝑇→0 𝑟𝑟+𝑇𝑇+𝐷𝐷
Table H.2—Limiting conditions for forced outage indexes
Case SH FOH RSH f (full) factor FORd EFORd Comments

Base >0 >0 >0 Applicable Applicable Applicable Normal case.
1 >0 >0 0 1 FOR EFOR Default RSH = 0.001 will work.
2 >0 0 >0 Not Applicable 0 EFDH/AH Default FOH = 0.001 will work.
3 >0 0 0 Not Applicable 0 EFDH/AH Default FOH and RSH equal to 0.001 will work.
Cannot be Cannot be Cannot be Default SH = 0.001 gives meaningless indexes.
4 0 >0 >0
determined determined determined Indexes cannot be determined.
Cannot be Cannot be Cannot be No Service and Reserve Shutdown Hours. Treat this
5 0 >0 0
determined determined determined as an outlier.
Default SH, FOH equal to 0.001 give meaningless
6 0 0 >0 Not Applicable 0 0
indexes. Force FORd and EFORd to be zero.
Default SH, FOH, RSH equal to 0.001 give
Cannot be
7 0 0 0 0 0 meaningless indexes. This may be a continuous
determined
scheduled outage. Force FORd and EFORd to be zero.
163
Table H.2—Limiting conditions for forced outage indexes—cont.
NOTE—Case definitions:
Case 1:
RSH = 0; SH and FOH have values; T = 0; AH = SH.
f = 1 (as RSH = 0).
FORd = f×FOH/(SH+f×FOH) = FOH/(SH + FOH) = FOR.
fp = SH/AH = 1.
EFORd = (f×FOH + fp×EFDH)/(SH + f×FOH) = (FOH + EFDH)/(SH + FOH) = EFOR.
Case 2:
FOH = 0; SH, RSH have values.
f is not needed, therefore is not applicable.
FORd = f×FOH/(SH+f×FOH) = 0.
EFORd = (f×FOH + EFDH*SH/AH)/(SH + f×FOH) = EFDH/AH.
Case 3:
FOH = 0; RSH = 0; SH has a value; AH = SH.
FORd = f×FOH/(SH+f×FOH) = 0.
EFORd = (f×FOH + EFDH*SH/AH)/(SH + f×FOH) = EFDH/AH.
Case 4:
SH = 0; FOH, RSH have values. Indexes cannot be determined.
Case 5:
SH = 0; RSH = 0; FOH has a value.
f may have a value but cannot be determined.
FORd cannot be determined.
fp = SH/AH = 0/0 cannot be determined.
EFORd = (f×FOH + fp×EFDH)/(SH + f×FOH) cannot be determined.
Treat this as an outlier.
Case 6:
SH = 0; FOH = 0; RSH has a value.
FORd = 0 as FOH = 0.
fp = SH/AH = 0.
EFORd = 0.
Case 7:
The calculated FORd and EFORd would be zero as the Unit in this case in on a scheduled outage.
164
Annex I
(informative)
Pooling methodologies for EFORd
I.1 General
The purpose of this annex is to review methods currently used for grouping or pooling Groups of Units for
calculating Equivalent demand forced outage rate (EFORd). This annex focuses on EFORd as an example
because this indicator is commonly used as a measure of unit performance for various purposes including the
following:
 Interpreting EFORd as probability of Forced outage of a Unit when needed. Capacity weighted
Equivalent demand forced outage rate (WEFORd) is used as an estimator of the mean of the capacity
outage probability distribution that is used in Loss of load probability (LOLP) calculations. This has
been used in analytical methods for LOLP calculations using mean, variance, and additional moments
of the distribution.
 Defining “unforced capacity” requirements as used by some entities. Unforced capacity is defined as
unit rating multiplied by the quantity (1 – EFORd). This is also the capacity product used in certain
capacity markets.
Thus, there is a need to know that several different methods are currently being used to calculate this
important index.
The user of pooled EFORd values should be aware of which Units are being pooled. Most pooling is
conducted on “peer groups” of similar unit types and megawatt sizes. However, some companies will
combine nonhomogeneous Units (e.g., base-loaded and peaking, fossil-steam and nuclear) into one Group
for their own purposes. It is beyond the scope of this standard to provide guidelines about what should
constitute a peer Group. Therefore, it is up to the user of the EFORd pooled statistic to ask questions about
what Units are in each pooled EFORd.
Unweighted and Weighted pooling methods for EFORd are given in I.2 and I.3 respectively. One additional
unweighted and two additional capacity-weighted pooling methods are shown that also merit consideration.
It should be noted that simply averaging EFORd values of a population of Units is not considered valid
because the denominator for each Unit will be different. The examples below show the conventional-unit
version of EFORd (9.8.3) without Resource unavailability components RUH and EPRUH. The system version
would be obtained simply by not deleting the RUH and EPRUH components from the numerator and
denominator in the first step of the derivation.
I.2 Unweighted pooling
I.2.1 Method I: Pooled unit hours
Pooled EFORd values calculated using this method are significantly affected by individual Units with extreme
EFORd that have very few Service hours (SH), but relatively many Derated hours. This method of pooling is
based on 10.5.1.4.
165
For Unit i:
ri = FOHi / (Number of Forced outages)i = Mean forced outage duration (see 9.11.2.11)
Ti = RSHi / (Number of Attempted unit starts)i = Average reserve shutdown time (see 9.11.2.6)
Di = SHi / (Number of Actual unit starts)i = Average demand time (see 9.11.2.5)
fi = (1/ri + 1/Ti) / (1/ri +1/Ti + 1/Di) = Demand factor (see Annex G)
fpi = SHi / AHi = Demand factor for deratings (see Annex G)
FOHdi = fi × FOHi = Forced outage hours overlapping the period of demand for the unit to
operate (see 6.2.3.2.3.2.3, Annex G)
EFDHdi = fpi × EFDHi = Equivalent forced derated hours overlapping the period of demand for
the unit to generate (see 8.5.2.2.3, Annex G)
RUHdi = fi × RUHi = Resource unavailable hours overlapping the period of demand for the
unit to operate (see 6.2.3.2.2.2, Annex G)
EPRUHdi = fpi × EPRUHi = Equivalent partial resource unavailable hours overlapping the period
of demand for the unit to generate (see 8.4, Annex G)
Then:
∑𝑛𝑛
𝑖𝑖=1(𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑅𝑅𝑅𝑅𝐻𝐻𝑑𝑑𝑑𝑑 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑑𝑑𝑑𝑑 )
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = ∑𝑛𝑛
(see 9.8.3) (I.1)
𝑖𝑖=1(𝐹𝐹𝐹𝐹𝐻𝐻𝑑𝑑𝑑𝑑 +𝑆𝑆𝑆𝑆𝑖𝑖 + 𝑅𝑅𝑅𝑅𝐻𝐻𝑑𝑑𝑑𝑑 )
Excluding terms relating to Resource unavailability,
∑n
i=1(𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 )
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = ∑n
(I.2)
i=1(𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑆𝑆𝑆𝑆𝑖𝑖 )
Or equivalently,
𝑛𝑛
∑n
i=1 𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 + ∑𝑖𝑖=1 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 = ∑n 𝑛𝑛 (I.3)
i=1 𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +∑𝑖𝑖=1 𝑆𝑆𝑆𝑆𝑖𝑖
I.2.2 Method II: Group demand factors, pooled unit hours
By calculating the Demand factors over the Group’s total Forced outage hours (FOH), Service hours (SH),
Reserve shutdown hours (RSH), and starts, the Demand factor is “smoothed” and not subject to undue
influence by one or more Units having very high or very low hours or starts. This method may be more
appropriate for forecasting performance of a Unit similar to Units in a Group with known similar demand
patterns, but significant variations in individual performance. With larger populations or longer study time
periods, the difference between the results of Method I and Method II should decrease.
For the total population t:
rt = ∑ FOH / ∑ Number of forced outages = Mean forced outage duration (see 9.11.2.11)
Tt = ∑ RSH / ∑ Number of attempted starts = Average reserve shutdown time (see 9.11.2.6)
Dt = ∑ SH / ∑ Number of actual starts = Average demand time (see 9.11.2.5)
ft = (1/rt + 1/Tt) / (1/rt +1/Tt + 1/Dt) = Demand factor (see Annex G)
fpt = ∑ SH / ∑ AH = Demand factor for deratings (see Annex G)
SHt = ∑ SH = Service hours
166
FOHdt = ft × ∑ FOH = Forced outage hours overlapping the period of demand for the unit to
operate (see 6.2.3.2.3.2.3, Annex G)
EFDHdt = fpt × ∑ EFDH = Equivalent forced derated hours overlapping the period of demand for
the unit to generate (see 8.5.2.2.3, Annex G)
RUHdt = ft × ∑ RUH = Resource unavailable hours overlapping the period of demand for the
unit to operate (see 6.2.3.2.2.2, Annex G)
EPRUHdt = fpt × ∑ EPRUH = Equivalent partial resource unavailable hours overlapping the period
of demand for the unit to generate (see 8.4, Annex G)
Then:
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑅𝑅𝑅𝑅𝐻𝐻𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑑𝑑𝑑𝑑

𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑𝑑𝑑 = (see 9.8.3) (I.4)
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑆𝑆𝐻𝐻𝑡𝑡 + 𝑅𝑅𝑅𝑅𝐻𝐻𝑑𝑑𝑑𝑑
Excluding terms relating to Resource unavailability,
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑𝑑𝑑 = (I.5)
𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑆𝑆𝐻𝐻𝑡𝑡
Or equivalently,
𝑓𝑓𝑡𝑡 ×∑𝑛𝑛 𝑛𝑛
𝑖𝑖=1 𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +𝑓𝑓𝑝𝑝𝑝𝑝 ×∑𝑖𝑖=1 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑑𝑑𝑑𝑑𝑑𝑑 = (I.6)
𝑓𝑓𝑡𝑡 ×∑𝑛𝑛 𝑛𝑛
𝑖𝑖=1 𝐹𝐹𝐹𝐹𝐹𝐹𝑑𝑑𝑑𝑑 +∑𝑖𝑖=1 𝑆𝑆𝑆𝑆
I.2.3 Sample calculation of pooled EFORd using the unweighted methods
The impact of alternative unweighted EFORd pooling methodologies is demonstrated using typical, but
hypothetical, data. This comparison of the two pooling methodologies is based on the sample data and
calculations found in the following two tables: Table I.1 shows the raw data reported by five steam turbine
generating Units. Table I.2 shows the intermediate calculated values used to produce the individual unit
EFORd. In the interest of simplicity, it is assumed that data for each Unit were complete, allowing the EFORd
calculation without the need for any substituted values.
I.2.3.1 Method I, pooled forced outage hours during a period of demand
Method I uses the sums of Service hours (SH), Forced outage hours during a period of demand (FOHd), and
Equivalent forced derated hours during a period of demand (EFDHd) and gives a pooled EFORd of 7.591%.
1818.598+347.480
= 7.591%
26718+1818.598
167
Table I.1—Raw data
Capacity Actual Attempted FO

Unit (MW) SH RSH AH starts starts EFDH FOH events
48 55 4856 2063 6918 34 34 146.99 773 12
49 75 4556 1963 6519 31 31 110.51 407 5
50 120 3942 3694 7635 36 36 19.92 504 11
51 153 6460 516 6978 17 18 131.03 340 14
52 180 6904 62 6968 14 16 35.81 138 12
Totals 583 26 718 8298 35,018 132 135 444.26 2162 54
Table I.2—Calculated intermediate values
f × FOH = fp × EFDH =
Unit 1/r 1/T 1/D f FOHd fp EFDHd EFORd
48 0.0155 0.0165 0.0070 0.8205 634.247 0.7019 103.178 13.432%
49 0.0123 0.0158 0.0068 0.8049 327.608 0.6989 77.233 8.290%
50 0.0218 0.0097 0.0091 0.7756 390.920 0.5163 10.285 9.259%
51 0.0412 0.0349 0.0026 0.9666 328.630 0.9258 121.303 6.628%
52 0.0870 0.2581 0.0020 0.9942 137.194 0.9908 35.481 2.452%
Totals 1818.598 347.480
Average 8.0122%
I.2.3.2 Method II, pooled demand factors
Method II uses the sums of Forced outage hours (FOH), Reserve shutdown hours (RSH), Service hours (SH),
and Available hours (AH), and the total numbers of Forced outages, Attempted unit starts, and Actual unit
starts to calculate pooled values of rt, Tt, and Dt and then ft and fpt.
rt = ∑ FOH / ∑ Number of forced outages = 2162 / 54 = 40.03. 1/rt = 0.0250

Tt = ∑ RSH / ∑ Number of attempted unit starts = 8298 / 135 = 61.47. 1/Tt = 0.0163
Dt = ∑ SH / ∑ Number of actual unit starts = 26718 / 132 = 202.41. 1/Dt = 0.0049
ft = (1/rt + 1/Tt) / (1/rt +1/Tt + 1/Dt) = (0.0250 + 0.0163) / (0.0250 + 0.0163 + 0.0049) = 0.8930
fpt = ∑ SH / ∑ AH = 26718 / 35018 = 0.7630
Finally, Method II calculates a pooled EFORd of 7.922%.
EFORd = (ft × ∑ FOH + fpt × ∑ EFDH ) / (∑ SH + ft × ∑ FOH)

