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RESOURCE INTERCONNECTION HANDBOOK

Version 1.8

ERCOT
02/15/2019
This handbook is intended to provide a general description of ERCOT’s generator interconnection
process for current and potential ERCOT Market Participants. This handbook is not a replacement
for the ERCOT Protocols, Operating Guides, Planning Guide, or Other Binding Documents. In the
event of any conflict, the ERCOT Protocols, Market Guides, and/or Other Binding Documents (OBDs)
shall control.

v 1.8 10/15/2018 3
 Revision Comments Date Author

0.1 Original Document Draft 10/12/2012 Al Garcia

0.2 Editing and reduction of scope 10/24/2012 John Adams

0.3 Editing and Addition of Description of Changes/Table of Contents 10/29/2012 W. Rickerson

0.4 Replacing details of each process with checklist in appendix 11/1/2012 John Adams
and other edits

0.5 Editing, make Figure 2 and 3 consistent with Planning Guide, 11/6/2012 Paul Tan
changes to Appendices G and H, updated TOC

0.6 Editing for simplicity & clarity 11/13/2012 Eric

Adams/John
0.7 Incorporate comments Art Deller, Bill Blevins, 11/26/2012 Art
AdamsDeller,
Bill Blevins,
0.8 Incorporate comments Patrick Coon, Ed Geer, Art Deller 11/30/2012 Ed
JohnGeer, Art
Deller,
Adams
Patrick
0.9 Editing and cleanup – initial draft 11/30/2012 Woody
Coon
Rickerso
1.0 Add planning model requirements, commercial operation 12/20/2012 John
n Adams
requirements, corrections & Initial Issue

1.1 Clarify SCADA Point plan, Generation checkout, and fate of 12/28/2012 John Adams
projects if FIS scope not agreed to within 60 days.

1.2 Incorporate recommendations of QMWG to clarify 3/29/2013 John Adams

1.3 Update language to Incorporate ERCOT and Market 12/12/2014 Isabel Flores,
Participant comments pertaining to the Resource Art Deller, Bill
Interconnection, Modeling, and Operations processes. Blevins, Chad
Thompson, Ed
Geer, Ted
1.4 Updated language to change references to “Commercial 02/01/2016 Ted Hailu,
Hailu, Patrick
Operations Date” to “Resource Commissioning Date” as per Chad
Coon
NPRR 705 (Provides Consistency for references to the End Thompson
Date of the Generation Interconnection Process)

1.5 Updated to include information about the Quarterly Stability 01/15/2018 Jay Teixeira
Assessment

1.6 Handbook revised and updated 07/16/2018 Dennis

Caufield

v 1.8 10/15/2018 2
 1.7 Post Dennis Caufield revisions – formatting mostly 09/15/2018 Jay Teixeira

1.8 Post formatting – footer, cover page, begin content change for 10/15/2018 Jay Teixeira
RIOO-IS

v 1.8 10/15/2018 3
Contents

Acronyms and Abbreviations .................................................................................................... 6

Resource Interconnection Handbook Purpose........................................................................... 7
Generation Interconnection Overview of Responsibilities and Processes ................................... 7
Generation Interconnection Process Overview ......................................................................... 9
STAGE 1 – Interconnection Request Application to QSA .......................................................... 10
Generation Interconnection or Change Request Application and Fees ..................................... 10
GINR Applications for Multiple Technology Types ................................................................... 12
Security Screening Study ......................................................................................................... 12
Full Interconnection Study (FIS) ............................................................................................... 13
FIS Scope Meeting .................................................................................................................. 14
FIS Study Process .................................................................................................................... 14
Subsynchronous Resonance Study (SSR) .................................................................................. 14
Standard Generation Interconnection Agreement (SGIA)......................................................... 15
Planning Guide section 6.9...................................................................................................... 15
Reactive Study Requirements ................................................................................................. 15
Compliance with Operational Standards Review ..................................................................... 16
Quarterly Stability Assessment (QSA)...................................................................................... 16
STAGE 2 - Registration and Modeling ...................................................................................... 18
Registering as a Resource Entity ............................................................................................. 18
Resource Asset Registration Forms ......................................................................................... 18
Network Modeling Requirements ........................................................................................... 19
ERCOT Polled-Settlement Meter and ESI ID Requirements ....................................................... 20
Telemetry and ICCP Requirements .......................................................................................... 20
STAGE 3: Energization, Synchronization and Commissioning ................................................... 21
Background ............................................................................................................................ 21
ERCOT New Generator Commissioning Checklist ..................................................................... 21
Commissioning Plan Template ................................................................................................ 22
Commissioning Plan Process ................................................................................................... 22
Final Compliance with Operational Standards ......................................................................... 24

