QSE Qualification Testing
Qualified Scheduling Entities (QSE)
Nodal Qualification Testing Guide
Version 2.2
December 2010
PROTOCOL DISCLAIMER
This Guidedescribes ERCOT processesand is not intended to be a substitute for the ERCOT Nodal Protocols (available at as amended from time to time. If any conflict exists between this document and the ERCOT Nodal Protocols, the ERCOT Nodal Protocols shall control in all respects.
1.Overview of QSE Testing
1.1.Introduction
1.2.Guiding Principles of QSE Qualification Testing
1.3.ERCOT’s Wide Area Network (WAN)
1.4.Testing Timeline
1.5.Test Communications & Results Reporting
1.6.Document Overview
1.7.Document Update Policy
2.Documentation Prerequisites for Qualification Testing
2.1.Documentation to be Supplied to ERCOT
3.Communications Point to Point Connectivity Test
3.1.Introduction
3.2.Requirements and Prerequisites
3.3.References
3.4.Test Schedule and Expected Duration
3.5.Test Plans for Qualification
3.6.Communications Test Results
4.Multi-Protocol Label Switching (MPLS) Installation Testing
4.1.Introduction
4.2.Requirements and Prerequisites
4.3.References
4.4.Test Schedule and Expected Duration
4.5.Test Plan for Qualification
4.6.MPLS Test Results
5.Inter-control Center Communications Protocol (ICCP) Technical Qualification Testing
5.1.Introduction
5.2.Requirements and Prerequisites
5.3.References
5.4.Test Schedule and Expected Duration
5.5.Test Plans for Qualification
5.6.ICCP Technical Test Results
6.Resource Specific ICCP Testing Requirements
6.1.Introduction
6.2.Requirements and Prerequisites
6.3.References
6.4.Test Schedule and Expected Duration
6.5.Resource Unit Point-By-Point Test
6.6.Resource Specific ICCP Test Results
7.Market Operations Web / Market Manager User Interface Transaction Testing
7.1.Introduction
7.2.Requirements and Prerequisites
7.3.References
7.4.Testing Schedule and Expected Duration
7.5.Test Plans for Qualification
7.6.Web / Market Manager User Interface Transaction Test Script
8.Market Operations XML Transaction Testing
8.1.Introduction
8.2.Requirements and Prerequisites
8.3.References
8.4.Testing Schedule and Expected Duration
8.5.Test Plans for Qualification
8.6.XML / MOS Transaction Test Script
9.Ancillary Services Qualification Testing
9.1.Introduction
9.2.Requirements and Prerequisites
9.3.References
9.4.Test Schedule and Expected Duration
9.5.Test Plans for Qualification
9.6.A/S Test Results
REVISION HISTORY
DATE / AUTHOR / VERSION / COMMENTS03/01/01 / R. Connell / 1.0 / Consolidated existing plans into one document
03/05/01 / R. Connell / 1.0 / Incorporated comments from Steve Grendel
03/07/01 / R. Connell / 1.0 / Revised with feedback from individual testing authorities
03/08/01 / V. Gates / 1.0 / Revised formatting, sections 1 – 5
03/09/01 / R. Connell / 1.1 / Revised content from qualification owners and inserted timeline. Sent to QSEs for comment.
03/14/01 / J. Teixeira / 1.2 / Incorporated QSE comments and testing authority updates based on comments. Sent to Web Site.
05/01/08 / J. Webb / 2.0 / Major version update that addresses QSE qualification for the Texas Nodal Market.
08/26/08 / L. Bier / 2.1 / Continue nodal revisions. Update sections 3 & 4 with M. Stewart’s comments. Update sections 7 & 8 with S. Middleton’s comments. Update sections 4 & 5 with S. White’s comments. Updated by P. Coon
12/1/10 / P. Coon / 2.2 / General updates
Page 1 of 30
QSE Qualification Testing
1.Overview of QSE Testing
The manager of Wholesale Client Services maintains the Overview section of this ERCOT document.
