C9 statements and consultations
We are required to establish statements and guidelines in accordance with special condition C9 of the National Energy System Operator’s (NESO) Electricity System Operator (ESO) Licence. On this page, you will find all C9-related documents, including consultations.
Please note: as a result of the licence changes arising from the transition to NESO, the statements previously found under C16 of the transmission licence are now found under C9 of the ESO Licence. The statements on this page currently refer to C16 as this was the correct licence condition at the time of consultation.
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Here you can find the latest versions of C9-related statements including the Balancing Principles Statement Report and guidelines.
Latest versions
Here you can find previous versions of C9-related statements and guidelines.
Procurement Guidelines
Balancing services adjustment data (BSAD)
Balancing principles statement report
By accessing these reports, you are agreeing to our terms and conditions.
System management action flagging
System management action flagging (SMAF) report
| Name | Published Sort ascending |
|---|---|
| Flagging Accuracy Report May 2012 - April 2013 | 10 Jul 2017 |
| SMAF Flagging Accuracy Report 2016-17 | 6 Jul 2017 |
| SMAF Flagging Accuracy Report 2015-16 | 26 May 2017 |
| SMAF Flagging Accuracy Report 2010-11 | 31 Oct 2013 |
| SMAF Flagging Accuracy Report 2012-13 | 31 Oct 2013 |
| SMAF Flagging Accuracy Report 2011-12 | 31 Oct 2013 |
Applicable balancing services volume data (ABSVD)
Balancing Principles Statement
Spend Reports
On an annual basis, we undertake consultations in respect of the C9 statements. Where applicable we may be required to undertake additional consultations outside of the standard annual review.
Procurement Guidelines Statement
The Procurement Guideline Statement sets out the principles, whereby, amongst other obligations, we shall procure balancing services in an appropriate competitive manner, publish our requirement through market information reports and/or on our website, purchase from the most economic sources available and not unduly discriminate.
Part D, Procurement Mechanisms, of the statement, outlines how we shall procure these balancing services in more detail with the emphasis on market mechanisms such as competitive tenders.
Balancing Principles Statement
The purpose of this Balancing Principles Statement is to define the broad principles and criteria (the Balancing Principles) that will determine, at different times and in different circumstances, which Balancing Services NESO will use to assist in the efficient and economic operation of the transmission system.
The Balancing Principles statement is designed to assist market participants in understanding the actions NESO takes in achieving the efficient, economic and co-ordinated operation of the transmission system and ensuring the security of the system at all times.
Appliable Balancing Services Volume Data Methodology
The purpose of the ABSVD statement is to set out the information on Applicable Balancing Services that will be taken into account under the Balancing and Settlement Code for the purposes of determining Imbalance Volumes.
The methodology outlines the basis of the ABSVD calculation and principles as well as providing details of the services that are included.
Balancing Services Adjustment Data Methodology
The purpose of this Statement is to set out the information on relevant balancing services that will be taken into account under the Balancing and Settlement Code for the purposes of determining Imbalance Prices.
The Methodology provides details of Balancing Service Adjustment actions and Balancing Services that are included as well as providing worked examples of the methodology.
System Management Action Flagging Methodology
The purpose of this Statement is to set out the means which the licensee will use to identify (using reasonable endeavours) balancing services that are for system management reasons, these services are subsequently classified as SO-Flagged.
