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NERC Balancing Authority Questionnaire

By Phillip Robertson,2014-01-11 11:56
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NERC Balancing Authority Questionnaire

Sample Balancing Authority Questionnaire

NERC Balancing Authority Questionnaire

Applicant:

Response due by:

    Applicant Certification Contact:

    Name

    Telephone

    Email Address

    Please assist Certification Team (CT) in their evaluation of the applicant shown above who is applying for Balancing Authority (BA) status.

    You are requested to provide candid responses to the following questions. Additional information or documentation may be attached, as needed. Upon completion, please sign and date this form with necessary attachments and return it to:

    Sample Balancing Authority Questionnaire

    1. Delegation to ensure that entities seeking certification as a Balancing Authority have identified any delegated reliability standard(s) or requirement(s) to other entities).

A Balancing Authority may delegate reliability standard(s) or requirement(s) to other

    entities (e.g. RoP 507. Each entity seeking certification as a Balancing Authority shall identify any reliability standard(s) or requirement(s) for which it is responsible that will

    be performed by another entity and where formal agreements provide such shall

    ensure that the entity has the capability to perform the delegated reliability standard(s) or requirement(s). The entity, to which a reliability standard(s) or requirement(s) is delegated, shall be subject to review as part of the NERC Rules of Procedure.

Question: Which reliability standard(s) or requirement(s) will be delegated?

Question: How will the applicant ensure compliance with these delegated reliability

    standard(s) or requirement(s)?

Response:

2. Critical Infrastructure Protection (CIP) to ensure that the entity seeking

    certification has processes procedures, and/or tools for adhering to cyber security

    requirements.

The Balancing Authority shall have processes, procedures, and/or tools for adhering to

    NERC reliability standards related to cyber security as identified in approved CIP standards.

    Question: What processes, procedures, and/or tools will the applicant use to comply with these reliability standard(s) or requirement(s)?

Response:

Sample Balancing Authority Questionnaire

    3. Agreements To ensure that the entity seeking certification as a Balancing Authority has agreements in place that define its responsibilities, authority, and interaction with entities that are necessary to perform its balancing function.

    The Balancing Authority shall have agreements that define the responsibilities and authority of that Balancing Authority with respect to its Load Serving Entities, Generator Operators, Reliability Coordinator, adjacent Balancing Authority(ies), Transmission Operators, Distribution Providers, and Transmission Owners. The agreements for the defined Balancing Authority Area must address:

    a. The commitment of its Load Serving Entities, Generator Operators, Transmission

    Operators, or Distribution Providers to follow the Balancing Authority’s requests to

    ensure balance in real time that address:

    i. Shedding or reducing load as identified in TOP-001.

    ii. Re-dispatching resources as identified in TOP-001.

    iii. Adhering to balanced Interchange Schedules.

    b. The Balancing Authority’s commitment to follow the directives of its Reliability

    Coordinator as identified in TOP-001.

    c. The adjacent Balancing Authority(s) commitment to:

    i. Confirm actual and scheduled interchange as identified in BAL-006.

    ii. Coordinate dynamic transfers that exist in another Balancing Authority Area as

    identified in BAL-005.

    iii. Identify the location of its Balancing Authority Area’s metered boundaries as

    identified in BAL-005.

Question: What agreements will the applicant use to comply with these reliability

    standard(s) or requirement(s)?

Response:

    Sample Balancing Authority Questionnaire

3. Agreements Continued

The Balancing Authority shall have agreements that define the data and information

    exchange responsibilities with respect to its Load Serving Entities, Generator Owners,

    Generator Operators, Reliability Coordinator, adjacent Balancing Authority(ies), Transmission Operators, and Transmission Owners. The agreements for the defined Balancing Authority Area must address:

a. Generator real-time operating data as identified in TOP-005.

    b. Identification of its Balancing Authority Area’s metered boundaries as identified in

    BAL-005.

    c. Information required for system studies as identified in IRO-004.

    d. Balancing information for real-time monitoring as identified in TOP-005.

    e. Real-time operational information for Reliability Coordinator monitoring as identified

    in TOP-005.

    f. Notice of Interchange Schedule interruptions due to generation or load interruptions

    within its Balancing Authority Area as identified in INT-005.

    g. Notice of the implementation of its own emergency procedures as identified in EOP-

    002.

    h. Interconnection boundary metering as identified in BAL-005.

    i. Actual interchange as identified in BAL-005 and BAL-006.

    j. Frequency as identified in TOP-005.

    k. Dynamic interchange as identified in BAL-005.

    l. Protection and control information, including Special Protection Systems as

    identified in PRC-001.