1.1.Introduction
This document guides people in organizations seeking to become Qualified Scheduling Entities (QSEs) through ERCOT’s qualification process, which is started after registering with ERCOT. Qualification testing ensures that a QSE can correctly communicate with ERCOT’s systems, and must be successfully completed in order to participate in ERCOT wholesale electric markets. Note that qualification tests do not affect the live electric market and will not result in binding transactions. A summary of the registration and qualification processes is given below:
- Complete Market Participant Registration with QSE role
- Complete Standard Form Market Participant agreement
- Complete Service filings
- Install the ERCOT Wide Area Network (WAN) configuration as applicable
- Complete the QSE qualification testing, which includes:
- Communications Point to Point Testing
- Multi-Protocol Label Switching (MPLS) WAN Connectivity Testing
- Inter-control Center Communications Protocol (ICCP) Technical Qualification
- Resource Specific ICCP Qualification
- Market Operations/Market Manager User Interface Transaction Testing as applicable
- Market Operations XML Transaction Testing (required for QSE’s representing Resources)
- Ancillary Services Qualification as applicable
1.2.Guiding Principles of QSE Qualification Testing
The qualification process meets the requirements stated in the ERCOT protocols and have been designed according to these guiding principles:
Qualification activities should demonstrate that the entity is capable of performing the functions of a QSE.
Qualification activities should demonstrate that the entity is capable of complying with the requirements of all ERCOT Protocols and guidelines
Qualification activities should demonstrate a working functional interface with all required ERCOT systems as defined in the ERCOT Protocols.
ERCOT’s Wholesale Client Services Department will be the sole point of contact for QSE qualification scheduling, tracking and reporting.
Qualification activities should utilize the actual production systems installed at the QSE control centers which the QSE will use to perform the functions of a QSE unless otherwise approved by ERCOT.
Qualification activities should not compromise the future security and reliability of the ERCOT interconnect.
Upon successful qualification of a QSE, no additional testing activities should be necessary prior to commencement of service.
Qualification activities should utilize production data wherever possible.
Qualification activities should demonstrate that all data exchanges associated with each represented resource function as necessary for commencement of service.
Addition of resources to a QSE’s portfolio after initial qualification shall require additional qualification activities as necessary prior to commencement of service of those specific resources.
1.3.ERCOT’s Wide Area Network (WAN)
The qualification tests described in this document verify the QSE’s ability to communicate with ERCOT’s WAN. Figure 1 provides a simplified illustration of the ERCOT network topology.
Figure 1 Network Topology Overview
A high degree of redundancy is designed into this network. Circuit or equipment failures occurring within the MPLS or Digital Access Control System (DACS) networks will cause automatic rerouting of critical operational data.
1.4.Testing Timeline
The anticipated durations of each test are provided in the test description sections. As with any test, if all the data and processes are working smoothly, the test should proceed in a timely fashion. If, however, the systems and processes to support a test are not functioning properly or there are reliability issues that need to be addressed by ERCOT, the test make take longer than anticipated or need to be rescheduled. ERCOT will make every attempt to keep tests running on schedule.
Any requests for retesting must be made to ERCOT and will be scheduled as appropriate. Test failures will be rescheduled by ERCOT and will result in repeating the failed test.
1.5.Test Communications & Results Reporting
ERCOT client services and qualification testing personnel will maintain close communications during the qualification test process to coordinate test scheduling and provide test results.
ERCOT has created a test results form for each qualification test. The forms will be used to document the process and completion of each test event.
1.6.Document Overview
This document contains the following sections:
Section 2 / Documentation Prerequisites for Qualification TestingSection 3 / Communications Point to Point Testing
Section 4 / Wide Area Network Installation and Testing
Section 5 / ICCP Technical Testing Requirements
Section 6 / Resource Specific ICCP Testing
Section 7 / Market Operations Web/ Market Manager User Interface Transaction Testing
Section 8 / Market Operations XML Transaction Testing
Section 9 / Ancillary Services Testing
1.7.Document Update Policy
ERCOT is responsible for keeping this document current. Periodic document revisions are posted to the ERCOT web site, Registration and Qualification.
The document revision number is in the form Version x.y, where x is the major version number and y is the minor version number. The minor version number changes whenever there is any update to the document. The major version number changes only when there is a significant content change.
2.Documentation Prerequisites for Qualification Testing
The manager of Wholesale Client Services maintains this section of the document.
