Reliability Standard Audit Worksheet[1]

PRC-002-NPCC-01 - Disturbance Monitoring

Registered Entity:

NCR Number:

Applicable Function(s): TO, GO, RC

Compliance Assessment Date:

This section must be completed by the Compliance Enforcement Authority.

Compliance Monitoring Method:

Names of Auditors:

Subject Matter Experts

Identify Subject Matter Expert(s) responsible for this Reliability Standard. (Insert additional rows if necessary)

Registered Entity Response (Required):

SME Name / Title / Organization / Requirement(s)

R1 Supporting Evidence and Documentation

R1. Each Transmission Owner and Generator Owner shall provide Sequence of Event (SOE) recording capability by installing Sequence of Event recorders or as part of another device, such as a Supervisory Control And Data Acquisition (SCADA) Remote Terminal Unit (RTU), a generator plant Digital (or Distributed) Control System (DCS) or part of Fault recording equipment. This capability shall: [Violation Risk Factor: Medium] [Time Horizon: Planning and Operations Planning]

1.1 Be provided at all substations and at locations where circuit breaker operation affects continuity of service to radial Loads greater than 300MW, or the operation of which drops 50MVA Nameplate Rating or greater of Generation, or the operation of which creates a Generation/Load island.

Be provided at generating units above 50MVA Nameplate Rating or series of generating units utilizing a control scheme such that the loss of 1 unit results in a loss of greater than 50MVA Nameplate Capacity, and at Generating Plants above 300MVA Name Plate Capacity.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

1.2 Monitor the following at each location listed in 1.1:

1.2.1 Transmission and Generator circuit breaker positions

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

1.2.2 Protective Relay tripping for all Protection Groups that operate to trip circuit breakers identified in 1.2.1.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

1.2.3 Teleprotection keying and receive

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):

Compliance Assessment Approach Specific to PRC-002-NPCC-01, R1

This section must be completed by the Compliance Enforcement Authority

Review the evidence to verify the Registered Entity has:

Provided Sequence of Event (SOE) recording capability by installing:
  • Sequence of Event recorders or

  • as part of another device, such as

  • Supervisory Control And Data Acquisition (SCADA),

  • Remote Terminal Unit (RTU),

  • a generator plant Digital (or Distributed) Control System (DCS)

  • part of Fault recording equipment

Provided SOE capability at:
  • all A10 substations

  • at locations where circuit breaker operation affects continuity of service to radial Loads greater than 300MW.
  • Whether the load is continuous or periodic is immaterial. If continuity of service to greater than 300MW can be affected, SOE recording capability must be provided.

  • at locations where circuit breaker operation drops 50MVA Nameplate Rating or greater of Generation

  • at locations where circuit breaker operation creates a Generation/Load island

Provided SOE capability at:
  • generating units above 50MVA Nameplate Rating or series of generating units utilizing a control scheme such that the loss of 1 unit results in a loss of greater than 50MVA Nameplate Capacity
  • The term “control scheme” is not solely applied to protection and extends to the physical configuration and design limitations under various operating conditions that can result in the loss of generation greater than 50 MVA Nameplate Capacity.

  • at Generating Plants above 300MVA Nameplate Capacity

Monitor the following at each location listed in R1.1:
  • Transmission and Generator circuit breaker positions

  • Protective Relay tripping for all Protection Groups that operate to trip circuit breakers identified in R1.2.1.
  • If one or more Protective Relays, that form one Protection Group, perform tripping solely via the lockout relay, then SOE from the lockout relay is sufficient to satisfy the requirement.

  • Teleprotection keying and receive.

Note to Auditor:
The NPCC Regional Standard has an Implementation Plan, Webinar, and Q&A document defining the terminology and applicability of an entity’s assets to R1 of this standard. If Audit Period start date is prior to October 20, 2015, refer to Webinar slides 9, and 11 through 14, for explanation and examples of partial implementation requirements.
For GO, SOE capability must be provided if the MVA criteria is met.
For TO, SOE capability must be provided if element is associated with A10 busses.

