Protocol Audit Questionnaire Resource Entity (RE) Protocol Audit Questionaire for... · If Company is concurrently responding to a QSE Protocol Audit Questionnaire, responses to some

Protocol Audit Questionnaire

Entity Name: Name

Registered Function(s): Resource Entity (RE)

Audit Date: Date

PAGE 1 OF 28

Protocol Audit Questionnaire Resource Entity (RE)

TABLE OF CONTENTS

COMPANY’S SUPPORTING DOCUMENTATION .................................................................................................... 4

COMPANY’S SUBJECT MATTER EXPERT(S) ........................................................................................................... 4

QUESTIONS ........................................................................................................................................................ 4

QUESTION # R01 GENERAL INFORMATION ......................................................................................................................... 4 Question ................................................................................................................................................................ 4 Company’s Response ............................................................................................................................................ 5

QUESTION # R02 RESOURCE INFORMATION ....................................................................................................................... 5 Question ................................................................................................................................................................ 5 Company’s Response ............................................................................................................................................ 5

QUESTION # R03 REACTIVE TESTS .................................................................................................................................... 5 References ............................................................................................................................................................. 5 Question ................................................................................................................................................................ 5 Company’s Response ............................................................................................................................................ 5

QUESTION # R04 RESOURCE PARAMETERS ........................................................................................................................ 5 References ............................................................................................................................................................. 5 Question ................................................................................................................................................................ 6 Company’s Response ............................................................................................................................................ 6

QUESTION # R05 SYSTEM PROTECTION ............................................................................................................................. 6 References ............................................................................................................................................................. 6 Question ................................................................................................................................................................ 6 Company’s Response ............................................................................................................................................ 6

QUESTION # R06 GOVERNOR .......................................................................................................................................... 6 References ............................................................................................................................................................. 6 Question ................................................................................................................................................................ 6 Company’s Response ............................................................................................................................................ 7

QUESTION # R07 AVR / PSS STATUS ............................................................................................................................... 7 References ............................................................................................................................................................. 7 Question ................................................................................................................................................................ 7 Company’s Response ............................................................................................................................................ 8

QUESTION # R08 BLACK START TESTS ............................................................................................................................... 8 References ............................................................................................................................................................. 8 Question ................................................................................................................................................................ 8 Company’s Response ............................................................................................................................................ 8

QUESTION # R09 UNDER FREQUENCY TRIP RELAYS ............................................................................................................. 8 References ............................................................................................................................................................. 8 Question ................................................................................................................................................................ 8 Company’s Response ............................................................................................................................................ 8

QUESTION # R10 SPECIAL PROTECTION SYSTEMS ................................................................................................................ 8 References ............................................................................................................................................................. 8 Question ................................................................................................................................................................ 8


Entity Name: Name


Audit Date: Date

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Company’s Response ............................................................................................................................................ 9 QUESTION # R11 REACTIVE CAPABILITY CHANGES ............................................................................................................... 9

References ............................................................................................................................................................. 9 Question ................................................................................................................................................................ 9 Company’s Response ............................................................................................................................................ 9

QUESTION # R12 REACTIVE CONTROL EQUIPMENT .............................................................................................................. 9 References ............................................................................................................................................................. 9 Question ................................................................................................................................................................ 9 Company’s Response ............................................................................................................................................ 9

QUESTION # R13 VOLTAGE SUPPORT AGREEMENTS ............................................................................................................ 9 References ............................................................................................................................................................. 9 Question ................................................................................................................................................................ 9 Company’s Response ............................................................................................................................................ 9

QUESTION # R14 WGR REACTIVE CAPABILITY .................................................................................................................. 10 References ........................................................................................................................................................... 10 Question .............................................................................................................................................................. 10 Company’s Response .......................................................................................................................................... 10

QUESTION # R15 WGR SCADA COMMUNICATIONS ......................................................................................................... 10 References ........................................................................................................................................................... 10 Question .............................................................................................................................................................. 10 Company’s Response .......................................................................................................................................... 10

QUESTION # R16 WGR VOLTAGE RIDE-THROUGH ............................................................................................................ 10 References ........................................................................................................................................................... 10 Question .............................................................................................................................................................. 11 Company’s Response .......................................................................................................................................... 11

QUESTION # R17 WGR GOVERNOR CONTROL ................................................................................................................. 11 References ........................................................................................................................................................... 11 Question .............................................................................................................................................................. 11 Company’s Response .......................................................................................................................................... 11

REFERENCES ...................................................................................................................................................... 11

Protocol 8.1.1.2.1.4 (2) Voltage Support Service (VSS) Qualification .................................................................. 11 Protocol 3.7 Resource Parameters ...................................................................................................................... 12 Operating Guide 6.2.3 (2) Performance Analysis Requirements for ERCOT System Facilities ............................ 13 Operating Guide 6.2.4 (3) (4) (7) Protective Relay System Failure Response ...................................................... 13 Protocol 8.5.1.1 Governor in Service ................................................................................................................... 14 Protocol 8.5.1.2 Reporting .................................................................................................................................. 14 Operating Guide 2.2.7 Turbine Speed Governors ................................................................................................ 14 Protocol 3.15.3 (4) QSE Responsibilities Related to Voltage Support ................................................................. 16 Protocol 6.5.5.1 Changes in Resource Status ...................................................................................................... 16 Protocol 8.1.1.2.1.4 (5) Voltage Support Service (VSS) Qualification .................................................................. 16 Operating Guide 2.2.5 (2) Automatic Voltage Regulators .................................................................................. 16 Operating Guide 2.2.6 Power System Stabilizers ................................................................................................ 17 Protocol 8.1.1.2.1.5 (1) (4) (6) (7) System Black Start Capability Qualification and Testing .............................. 19 Protocol 8.5.1.2 (2) Reporting ............................................................................................................................. 21 Operating Guide 2.2.5 (3) and (4) Automatic Voltage Regulators ...................................................................... 21 Operating Guide 5.1 (c) System Modeling Information ...................................................................................... 21