2.1.Documentation to be supplied to ERCOT
Before starting qualification testing, The QSE applicant must register for the Market Participant role(s) which are to be performed. The ERCOT website’s registration section provides the forms for QSE role [ Forms must be signed and dated by a company representative with the knowledge and authority to certify its accuracy and authenticity.
For Entities setting up a secure Wide-Area Network connection with ERCOT the following lists the various items requested on the WAN application.
Attachment / WAN Application Information SummaryA: WAN Agreement / Standard form agreement for establishing and maintenance of WAN connection with ERCOT ISO.
B: General Information / Completion of site survey information for each Market Participant location that will be connecting to the ERCOT private network (data capacity requirement and location(s) of installation).
Requests for optional connection to ERCOT private network.
Contact information for establishing and maintaining WAN connection.
C: WAN Service Contacts / WAN Service Contacts during business hours and for emergency.
D: WAN Installation Options / WAN Installation Options required for pricing estimate.
E: WAN Invoicing Information / Billing information for invoicing WAN charges.
F and G: Site Diagrams / Diagrams of typical equipment and connections
3.Communications Point to Point Connectivity Test
The manager of Network & Deskside Servicesmaintains the Communications Point to Point Connectivity Test section, of this ERCOT document.
3.1.Introduction
The objective of the Communications Point to Point Connectivity Test is to verify voice connectivity between QSE’s site and ERCOT. Successful completion of this Communications Point to Point Connectivity Test and/or the MPLS Installation and Connectivity Test (depending if the QSE plans to communicate voice, data, or both) is required for the remaining tests to begin. The test plan in the section below is the guiding document for this test.
3.2.Requirements and Prerequisites
QSE must have successfully completed the MPLS Installation and Connectivity Test prior to performing this test.
To establish point to point connectivity, coordinate with the ERCOT representative to:
a) Establish the status of QSE’s channel bank installation,
b) Designate QSE’s contact person
c) Set the testing date and time to test the OPX and Hotline circuits to ERCOT’s Taylor site
3.3.References
3.4.
Please refer to the following documentation for specific details on the WAN and Point to Point Communications requirements:
- “ERCOT Operating Guide, Section 7, Telemetry and Communications”, a document found on the web site
- The Market Rules web page of the ERCOT websiteNodal Protocols
3.4.Test Schedule and Expected Duration
Once the MPLS test is completed, ERCOT will work with the QSE to schedule and perform the point-to-point communications test (see requirements and prerequisites section above). The test should be completed in less than 1 hour.
3.5.Test Plans for Qualification
Following the successful installation of the WAN, the test for point-to-point communications should proceed with designated QSE contact person.
3.5.1.PerformConnectivity Test
At the date and time of the scheduled test, ERCOT will send 0dbm (zero decibels at the monitoring level) at 1004HZ on the off-premises extension (OPX) and Hotline circuits. If this signal is not received, the problem is worked until resolved. If necessary, another test date will be scheduled.
This test requires sending ERCOT 0dbm at 1004HZ to ERCOT on the OPX and Hotline circuit. If ERCOT does not receive the signal, the problem is worked until resolved. If necessary, another test date will be scheduled.
Call ERCOT on the OPX to check for voice quality. ERCOT will call back on the OPX and Hotline to check for voice quality.
3.6.Communications Test Results
The Communications point-to-point test will be tracked by ERCOT and results communicated to Market Participant and ERCOT Wholesale Client Services for documentation.
SAMPLE TEST FORM
QSE Name: QSE Representative:ERCOT Representative: / Start Date:
End Date:
Communications Test / Passed (Yes/No) / Comments / ERCOT Initials
Requirements and Prerequisites met
Perform Connectivity Test
Communications Test Results
Forwarded to Client Services.Faxed to QSE Representative
Is retest scheduled? (Yes/No/N/A) Comments:Initials:
4.Multi-Protocol Label Switching (MPLS) Installation Testing
The manager of Network & Deskside Services maintains the MPLS section of this ERCOT document.