Auditor Notes:

R2 Supporting Evidence and Documentation

R2. Each Transmission Owner shall provide Fault recording capability for the following Elements at facilities where Fault recording equipment is required to be installed as per R3: [Violation Risk Factor: Medium][Time Horizon: Planning and Operations Planning]

R2.1. All transmission lines.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

R2.2. Autotransformers or phase-shifters connected to busses.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

R2.3. Shunt capacitors, shunt reactors.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

R2.4. Individual generator line interconnections.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

R2.5. Dynamic VAR Devices.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

R2.6. HVDC terminals.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):

Compliance Assessment Approach Specific to PRC-002-NPCC-01, R2

This section must be completed by the Compliance Enforcement Authority

Review the evidence to verify the Registered Entity has:

Transmission Owner has provided Fault recording capability for the following Elements at facilities where Fault recording equipment is required to be installed including:
  • All transmission lines.

  • Autotransformers or phase-shifters connected to busses.

  • Shunt capacitors, shunt reactors.

  • Individual generator line interconnections.

  • Dynamic VAR Devices.

  • HVDC terminals.

Note to Auditor:
The NPCC Regional Standard has an Implementation Plan, Webinar, and Q&A document defining the terminology and applicability of an entity’s assets to R2 of this standard.
For TO, applies to elements connected to A10 busses only.

Auditor Notes:

R3 Supporting Evidence and Documentation

R3. Each Transmission Owner shall have Fault recording capability that determines the Current Zero

Time for loss of Bulk Electric System (BES) transmission Elements. [Violation Risk Factor: Medium]

[Time Horizon: Planning and Operations Planning]

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):

Compliance Assessment Approach Specific to PRC-002-NPCC-01, R3

This section must be completed by the Compliance Enforcement Authority

Review the evidence to verify the Registered Entity has:

  • Transmission Owner shall have Fault recording capability that determines the Current Zero Time for loss of Bulk Electric System (BES) transmission Elements.

Note to Auditor:
The NPCC Regional Standard has an Implementation Plan, Webinar, and Q&A document defining the terminology and applicability of an entity’s assets to R3 of this standard.
  • The pool of NPCC BES Assets in scope is the NPCC A10 List of Transmission Elements PLUS Generation that meets CGS-002 [Ref. Webinar]
  • Newly defined BES elements as a result of the revised BES definition will be addressed by CGS-005. [Ref. Webinar]
  • Current Zero is defined in the NERC Glossary of Terms

Auditor Notes:

R4 Supporting Evidence and Documentation

R4. Each Generator Owner shall provide Fault recording capability for Generating Plants at and above 200

MVA Capacity and connected through a generator step up (GSU) transformer to a Bulk Electric

System Element unless Fault recording capability is already provided by the Transmission Owner.

[Violation Risk Factor: Medium] [Time Horizon: Planning and Operations Planning]

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Question: Did the Generator Owner have Fault recording capability for Generating Plants meeting the conditions listed above, provided by the Transmission Owner? If yes, provide a list of the Generating Plants for which the Transmission Owner has provided required Fault recording capability for the Generator Owner.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):

Compliance Assessment Approach Specific to PRC-002-NPCC-01, R4

This section must be completed by the Compliance Enforcement Authority

Review the evidence to verify the Registered Entity has:

(GO) provided Fault recording capability for Generating Plants at and above 200 MVA Capacity and connected through a generator step up (GSU) transformer to a Bulk Electric System Element unless Fault recording capability is already provided by the Transmission Owner (TO). (See next item)
(GO) responded to the applicability Question with response “Yes” and provided list of generating plants?
If “Yes” review documentation confirming that fault recording capability for listed Generating Plants are being provided by the Transmission Owner.
Note to Auditor:
The NPCC Regional Standard has an Implementation Plan, Webinar, and Q&A document defining the terminology and applicability of an entity’s assets to R4 of this standard.
For GO, Fault recording capability must be provided when both of the following conditions exist:
  • MVA threshold
  • Facility is connected through GSU to A10 bus or a circuit that connects to an A10 bus.

Auditor Notes:

R5 Supporting Evidence and Documentation

R5. Each Transmission Owner and Generator Owner shall record for Faults, sufficient electrical quantities

for each monitored Element to determine the following: [Violation Risk Factor: Medium] [Time

Horizon: Planning and Operations Planning]

5.1 Three phase-to-neutral voltages. (Common bus-side voltages may be used for lines.)

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

5.2 Three phase currents and neutral currents.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

5.3 Polarizing currents and voltages, if used.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

5.4 Frequency.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

5.5 Real and reactive power.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):

Compliance Assessment Approach Specific to PRC-002-NPCC-01, R5

This section must be completed by the Compliance Enforcement Authority

Review the evidence to verify the Registered Entity has:

Transmission Owner and Generator Owner shall record for Faults, sufficient electrical quantities
for each monitored Element to determine the following:
  • Three phase-to-neutral voltages. (Common bus-side voltages may be used for lines.)

