A. Intrductin 1. Title: Evaluatin f Interchange Transactins 2. Number: INT-006-5 3. Purpse: T ensure that respnsible entities cnduct a reliability assessment f each Arranged Interchange befre it is implemented. 4. Applicability: 4.1. Balancing Authrity 4.2. Transmissin Service Prvider 5. Effective Date: See Implementatin Plan. Page 1 f 15
B. Requirements and Measures R1. Each Balancing Authrity shall apprve r deny each n-time Arranged Interchange r emergency Arranged Interchange that it receives and shall d s prir t the expiratin f the time perid defined in Attachment 1, Clumn B. [Vilatin Risk Factr: Lwer] [Time Hrizn: Operatins Planning, Same-day Operatins, Real-time Operatins] 1.1. Each Surce and Sink Balancing Authrity shall deny the Arranged Interchange r curtail Cnfirmed Interchange if it des nt expect t be capable f supprting the magnitude f the Interchange, including ramping, thrughut the duratin f the Arranged Interchange. 1.2. Each Balancing Authrity shall deny the Arranged Interchange r curtail Cnfirmed Interchange if the Scheduling Path (prper cnnectivity f Adjacent Balancing Authrities) between it and its Adjacent Balancing Authrities is invalid. M1. Each Balancing Authrity shall have evidence (such as dated and time stamped electrnic lgs, r ther evidence) that it respnded t each request fr its apprval t transitin an Arranged Interchange t a Cnfirmed Interchange within the time defined in Attachment 1, Clumn B. (R1) R2. Each Transmissin Service Prvider shall apprve r deny each n-time Arranged Interchange r emergency Arranged Interchange that it receives and shall d s prir t the expiratin f the time perid defined in Attachment 1, Clumn B. [Vilatin Risk Factr: Lwer] [Time Hrizn: Operatins Planning, Same-day Operatins, Real-time Operatins] 2.1. Each Transmissin Service Prvider shall deny the Arranged Interchange r curtail Cnfirmed Interchange if the transmissin path (prper cnnectivity f adjacent Transmissin Service Prviders) between it and its adjacent Transmissin Service Prviders is invalid. M2. Each Transmissin Service Prvider shall have evidence (such as dated and time stamped electrnic lgs, studies, r ther evidence) that it respnded t each Arranged Interchange r emergency Arranged Interchange within the time defined in Attachment 1, Clumn B. If the transmissin path between the Transmissin Service Prvider and its adjacent Transmissin Service Prviders is invalid, each Transmissin Service Prvider shall have evidence (such as dated and time stamped electrnic lgs, studies, r ther evidence) that it denied the Arranged Interchange r curtailed cnfirmed Interchange. (R2) R3. The Surce Balancing Authrity and the Sink Balancing Authrity receiving a Reliability Adjustment Arranged Interchange shall apprve r deny it prir t the expiratin f the time perid defined in Attachment 1, Clumn B. [Vilatin Risk Factr: Lwer] [Time Hrizn: Operatins Planning, Same-day Operatins, Real-time Operatins] Page 2 f 15
M3. Each Balancing Authrity shall have evidence (such as dated and time stamped electrnic lgs, studies, r ther evidence) that when respnding t a Reliability Adjustment Arranged Interchange, it either apprved the request r denied the request. R4. Reserved. M4. Reserved. R5. Reserved. M5. Reserved. C. Cmpliance 1. Cmpliance Mnitring Prcess 1.1. Cmpliance Enfrcement Authrity: Cmpliance Enfrcement Authrity means NERC r the Reginal Entity, r any entity as therwise designated by an Applicable Gvernmental Authrity, in their respective rles f mnitring and/r enfrcing cmpliance with mandatry and enfrceable Reliability Standards in their respective jurisdictins. 