4.1.Introduction
The objective of the MPLS test is to verify network connectivity to ERCOT following installation of the communications hardware. Successful completion of the MPLS installation test is required prior to the eXtensible Markup Language (XML) and Inter-control Center Communications Protocol (ICCP) qualification tests.The MPLS Installation Test Plan in the section below is the guiding document for this testing.
4.2.Requirements and Prerequisites
If the QSE will be representing generation resources, it is required to communicate with ERCOT via the MPLS. ERCOT will identify specific Transmission Service Providers (TSPs) and other QSEs MPs (i.e. representing load acting as a resource) that are required to connect to the MPLS.
ERCOT will implement a Transmission Control Protocol/Internet Protocol (TCP/IP) based MPLS that supports the transfer of data between ERCOT and Market Participants. ERCOT staff or its contractors will design, install, monitor and manage the ERCOT Private Wide Area Net (WAN). ERCOT will pay for all costs associated with each WAN connection and pass those actual costs through the ERCOT accounting process to all Market Participants that connect to the MPLS.
The QSE is to designate a contact person to coordinate the installation and test activities, and make the installation site ready and install the channel bank where required. Figure 2 illustrates the necessary equipment installed at QSE’s site that provides connectivity between QSE’s network and ERCOT. Several connection architectures are possible; the illustration represents one of the simplest.
Figure 2 Participant Site Connections
The WAN connection design supports a robust Local Area Network (LAN) architecture. The ERCOT-provided equipment connections provide redundant paths to ERCOT through the MPLS network, and an additional backup path through the Point to Point network.
During the equipment installation phase, ERCOT will work to ensure that connections to ERCOT meet requirements for reliability and performance. As changes occur that affect the data path or LAN technologies, ERCOT will adjust the equipment suite as needed.
To establish the WAN, do the following:
- Request WAN connection from designated ERCOT account manager who will give provide the WAN application form. ERCOT will take the information from completed form, create a cost estimate for WAN connectivity, and provide the ERCOT WAN Agreement legal form for the QSE to sign. ERCOT will not initiate installation until receipt of approval from WAN applicant.
- Coordinate with ERCOT and the WAN Management Provider to schedule access to install the equipment.
- Concurrent with these efforts, make the site ready and install a channel bank where necessary. Consult with ERCOT for technical requirements for this telecommunications equipment as necessary.
- Give the WAN Management Provider access to the equipment site. The WAN Management Provider will notify ERCOT when installation is complete.
- If there are problems with the installation, the MP, ERCOT and the WAN Management Provider will coordinate the resolution.
4.3.References
Please refer to the following documentation for specific details on the MPLS requirements:
- “ERCOT Operating Guide, Section 7, Telemetry and Communications”, a document found on the web site
- The Market Rules web page of the ERCOT websiteNodal Protocols
- “ERCOT Nodal ICCP Communications Handbook”, a document found on the nodal ERCOT website.
4.4.Test Schedule and Expected Duration
The schedule for hardware installation can be established after the WAN Management Provider has been contacted (see the step list in the requirements and prerequisites section above). Once hardware installation is complete, the test should be completed in less than 1 hour.
4.5.Test Plan for Qualification
Following confirmation of successful installation of the MPLS, the test for connectivity should proceed with QSE’s designated contact person.
4.5.1.“Ping” Test
First the QSE must complete the connection of QSE’s firewall/router to the network. Then verify that a message can be received and echoed back from ERCOT by pinging the ERCOT IP address from a computer behind the firewall/router. To obtain the IP address to ping, refer to the network diagram for installation that ERCOT will provide. If the connection is successful, the machine should respond with the amount of time it takes to echo the file; report this to the ERCOT test coordinator.
4.5.2.File Transfer Test
An account will be set up for the QSE on the ERCOT machine TCHFTP, which is exposed to the MPLS network and the Internet. The account informationwill be emailed to QSE’s designated contact. Currently the IP address is 192.168.172.24 (the updated address will be given if it changes).
To verify that files can be transferred correctly, create a text file containing company’s name and the current date, then send this file via File Transfer Protocol (FTP) to QSE’s account on the ERCOT machine. If the connection is successful, the FTP commands will complete without error. Call the ERCOT test coordinator to report that the file was sent; ERCOT test coordinator will verify that the file was received correctly.