= (0.8930 × 2162 + 0.7630 × 444.26) / (26718 + 0.8930 × 2162)
1940.734 + 338.961
= = 7.922%
1930.734 + 26718
168
It will be noted that method II calculates a group EFORd closer to the arithmetic average of the individual
values, while the value given by method I is closer to the performance of the Units having the higher Demand
factor. In this example these Units are better performers and larger, but that is not always the case.
I.3 Capacity-weighted pooling
These methods weight time values and/or indexes by the capacity of the individual unit. NMC is a suggested
weighting measure in Clause 10. However, the techniques would be the same for any other weight, including
those considering the service period of the Unit.
In this example, there is assumed to be a strong correlation between unit performance (measured by EFORd)
and unit size. The larger Units in the pool have a lower EFORd. This was done to illustrate the impact of
different unweighted and Weighted pooling techniques, particularly the fact that larger Units will tend to
dominate a Weighted index. No conclusions should be drawn that larger Units perform better than smaller
ones in practice.
I.3.1 Method I: capacity-weighted pooled unit hours
This method of pooling is used in 10.5.1.4.
∑𝑛𝑛
𝑖𝑖=1(𝑊𝑊𝑊𝑊𝑊𝑊𝐻𝐻𝑑𝑑𝑑𝑑 +𝑊𝑊𝑊𝑊𝑊𝑊𝑊𝑊𝐻𝐻𝑑𝑑𝑑𝑑 )
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑑𝑑 = ∑𝑛𝑛
(I.7)
𝑖𝑖=1(𝑊𝑊𝑊𝑊𝑊𝑊𝐻𝐻𝑑𝑑𝑑𝑑 +𝑊𝑊𝑊𝑊𝐻𝐻𝑖𝑖 )
where WEFDHdi, WFOHd, and WSH are capacity-weighted values as defined in Table I.3
I.3.2 Method II: Group demand factors, capacity-weighted pooled unit hours
�𝑓𝑓𝑡𝑡 ×∑𝑛𝑛 𝑛𝑛
𝑖𝑖=1 𝑊𝑊𝑊𝑊𝑊𝑊𝐻𝐻𝑑𝑑 �+�𝑓𝑓𝑝𝑝𝑝𝑝 ×∑𝑖𝑖=1 𝑊𝑊𝑊𝑊𝑊𝑊𝑊𝑊𝐻𝐻𝑑𝑑𝑑𝑑 �
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑑𝑑 = ∑𝑛𝑛 𝑛𝑛 (I.8)
𝑖𝑖=1 𝑊𝑊𝑊𝑊𝐻𝐻𝑖𝑖 +�𝑓𝑓𝑡𝑡 ×∑𝑖𝑖=1 𝑊𝑊𝑊𝑊𝑊𝑊𝐻𝐻𝑑𝑑𝑑𝑑 �
where ft and fpt are defined as for the unweighted method.
I.3.3 Method III: Capacity weighted average of individually calculated EFORd
∑𝑛𝑛
𝑖𝑖=1(𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑔𝑔𝑖𝑖 ×𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝑑𝑑𝑑𝑑 )
𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝐺𝑅𝑅𝑑𝑑 = ∑𝑛𝑛
(I.9)
𝑖𝑖=1 𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝐶𝑐𝑐𝑖𝑖𝑖𝑖𝑖𝑖 𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑟𝑔𝑔𝑖𝑖
I.3.4 Sample calculation of pooled EFORd using the weighted methods
The raw data are the same as in the first example. Table I.3 shows the weighted values used in the
calculations.
169
Table I.3—Weighted values used in EFORd formula
Capa- MW × MW × WEFDH × fp EFORd ×

city MW × SH FOH = EFDH = WFOH × f MW / 100=
Unit (MW) =WSH WFOH WEFDH =WFOHd = WEFDHd GEFORd
48 55 267 080 42 515 8084 34 884 5675 7.387
49 75 341 700 30 525 8288 24 571 5792 6.217
50 120 473 040 60 480 2390 46 910 1234 11.111
51 153 988 380 52 020 20 048 50 280 18 559 10.140
52 180 1 242 720 24 840 6446 24 695 6387 4.414
Totals 583 3 312 920 210 380 45 256 181 340 37 647 39.271
Weighted values in Table I.3 are denoted with a preceding W to indicate that the value has been weighted by
its NMC. See Table I.2 for individual unit f and fp values, which are not Weighted.
I.3.4.1 Method I
Method I uses the sums of Weighted Service hours, Forced outage hours during periods of demand, and
EFDHd (designated WSH, WFOHd, WEFDHd in Table I.3) and gives a pooled GEFORd of 6.267%.
181340 + 37647
= 6.267%
3312920 + 181340
I.3.4.2 Method II
Method II calculates ft and fpt in the same manner as for the unweighted case (0.8930 and 0.7630, respectively)
and multiplies the total WFOH and WEFDH to calculate WFOHd and WEFDHd. It then uses the sums of the
weighted reported data to represent the weighted average unit and calculates the pooled GEFORd to be
6.353%.
(0.8930 × 210380) + (0.7630 × 45256)

= 6.353%
3312920 + (0.8930 × 210380)
I.3.4.3 Method III
Method III weights the individual EFORd values by the unit capacity (EFORd × MW) and uses the total
capacity to calculate a weighted average GEFORd as 6.736%.
39.291
= 6.736%
583
170
Annex J
(informative)
Example of duty cycle impact on EFORd
Average demand time, Average reserve shutdown time, Mean forced outage duration, and Starting reliability
are combined algebraically and utilized as a proxy for periods of demand when using the Demand factor (f)
in calculating EFORd. When this Demand factor is applied, EFORd begins to converge with the Equivalent
forced outage factor (EFOF) as Reserve shutdown hours tend toward zero. This annex illustrates this effect
based upon real data for a sample of gas turbines in power generation service.
Further, as seen in this table, the Unit duty cycle (measured by Service factor) can be used to provide
indication of the Demand for a Unit without the complex calculations of the Demand factor. (The duty cycle
increases as Reserve shutdown hours tend toward zero.) For use in performance assessments, and economic
studies of Units, EFOF used with the duty cycle, may be a more appropriate key performance indicator to
characterize expected performance. EFORd is mostly used in system reliability studies and calculating Loss
of load expectations as EFORd characterizes the Unit’s probability of failure when needed. EFORd is also
used to determine payments to Units in capacity markets. That said, Critical period analysis, presented in
9.8.4 through 9.8.6 and B.9.1.4, may in the future prove to be more useful than the Demand factor, as the
Critical period is the same for all Units rather than unit-specific.
Table J.1—Example of duty cycle impact on EFORd
Peaking duty Cycling duty Baseload duty