Webinar Recordings
C9 Annual Review Webinar Procurement and Use of Balancing Services - 13 Nov 2025 - Watch Webinar
Documents
2024-25
Consultation videos
| Name | Published |
|---|---|
| Local Constraints Market Price Adjustment Mechanism | 02 Sep 2024 |
Consultation documents
2023-24
2021-22
2020-21
2019-20
2018-19
2017-18
2017 ABSVD Informal
2016-17
| Name | Published Sort ascending |
|---|---|
| APPENDIX D Change Marked SMAF Effective from 1 April 2017 | 18 Aug 2017 |
| APPENDIX E Change Marked BPS Effective from 1 April 2017 | 18 Aug 2017 |
| APPENDIX F Consultation Document 1617 | 18 Aug 2017 |
| APPENDIX G Drax Response | 18 Aug 2017 |
| APPENDIX G UKPR Response | 18 Aug 2017 |
| APPENDIX G Uniper Response | 18 Aug 2017 |
| C16 Annual Changes Report to Authority 1617 | 18 Aug 2017 |
| APPENDIX G ENGIE Response | 4 Apr 2017 |
2015-16
| Name | Published Sort ascending |
|---|---|
| C16-CONSULTATION-1516-v2 0 | 19 Oct 2017 |
| APPENDIX E-BPS | 19 Oct 2017 |
| APPENDIX A-ABSVD | 19 Oct 2017 |
| APPENDIX D-SMAF | 19 Oct 2017 |
| APPENDIX C-PG | 19 Oct 2017 |
| APPENDIX B-BSAD | 19 Oct 2017 |
| Appendix F - Response Proforma | 19 Oct 2017 |
2014-15
| Name | Published Sort ascending |
|---|---|
| APPENDIX B - SMAF | 19 Oct 2017 |
| APPENDIX C - BPS | 19 Oct 2017 |
| APPENDIX D - RESPONSE PROFORMA | 19 Oct 2017 |
| Open Letter - proposals for NBS treatment in cashout | 19 Oct 2017 |
| APPENDIX-B-RESPONSE-PROFORMA-1415 | 19 Oct 2017 |
| APPENDIX-A-BSAD-V10_0-1415 | 19 Oct 2017 |
| NBS Pricing Decision Letter_v1_0 | 19 Oct 2017 |
| New Balancing Services Open Letter 14.07.14 | 19 Oct 2017 |
| Post ETR consultation Report 07 March 2014 | 19 Oct 2017 |
2013-14
| Name | Published Sort ascending |
|---|---|
| RTA-APP-F-1-COMBINED_201113 | 18 Oct 2017 |
| RTA-APP-E-RESPONSES-COMBINED | 18 Oct 2017 |
| RTA-APP-D-3-COMBINED | 18 Oct 2017 |
| RTA-APP-C-2-COMBINED | 18 Oct 2017 |
| RTA-APP-B-1-COMBINED | 18 Oct 2017 |
| RTA-APP-A-CONDOC | 18 Oct 2017 |
| C16-RTA-INTERIM-2013-FINAL(1) | 18 Oct 2017 |
| C16-RTA-INTERIM-2013-FINAL | 18 Oct 2017 |
| C16 Report to Authority 29 November 2013 | 18 Oct 2017 |
| C-16-DSBR-SBR-CONSULTATION-2013 | 18 Oct 2017 |
2012-13
| Name | Published Sort ascending |
|---|---|
| B12 Formalising two shifting limit and other parameters | 18 Oct 2017 |
| C16 Appendix A ABSVD | 18 Oct 2017 |
| NGET Response - BELLA Participation in the BM | 18 Oct 2017 |
2011-12
| Name | Published Sort ascending |
|---|---|
| C16 Consultation | 18 Oct 2017 |
2010-11
2009-10
| Name | Published Sort ascending |
|---|---|
| BSAD - Appendix E | 18 Oct 2017 |
| Appendix E BPS plus plain english changes | 18 Oct 2017 |
| C16 PG Appendix C - 'cat 5' | 18 Oct 2017 |
| C16 PG Appendix B - 'cat 5' | 18 Oct 2017 |
| Worked examples for cat5 intertrip service | 18 Oct 2017 |
| C16 Authority Report - Appendix G | 18 Oct 2017 |
| Ofgem Direction 19 May 2009 – cat5 PGs and BPS consultation | 18 Oct 2017 |
| SMAF - Appendix D | 18 Oct 2017 |
| SMAF - Appendix F | 18 Oct 2017 |
| Consultation Report - BSAD and SMAF | 18 Oct 2017 |
These documents outline the GB methodology for commercial arrangements for payments relating to interconnector (IC) capacity restrictions resulting from NTC restrictions set by National Energy System Operator (NESO). The commercial arrangements in these documents should be applied to:
- all interconnector projects (existing and future) that are connected to the GB transmission system
- capacity calculations made both before and after the firmness deadline
This methodology should be applied in full to ensure consistency of NTC arrangements across all GB connected interconnectors.