Entity Name: Name


Audit Date: Date

PAGE 3 OF 28

Operating Guide 2.6.2 (1) Generators ................................................................................................................. 22 Operating Guide 6.2.2 (13) Design and Operating Requirements for ERCOT System Facilities .......................... 22 Protocol 3.15 (10) Voltage Support ..................................................................................................................... 23 Protocol 3.15 (8) Voltage Support ....................................................................................................................... 23 Protocol 3.15 (9) Voltage Support ....................................................................................................................... 23 Protocol 3.15 (4) Voltage Support ....................................................................................................................... 24 Protocol 3.15 (12) Voltage Support ..................................................................................................................... 25 Operating Guide 2.9.1 Additional Voltage Ride-Through Requirements for Intermittent Renewable Resources ............................................................................................................................................................................ 26 Protocol 8.5.1.3 Wind-powered Generation Resource (WGR) Primary Frequency Response ............................. 28


Entity Name: Name


Audit Date: Date

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COMPANY’S SUPPORTING DOCUMENTATION All evidence documents referenced in this Protocol Audit Questionnaire (Questionnaire) must be included in the Protocol Audit Document Submittal List and numbered in accordance with the Protocol Audit Submittal Package Instructions. Responses to the questions must be sufficiently detailed and complete in order to demonstrate compliance. In answers to the questions, please refer to supporting documents by the Doc # as listed in the Protocol Audit Document Submittal List. Citations to multipage supporting documents must clearly reference the applicable parts of the evidence (e.g. Doc #, page #, paragraph #). If Company is concurrently responding to a QSE Protocol Audit Questionnaire, responses to some of the questions in the RE Protocol Audit Questionnaire may be duplicative to questions in the QSE questionnaire. In those cases, Company may refer to the response provided in the QSE questionnaire, provided that all Company Resources were included in the responses to the QSE questions. COMPANY’S SUBJECT MATTER EXPERT(S)

Topic Name Title Organization / Department

QUESTIONS QUESTION # R01 GENERAL INFORMATION

Question

1. Please provide your preferred company acronym. 2. Provide a brief company profile. 3. Provide details about your company’s footprint in the ERCOT interconnect. 4. List the registrations your company maintains with ERCOT. Include DUNS numbers for each registration. Please use the attached Registrations Form in your response. Describe the functions performed under each ERCOT registration. 5. Please provide physical addresses for each: • Corporate • Control Center(s)

FORM_Audit_Registra

tion.xlsx


Entity Name: Name


Audit Date: Date

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Company’s Response

QUESTION # R02 RESOURCE INFORMATION

Question

1. Please provide a spreadsheet list of each Generation Resource owned and / or managed by your company. Please use the attached Resource Form in your response. 2. Please provide a one-line diagram for each Generation Resource.

FORM_Audit_Resourc

e.xlsx


QUESTION # R03 REACTIVE TESTS

References

Protocol 8.1.1.2.1.4 (2) Voltage Support Service (VSS) Qualification

Question

1. Provide a spreadsheet listing all Generation Resources required to provide Voltage Support Service (as defined in Protocol 3.15) that indicates dates of the two most recent Leading Reactive tests and the two most recent Lagging Reactive tests for each Generation Resource to demonstrate compliance with the two year testing requirement. 2. Provide documentation of each test, including results and any follow-up actions taken. 3. For any tests not performed in accordance with the requirement to test every two years, please provide an explanation. 4. Provide documentation that all test results were submitted to ERCOT in accordance with Protocols and Operating Guides. 5. If tests were performed but not submitted to ERCOT, please explain why they were not submitted.


QUESTION # R04 RESOURCE PARAMETERS

References

Protocol 3.7 Resource Parameters

Protocol 8.5.1.2 (2) Reporting Operating Guide 2.2.5 (3) and (4) Automatic Voltage Regulators Operating Guide 5.1 (c) System Modeling Information


Entity Name: Name


Audit Date: Date

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Question

1. Provide Company's procedures for scheduling, testing, and submittal of test results for Net Dependable Capability and Reactive Capability. 2. Provide a copy of the current Resource Asset Registration Form (RARF) a) Provide evidence it was approved by ERCOT. b) Highlight reactive data in RARF to demonstrate consistency with recent reactive tests. c) Highlight Seasonal HSLs in RARF to demonstrate consistency with recent HSL submittals. 3. Provide a copy of the most recent (dated) modeling data sheets for governor, generator, exciter, and power system stabilizer. Provide evidence of submittal to ERCOT.


QUESTION # R05 SYSTEM PROTECTION

References

Operating Guide 6.2.3 (2) Performance Analysis Requirements for ERCOT System Facilities Operating Guide 6.2.4 (3) (4) (7) Protective Relay System Failure Response

Question

1. During the Audit Scope Period, have any Company's Generation Resources had a protection system failure on the generator, step-up transformer, or if equipped, CAP Banks or Reactors? 2. If so, provide details of each instance, such as reason, dates and duration. 3. Include documentation to demonstrate failure and restoration was properly communicated to the QSE. 4. Provide copies of all misoperation reports filed during the Audit Scope Period. 5. For each misoperation Provide evidence (telephone recordings, written logs, emails, etc.) that a) QSE was immediately notified, and b) QSE immediately notified ERCOT, and c) QSE promptly notified ERCOT of return to service


QUESTION # R06 GOVERNOR

References

Protocol 8.5.1.1 Governor in Service Protocol 8.5.1.2 Reporting

Operating Guide 2.2.7 Turbine Speed Governors

Question

Please complete the attached Governor Form for this question. 1. Indicate all dates and times (start and end) for each generator when the governor was out of service except during start-up, shutdown, outage, off-line for economics, or testing.


Entity Name: Name


Audit Date: Date

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a) For each event on the list include the reason for governor out of service. b) Provide documentation to show that the QSE promptly notified ERCOT of all instances of governor out of service. 2. Provide dates of the two most recent governor performance tests for each of Company’s generators to demonstrate compliance with the two year testing requirement. Provide Doc# of all related test reports. a) Provide dated documentation to demonstrate the test results were submitted to, and approved by, ERCOT. b) Provide dated documentation of submittal of limiting factors to ERCOT, if any.