1.2. Evidence Retentin: The fllwing evidence retentin perid(s) identify the perid f time an entity is required t retain specific evidence t demnstrate cmpliance. Fr instances where the evidence retentin perid specified belw is shrter than the time since the last audit, the Cmpliance Enfrcement Authrity may ask an entity t prvide ther evidence t shw that it was cmpliant fr the full-time perid since the last audit. The applicable entity shall keep data r evidence t shw cmpliance as identified belw unless directed by its Cmpliance Enfrcement Authrity t retain specific evidence fr a lnger perid f time as part f an investigatin. The Balancing Authrity shall maintain evidence t shw cmpliance with R1 and R3 fr the mst recent three calendar mnths plus the current mnth. The Transmissin Service Prvider shall maintain evidence t shw cmpliance with R2 fr the mst recent three calendar mnths plus the current mnth. If a Balancing Authrity r Transmissin Service Prvider is fund nncmpliant, it shall keep infrmatin related t the nn-cmpliance until fund cmpliant. The Cmpliance Enfrcement Authrity shall keep the last audit recrds and all requested and submitted subsequent audit recrds. 1.3. Cmpliance Mnitring and Enfrcement Prgram: As defined in the NERC Rules f Prcedure, Cmpliance Mnitring and Enfrcement Prgram refers t the identificatin f the prcesses that will be used t evaluate data r Page 3 f 15
infrmatin fr the purpse f assessing perfrmance r utcmes with the assciated Reliability Standard. Cmpliance Audits Self-Certificatins Spt Checking Cmpliance Investigatins Self-Reprting Cmplaint Page 4 f 15
Vilatin Severity Levels R # Time Hrizn VRF Vilatin Severity Levels Lwer VSL Mderate VSL High VSL Severe VSL R1. Operatins Planning, Same-day Operatins, Real-time Operatins Lwer N/A N/A N/A The Balancing Authrity receiving an n-time Arranged Interchange r an emergency Arranged Interchange did nt apprve r deny it prir t the expiratin f the time perid defined in Attachment 1, Clumn B. OR The Surce r Sink Balancing Authrity did nt expect t be capable f supprting the magnitude f the Interchange, including ramping, thrughut duratin f the Arranged Interchange and did nt deny the Arranged Interchange r curtail Cnfirmed Interchange. OR The Scheduling Path between the Balancing Page 5 f 15
R # Time Hrizn VRF Vilatin Severity Levels Lwer VSL Mderate VSL High VSL Severe VSL Authrity and its Adjacent Balancing Authrities was invalid, and the Balancing Authrity did nt deny the Arranged Interchange r curtail Cnfirmed Interchange. R2. Operatins Planning, Same-day Operatins, Real-time Operatins Lwer N/A N/A N/A The Transmissin Service Prvider receiving an ntime Arranged Interchange r an emergency Arranged Interchange did nt apprve r deny it prir t the expiratin f the time perid defined in Attachment 1, Clumn B. OR The transmissin path between the Transmissin Service Prvider and its adjacent Transmissin Service Prviders was invalid, and the Transmissin Page 6 f 15
R # Time Hrizn VRF Vilatin Severity Levels Lwer VSL Mderate VSL High VSL Severe VSL Service Prvider did nt deny the Arranged Interchange r curtail Cnfirmed Interchange. R3. Operatins Planning, Same-day Operatins, Real-time Operatins R4. Reserved. R5. Reserved. Lwer N/A N/A The Surce Balancing Authrity r Sink Balancing Authrity receiving a Reliability Adjustment Arranged Interchange denied it prir t the expiratin f the time perid defined in Attachment 1, Clumn B. The Surce Balancing Authrity r Sink Balancing Authrity receiving a Reliability Adjustment Arranged Interchange did nt apprve r deny it prir t the expiratin f the time perid defined in Attachment 1, Clumn B. D. Reginal Variances Nne. E. Assciated Dcuments Nne. Page 7 f 15
Versin Histry Versin Date Actin Change Tracking 1 May 2, 2006 Adpted by the NERC Bard Of Trustees 2 May 2, 2007 Adpted by the NERC Bard Of Trustees 3 Octber 29, 2008 Adpted by the NERC Bard Of Trustees New Revised Revised 3 July 1, 2010 Apprved by FERC Revised 4 February 6, 2014 Adpted by the NERC Bard Of Trustees Revised 4 June 30, 2014 FERC letter rder issued apprving INT-006-4 5 TBD Adpted by the NERC Bard f Trustees Requirements R3.1, R4, and R5 retired under Prject 2018-03 Standard Efficiency Review Retirements. Page 8 f 15