  • Three phase currents and neutral currents.

  • Polarizing currents and voltages, if used.

  • Frequency.

  • Real and reactive power.

Note to Auditor:
The NPCC Regional Standard has an Implementation Plan, Webinar, and Q&A document defining the terminology and applicability of an entity’s assets to R5 of this standard.
NPCC Compliance Guidance Statement CGS-004 states that the 200 MVA Generating Plant capacity threshold established by Requirement R4 also applies to Requirements R5 and R6
For TO, applies to elements connected to A10 busses only.

Auditor Notes:

R6 Supporting Evidence and Documentation

R6. Each Transmission Owner and Generator Owner shall provide Fault recording with the following

capabilities: [Violation Risk Factor: Medium] [Time Horizon: Planning and Operations Planning]

6.1 Each Fault recorder record duration shall be a minimum of one (1) second.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

6.2 Each Fault recorder shall have a minimum recording rate of 16 samples per cycle

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

6.3 Each Fault recorder shall be set to trigger for at least the following:

6.3.1 Monitored phase overcurrents set at 1.5 pu or less of rated CT secondary current or Protective Relay tripping for all Protection Groups.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

6.3.2 Neutral (residual) overcurrent set at 0.2 pu or less of rated CT secondary current.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

6.3.3 Monitored phase undervoltage set at 0.85 pu or greater.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

6.4 Document additional triggers and deviations from the settings in 6.3.2 and 6.3.3 when local

conditions dictate.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):

Compliance Assessment Approach Specific to PRC-002-NPCC-01, R6

This section must be completed by the Compliance Enforcement Authority

Review the evidence to verify the Registered Entity has:

(TO) (GO) provided Fault recording with the following capabilities:
  • Each Fault recorder record duration shall be a minimum of one (1) second.

  • Each Fault recorder shall have a minimum recording rate of 16 samples per cycle.

  • Each Fault recorder shall be set to trigger for at least the following:

  • Monitored phase overcurrents set at 1.5 pu or less of rated CT secondary current or Protective Relay tripping for all Protection Groups.

  • Neutral (residual) overcurrent set at 0.2 pu or less of rated CT secondary current.

  • Monitored phase undervoltage set at 0.85 pu or greater.

  • Documented additional triggers and deviations from the settings in 6.3.2 and 6.3.3 when local conditions dictate.

Note to Auditor:
The NPCC Regional Standard has an Implementation Plan, Webinar, and Q&A document defining the terminology and applicability of an entity’s assets to R6 of this standard.
NPCC Compliance Guidance Statement CGS-004 states that the 200 MVA Generating Plant capacity threshold established by Requirement R4 also applies to Requirements R5 and R6
For TO, applies to elements connected to A10 busses only.

Auditor Notes:

R7 Supporting Evidence and Documentation

R7. Each Reliability Coordinator shall establish its area’s requirements for Dynamic Disturbance

Recording (DDR) capability that: [Violation Risk Factor: Medium] [Time Horizon: Planning and

Operations Planning]

7.1 Provides a minimum of 1 DDR per 3,000 MW of peak Load.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2 Records dynamic disturbance information with consideration of the following facilities/locations:

7.2.1 Major Load centers.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2.2 Major Generation clusters.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2.3 Major voltage sensitive areas.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2.4 Major transmission interfaces.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2.5 Major transmission junctions.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2.6 Elements associated with Interconnection Reliability Operating Limits (IROLs).

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

7.2.7 Major EHV interconnections between operating areas.

Describe, in narrative form, how you meet compliance with this Requirement.

Registered Entity Response (Required):

Registered Entity Evidence (Required):

Provide the following for all evidence submitted (Insert additional rows if necessary):
File Name, File Extention, Document Title, Revision, Date, Page(s), Section(s), Section Title(s), Description

Audit Team Evidence Reviewed (This section must be completed by the Compliance Enforcement Authority):