FORM_Audit_Governo

r.xlsx


QUESTION # R07 AVR / PSS STATUS

References

Protocol 3.15.3 (4) QSE Responsibilities Related to Voltage Support Protocol 6.5.5.1 Changes in Resource Status Protocol 8.1.1.2.1.4 (5) Voltage Support Service (VSS) Qualification Operating Guide 2.2.5 (2) Automatic Voltage Regulators Operating Guide 2.2.6 Power System Stabilizers

Question

Please complete the attached AVR_PSS Form for this question. 1. During the Audit Scope Period, have any of Company's Generation Resources had instances where the AVR or PSS has been "off" or in "manual" while the generator was on-line and at or above LSL? a) If so, provide details of each instance, such as reason, dates and duration. b) Include documentation to demonstrate status was properly communicated to the QSE. 2. Provide dates of the two most recent AVR performance tests and the two most recent PSS performance tests (if equipped with PSS) for each of Company’s generators to demonstrate compliance with the five year testing requirement. Provide Doc# of all related test reports. 3. If equipped with PSS, provide date the PSS was placed in service. Provide documentation of tuning of the PSS. Provide documentation of submittal of tuning parameters to ERCOT and the TSP. 4. Denote all AVR or PSS systems that have been modified or replaced and include date of modification or replacement. Include dates and supporting documentation to demonstrate submittal of test results after completion of the modification to ERCOT and the TSP.


Entity Name: Name


Audit Date: Date

PAGE 8 OF 28

FORM_Audit_AVR_PSS

.xlsx


QUESTION # R08 BLACK START TESTS

References

Protocol 8.1.1.2.1.5 (1) (4) (6) (7) System Black Start Capability Qualification and Testing

Question

1. Provide a spreadsheet listing of all Company's Generation Resources that are presently contracted for Black Start Service, or have been contracted for Black Start Service during the Audit Scope Period. 2. Provide a list of dates of all tests required in Protocol 8.1.1.2.1.5 (1). Provide supporting documentation for each test. 3. Provide a list of dates of all Black Start Resource Availability Tests required in Protocol 8.1.1.2.1.5 (4). Provide supporting documentation for each test. Provide documentation of submittal of the Black Start Resource Availability Test report to ERCOT.


QUESTION # R09 UNDER FREQUENCY TRIP RELAYS

References

Operating Guide 2.6.2 (1) Generators

Question

1. Provide a spreadsheet listing of all Company's generation resources with settings of all under frequency trip relays. 2. Provide corresponding support documents, such as relay test reports. 3. Provide narrative that describes reason for any relay settings that are not in accordance with settings in Operating Guide 2.6.2.


QUESTION # R10 SPECIAL PROTECTION SYSTEMS

References

Operating Guide 6.2.2 (13) Design and Operating Requirements for ERCOT System Facilities

Question

1. During the Audit Scope Period, was there an active Special Protection System (SPS) that was designed to reduce output or trip any of Company's generation resources? 2. If yes, provide a narrative description.


Entity Name: Name


Audit Date: Date

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3. Provide documentation to demonstrate coordination of design between the generation resource and the SPS owner.


QUESTION # R11 REACTIVE CAPABILITY CHANGES

References

Protocol 3.15 (10) Voltage Support

Question

1. Provide a spreadsheet listing of Company's generation resources that have had reductions to their reactive capability during the Audit Scope Period. 2. Provide a description of the change, documentation of ERCOT notification, and dates of ERCOT approval.


QUESTION # R12 REACTIVE CONTROL EQUIPMENT

References


Question

1. Provide a spreadsheet listing of any Company's generation resources that use a combination of the URL and added VAR capability provided by automatically switchable and / or dynamic VAR devices to meet the reactive requirements of Protocol 3.15 (3). 2. Provide a description and dated documentation to demonstrate ERCOT's actions (approval or denial). 3. What is current status?


QUESTION # R13 VOLTAGE SUPPORT AGREEMENTS

References


Question

1. Provide a spreadsheet listing of any Company's generation resources that have agreements with the TSP to provide voltage support service to meet the reactive requirements of Protocol 3.15 (3). 2. Provide the agreement and dated documentation of the TSP's certification of compliance to ERCOT.



Entity Name: Name


Audit Date: Date

PAGE 10 OF 28

QUESTION # R14 WGR REACTIVE CAPABILITY

References


Question

(Wind Generators Only) 1. Provide a spreadsheet listing of each of Company's wind generation resources that commenced operation on or after February 17, 2004 and have a signed Standard Generation Interconnection Agreement (SGIA) on or before December 1, 2009. Include dates of commercial operation and date of signed interconnection agreement. 2. For each generation resource, denote whether it is capable of providing voltage support service in accordance with requirements of Protocol 3.15 (3). Provide supporting data / documentation. 3. For generation resources on the list whose design did not allow them to comply with Protocol 3.15 (3), provide documentation of engineering studies or performance tests that define the resources' actual reactive capability. a) Describe corrective actions implemented with supporting test results that demonstrate acceptable reactive capability. b) Provide documentation to show that resource registration information was updated and written notice was provided to ERCOT within five Business Days of completion of corrective actions.


QUESTION # R15 WGR SCADA COMMUNICATIONS

References


Question

(Wind Generators Only) Provide documentation to demonstrate each of Company's wind generation resources is providing real time SCADA communications to ERCOT to indicate: 1. The number of wind turbines available for real and reactive power, 2. The number of wind turbines not able to communicate or whose status is unknown, and 3. The number of wind turbines out of service and not available for operation.


QUESTION # R16 WGR VOLTAGE RIDE-THROUGH

References

Operating Guide 2.9.1 Additional Voltage Ride-Through Requirements for Intermittent Renewable Resources


Entity Name: Name


Audit Date: Date

PAGE 11 OF 28

Question

(Wind Generators Only) Provide narrative and supporting documentation to demonstrate each of Company's wind generation resources meets the voltage ride through requirements of Operating Guide 2.9.1.