Timing Tables Timing Requirements fr all Intercnnectins except WECC A B C D If Arranged Interchange 1 is Submitted Time Classificatin Sink BA Makes Initial f Arranged Interchange 2 BA and TSP Cnduct Reliability Assessments Cmpilatin and Status 2 BA Prepares Cnfirmed Interchange fr Implementatin >1 hur after the start time ATF Entities have up t 2 hurs t respnd. NA <15 minutes prir t and <1 hur after the start time Late Entities have up t 10 minutes t respnd. < 3 minutes after receipt f Cnfirmed Interchange <1 hur and > 15 minutes prir t < 10 minutes frm Arranged > 3 minutes prir t >1 hur t < 4 hurs prir t < 20 minutes frm Arranged > 39 minutes prir t > 4 hurs prir t < 2 hurs frm Arranged > 1 hur 58 minutes prir t 1 Time Classificatins and deadlines apply t bth initial Arranged Interchange submittal and any subsequent mdificatins t the Arranged Interchange. 2 See NAESB WEQ004. The times are being retained in the NAESB tables but are remved here since they are nt being referenced in requirements. Page 9 f 15
Timing Tables Timing Requirements fr WECC A B C D If Arranged Interchange 3 is Submitted Time Classificati n Sink BA Makes Initial f Arranged Interchange 4 BA and TSP Cnduct Reliability Assessments Cmpilatin and Status 4 BA Prepares Cnfirmed Interchange fr Implementatin >1 hur after the start time ATF Entities have up t 2 hurs t respnd. NA <10 minutes prir t and <1 hur after transactin start time where transactin start time is at the tp f the hur Late Entities have up t 10 minutes t respnd. < 3 minutes after receipt f Cnfirmed Interchange <15 minutes prir t and <1 hur after transactin start time where transactin start time is nt the tp f the hur Late Entities have up t 10 minutes t respnd. < 3 minutes after receipt f Cnfirmed Interchange 3 Time Classificatins and deadlines apply t bth initial Arranged Interchange submittal and any subsequent mdificatins t the Arranged Interchange. 4 See NAESB WEQ004. The times are being retained in the NAESB tables but are remved here since they are nt being referenced in requirements. Page 10 f 15
A B C D If Arranged Interchange 3 is Submitted Time Classificati n Sink BA Makes Initial f Arranged Interchange 4 BA and TSP Cnduct Reliability Assessments Cmpilatin and Status 4 BA Prepares Cnfirmed Interchange fr Implementatin 10 minutes prir t where transactin start time is at the tp f the hur < 5 minutes frm Arranged > 3 minutes prir t 11 minutes prir t where transactin start time is at the tp f the hur < 6 minutes frm Arranged > 3 minutes prir t 12 minutes prir t where transactin start time is at the tp f the hur < 7 minutes frm Arranged > 3 minutes prir t 13 minutes prir t where transactin start time is at the tp f the hur < 8 minutes frm Arranged > 3 minutes prir t Page 11 f 15
A B C D If Arranged Interchange 3 is Submitted Time Classificati n Sink BA Makes Initial f Arranged Interchange 4 BA and TSP Cnduct Reliability Assessments Cmpilatin and Status 4 BA Prepares Cnfirmed Interchange fr Implementatin 14 minutes prir t where transactin start time is at the tp f the hur < 9 minutes frm Arranged > 3 minutes prir t <1 hur and > 15 minutes prir t < 10 minutes frm Arranged > 3 minutes prir t > 1 hur and < 4 hurs prir t ramp start < 20 minutes frm Arranged interchange receipt > 39 minutes prir t > 4 hurs prir t < 2 hurs frm Arranged > 1 hur 58 minutes prir t Submitted befre 10:00 PPT with start time > 00:00 PPT f fllwing day By 12:00 PPT f day the Arranged Interchange was received > 1 hur 58 minutes prir t Page 12 f 15
INT-006-5 Supplemental Material Guidelines and Technical Basis Many aspects f managing Interchange are supprted by sftware applicatins. There are fundamental tasks that each entity shuld be able t perfrm in an electrnic manner as listed belw. A Lad-Serving Entity and Balancing Authrity that submits Requests fr Interchange shuld have the capability t electrnically: Submit a Request fr Interchange t a Sink Balancing Authrity Submit a request t mdify Interchange Receive distributins f Cnfirmed Interchange Receive distributins f Reliability Adjustment Arranged Interchanges Each Sink Balancing