v 1.8 10/15/2018 4
 Reactive Power Capability, VSS, AVR, PFR, and PSS Testing ..................................................... 24
VSS and AVR ................................................................................................................ 25
Reactive Power Capability ............................................................................................. 25
Primary Frequency Response (PFR) ............................................................................. 25
Power System Stabilizer (PSS) ..................................................................................... 25
Use of ON-TEST, ON and OFF Status during the Commissioning Process..................................... 26
APPENDIX A: Helpful Resources and Links ............................................................................... 27
APPENDIX B: LIST OF ERCOT FORMS FOR INTERCONNECTION PROCESS .................................... 28
APPENDIX C: NAMING CONVENTIONS ..................................................................................... 29

v 1.8 10/15/2018 5
Acronyms and Abbreviations

Acronym Definition
AVR Automatic Voltage Regulator
CAMR Collaborative Action Modeling Request
ESI ID Electric Service Identifier
FIS Full Interconnection Study
GINR Generation Interconnection or Change Request
GINR Coordinator ERCOT Resource Integration Analyst that creates the interconnection
record.
IE Interconnecting Entity
ME Meter Engineering
MRD Model Ready Date
NOIE Non-Opt-In Entity
NOMCR Network Operations Model Change Request
PFR Primary Frequency Response
PLD Production Load Date
PMCR Planning Model Change Request
POI Point of Interconnection
PSS Power System Stabilizer
PUCT Public Utility Commission of Texas
QSA Quarterly Stability Assessment
QSE Qualified Scheduling Entity
RARF Resource Asset Registration Form
RE Resource Entity
RI ERCOT Resource Integration Department
RIOO-IS Resource Interconnection and On-going Operations Interconnection
Services
SCADA Supervisory Control And Data Acquisition
SCED Security-Constrained Economic Dispatch
SGIA Standard Generation Interconnection Agreement (commonly referred to as
“IA”)
SSS Security Screening Study
SSR Subsynchronous Resonance
TSP/TDSP Transmission and/or Distribution Service Provider

v 1.8 10/15/2018 6
Resource Interconnection Handbook Purpose
The goal of the Resource Interconnection Handbook is to provide an overview of the process an
Interconnecting Entity/Resource Entity must follow if it is required to enter the Generation
Interconnection or Change Request (GINR) Process either to add new generation to the ERCOT
Transmission Grid or modify existing generation connected to the ERCOT Transmission Grid
as described in Planning Guide section 5.1.1. When revisions to this document are made by
ERCOT, a market notice will be posted on the Market Information System and the updated
document will be posted to the ERCOT website.