Active hours 8760 8760 8760
Service hours 720 3600 6600
Reserve shutdown hours 7790 4910 1910
Actual unit starts 72 175 40
Attempted unit starts 72 175 40
Equivalent forced outage hours 250 250 250
Number of forced outages 25 25 25
Service factor 8.22 41.10 75.34
Service hours/Actual unit start 10.00 20.57 165.00
EFOF 2.85 2.85 2.85
EFOR 25.77 6.49 3.65
EFORd 15.35 4.86 3.48
171
Annex K
(informative)
CEA indexes for reference
The following indexes were incorporated into this standard at the 2006 revision to demonstrate the
correspondence between the Canadian Electricity Association (CEA) and IEEE measures of performance.
They have not been updated to incorporate consideration of VER units or Resource unavailability.
They are shown below in the form for a single Unit. Extension to a Group of Units would follow the same
methodology as for the indexes in Clause 10: separately sum the numerator and denominator terms over the
population of Units, and then take the ratio.
K.1 Derating adjusted forced outage rate (DAFOR)
DAFOR is the ratio of equivalent forced outage time to the sum of equivalent forced outage time plus total
equivalent operating time. Note that f is not used in this calculation. This index is defined by the CEA
Equipment Reliability Information System (CEA-ERIS) [B5], and is shown in the notation of that document.
𝐹𝐹𝐹𝐹 +𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑂𝑂(𝐹𝐹𝐹𝐹)𝑎𝑎𝑎𝑎𝑎𝑎 + 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴(𝐹𝐹𝐹𝐹)𝑎𝑎𝑎𝑎𝑎𝑎

𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷𝐷 = × 100 (K.1)
𝐹𝐹𝐹𝐹 +𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑂𝑂(𝐹𝐹𝐹𝐹) 𝑎𝑎𝑎𝑎𝑎𝑎 + 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴(𝐹𝐹𝐹𝐹)𝑎𝑎𝑎𝑎𝑎𝑎 +𝑂𝑂 + 𝑂𝑂(𝐹𝐹𝐹𝐹) + 𝑂𝑂(𝑆𝑆𝑆𝑆)
where
f is the Demand factor calculated using the equation in Annex G
FO is the Forced outage hours (defined more narrowly than 6.2.3.2.3.2.2, see note)
FEMO is the Forced extension of maintenance outage hours (see 6.2.3.2.3.2.1 and
4.2.3.3.3.2.3)
FEPO is the Forced extension of planned outage hours (see 6.2.3.2.3.1 and 4.2.3.3.2.3)
O is the Operating hours (see 6.2.3.1.2)
O(FD) is the Hours operating under a forced derating
O(SD) is the Hours operating under a scheduled derating
O(FD)adj is the Hours operating under a forced derating, adjusted for equivalent outage time
similar to EFDH
ABNO(FD)adj is the equivalent to ERSFDH as defined under 8.5.2.2.4
NOTE—As defined in this standard, Forced outage hours (FOH) = FO + FEMO + FEPO, and Service hours
(SH) = O + O(FD) + O(SD).
K.2 Utilization forced outage probabilities
K.2.1 Utilization forced outage probability (UFOP)
UFOP is a measure of the probability that a Unit will not be available due to Forced outages when there is
Demand on the Unit to generate.
NOTE—UFOP is the same as Demand forced outage rate (FORd) (see 9.8.2); however, UFOP is the term used in Canada.
Using the notation of this standard,
𝑓𝑓 𝑥𝑥 𝐹𝐹𝐹𝐹𝐹𝐹
𝑈𝑈𝑈𝑈𝑈𝑈𝑈𝑈 = (K.2)
𝑓𝑓 𝑥𝑥 𝐹𝐹𝐹𝐹𝐹𝐹+𝑆𝑆𝑆𝑆
172
Using the notation of the CEA-ERIS [B5],
𝑓𝑓 𝑥𝑥 (𝐹𝐹𝐹𝐹 +𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹)

𝑈𝑈𝑈𝑈𝑈𝑈𝑈𝑈 = (K.3)
𝑓𝑓 𝑥𝑥 (𝐹𝐹𝐹𝐹 +𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹)+�𝑂𝑂 + 𝑂𝑂(𝐹𝐹𝐹𝐹) + 𝑂𝑂(𝑆𝑆𝑆𝑆)�
K.2.2 Derating adjusted utilization forced outage probability (DAUFOP)
A measure of the probability that a Unit will not be available when needed (derating included).
When deratings during the In-service state are separately available, CEA-ERIS [B5] collects “operating under
a forced derating” hours data separately, and these data can be used directly to estimate EFDHd using the
equivalent derating hours concept. There is no need to estimate it by multiplying all forced derating hours by
the factor fp. This estimate is used to calculate DAUFOP, which is conceptually similar to EFORd. DAUFOP
is currently used by some generators in Canada but is not reported by CEA for any group of Units. There is
no equivalent statistic in this standard.
173
Annex L
(informative)
Applicability of VER rates
The direct purpose of IEEE Std 762 is to define summary statistics for historic data. Some of these statistics
might be used in appropriate circumstances as inputs to forward-looking risk calculations. This annex
discusses the applicability of “rate” indexes for VER generation in such risk calculations.
It is possible, as in this standard, to define rate indexes for VER through appropriate extension of indexes
defined for conventional generation. However, as is well known, VER availability has very different
statistical properties; for individual Units available capacity varies continuously between zero and maximum,
availabilities between different Units are not statistically independent, and there may be complex statistical
associations between VER availability and demand. One immediate consequence is that, even for visualizing
quality of resource for security of supply purposes, rate indexes may be misleading as at substantial
penetrations it is the shape of the probability distribution around low outputs (not the mean) which matters.
More broadly, one must properly account in risk calculations for all of the above properties of VER units.
Clearly, use of a small number of discrete states (as for Conventional units) is unrealistic due to the
continually variable nature of VER availability, and thus a more detailed statistical model for VER
availability must be used.
Capacity value metrics such as Effective load carrying capability (ELCC) and Equivalent firm capacity (EFC)
can be defined to visualize the contribution of VER for a particular question, risk calculation, background of
demand and other resources, and risk metric. For instance one might calculate ELCC in a given circumstance
with respect to the risk index Loss of load expectation (LOLE) or Expected energy unserved (EEU) and a
chosen approach to statistical estimation.
Capacity value metrics are thus a property of the chosen risk metric and calculation, and the system
background to which the VER generation is added, rather than being properties of the of the VER generation
alone. Thus they cannot in general be used to represent VER generation within a different calculation under
other circumstances. Furthermore, one needs to do a risk calculation multiple times to calculate ELCC or
EFC, so in many circumstances one might as well just carry out the risk calculation to calculate LOLE, EEU,
etc. directly.
It may be possible to build a statistical emulator (or metamodel or surrogate model) of the dependence of
metrics such as ELCC or EFC on the scenario used in a risk calculation, and thus to interpolate between
scenarios to make estimates in unseen cases. This must be done with suitable care, and at the time of writing
the IEEE 762 Working Group is not aware of detailed work on this potential approach.
Thus the default recommendation in resource adequacy calculations must be for a full probabilistic risk
calculation to be carried out, including an appropriate statistical model for the available VER capacity. Where
simplified or approximate approaches are used, analysts are advised to take appropriate care over validity of
their approach. Validation of a simplified approach might, for instance, involve numerical experimentation
to compare recommended decisions from an analysis process with those based on a more detailed risk
calculation.
More information on the inclusion of VER in adequacy calculations may be found in the IEEE Task Force
paper “Capacity Value of Solar Power” [B8]. More detail on the dependence of capacity value results on all
aspects of system background may be found in [B9].
174
Annex M
(informative)
Energy accounting for overlapping unit states
Clause 9 of the standard provides definitions of the basic performance indexes and equations to calculate
these indexes for an individual Unit from the system and unit reliability perspectives. Two broad categories
of indexes are factors and rates. These are discussed in B.9.1
At any moment, an Active unit will be in one of the mutually exclusive states in Table M.1a. In some of these
states, a Unit may also have one or more of the potentially overlapping Capacity reduction states listed in
Table M.1b, with an associated capacity or energy reduction value.
Table M.1—Unit states