QUESTION # R17 WGR GOVERNOR CONTROL

References

Protocol 8.5.1.3 Wind-powered Generation Resource (WGR) Primary Frequency Response

Question

(Wind Generators Only) 1. Provide a spreadsheet listing all Company's wind generation resources and date of the signed Standard Generation Interconnection Agreement (SGIA) for each resource. 2. Indicate whether the automatic control system for each resource has adjustable dead band and droop capability and what the deadband and droop settings / characteristics are. 3. Include dates the Primary Frequency Response capability was placed into operation for each resource. 4. Indicate whether technical feasibility exemption(s) was requested and provide supporting documentation for each. 5. Describe current status of exemption request.


REFERENCES


(2) The Resource Entity shall conduct reactive capacity qualification tests to verify the maximum leading and lagging reactive capability of all Generation Resources required to provide VSS. Reactive capability tests are performed on initial qualification and at a minimum of once every two years. ERCOT may require additional testing if it has information indicating that current data is inaccurate. The Resource Entity is not obligated to place Generation Resources On-Line solely for the purposes of testing. The reactive capability tests must be conducted at a time agreed to in advance by the Resource Entity, its QSE, the applicable TSP, and ERCOT. Back to Question # R03


Entity Name: Name


Audit Date: Date

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Protocol 3.7 Resource Parameters

(1) A Resource Entity shall register Resource Parameters for its Resources with ERCOT.

(2) ERCOT shall provide each Qualified Scheduling Entity (QSE) that represents a Resource the ability to submit changes to Resource Parameters for that Resource.

(3) The QSE may revise Resource Parameters only with sufficient documentation to justify a change in Resource Parameters.

(4) ERCOT shall use the Resource Parameters as inputs into the Day-Ahead Market (DAM), Reliability Unit Commitment (RUC), Security-Constrained Economic Dispatch (SCED), Resource Limit Calculator, Load Frequency Control (LFC), and other ERCOT business processes.

(5) The Independent Market Monitor (IMM) may require the QSE to provide justification for the Resource Parameters submitted.

(6) The QSE or Resource Entity must update any Resource Parameter for a specific Resource:

(a) Within ten Business Days of completion of a Net Dependable Capability test to reflect the results of the test;

(b) Within ten Business Days of completion of a reactive capability test to reflect the results of the test;

(c) Within ten Business Days of a request by ERCOT to check or update a specific Resource Parameter; and

(d) Within ten Business Days of a known change to any Resource Parameter.

Back to Question # R04


Entity Name: Name


Audit Date: Date

PAGE 13 OF 28

Operating Guide 6.2.3 (2) Performance Analysis Requirements for ERCOT System Facilities

(2) All protective relay system and automatic reclosing operations misoperations in Generation Resource systems or Transmission Facility systems 100 kV and above shall be documented, including corrective actions and the documentation supplied by the affected Facility owner(s) to ERCOT or NERC upon their request. All protective relay system and automatic reclosing operations misoperations shall be documented quarterly using the format in Section 8, Attachment B, Protection System Misoperation Report. Any of the following events constitute a reportable protective relay system and automatic reclosing misoperation: (a) Failure to Trip – Any failure of a protective relay system to initiate a trip to the appropriate terminal when a fault is within the intended zone of protection of the device (zone of protection includes both the reach and time characteristics). Lack of targeting, such as when a high-speed pilot system is beat out of high-speed zone is not a reportable misoperation. Furthermore, if the fault clearing is consistent with the time normally expected with proper functioning of at least one protection system, then a primary or backup protection system failure to operate is not required to be reported; (b) Slow Trip – An operation of a protective relay system for a fault in the intended zone of protection where the relay system initiates tripping slower than the system design intent; (c) Unnecessary Trip During a Fault – Any unnecessary protective relay system operation for a fault not within the zone of protection. Operation as backup protection for a fault in an adjacent zone that is not cleared within the specified time for the protection for that adjacent zone is not a reportable operation; (d) Unnecessary Trip Other Than Fault – Any unnecessary protective relay system operation when no fault or other abnormal condition has occurred. Note that an operation that occurs during on-site maintenance, testing, construction and/or commissioning activities is not a reportable misoperation; and (e) Failure to Reclose – Any failure of a protective relay system or automatic reclosing to automatically reclose following a fault if that is the design intent.

Operating Guide 6.2.4 (3) (4) (7) Protective Relay System Failure Response

(3) The owner of protective relay systems will immediately notify the appropriate Qualified Scheduling Entity (QSE) and Transmission Operator (TO) via phone call, when the owner has determined that the protective relay system has failed. (4) The affected QSE or TO shall immediately notify the ERCOT Shift Supervisor via phone call and initiate prompt corrective action. These corrective actions are to address reliability issues for the systems that the QSE and TO monitor and/or operate. (7) The affected QSE and TO shall promptly notify the ERCOT Shift Supervisor via phone call of the return to service of the previously identified protective relay systems. Back to Question # R05


Entity Name: Name


Audit Date: Date

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Protocol 8.5.1.1 Governor in Service

At all times an All-Inclusive Generation Resource is On-Line, its Governor must remain in service and be allowed to respond to all changes in system frequency except during startup, shutdown, or testing. A Generation Entity may not reduce Primary Frequency Response on an individual All-Inclusive Generation Resource even during abnormal conditions without ERCOT’s consent (conveyed by way of the Resource Entity’s Qualified Scheduling Entity (QSE)) unless equipment damage is imminent. All Generation Resources that have capacity available to either increase output or decrease output in Real-Time must provide Primary Frequency Response, which may make use of that available capacity. Only Generation Resources providing Regulation Up (Reg-Up), Regulation Down (Reg-Down), Responsive Reserve (RRS), or Non-Spinning Reserve (Non-Spin) from On-Line Resources, as specified in Section 8.1.1, QSE Ancillary Service Performance Standards, shall be required to reserve capacity that may also be used to provide Primary Frequency Response.