Question: What agreements will the applicant use to comply with these reliability

    standard(s) or requirement(s)?

Response:

    Sample Balancing Authority Questionnaire

    4. Personnel To ensure that the entity seeking certification as a Balancing Authority has operating personnel that have been trained and are NERC-certified to perform

    Balancing Authority real-time responsibilities.

    The Balancing Authority shall provide their operating personnel with the responsibility and authority as identified in PER-001.

The Balancing Authority shall have NERC-certified personnel as identified in PER-003.

The Balancing Authority may delegate real-time requirements (e.g. ROP 507) provided

    the personnel performing these requirements are also certified.

The Balancing Authority shall have a training program and provide its operating

    personnel with training as identified in PER-002.

    Question: How will the applicant ensure compliance with these reliability standard(s) or requirement(s)?

Response:

Sample Balancing Authority Questionnaire

    5. Balancing To ensure that the entity seeking certification as a Balancing Authority has the capability of performing the balancing responsibilities for its Balancing Authority Area.

The Balancing Authority shall have processes and/or procedures:

    a. To determine requirements, acquire, and deploy generation and demand balance

    Interconnected Operations Services as identified in BAL-002, BAL-003, and BAL-

    005.

    b. To develop its plan for operation as identified in TOP-002 and IRO-004.

The Balancing Authority shall have processes, procedures, and/or tools:

    a. For monitoring resource availabilities and capabilities in real time as identified in

    TOP-006 and BAL-005.

    b. To direct actions of resources within its Balancing Authority Area as identified in

    BAL-005 and BAL-001.

    c. To obtain Interchange Schedules as identified in INT-001, INT-003, INT-006, and

    INT-009.

    d. To validate the accuracy of Area Control Error components and implement

    corrective actions as identified in BAL-005.

The Balancing Authority shall have tools:

    a. To calculate and monitor the Area Control Error for its Balancing Authority Area as

    identified in BAL-001.

    b. To monitor its metered boundaries (including pseudo-ties) in real-time as identified

    in BAL-005.

    c. To monitor real-time status and output of resources used for generation and

    demand balance Interconnected Operations Services as identified in TOP-006.

    d. To monitor Special Protection Systems in its area as identified in PRC-001.

Question: What processes, procedures, and/or tools will the applicant use to comply

    with these reliability standard(s) or requirement(s)?

Response:

    Sample Balancing Authority Questionnaire

    6. Data Acquisition To ensure that the entity seeking certification as a Balancing Authority has real-time resource-demand data in order to adequately control its system while maintaining acceptable system frequency.

    The Balancing Authority shall have data acquisition requirements for its Balancing Authority Area including periodicity of transmittal, format of submission, and time frame.

    The Balancing Authority shall have processes, procedures, and/or tools as identified in COM-001 and IRO-002 for acquiring or developing data that includes:

    a. Load Forecast(s) as identified in TOP-006.

    b. Controllable load(s) (if applicable) as identified in BAL-002.

    c. Interchange Schedule requests as identified in INT-001.

    d. Approved Interchange Schedules as identified in INT-003.

    e. System frequency(s) as identified in BAL-005 and TOP-006.

    f. Scheduled Frequency as identified in BAL-005.

    g. Variable Frequency Bias (if applicable) as identified in BAL-003.

    h. Net Actual Interchange as identified in BAL-005.

    i. Generator operational plans and commitments as identified in TOP-002.

    j. Generator outages related to maintenance plans as identified in TOP-003.

    k. Real-time generator operational information TOP-006.

    l. Generation and Demand balance Interconnected Operations Services as identified

    in BAL-002, BAL-003, and BAL-005.

    m. Protection and control information, including Special Protection Systems as

    identified in PRC-001.

The Balancing Authority shall have processes, procedures, and/or tools for acquiring

    the following Reliability Coordinator information:

    a. Dispatch adjustments for congestion management as identified in COM-002 and

    IRO-002.

    b. Emergency procedures as identified in EOP-002.

    c. Reliability analyses as identified in IRO-004.

    d. Load shedding directives as identified in EOP-003.

    e. Reliability alerts as identified in EOP-002, IRO-004, and IRO-005.

    Question: What processes, procedures, and/or tools will the applicant use to comply with these reliability standard(s) or requirement(s)?

Response:

Sample Balancing Authority Questionnaire

    7. Frequency Control To ensure that the entity seeking certification as a Balancing Authority has the capability to perform frequency control in its defined Balancing Authority Area.