Forced outage (F)
Resource unavailability (U)
The challenge in defining generation-based factors and rates is allocating generation among overlapping
states. For example, if partial Resource unavailability occurs when the Unit is on a Forced outage, the
generation that would have been lost owing to the Forced outage, in the absence of Resource unavailability,
would be the product of Maximum capacity and duration of the outage. The generation that would have been
lost owing to Resource unavailability, in the absence of the Forced outage, would be the difference between
Maximum generation and Expected generation during that time. But these quantities overlap. The issue is,
how much of the lost generation should be attributed to the Forced outage and how much to Resource
unavailability?
Figure M.1 illustrates some of the relationships between time, capacity, and generation. The horizontal and
vertical axes are time and capacity. Figure M.1b has the hours and equivalent hours replaced by generation,
calculated as the area of each box, the product of time and capacity.
The columns in the two figures represent unit states, and the width of each column the hours in each state.
The letters above the columns correspond to the letters in parentheses listed with the states in Table M.1a.
The colored areas are discussed below.
The area of the entire box represents Gross maximum generation (GMG), which is the product of Gross
maximum capacity (GMC) and Active hours (ACTH). The large box with the thick (green) outline in the
lower left of Figure M.1b represents Expected generation (EG). Note that these figures are highly stylized.
Expected capacity is represented as a straight, horizontal line, while in actuality it is variable and might
conceptually be represented by a wavy line. Note that the widths of the columns in the figures are uniform,
for readability of the labels, and are not proportional to the hours that would be typical for a real wind turbine
or wind farm. Note also that some variables have a subscript that indicates they refer to a particular state, for
175
example PRUGF is the Partial resource unavailable generation during forced outage hours and MGF (not
shown) the maximum generation that would be possible were it not for equipment outages or Resource
unavailability.
PRUG
EPDH PDG
EFDH FDG
PRRG
NMC
GMC
AC
EC
EGN AAG RSG
MC
AC
EC
SHNG SH RSH