Protocol 8.5.1.2 Reporting

(1) Each Resource Entity shall conduct applicable Governor tests on each of its

Generation Resources as specified in the Operating Guides. The Resource Entity shall provide test results and other relevant information to ERCOT. ERCOT shall make these results available to the Transmission Service Providers (TSPs).

(2) Generation Resource Governor modeling information required in the ERCOT planning criteria must be determined from actual Generation Resource testing described in the Operating Guides. Within 30 days of ERCOT’s request, the results of the latest test performed must be supplied to ERCOT and the connected TSP.

(3) Each QSE shall inform ERCOT as soon as practical when notified by its On-Line Generation Resource of the Governor being out-of-service. The QSE shall supply related logs to ERCOT upon request.

(4) If a Generation Resource trips Off-Line during a disturbance, as described by the North American Electric Reliability Corporation (NERC), while providing Primary Frequency Response, the QSE shall report the cause of the failure to ERCOT as soon as the cause has been identified.

Operating Guide 2.2.7 Turbine Speed Governors

(1) A Governor shall be in-service whenever the Generation Resource is providing energy to the ERCOT Transmission Grid.

(2) Resource Entities shall conduct Governor performance tests for each Generation Resource or Wind-powered Generation Resource (WGR) at least every two years using one of the test methods or historical methods specified in Section 8, Attachment


Entity Name: Name


Audit Date: Date

PAGE 15 OF 28

C, Turbine Governor Speed Tests. The Resource Entity shall then provide test results to ERCOT.

(3) Every effort should be made to maintain Primary Frequency Response. Maintenance tests on Governors shall demonstrate calibration for operation consistent with a generator droop characteristic of no greater than 5% but no less than 2% and Governor Dead-Band no greater than +/- 0.036 Hz.

(4) There are elements that can contribute to poor Primary Frequency Response. These include:

(a) Governor Dead-Band in excess of +/- 0.036 Hz (measured from 60 Hz);

(b) Valve position limits;

(c) Blocked Governor operation;

(d) Control mode;

(e) Adjustable rates or limits;

(f) Boiler/turbine coordinated control or set point control action; and

(g) Automated “reset” or similar control action of the turbine’s MW set point.

(5) Every attempt should be made to minimize the effects of the elements listed in item (4) above on the Governor operation for the duration of all frequency deviations. Each Resource Entity should monitor its Generation Resources to verify these elements do not contribute to a Governor droop characteristic of no greater than 5% but no less than 2%.

(6) If ERCOT determines that ERCOT System reliability would be enhanced, for a defined period of time, ERCOT may direct WGRs under the control of a Special Protection System (SPS) to limit power increases due to frequency if there is risk of an SPS operation due to a low frequency event.



Entity Name: Name


Audit Date: Date

PAGE 16 OF 28

Protocol 3.15.3 (4) QSE Responsibilities Related to Voltage Support

(4) Each QSE’s Generation Resource providing VSS shall operate with the unit’s Automatic Voltage Regulator (AVR) in the voltage control mode unless specifically directed to operate in manual mode by ERCOT, or when the unit is going On-Line or Off-Line or the QSE determines a need to operate in manual mode in the event of an Emergency Condition at the generating plant. Each QSE shall send to ERCOT via telemetry, the AVR and Power System Stabilizer (PSS) status of each Generation Resource providing VSS. For AVRs, an “On” status will indicate the AVR is on and set to regulate the Resource’s terminal voltage in the voltage control mode, and an “Off” status will indicate the AVR is off or in a manual mode. Each QSE shall monitor the status of their regulators and stabilizers, and shall report abnormal status changes to ERCOT.

Protocol 6.5.5.1 Changes in Resource Status

(1) Each QSE shall notify ERCOT of a change in Resource Status via telemetry and through changes in the Current Operating Plan (COP) as soon as practicable following the change. (2) Each QSE shall promptly inform ERCOT when the operating mode of its Generation Resource’s Automatic Voltage Regulator (AVR) or Power System Stabilizer (PSS) is changed while the Resource is On-Line. The QSE shall also provide the Resource’s AVR or PSS status logs to ERCOT upon request. (3) Each QSE shall immediately report to ERCOT and the TSP any inability of the QSE’s Generation Resource required to meet its reactive capability requirements in these Protocols.


(5) The Resource Entity shall perform the Automatic Voltage Regulator (AVR) tests and shall supply AVR data as specified in the Operating Guides. The AVR tests must be performed on initial qualification. The AVR tests must be conducted at a time agreed on in advance by the Resource Entity, its QSE, the applicable TSP and ERCOT.

Operating Guide 2.2.5 (2) Automatic Voltage Regulators

(2) Generation Entities shall conduct performance tests on AVRs or verify AVR performance through comparison with operational data a minimum of every five years as prescribed in item (5) of Protocol Section 8.1.1.2.1.4, Voltage Support Service (VSS) Qualification, or if equipment characteristics are knowingly modified, within 30 days of the modification. The test reports should include the minimum and maximum excitation limiters, volts/hertz settings, gain and time constants, type of voltage regulator control function, date tested, and voltage regulator control setting.


Entity Name: Name


Audit Date: Date

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Operating Guide 2.2.6 Power System Stabilizers

