Proposed Rel. Std. PRC-004-2.1a (clarifying std. covered by FERC-725A)

Standard PRC-004-2.1a – Analysis and Mitigation of Transmission and Generation
Protection System Misoperations
A. Introduction
1.

Title:
Analysis and Mitigation of Transmission and Generation Protection System
Misoperations

2.

Number:

3.

Purpose:
Ensure all transmission and generation Protection System Misoperations
affecting the reliability of the Bulk Electric System (BES) are analyzed and mitigated.

4.

Applicability

PRC-004-2.1a

4.1. Transmission Owner.
4.2. Distribution Provider that owns a transmission Protection System.
4.3. Generator Owner.
5.

(Proposed) Effective Date: In those jurisdictions where regulatory approval is required, all
requirements become effective upon approval. In those jurisdictions where no regulatory
approval is required, all requirements become effective upon Board of Trustees’ adoption.

B. Requirements
R1.

The Transmission Owner and any Distribution Provider that owns a transmission Protection
System shall each analyze its transmission Protection System Misoperations and shall develop
and implement a Corrective Action Plan to avoid future Misoperations of a similar nature
according to the Regional Entity’s procedures.

R2.

The Generator Owner shall analyze its generator and generator interconnection Facility
Protection System Misoperations, and shall develop and implement a Corrective Action Plan to
avoid future Misoperations of a similar nature according to the Regional Entity’s procedures.

R3.

The Transmission Owner, any Distribution Provider that owns a transmission Protection
System, and the Generator Owner shall each provide to its Regional Entity, documentation of
its Misoperations analyses and Corrective Action Plans according to the Regional Entity’s
procedures.

C. Measures
M1. The Transmission Owner, and any Distribution Provider that owns a transmission Protection
System shall each have evidence it analyzed its Protection System Misoperations and
developed and implemented Corrective Action Plans to avoid future Misoperations of a similar
nature according to the Regional Entity’s procedures.
M2. The Generator Owner shall have evidence it analyzed its Protection System Misoperations and
developed and implemented Corrective Action Plans to avoid future Misoperations of a similar
nature according to the Regional Entity’s procedures.
M3. Each Transmission Owner, and any Distribution Provider that owns a transmission Protection
System, and each Generator Owner shall have evidence it provided documentation of its
Protection System Misoperations, analyses and Corrective Action Plans according to the
Regional Entity’s procedures.
D. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
Regional Entity.
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Standard PRC-004-2.1a – Analysis and Mitigation of Transmission and Generation
Protection System Misoperations
1.2. Compliance Monitoring Period and Reset Time Frame
Not applicable.
1.3. Compliance Monitoring and Enforcement Processes:
Compliance Audits
Self-Certifications
Spot Checking
Compliance Violation Investigations
Self-Reporting
Complaints
1.4. Data Retention
The Transmission Owner, and Distribution Provider that own a transmission Protection
System and the Generator Owner that owns a generation or generator interconnection
Facility Protection System shall each retain data on its Protection System Misoperations
and each accompanying Corrective Action Plan until the Corrective Action Plan has been
executed or for 12 months, whichever is later.
The Compliance Monitor shall retain any audit data for three years.
1.5. Additional Compliance Information
The Transmission Owner, and any Distribution Provider that owns a transmission
Protection System and the Generator Owner shall demonstrate compliance through selfcertification or audit (periodic, as part of targeted monitoring or initiated by complaint or
event), as determined by the Compliance Monitor.
2.

Violation Severity Levels (no changes)

E. Regional Differences
None identified.

Version History
Version

Date

Action

Change Tracking

0

April 1, 2005

Effective Date

New

1

December 1, 2005

1. Changed incorrect use of certain hyphens (-)
to “en dash” (–) and “em dash (—).”
2. Added “periods” to items where
appropriate.
Changed “Timeframe” to “Time Frame” in
item D, 1.2.

01/20/06

Modified to address Order No. 693 Directives
contained in paragraph 1469.

Revised

2
2

August 5, 2010

Adopted by NERC Board of Trustees
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Standard PRC-004-2.1a – Analysis and Mitigation of Transmission and Generation
Protection System Misoperations
1a

February 17, 2011

Added Appendix 1 - Interpretation regarding
Project 2009-17
applicability of standard to protection of radially interpretation
connected transformers

1a

February 17, 2011

Adopted by the Board of Trustees

1a

September 26,
2011

2a

September 26,
2011

FERC Order issued approving the interpretation
of R1 and R3 (FERC’s Order is effective as of
September 26, 2011)
Appended FERC-approved interpretation of R1
and R3 to version 2
Errata change: Edited R2 to add “…and
generator interconnection Facility…”

2.1a
2.1a

February 9, 2012

Revision under Project
2010-07

Errata change adopted by the Board of Trustees

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Standard PRC-004-2.1a – Analysis and Mitigation of Transmission and Generation
Protection System Misoperations

Appendix 1 1
Requirement Number and Text of Requirement
R1. The Transmission Owner and any Distribution Provider that owns a transmission Protection
System shall each analyze its transmission Protection System Misoperations and shall develop
and implement a Corrective Action Plan to avoid future Misoperations of a similar nature
according to the Regional Reliability Organization’s procedures developed for Reliability
Standard PRC-003 Requirement 1.
R3. The Transmission Owner, any Distribution Provider that owns a transmission Protection System,
and the Generator Owner shall each provide to its Regional Reliability Organization,
documentation of its Misoperations analyses and Corrective Action Plans according to the
Regional Reliability Organization’s procedures developed for PRC-003 R1.

Question:
Is protection for a radially-connected transformer protection system energized from the BES considered a
transmission Protection System subject to this standard?

Response:
The request for interpretation of PRC-004-1 Requirements R1 and R3 focuses on the applicability of the
term “transmission Protection System.” The NERC Glossary of Terms Used in Reliability Standards
contains a definition of “Protection System” but does not contain a definition of transmission Protection
System. In these two standards, use of the phrase transmission Protection System indicates that the
requirements using this phrase are applicable to any Protection System that is installed for the purpose of
detecting faults on transmission elements (lines, buses, transformers, etc.) identified as being included in
the Bulk Electric System (BES) and trips an interrupting device that interrupts current supplied directly
from the BES.
A Protection System for a radially connected transformer energized from the BES would be considered a
transmission Protection System and subject to these standards only if the protection trips an interrupting
device that interrupts current supplied directly from the BES and the transformer is a BES element.

1

When the request for interpretation was made, it was for a previous version of the standard. Although the
interpretation references a previous version of the standard, because it is still applicable in this case, it is appended to
this version of the standard.
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* FOR INFORMATIONAL PURPOSES ONLY *
Enforcement Dates: Standard PRC-004-2.1a — Analysis and Mitigation of Transmission and
Generation Protection System Misoperations
United States
Standard

Requirement

PRC-004-2.1a

All

Enforcement Date

Inactive Date

This standard has not yet been approved by the applicable regulatory authority.

Printed On: August 30, 2013, 11:08 AM