AH UH RUH ACTH
ACTH
b. Generation (FOGRVU)
a. Time and capacity (FORVU)
Figure M.1—Time, capacity, and generation relationships
Expected generation is the most that could possibly be produced for given resource conditions with perfect
equipment availability and no reserve reduction. In this case, Actual generation (AAG) would fill up the entire
lower left box. But in reality, there will be outages and deratings. The amount of Expected generation lost in
Forced outages, for example, is the area of rectangle labeled FUG, for Forced unavailable generation. The
generation lost to full Resource unavailability is Resource unavailable generation (RUG).
Given these definitions of FUG and RUG, the Forced outage generation rate (FOGRVU) for the unit
perspective and the time-based Forced outage rate (FORVU) are as defined in B.9.1.3.1 and are illustrated in
Figure M.1. The horizontally-striped (green) areas are the components representing equipment unavailability
and the solid (blue) areas, components that are only in the denominator, while the horizontally-striped areas
are also in the denominator.
M.1 Allocation schemes
Slicing and dicing unavailability is simple for unit indexes, because Resource unavailability is ignored and
the challenges of allocating overlapping quantities are largely avoided. It is more complicated for system
indexes. Three schemes have been considered for allocating the overlapping generation quantities:
Scheme 1—Similar to time-based indexes. The full amount of Maximum generation over the duration of a
Unit outage is allocated to the Unit outage. In addition to Resource unavailable generation (RUG), which is
the full amount of Maximum capacity over the time the Unit cannot produce because of resource conditions,
the only Partial resource unavailable generation (PRUG) charged to the resource is that which occurs during
Service hours and Reserve shutdown.
Scheme 2—Resource unavailability accounted first. The full amount of the difference between Maximum
generation and Expected generation is allocated to PRUG. Only the amount of Expected generation over the
duration of a Unit outage is allocated to the Unit outage, as for example, Forced unavailable generation
(FUG). RUG is a separate term.
176
Scheme 3—Full and partial resource unavailability accounted together in one piece. The full amount of
the difference between Maximum generation and Expected generation is allocated to PRUG and is added to
RUG to obtain Total resource unavailable generation (TRUG). Only the amount of Expected generation over
the duration of a Unit outage is allocated to the Unit outage, as for example FUG, the same as with scheme 2.
The consequences of the three schemes for forced and equivalent forced outage rates are illustrated in
Figure M.2 and Figure M.3. Figure M.2 shows the components of Forced outage generation rate (FOGRVS).
The formulas are provided in Table M.2 together with the corresponding time-based rates.
Figure M.3 shows the components of the corresponding index that includes deratings—Equivalent forced
outage generation rate (EFOGRVS) These formulas are also provided in Table M.2. Note that schemes 2 and
3 yield equivalent formulas for these three indexes.
M.2 Analysis of accounting priorities
Table M.3 provides parameters representing a hypothetical wind farm with 10 turbines, 240 kW each, for a
total of 2.4 MW, over a 31-day month. Table M.4 compares numerical results for UGFVU, UGFVS, EUGFVU,
EUGFVS, FOGRVU, FOGRVS, EFOGRVU, and EFOGRVS from the three schemes and the corresponding time-
based indexes for a hypothetical case. Schemes 2 and 3 yield the same numerical results for EFOGRVS but
differ in that scheme 3 treats full and partial Resource unavailability as a single piece.
Note that FOGRVU is 25% higher than FORVU. This is because Forced outages tended to occur when wind
speed and, therefore, Expected generation were high. The difference, although not as large as observed in
[B6], is significant, and could make a substantial difference in performance-based payments. The values of
FOGRVU do not depend on the scheme, because the unit indexes do not include Resource unavailability.
With scheme 1, Unit outages have priority over Resource unavailability in generation loss calculations, as if
implicitly assuming full resource conditions. It is graphically most similar to time-based indexes, in which
all the time on full outage is accounted against the type of outage, such as a Forced outage. But although they
look the same graphically, time-based and generation-based indexes may still have different numerical
values, unless Expected generation is constant throughout period. Scheme 1 attributes partial Resource
unavailability during equipment outages to the equipment, arguably understating the impact of Resource
unavailability. Schemes 2 and 3 assign more of the lost generation to Resource unavailability.
When Forced deratings are considered, the generation-based rate, EFOGRVU, is also about a quarter higher
than the time-based rate, EFORVU. But EFOGRVS is different from time-based counterpart under any scheme,
but not by as large a proportion. The differences between the three schemes arise from how much partial
Resource unavailability is considered and whether the partial Resource unavailable generation during Forced
outage hours is assigned to equipment unavailability or Resource unavailability.
Under scheme 2, Resource unavailability has priority over outages in generation loss calculations.
Consequently, reduced resource conditions increase PRUG and reduce the generation loss attributed to an
equipment outage.
Scheme 3 treats anything less than 100% resource availability as one block. It includes Resource
unavailability any time, including during Planned and Maintenance outages, in generation loss attributed to
Resource unavailability. It does not distinguish between full and partial Resource unavailability. TRUG
includes reductions occurring during equipment full Unit outages.
For both schemes 2 and 3, the generation accounted as lost in full Unit outages—FUG, etc.—doesn’t include
all the energy lost during these outages, as some is attributed to partial Resource unavailability. Thus, the
generation lost to the type of full Unit outage, e.g., Forced outages, is understated. Therefore, unit
unavailability indexes may change depending on Resource unavailability conditions and may be
underestimated relative to time-based indexes. However, under scheme 3 FOGR, which is defined as
177
representing full Unit outages, includes PRUG because it is part of TRUG, which is counted as a single block.
Therefore it mixes full and partial unavailable generation, while under scheme 2, FOGR includes only
generation lost in full Unit outages.
Practical issues should also be considered in the selection of a scheme. For example, small companies may
find it difficult to comply with anything more than the simplest requirements. Some small companies may
have trouble even reporting Expected energy. Further, it may be easier to keep all of PRUG together, rather
than dividing it between Service hours, Planned outage hours, etc., as would be required by scheme 1.
The need to keep things simple suggests minimizing the number of “buckets” into which data points are
assigned. For example, merging Forced and Maintenance outages would serve that purpose. The distinction
between Planned, Maintenance, and Forced outages for Conventional units is a matter of lead time before a
Unit needs to be shut down, that is, how long the required work can be postponed. If the shutdown can be
postponed until after the coming weekend, it is a Maintenance outage. If it needs to happen sooner, it is a
Forced outage. A Planned outage is typically scheduled months in advance. However, Planned and
Maintenance outages for VER units may be taken opportunistically—whenever the wind is low within a
given time window, to minimize generation lost to the outage, for example. An alternative way of
distinguishing outages is the severity of the condition, or the duration of the outage required.
Practical issues do not seem to decisively favor any scheme. The choice of an allocation scheme affects only
system indexes, not unit indexes. However, there may be overlapping deratings and reductions other than
PRUG that will need to be addressed in the future. The generation-based indexes in Clause 9 are based on
scheme 2.
178
Scheme 1 Scheme 2 Scheme 3
PRUG PRUG PRUG
PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF
Expected Generation (EG) Expected Generation (EG) Expected Generation (EG)

PDG PDGR PDG PDGR PDG PDGR
MDG MDGR MDG MDGR MDG MDGR
FDG FDGR FDG FDGR FDG FDGR
PRRG PRRG PRRG

MGN PUG MUG FUG RUG MGN PUG MUG FUG RUG MGN PUG MUG FUG RUG
NMC
NMC
NMC
GMC
GMC
GMC
AC
AC
AC
EC
EC
EC
AAG RSG AAG RSG AAG RSG
Plant Usage (Parasitic Loads) Plant Usage (Parasitic Loads) Plant Usage (Parasitic Loads)
SHNG SH RS POH MOH FOH SHNG SH RS POH MOH FOH SHNG SH RS POH MOH FOH
AH UH RUH AH UH RUH AH UH RUH
ACTH ACTH ACTH
Figure M.2—Application of unavailability allocation schemes to FOGRVS
Scheme 1 Scheme 2 Scheme 3
PRUG PRUG PRUG
PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF PRUGN PRUGS PRUGR PRUGP PRUGM PRUGF
Expected Generation (EG) Expected Generation (EG) Expected Generation (EG)

PDG PDGR PDG PDGR PDG PDGR
MDG MDGR MDG MDGR MDG MDGR
FDG FDGR FDG FDGR FDG FDGR
PRRG PRRG PRRG
MGN PUG MUG FUG RUG MGN PUG MUG FUG RUG MGN PUG MUG FUG RUG
NMC
GMC
NMC
GMC
NMC
GMC
AC
EC
AC
EC
AC
EC
AAG RSG AAG RSG AAG RSG
Plant Usage (Parasitic Loads) Plant Usage (Parasitic Loads) Plant Usage (Parasitic Loads)
SHNG SH RS POH MOH FOH SHNG SH RS POH MOH FOH SHNG SH RS POH MOH FOH
AH UH RUH AH UH RUH AH UH RUH
ACTH ACTH ACTH
Figure M.3—Application of unavailability allocation schemes to EFOGRVS
179
Table M.2—Generation-based VER Indexes: Schemes for allocating energy among overlapping states
UFVU UFVS EUFVU EUFVS