(1) Generation Resources with Power System Stabilizers (PSSs) shall keep their PSSs in-service (“On” or energized and performing as designed by the manufacturer) unless the PSS is installed but not in service as described in paragraph (4)(a)(ii) below. When available, the PSS shall be active and responsive at all times the generator is synchronized to the ERCOT Transmission Grid and operating at or above its Low Sustained Limit (LSL). However, if the PSS of a Generation Resource is set to be active and responsive at a point above the LSL for technical reasons, the Generation Resource may request ERCOT to allow an exception to the requirement that the PSS be active anytime the Generation Resource is at or above its LSL. In order to obtain the exception, the Generation Resource shall notify ERCOT and provide the necessary technical information to ERCOT to justify a higher activation point for the PSS. (2) Generation Entities shall notify their QSEs of any change in PSS status (e.g. PSS unavailability due to maintenance or failure and when the PSS returns to normal operation). QSEs shall notify ERCOT and the TO at the POI of any change in PSS status and shall supply PSS status logs to ERCOT upon request per Protocol Section 6.5.5.1, Changes in Resource Status. (3) Synchronous Generation Resources greater than 10 MW installed after January 1, 2008 and on or before December 1, 2010 shall install a PSS and place the PSS in service by June 1, 2011. Synchronous Generation Resources greater than 10 MW installed after December 1, 2010 shall install a PSS and place the PSS in-service prior to the commercial operation start date of the Generation Resource. The Generation Resource shall establish PSS settings to dampen modes with oscillations within the range of 0.2 Hz to 2 Hz. The PSS settings shall be tested and tuned to ensure the PSS has appropriate damping characteristics. Final PSS settings shall be provided to ERCOT and the TSP within 30 days of the PSS in-service date. (4) Synchronous Generation Resources greater than 10 MW installed before January 1, 2008 are subject to the following requirements: (a) All Generation Resources that are in this category shall notify ERCOT and the TSP: (i) Whether or not a PSS has been installed; and (ii) Whether or not PSS settings have been determined and the PSS has been or will be placed in-service. (b) If a PSS was in-service prior to January 1, 2008, the PSS shall remain in-service with the established PSS settings, provided that ERCOT may direct the Generation Resource to modify the settings. The PSS settings shall be tested and tuned to ensure the PSS has appropriate damping characteristics. (c) If a PSS is newly installed and/or placed in-service the Generation Resource shall establish PSS settings to dampen modes with oscillations within the range of 0.2 Hz to 2 Hz. The PSS settings shall be tested and tuned to ensure the PSS has appropriate damping characteristics. Final PSS settings shall be provided to ERCOT and the TSP within 30 days of the PSS in-service date.


Entity Name: Name


Audit Date: Date

PAGE 18 OF 28

(5) If an excitation system on a synchronous Generation Resource greater than 10 MW is modified or replaced after January 1, 2008, the Generation Resource shall install a PSS, establish PSS settings to dampen modes with oscillations within the range of 0.2 Hz to 2 Hz, and place the PSS in-service. The settings shall be tested and tuned to ensure the excitation system has appropriate damping characteristics. Final PSS settings shall be provided to ERCOT and the TSP within 30 days of the PSS in-service date. (7) At least every five years, Generation Entities shall conduct performance tests on PSS settings or verify PSS performance based on operational data. If PSS equipment characteristics are modified, the Generation Entity shall conduct a performance test within 30 days of the modification. Final PSS settings shall be provided to ERCOT and the TSP within 30 days of the PSS in-service date. (8) The results of PSS tests or PSS performance verification shall be supplied to ERCOT and the TSP within 30 days of a request from ERCOT. Back to Question # R07


Entity Name: Name


Audit Date: Date

PAGE 19 OF 28

Protocol 8.1.1.2.1.5 (1) (4) (6) (7) System Black Start Capability Qualification and Testing

(1) A Resource is qualified to be a Black Start Resource if it has met the following requirements:

(a) Verified control communication path performance;

(b) Verified primary and alternate voice circuits for receipt of instructions;

(c) Passed the “Basic Starting Test” as defined below;

(d) Passed the “Line-Energizing Test” as defined below;

(e) Passed the “Load-Carrying Test” as defined below;

(f) Passed the “Next Start Resource Test” as defined below;

(g) If not starting itself, has an ERCOT-approved firm standby power contract with deliverability under Blackout circumstances from a non-ERCOT Control Area that can be finalized upon selection as a Black Start Resource;

(h) If not starting itself, has an ERCOT approved agreement with the necessary TSPs for access to another power pool, for coordination of switching during a Blackout or Partial Blackout, for coordination of maintenance through the ERCOT Outage Scheduler for all non-redundant transmission startup feeds; and

(i) If dependent upon non-ERCOT transmission resources, agreements providing this Transmission Service have been provided in the proposal.

(4) Each qualified Black Start Resource shall perform a Black Start Resource Availability Test quarterly unless the Black Start Resource has successfully started and operated at LSL or higher for at least four consecutive Settlement Intervals during the quarter. The Black Start Resource’s cost to perform a Black Start Availability Test may be a component of the overall bid for BSS but ERCOT will not separately compensate QSEs representing Black Start Resources for such testing. ERCOT, at its sole discretion, may grant an exemption of the Black Start Resource Availability Test for QSEs whose Black Start Resources have responded as instructed by ERCOT during an EEA event.

(6) ERCOT shall provide the QSE representing the Black Start Resource two-hour notice in order to allow the QSE time to update its COP. The QSE representing the Black Start Resource shall show the Resource as “ONTEST” in its COP and through its Real-Time telemetry for the duration of the test. As part of the Black Start Resource Availability Test, the QSE representing the Black Start Resource shall start the Black Start Resource and operate it at or above its LSL for at least four consecutive Settlement


Entity Name: Name


Audit Date: Date

PAGE 20 OF 28

Intervals. After completion of the Black Start Resource Availability Test the QSE will update its COP to reflect their current status.

(7) Upon completion of the Black Start Resource Availability Test, the QSE representing the Black Start Resource shall complete and file a Black Start Resource Availability Test report with ERCOT. If the Black Start Resource wants to use a successful start and normal operation to satisfy the quarterly reporting requirement, it must provide the necessary information for the start and normal operation on a Black Start Resource Availability Test report. The report form shall be provided by ERCOT.



Entity Name: Name


Audit Date: Date

PAGE 21 OF 28

Protocol 8.5.1.2 (2) Reporting

(2) Generation Resource Governor modeling information required in the ERCOT planning

criteria must be determined from actual Generation Resource testing described in the Operating Guides. Within 30 days of ERCOT’s request, the results of the latest test performed must be supplied to ERCOT and the connected TSP.

Operating Guide 2.2.5 (3) and (4) Automatic Voltage Regulators

(3) Generation Resources shall verify excitation systems model data upon initial

installation, within 30 days of performance modifications, and a minimum of five years thereafter.

