Standard INT-006-4 Evaluatin f Interchange Transactins A. Intrductin 1. Title: Evaluatin f Interchange Transactins 2. Number: INT-006-4 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: First day f the secnd calendar quarter after the date that this standard is apprved by an applicable gvernmental authrity r as therwise prvided fr in a jurisdictin where apprval by an applicable gvernmental authrity is required fr a standard t g int effect. Where apprval by an applicable gvernmental authrity is nt required, the standard shall becme effective n the first day f the first calendar quarter that is six mnths after the date this standard is adpted by the NERC Bard f Trustees r as therwise prvided fr in that jurisdictin. 6. Backgrund: This standard was revised as part f the Prject 2008-12 Crdinate Interchange Standards effrt t cmbine requirements frm the varius INT standards int a fewer number f standards and in a lgical sequence. The fcus f INT-006-4 cntinues t be the reliability assessment f Interchange Transactins prir t their implementatin. The cntent f INT-006-4 has been revised and expanded in the fllwing manner: R1 was created by revising R1 frm INT-006-3. This requirement ensures that Balancing Authrities invlved in an Arranged Interchange actively apprve r deny the transitin t Cnfirmed Interchange. The requirement als lists criteria t determine when a Balancing Authrity must deny the transitin. R2 was created by revising R1 frm INT-006-3. This requirement ensures that Transmissin Service Prviders invlved in an Arranged Interchange actively apprve r deny the transitin t Cnfirmed Interchange. The requirement als lists criteria t determine when a Transmissin Service Prvider must deny the transitin. R3 was created by revising R1 frm INT-006-3. This requirement ensures that Balancing Authrities wh receive a Reliability Adjustment Arranged Interchange actively apprve r deny the transitin t Cnfirmed Interchange. R4 was created by mving and revising R1 frm INT-007-1, which has been retired as part f the prject. This requirement lists criteria fr when a Sink Balancing Authrity shall nt transitin an Arranged Interchange t Cnfirmed Interchange. Page 1 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins R5 was created by mving and revising R1 frm INT-008-3, which has been retired as part f the prject. This requirement lists the entities t which a Sink Balancing Authrity must distribute ntificatins f whether an Arranged Interchange has transitined t Cnfirmed Interchange. Attachment 1 timing tables fr WECC were mdified t address scheduling n a 15 minute basis. 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) Page 2 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins 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] 3.1. If a Balancing Authrity denies a Reliability Adjustment Arranged Interchange, the Balancing Authrity must cmmunicate that fact t its Reliability Crdinatr n mre than 10 minutes after the denial. 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 and, if applicable, cmmunicated denial t the Reliability Crdinatr n mre than 10 minutes after the denial. (R3) R4. Each Sink Balancing Authrity shall cnfirm that nne f the fllwing cnditins exist prir t transitining an Arranged Interchange t Cnfirmed Interchange: [Vilatin Risk Factr: Lwer] [Time Hrizn: Operatins Planning, Same-day Operatins, Real-time Operatins] It is a Reliability Adjustment Arranged Interchange, the time perid specified in Attachment 1, Clumn B has elapsed, and the Surce Balancing Authrity r the Sink Balancing Authrity assciated with the Arranged Interchange has nt cmmunicated its apprval f the transitin. It is nt a Reliability Adjustment Arranged Interchange, the time perid specified in Attachment 1, Clumn B, has elapsed, and nt all Balancing Authrities and Transmissin Service Prviders assciated with the Arranged Interchange have cmmunicated their apprval f the transitin. It is nt a Reliability Adjustment Arranged Interchange, the time perid specified in Attachment 1, Clumn B, has elapsed, and any entity assciated with the Arranged Interchange has cmmunicated its denial f the transitin. M4. Each Sink Balancing Authrity shall have evidence (such as dated and time stamped electrnic lgs, studies, r ther evidence) that, under the cnditins in R4, it did nt transitin an Arranged Interchange t Cnfirmed Interchange. (R4) R5. Fr each Arranged Interchange that is transitined t Cnfirmed Interchange, the Sink Balancing Authrity shall ntify the fllwing entities f the n-time Cnfirmed Interchange such that the ntificatin is delivered in time t be incrprated int scheduling systems prir t ramp start as specified in Attachment 1, Clumn D: [Vilatin Risk Factr: Lwer] [Time Hrizn: Operatins Planning, Same-day Operatins, Real-time Operatins] 5.1. The Surce Balancing Authrity, 5.2. Each Intermediate Balancing Authrity, Page 3 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins 5.3. Each Reliability Crdinatr assciated with each Balancing Authrity included in the Arranged Interchange, 5.4. Each Transmissin Service Prvider included in the Arranged Interchange, and 5.5. Each Purchasing Selling Entity included in the Arranged Interchange. M5. Each Sink Balancing Authrity shall have evidence (such as dated and time stamped electrnic lgs, r ther evidence) that it ntified the entities f the n-time Cnfirmed Interchange such that the ntificatin was delivered in time t be incrprated int scheduling systems prir t ramp start as specified in Attachment 1, Clumn D. (R5) B. Cmpliance 1. Cmpliance Mnitring Prcess 1.1. Cmpliance Enfrcement Authrity Reginal Entity 1.2. Evidence Retentin The Balancing Authrity and Transmissin Service Prvider shall each 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. Fr instances where the evidence retentin perid specified belw is shrter than the time since the last audit, the CEA may ask an entity t prvide ther evidence t shw that it was cmpliant fr the full time perid since the last audit. - The Balancing Authrity shall maintain evidence t shw cmpliance with R1, R3, R4, and R5 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 Assessment Prcesses: Cmpliance Audits Self-Certificatins Spt Checking Cmpliance Investigatins Self-Reprting Cmplaint 1.4. Additinal Cmpliance Infrmatin Nne Page 4 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins Table f Cmpliance Elements 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 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 N/A N/A N/A 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. R2 Operatins Planning, OR The Scheduling Path between the Balancing Authrity and its Adjacent Balancing Authrities was invalid, and the Balancing Authrity did nt deny the Arranged Interchange r curtail Cnfirmed Interchange. Lwer N/A N/A N/A The Transmissin Service Prvider receiving an n-time Page 5 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins R # Time Hrizn VRF Vilatin Severity Levels Same-day Operatins, Real-time Operatins Lwer VSL Mderate VSL High VSL Severe VSL 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 Service Prvider did nt deny the Arranged Interchange r curtail Cnfirmed Interchange. R3 Operatins Planning, Same-day Operatins, Real-time Operatins 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, but did nt cmmunicate that fact t its Reliability Crdinatr within 10 minutes f the denial. 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. R4 Operatins Planning, Same-day Operatins, Lwer N/A N/A N/A The Sink Balancing Authrity failed t cnfirm that nne f the cnditins in Requirement 4 existed befre transitining Page 6 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins R # Time Hrizn VRF Vilatin Severity Levels Real-time Operatins Lwer VSL Mderate VSL High VSL Severe VSL an Arranged Interchange t Cnfirmed Interchange. R5 Operatins Planning, Same-day Operatins, Real-time Operatins Lwer N/A N/A The Sink Balancing Authrity did nt ntify all f the entities listed in Requirement R5 Parts 5.1-5.5 f the n-time Cnfirmed Interchange. The Sink Balancing Authrity did nt ntify any f the entities listed in Requirement R5 Parts 5.1-5.5 f the ntime Cnfirmed Interchange. OR The Sink Balancing Authrity ntified the entities listed in Requirement R5 Parts 5.1-5.5 f the n-time Cnfirmed Interchange, but did nt ntify ne r mre f the entities in time fr the ntificatin t be incrprated int scheduling systems prir t ramp start as specified in Attachment 1, Clumn D. C. Reginal Variances Nne. D. Interpretatins Nne. E. Assciated Dcuments Nne. Page 7 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins Attachment 1 Timing Tables A B C D If Arranged Interchange 1 is Submitted Time Classificatin Sink BA Makes Initial Distributin f Arranged Interchange 2 BA and TSP Cnduct Reliability Assessments Cmpilatin and Distributin Status 2 BA Prepares Cnfirmed Interchange fr Implementatin < 10 minutes frm Arranged Interchange receipt > 3 minutes prir t ramp start 1 hur t < 4 hurs prir t ramp start On-time < 20 minutes frm Arranged Interchange receipt > 39 minutes prir t ramp start > 4 hurs prir t ramp start On-time < 2 hurs frm Arranged Interchange receipt > 1 hur 58 minutes prir t ramp start 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 8 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins Attachment 1 Timing Tables Timing Requirements fr WECC 3 4 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 9 f 13
Standard INT-006-4 Evaluatin f Interchange Transactins 3 4 Page 10 f 13
Applicatin Guidelines 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 11 f 13
Applicatin Guidelines 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 Page 12 f 13
Applicatin Guidelines Authrity must deny an Arranged Interchange, but Balancing Authrities may deny 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. 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 Page 13 f 13