Authrity shuld have the capability t electrnically: Receive a Request fr Interchange Receive a request t mdify Interchange Validate Requests fr Interchange by verifying: Surce Balancing Authrity megawatts equal Sink Balancing Authrity megawatts (adjusted fr lsses, if apprpriate). All reliability entities invlved in the Arranged Interchange are valid. Generatin surce and Lad sink are defined. Megawatt prfile is defined. Interchange duratin is defined. Validate request t mdify Interchange by verifying: Surce Balancing Authrity megawatts equal Sink Balancing Authrity megawatts (adjusted fr lsses, if apprpriate). Megawatt prfile is defined. Interchange duratin is defined. Distribute the validated Request fr Interchange as Arranged Interchange Distribute the validated Reliability Adjustment Arranged Interchanges Receive cmmunicatin f apprval r denial f Arranged Interchange Distribute ntificatin as each entity apprves r denies an Arranged Interchange. Transitin Arranged Interchange t Cnfirmed Interchange if all apprvals are received. Distribute ntificatin f whether Arranged Interchange was transitined t Cnfirmed Interchange r nt. Page 13 f 15
INT-006-5 Supplemental Material Submit a request t mdify Interchange Each Lad-Serving Entity that apprves r denies Arranged Interchange, and each Balancing Authrity and Transmissin Service Prvider shuld have the capability t electrnically: Receive distributin f Arranged Interchange Cmmunicate apprval r denial f the Arranged Interchange t the Sink Balancing Authrity Receive ntificatin f whether Arranged Interchange was transitined t Cnfirmed interchange r nt. Submit a request t mdify Interchange While Interchange is nrmally facilitated using electrnic cmmunicatin and sftware tls, there are ccasins with thse electrnic capabilities are reduced r unavailable. It is recmmended that all entities invlved in aspects f Interchange shuld have, maintain and implement a plan describing the manner and timing in which all capabilities listed abve will be prvided when electrnic capabilities are reduced r unavailable. Each plan shuld address the fllwing tpics: Alternate methds f cmmunicating Interchange infrmatin between Purchasing Selling Entities, Balancing Authrities, and Transmissin Service Prviders. Hw t ntify thers that it is activating the plan Hw it will prcess requests fr emergency Arranged Interchange and Reliability Adjustment Arranged Interchange. Restrictins and limitatins that may apply during the perid f reduced r unavailable capability (such as limits n vlume, nly accepting emergency transactins, etc.). Delegatin f apprval rights and prxy actins, if such appraches will be used. Hw knwn Cnfirmed Interchange will be scheduled fllwing a reductin in r lss f capability. Persnnel plans fr shrt-term and extended perids. Training f persnnel in the use f the plan. Ratinale: During develpment f this standard, text bxes were embedded within the standard t explain the ratinale fr varius parts f the standard. Upn BOT apprval, the text frm the ratinale text bxes was mved t this sectin. Ratinale fr R1: Balancing Authrities must take actin n a received Arranged Interchange within a certain time frame. Requirement R1, Parts 1.1 and 1.2 prvide reliability-related reasns that a Balancing Authrity must deny an Arranged Interchange, but Balancing Authrities may deny Page 14 f 15
INT-006-5 Supplemental Material fr ther reasns. If the cnditins described in Requirement R1, Parts 1.1 r 1.2 are recgnized after apprval is granted, the Balancing Authrity may curtail the Cnfirmed Interchange prir t implementatin. Ratinale fr R2: TSPs must take actin n a received Arranged Interchange within a certain time frame. Requirement R2, Part 2.1 prvides reliability-related reasns that a TSP must deny an Arranged Interchange, but TSPs may deny fr ther reasns. If the cnditins described in Requirement R1, Part 2.1 are recgnized after apprval is granted, the TSP may curtail the Cnfirmed Interchange prir t implementatin. Page 15 f 15