(4) Generation Resource AVR modeling information required in the ERCOT Planning Criteria shall be determined from actual Generation Resource testing described in these Operating Guides. Within 30 days of ERCOT’s request, the results of the latest test performed shall be supplied to ERCOT and the Transmission Service Provider (TSP).

Operating Guide 5.1 (c) System Modeling Information

(c) Each Generation Resource, or its Designated Agent, shall provide accurate modeling information for each existing or proposed Generation Resource meeting the criteria for inclusion in the SSWG, DWG, and SPWG base cases for which it is the majority owner. The information provided shall include, but not be limited to, the following:

(i) Information necessary to represent the Generation Resource’s generation and interconnection facilities in any model of the ERCOT System whose creation has been approved by ERCOT, including modeling information detailed in procedures of the SSWG, DWG, and SPWG; and

(ii) Identification of a designated contact person responsible for providing answers to questions ERCOT may have regarding the information provided.



Entity Name: Name


Audit Date: Date

PAGE 22 OF 28

Operating Guide 2.6.2 (1) Generators

(1) If under-frequency relays are installed, these relays shall be set such that the automatic removal of individual Generation Resources from the ERCOT System meets the following requirements: Above 59.4 Hz: No automatic tripping (Continuous operation) Above 58.4 Hz up to and including 59.4 Hz: Not less than 9 minutes Above 58.0 Hz up to and including 58.4 Hz: Not less than 30 seconds Above 57.5 Hz up to and including 58.0 Hz: Not less than 2 seconds 57.5 Hz or below: No time delay required Back to Question # R09

Operating Guide 6.2.2 (13) Design and Operating Requirements for ERCOT System Facilities

(13) SPS owners shall notify ERCOT of all SPS operations. Documentation of SPS failures or misoperations shall be provided to ERCOT using the Relay Misoperation Report located in Section 8, Attachment B, Relay Misoperation Report. ERCOT shall conduct an analysis of all SPS operations, misoperations, and failures. If deficiencies are identified, a plan to correct the deficiencies shall be developed and implemented. (a) ERCOT shall report all SPS operations and misoperations to the Texas Reliability Entity (Texas RE) for review. SPS arming or activation that ramps generation back is not considered an operation or misoperation with respect to reporting requirements to Texas RE. An operation and misoperation of an SPS with respect to reporting requirements to Texas RE occurs when changes to the transmission system occur, including, but not limited to circuit breaker operation. Owners of SPSs will provide a monthly report to ERCOT by the 15th of each month, for the previous month, describing each instance an SPS armed/activated and reset. The report will include the date and time of arming/activation and reset. ERCOT shall consolidate the monthly reports and forward to Texas RE. (b) If an SPS which removes generation from service, operates more than two times within a six month period and the operations are not a direct result of an ERCOT System disturbance or a contingency operation, ERCOT may require the Generation Resource owner(s) to decrease the available capability on the affected Generation Resource(s). The amount of available capacity to be decreased shall be determined by ERCOT. The decreased available capacity on the Generation Resource(s) shall remain until the Generation Resource owner(s) provides documentation that demonstrates the Generation Resource(s) can properly control output in a pre-contingency or normal ERCOT System condition. Back to Question # R10


Entity Name: Name


Audit Date: Date

PAGE 23 OF 28


(10) Unless specifically approved by ERCOT, no unit equipment replacement or modification at a Generation Resource shall reduce the capability of the unit below the Reactive Power requirements that applied prior to the replacement or modification. Back to Question # R11


(8) Generation Entities may submit to ERCOT specific proposals to meet the Reactive Power requirements established in paragraph (3) above by employing a combination of the URL and added VAr capability, provided that the added VAr capability shall be automatically switchable static and/or dynamic VAr devices. A Generation Resource and TSP may enter into an agreement in which the proposed static VAr devices can be switchable using Supervisory Control and Data Acquisition (SCADA). ERCOT may, at its sole discretion, either approve or deny a specific proposal, provided that in either case, ERCOT shall provide the submitter an explanation of its decision. Back to Question # R12


(9) A Generation Resource and TSP may enter into an agreement in which the Generation Resource compensates the TSP to provide VSS to meet the Reactive Power requirements of paragraph (3) above in part or in whole. The TSP shall certify to ERCOT that the agreement complies with the Reactive Power requirements of paragraph (3). Back to Question # R13


Entity Name: Name


Audit Date: Date

PAGE 24 OF 28


(4) Wind-powered Generation Resources (WGRs) that commenced operation on or after

February 17, 2004, and have a signed Standard Generation Interconnection Agreement (SGIA) on or before December 1, 2009 (“Existing Non-Exempt WGRs”), must be capable of producing a defined quantity of Reactive Power to maintain a Voltage Profile established by ERCOT in accordance with the Reactive Power requirements established in paragraph (3) above, except in the circumstances described in paragraph (a) below.

(a) Existing Non-Exempt WGRs whose current design does not allow them to meet the Reactive Power requirements established in paragraph (3) above must conduct an engineering study using the Summer/Fall 2010 on-peak/off-peak Voltage Profiles, or conduct performance testing to determine their actual Reactive Power capability. Any study or testing results must be accepted by ERCOT. The Reactive Power requirements applicable to these Existing Non-Exempt WGRs will be the greater of: the leading and lagging Reactive Power capabilities established by the Existing Non-Exempt WGR’s engineering study or testing results; or Reactive Power proportional to the real power output of the Existing Non-Exempt WGR (this Reactive Power profile is depicted graphically as a triangle) sufficient to provide an over-excited (lagging) power factor capability of 0.95 or less and an under-excited (leading) power factor capability of 0.95 or less, both determined at the transmission system Voltage Profile established by ERCOT, and both measured at the POI.

(i) Existing Non-Exempt WGRs shall submit the engineering study results or testing results to ERCOT no later than five Business Days after its completion.

(ii) Existing Non-Exempt WGRs shall update any and all Resource registration information regarding their Reactive Power capability documented by the engineering study results or testing results.