Unavailability factor, unit. The Unavailability factor, system. The Equivalent unavailability factor, unit. Equivalent unavailability factor,
fraction of Active hours in which a fraction of Active hours in which a The fraction of Active hours in which system. The fraction of Active hours
Unit was unavailable due to Unit Unit was not available due to Unit a Unit was not available due to Unit in which a Unit was not available due
outages. outages or full Resource outages or Unit deratings. to Unit outages, Unit deratings, or full
unavailability. or partial Resource unavailability.
Time- 𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉
based 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉
𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = 𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = � �
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 +𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉
= =
𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴 𝐴𝐴𝐴𝐴𝐴𝐴𝐴𝐴
UGFVU UGFVS EUGFVU EUGFVS

Unavailability generation factor, unit. Unavailability generation factor, Equivalent unavailability generation Equivalent unavailability generation
The fraction of Expected generation a system. The fraction of Maximum factor, unit. The fraction of Expected factor, system. The fraction of
Unit could not produce due to Unit generation a Unit could not produce generation a Unit could not produce Maximum generation a Unit could not
outages. due to Unit outages or full Resource due to Unit outages or Unit deratings. produce due to Unit outages, Unit
unavailability. deratings, or full or partial Resource
unavailability.
Scheme 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑃𝑃 𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑉𝑉𝑉𝑉
1 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃
� +𝑀𝑀𝑀𝑀𝑀𝑀 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑀𝑀 �
� +𝑀𝑀𝑀𝑀𝑀𝑀 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑀𝑀 + 𝑀𝑀𝑀𝑀𝑀𝑀 �
+𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
𝑈𝑈𝑈𝑈𝐹𝐹𝑉𝑉𝑉𝑉 = +𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 + FDG + 𝑅𝑅𝑅𝑅𝑅𝑅
𝑀𝑀𝑀𝑀 =
𝑀𝑀𝑀𝑀
𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹
� �
Scheme 𝑈𝑈𝑈𝑈𝑈𝑈𝑉𝑉𝑉𝑉 = 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = +𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹
𝐸𝐸𝐸𝐸 𝑈𝑈𝑈𝑈𝐹𝐹𝑉𝑉𝑉𝑉 = Same as Scheme 3
2 𝑀𝑀𝑀𝑀 𝐸𝐸𝐸𝐸
Scheme 𝐸𝐸𝐸𝐸𝐸𝐸𝐹𝐹𝑉𝑉𝑉𝑉
3 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑃𝑃𝑃𝑃𝑃𝑃 + 𝑀𝑀𝑀𝑀𝑀𝑀 + 𝑀𝑀𝑀𝑀𝑀𝑀
𝑈𝑈𝑈𝑈𝐹𝐹𝑉𝑉𝑉𝑉 = � �
𝑀𝑀𝑀𝑀 = +𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇
𝑀𝑀𝑀𝑀
180
Table M.2—Generation-based VER Indexes: Schemes for allocating energy among overlapping states—cont.
FORVU FORVS EFORVU EFORVS

Forced outage rate, unit. The Forced outage rate, system. The Equivalent forced outage rate, unit. Equivalent forced outage rate, system.
proportion of time that a Unit was not proportion of time that a Unit was not The average proportion of a Unit’s The average proportion of a Unit’s
available due to Forced outages during available due to Forced outages or full capacity that was not available due to capacity that was not available due to
Service hours, Forced outage hours, Resource unavailability during Service Forced outages or Forced deratings Forced outages, Forced deratings, or
and full Resource unavailable hours. hours, Forced outage hours, and full during Service hours, Forced outage full or partial Resource unavailability
Resource unavailable hours hours, and Resource unavailable during Service hours, Forced outage
hours. hours, and full Resource unavailable
hours.
Time- 𝐹𝐹𝐹𝐹𝑅𝑅𝑉𝑉𝑉𝑉 𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝑅𝑅𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉
based 𝐹𝐹𝐹𝐹𝐹𝐹 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉
= = = =
𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝑆𝑆𝑆𝑆 − 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐻𝐻𝑉𝑉𝑉𝑉 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
FOGRVU FOGRVS EFOGRVU EFOGRVS

Forced outage generation rate, unit. Forced outage generation rate, system. Equivalent forced outage generation Equivalent forced outage generation
The average proportion of a Unit’s The average proportion of a Unit’s rate, unit. The average proportion of a rate, system. The average proportion
Expected generation that was not Maximum generation that was not Unit’s Expected generation that was of a Unit’s Maximum generation that
available due to Forced outages during available due to Forced outages or full not available due to Forced outages or was not available due to Forced
Service hours and Forced outage Resource unavailability during Service Forced deratings during Service hours outages, Forced deratings, or full or
hours. hours, Forced outage hours, and and Forced outage hours. partial Resource unavailability during
Resource unavailable hours. Service hours, Forced outage hours,
and Resource unavailable hours.
Scheme 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉
𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑠𝑠
1 = =
𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑆𝑆 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝑠𝑠 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑃𝑃𝑃𝑃𝑃𝑃𝐺𝐺𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅
Scheme 𝐹𝐹𝐹𝐹𝐹𝐹 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹

𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = 𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 = Same as Scheme 3
2 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑅𝑅𝑅𝑅𝑅𝑅 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹
Scheme 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇

𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝐹𝑉𝑉𝑉𝑉 = 𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝐸𝑉𝑉𝑉𝑉 =
3 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 + 𝑇𝑇𝑇𝑇𝑇𝑇𝑇𝑇 𝐴𝐴𝐴𝐴𝐴𝐴 + 𝐷𝐷𝐷𝐷 + 𝐹𝐹𝐹𝐹𝐹𝐹 + T𝑅𝑅𝑅𝑅𝑅𝑅
181
Table M.3—Assumptions for numerical examples
Time Hours
Active hours ACTH 7035
Service hours generating SH 5060
Resource unavailable hours RUH 1654
Planned outage hours POH 141
Maintenance outage hours MOH 46
Forced outage hours FOH 227
Equivalent partial reserve reduction hours, system EPRRHVS 53
Equivalent partial reserve reduction hours, unit EPRRHVU 96
Equivalent partial resource unavailable hours EPRUH 1099
Equivalent planned derated hours, system EPDHVS 24
Equivalent planned derated hours, unit EPDHVU 43
Equivalent maintenance derated hours, system EMDHVS 9
Equivalent maintenance derated hours, unit EMDHVU 16
Equivalent forced derated hours, system EFDHVS 64
Equivalent forced derated hours, unit EFDHVU 112
Generation MWh
Gross maximum generation GMG 17 532
Gross actual generation GAAG 8369
Available generation AG 8747
Expected generation EG 9755
Unavailable generation UG 1009
Total resource unavailable generation TRUG 7777
Resource unavailable generation RUG 3970
Partial resource unavailable generation PRUG 3807
Planned unavailable generation PUG 108
Maintenance unavailable generation MUG 53
Forced unavailable generation FUG 505
Planned derated generation PDG 83
Maintenance derated generation MDG 31
Forced derated generation FDG 228
Derated generation DG 342
Partial resource unavailable generation, service hours PRUGS 3248
Partial resource unavailable generation, planned outage hours PRUGP 230
Partial resource unavailable generation, maintenance outage hours PRUGM 57
Partial resource unavailable generation, forced outage hours PRUGF 39
182
Table M.4—Example indexes for a hypothetical wind farm
UFVU UFVS FORVU FORVS