The Balancing Authority shall have processes, procedures, and/or tools for contributing

    to Interconnection frequency that address:

    a. Determining frequency response as identified in BAL-003.

    b. Determining frequency bias as identified in BAL-003.

    c. Incorporating frequency bias, scheduled and actual frequency into the Area Control

    Error calculation as identified in BAL-001 and BAL-004.

    d. Operating in Tie-Line Bias or flat (constant) frequency control modes as identified in

    BAL-005.

    e. When directed by the Interconnection Time Monitor, participate in a Time Error

    Correction identified in BAL004.

    Question: What processes, procedures, and/or tools will the applicant use to comply with these reliability standard(s) or requirement(s)?

Response:

8. Interchange Approval and Implementation To ensure that the entity seeking

    certification as a Balancing Authority has the capability to approve and implement Interchange Schedules.

The Balancing Authority shall have processes, procedures, and/or tools for Interchange

    Schedule approval that includes the determination that the resource ramp capability meets the projected Interchange Schedule ramp as identified in INT-007.

The Balancing Authority shall have processes, procedures, or tools for implementing

    Interchange Schedules as identified in INT-003.

    Question: What processes, procedures, and/or tools will the applicant use to comply with these reliability standard(s) or requirement(s)?

Response:

Sample Balancing Authority Questionnaire

    9. Information Dissemination To ensure that the entity seeking certification as a Balancing Authority has the capability to provide data and information to its Reliability Coordinator, Adjacent Balancing Authority(ies), and Transmission Operators.

The Balancing Authority shall have processes, procedures, and/or tools to provide

    information and data to its Reliability Coordinator in accordance with the required Reliability Coordinator’s specifications that addresses:

    a. Information required for system studies as identified in IRO-002 and IRO-004.

    b. Real-time operational information and data as identified in TOP-005 and IRO-002.

    c. Interchange schedule interruptions due to generation or load interruptions within its

    Balancing Authority Area as identified in INT-004.

    d. Notification of the implementation of its own emergency procedures as identified in

    EOP-002.

The Balancing Authority shall have processes, procedures, and/or tools to provide

    information and data to its adjacent Balancing Authority(ies) that addressee:

    a. Confirmation of scheduled and actual interchange as identified in INT-003 and BAL-

    006.

    b. Notification of the implementation of its own emergency procedures as identified in

    EOP-002.

The Balancing Authority shall have processes, procedures, and/or tools to provide

    information and data to its Transmission Operator(s) that addresses:

    a. Notification of the implementation of its own emergency procedures as identified in

    COM-002.

Question: What processes, procedures, and/or tools will the applicant use to comply

    with these reliability standard(s) or requirement(s)?

Response:

Sample Balancing Authority Questionnaire

    10. Emergency Operations To ensure that the entity seeking certification as a Balancing Authority has the capability for continued operations during Bulk Electric System emergency conditions.

The Balancing Authority shall have processes and/or procedures for communicating

    and coordinating operations during a Bulk Electric System emergency. The procedures or processes shall address when the Balancing Authority:

    a. Is unable to meet its resource-demand balance requirements as identified in EOP-

    001, EOP-002, and EOP-003

    b. Is unable to meet its Interconnected Operations Services requirements as identified

    in TOP-002.

    c. Has experienced or is informed of an actual or suspected act of sabotage that

    affects a physical or cyber asset within its Balancing Authority Area and impacts the

    ability to operate as identified in CIP-001.

    d. Has been directed by its Reliability Coordinator to take actions to maintain the

    reliability of the Interconnection as identified in IRO-001 and TOP-001.

    e. Has experienced a partial or total Bulk Electric System shutdown as identified in

    EOP-005.

The Balancing Authority shall have processes and/or procedures that define its

    responsibilities and authority for responding to a Bulk Electric System emergency as

    identified in PER-001.

    Question: What processes, procedures, and/or tools will the applicant use to comply with these reliability standard(s) or requirement(s)?

Response:

11. Loss of Control Center Functionality To ensure that the entity seeking

    certification as a Balancing Authority has the capability for continued operations during loss of its control center functionality.

The Balancing Authority shall have processes, procedures, tools, and/or facilities to

    continue to operate in accordance with the requirements applicable to the Balancing

    Authority in EOP-008.

Question: What processes, procedures, tools, and/or facilities will the applicant use to

    comply with these reliability standard(s) or requirement(s)?

Response:

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