(iii) If the Existing Non-Exempt WGR’s engineering study results or testing results indicate that the WGR is not able to provide Reactive Power capability that meets the triangle profile described in paragraph (4)(a) above, then the Existing Non-Exempt WGR will take steps necessary to meet that Reactive Power requirement depicted graphically as a triangle by a date mutually agreed upon by the Existing Non-Exempt WGR and ERCOT. The Existing Non-Exempt WGR may meet the Reactive Power requirement through a combination of the WGR’s URL and/or automatically switchable static VAr capable devices and/or dynamic VAr capable devices. No later than five Business Days after completion of the steps to meet that Reactive Power requirement, the Existing Non-Exempt WGR will update any and all Resource


Entity Name: Name


Audit Date: Date

PAGE 25 OF 28

registration information regarding its Reactive Power and provide written notice to ERCOT that it has completed the steps necessary to meet its Reactive Power requirement.

(iv) For purposes of measuring future compliance with Reactive Power requirements for Existing Non-Exempt WGRs, results from performance testing or the Summer/Fall 2010 on-peak/off-peak Voltage Profiles utilized in the Existing Non-Exempt WGR’s engineering study shall be the basis for measuring compliance, even if the Voltage Profiles provided to the Existing Non-Exempt WGR are revised for other purposes.

(b) Existing Non-Exempt WGRs whose current design allows them to meet the Reactive Power requirements established in paragraph (3) above (depicted graphically as a rectangle) shall continue to comply with that requirement. ERCOT, with cause, may request that these Existing Non-Exempt WGRs provide further evidence, including an engineering study, or performance testing, to confirm accuracy of Resource registration information supporting their Reactive Power capability.



(12) All WGRs must provide a Real-Time SCADA point that communicates to ERCOT the

number of wind turbines that are available for real power and/or Reactive Power injection into the ERCOT Transmission Grid. WGRs must also provide two other Real-Time SCADA points that communicate to ERCOT the following:

(a) The number of wind turbines that are not able to communicate and whose status is unknown; and

(b) The number of wind turbines out of service and not available for operation.



Entity Name: Name


Audit Date: Date

PAGE 26 OF 28

Operating Guide 2.9.1 Additional Voltage Ride-Through Requirements for Intermittent Renewable Resources

(1) All Intermittent Renewable Resources (IRRs) shall comply with Section 2.9, Voltage

Ride-Through Requirements for Generation Resources, and the following:

(a) Wind-powered Generation Resources (WGRs) that are part of a Standard Generation Interconnection Agreement (SGIA) signed on or after November 1, 2008 shall comply with this Section.

(b) WGRs that are part of an SGIA signed prior to November 1, 2008 are not required to meet this Section. However, individual WGRs that are newly installed or replaced shall be VRT capable in accordance with the VRT requirements of this Section.

(c) Notwithstanding any of the foregoing provisions, VRT capability of IRRs shall be maintained or improved over time.

(d) IRRs shall provide a status of compliance to ERCOT System Planning upon request.

(2) IRRs are required to set generator voltage relays to remain in-service during all transmission faults (no more than nine cycles) and to allow the system to recover in accordance with Figure 1, Default Voltage Ride-Through Boundaries For IRRs, below. Faults on individual phases with delayed clearing (zone 2) may result in phase voltages outside this boundary but if the phase voltages remain inside this boundary then generator voltage relays are required to be set to remain connected and recover in accordance with Figure 1.

(3) IRRs shall remain interconnected during three-phase faults on the ERCOT System for a voltage level as low as zero volts with a duration of nine cycles as measured at the Point of Interconnection (POI) unless a shorter clearing time requirement for a three-phase fault specific to the generating plant POI is determined by and documented by the TSP in conjunction with the SGIA. The clearing time requirement shall not exceed nine cycles.

(4) IRRs may be tripped Off-Line after the fault clearing period if this action is part of an approved Special Protection Systems (SPSs).

(5) VRT requirements may be met by the performance of the generators; by installing additional reactive equipment behind the POI; or by a combination of generator performance and additional equipment behind the POI. VRT requirements may be met by equipment outside the POI if documented in the SGIA.


Entity Name: Name


Audit Date: Date

PAGE 27 OF 28

(6) If the IRR fails to comply with the clearing time or recovery VRT requirement, then the IRR and the TSP shall be required to investigate and report to ERCOT on the cause of the IRR trip, identifying a reasonable mitigation plan and timeline.


Time (Second)

0

0 1 2

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

1.0

1.1

1.2

Vo

lta

ge

(p

er

un

it)

@ P

OI

0.15

(9 cycles)-1

No Tripping

Pre-fault Period Voltage Recovery Period

Fault Clearing Period


Entity Name: Name


Audit Date: Date

PAGE 28 OF 28

Protocol 8.5.1.3 Wind-powered Generation Resource (WGR) Primary Frequency Response

Wind-powered Generation Resources (WGRs) with Standard Generation Interconnection Agreements (SGIAs) signed after January 1, 2010 shall provide Primary Frequency Response to frequency deviations from 60 Hz. The WGR automatic control system design shall have an adjustable dead band that can be set as specified in the ERCOT Operating Guides. The Primary Frequency Response shall be similar to the droop characteristic of 5% used by conventional steam generators. For WGRs with SGIAs executed on or prior to January 1, 2010, those not already equipped with Primary Frequency Response shall by December 1, 2011 acquire that capability. Those WGRs that cannot technically be retrofitted with Primary Frequency Response capability shall submit an attestation to ERCOT by June 1, 2010 explaining the technical infeasibility. At ERCOT’s sole discretion, those WGRs for which Primary Frequency Response is technically infeasible may be granted a permanent exemption from the requirement. ERCOT shall make a determination within 180 days of receipt of the attestation. If ERCOT does not grant an exemption, the WGR shall acquire the capability to provide Primary Frequency Response within 24 months of being notified of that determination. If ERCOT grants the exemption, then ERCOT may require the WGR to install alternate measures, such as over-frequency relays, that are technically feasible and would approximate Primary Frequency Response to events above 60.1 Hz. Back to Question # R17

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