Time-based 5.7% 28.3% 3.3% 27.3%
UGFVU UGFVS FOGRVU FOGRVS
Gen-Scheme1 6.8% 28.3% 5.5% 27.4%
Gen-Scheme2 6.8% 26.4% 5.5% 33.9%
Gen-Scheme3 6.8% 48.2% 5.5% 48.7%
EUFVU EUFVS EFORVU EFORVS
Time-based 8.0% 44.7% 5.0% 44.2%
EUGFVU EUGFVS EFOGRVU EFOGRVS
Gen-Scheme1 10.3% 30.3% 8.0% 48.5%
Gen-Scheme2 10.3% 50.1% 8.0% 50.1%
Gen-Scheme3 10.3% 50.1% 8.0% 50.1%
183
Annex N
(informative)
Bibliography
Bibliographical references are resources that provide additional or helpful material but do not need to be
understood or used to implement this standard. Reference to these resources is made for informational use
only.
[B1] Bhavaraju, M. P., J. A. Hynds, and G.A. Nunan, “A Method for Estimating Equivalent Forced Outage
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pp. 2067–2074, Nov./Dec. 1978.
[B2] Billinton, R., and A. A. Chowdhury, “A Model for Peaking Units Using the Canadian Electrical
Association Data Base,” IEEE Transactions on Power Apparatus and Systems, PAS-104, no. 11, pp. 2972–
2979, Nov. 1985.
[B3] Billinton, R., and J. Ge, “A comparison of four-state generating unit reliability models for peaking
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[B4] Breipohl, A. M., et al., “Pooling Generating Unit Data for Improved Estimates of Performance
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[B5] Canadian Electricity Association, Equipment Reliability Information System.
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[B6] Conroy, N., J.P. Deane, and Brian P. Ó Gallachóir, “Wind turbine availability: Should it be time or
energy based?—A case study in Ireland,” Renewable Energy, Volume 36, Issue 11, 2011, pp. 2967-2971.
[B7] Curley, G. M., “Power plant performance indices in new market environment: IEEE Std 762 working
group activities and GADS database,” 2006 IEEE Power Engineering Society General Meeting, Montreal,
Quebec, 2006.
[B8] Dent, C.J., R. Sioshansi, J. Reinhart, A. L. Wilson, S. Zachary, M. Lynch, C. Bothwell, and C. Steele,
“Capacity value of solar power: Report of the IEEE PES task force on capacity value of solar power,” 2016
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[B9] Dent, C.J., and S. Zachary, “Further results on the probability theory of capacity value of additional
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IEEE Standard For Calculating The Current-Temperature Relationship of Bare Overhead Conductors

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IEEE Standard For Calculating The Current-Temperature Relationship of Bare Overhead Conductors

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IEEE Standard Definitions for Use in

IEEE Power and Energy Society

IEEE Std 762™-2023

Analytic Methods in Power Systems Committee

Approved 30 March 2023

IEEE SA Standards Board

The Institute of Electrical and Electronics Engineers, Inc.

Copyright © 2023 by The Institute of Electrical and Electronics Engineers, Inc.

PDF: ISBN 978-1-5044-9618-6 STD26094

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Laws and regulations

Updating of IEEE Standards documents

Douglas M. Logan, Chair

Fred “Doc” Beasom Ronald Fluegge Alexander W. Schneider, Jr.

Murty P. Bhavaraju Werner Hoelzl Howard Penrose

David J. Law, Chair

Sara R. Biyabani Joseph S. Levy Paul Nikolich

 Sub-units (3.22), multiple identical generators at a single location reported as an aggregate

3. Definitions of general terms ......................................................................................................................16

4. Unit states ..................................................................................................................................................22

5. Capacity terms ...........................................................................................................................................27

8. Equivalent hours ........................................................................................................................................50

9. Performance indexes of an individual unit ................................................................................................56

10. Group performance indexes.....................................................................................................................79

Annex A (informative) Application of IEEE Std 762 to conventional generation ........................................86

Annex B (informative) Application of IEEE Std 762 to VER generation ...................................................108

Annex C (informative) Glossary of terms and abbreviations ......................................................................140

Annex D (informative) Outside management control .................................................................................151

Annex F (informative) Transitions between active states............................................................................156

Annex G (informative) Approximate calculation of demand factor (f) .......................................................159

Annex I (informative) Pooling methodologies for EFORd ..........................................................................165

Annex J (informative) Example of duty cycle impact on EFORd................................................................171

Annex K (informative) CEA indexes for reference .....................................................................................172

Annex L (informative) Applicability of VER rates .....................................................................................174

Annex M (informative) Energy accounting for overlapping unit states ......................................................175

Annex N (informative) Bibliography ..........................................................................................................184

1.3 Word usage

1.4 Using this standard

3) Definitions of general terms

There are no normative references in this standard.

3. Definitions of general terms

For abbreviations and acronyms see Annex C.

3.2 Auxiliary group

A Group (3.14) of Units (3.23) designated as Auxiliary units (3.4).

3.3 Auxiliary load

3.4 Auxiliary unit

3.6 Conventional unit

The set of hours in a Critical period is denoted {THK}.

3.9.1 Service date

3.9.2 Deactivation date

NOTE—Inactive state was formerly named Deactivated shutdown state.

3.9.3 Reactivation date

3.10 Demand (for a unit)

3.11 Energy resource

A performance index adjusted to consider the effect of Unit deratings.

3.15 Interconnection provider

NOTE—A related industry term is “off-taker”.

An energy generating facility consisting of one or more Units.

3.19 Plant operator

An organization that operates all Units in a specified Plant.

3.20 Plant owner