Generation Interconnection Overview of Responsibilities and Processes

All entities that own generation connected to the ERCOT Transmission Grid must be registered
as a Resource Entity (RE). The RE must register each generation through the ERCOT registration
process by submitting the required data using the Resource Asset Registration Form. The resource
registration process incorporates electronic and manual processes to submit, validate, and approve
the resource asset data that is used in planning, market and operation systems as defined in the
ERCOT Protocols and Market Guides.
Connecting new or modified generation to the grid requires that QSEs, REs and TSPs provide
ERCOT with accurate engineering models and telemetry of the new or modified generator and
all associated transmission facilities as required for the Network Operations Model. Addition of
information to the ERCOT Network Operations Model is controlled by protocol 3.10. The
registration and modeling process ensures that data submitted by equipment owners is
accurately modeled and that communication between ERCOT systems and the new generator’s
systems by way of the QSE are in place before the new or modified generation is
commissioned.
For much of the interconnection process, the ERCOT Resource Integration department is the
primary contact for an Interconnecting Entity. ERCOT Resource Integration is responsible for
tracking each generator through the stages of the interconnection process and facilitating
interactions between ERCOT, TSPs and REs as well as resolution of any issues that may arise.
Each RE is assigned an account manager upon registration who serves as the primary contact
for all interactions with ERCOT after registration and will guide each RE through the
interconnection process and beyond as the generator is energized, synchronized, and approved
as ready to be commissioned for participation in the ERCOT market.
ERCOT will work with the RE to establish the Model Ready Date (MRD) which is based on the
Initial Energization date of the Point of Interconnection (POI) and the Initial Synchronization date
of the generator. The energization date of the POI needs to be coordinated with the TSP’s MRD
for their side of the POI to allow time to resolve issues with telemetry or other operational issues
before synchronization. The POI has to be a new or existing station with breakers (no hard taps)
to sectionalize the transmission lines connecting the station to the rest of the ERCOT
Transmission Grid. An overall schedule of the milestones in Stages 2 and 3 is contained in the
Commissioning Plan that the RE sends to ERCOT for review.
ERCOT recommends that the potential RE register as a Market Participant at least 140 days prior

v 1.8 10/15/2018 7
to the date that the new or modified generator is to be added to the Network Operations Model
(MRD). The Resource Entity should also complete the RARF with all of the resource data required
for the Network Operations Model at least 130 days prior to the desired Model Ready Date (MRD)
and send to ERCOT to allow time for revisions to help ensure being able to meet the submittal
date for the MRD shown in Protocol 3.10.1.

v 1.8 10/15/2018 8
Generation Interconnection Process Overview
The generation interconnection process described in this handbook has been divided into the
following three stages for the purpose of defining the interactions between the developer/owner of
the generation resource, ERCOT and TSPs:

Stage 1: Interconnection Request Application to Quarterly Stability Assessment

Stage 2: Registration and Modeling
Stage 3: Energization, Synchronization and Commissioning

Figure 1: Generation Resource Interconnection Process Flow

1. Interconnection 2. Registration and 3. Energization,

Request Modeling Synchronization &
Application to QSA Commissioning

GINR Application and Fees RE Registration TSP: 1: Request to Energize

POI
Security Screening Study Resource Asset Registration
Forms Commissioning Plan Template
Full Interconnection Studies
Network Modeling New Generator Commissioning
Subsynchronous Resonance Study Requirements Checklist
Standard Gen. Interconnection ERCOT Polled-Settlement 1: Request to Commission a
Agreement Meters and ESI ID Point of Interconnection
Requirements
Resource Asset Registration Forms 2: Request for Initial
Telemetry and ICCP Synchronization
Compliance with Operational
Requirements
Standards 3: Request to Commission a
Resource
Reactive Study
Reactive Capability &
Quarterly Stability Assessments

In Stage 1, the IE submits a GINR application to ERCOT for any generation that meets the
applicability requirements in section 5.1.1 of the ERCOT Planning Guides using the RIOO-IS.
ERCOT will review the RIOO submittal and accept or return the application within 10 business days
after which the status of the GINR will change to “In Progress”. ERCOT will conduct a Security
Screening Study to evaluate the proposed generator’s effect on the ERCOT system. ERCOT will
post the SSS to the RIOO system upon completion. Prior to or no later than 180 days after
completion of the SSS, the IE will submit a RIOO change request to initiate the Full
Interconnection Study process that is performed by the TSP owning the POI.
Once all FIS studies are completed, a Standard Generation Interconnection Agreement may be
executed with the TSP. Upon completion of the SGIA, generation data required by the Resource
Registration Glossary – Planning Model column shall be supplied by the IE to ERCOT using the
most current version of the Resource Asset Registration Form (RARF). ERCOT then models the
new generation in planning base cases built by the Steady State Working Group (SSWG).
Once the Resource Entity meets Planning Guide section 6.9, ERCOT performs a Compliance with

v 1.8 10/15/2018 9
Operational Standards review in accordance with protocol 16.5 (3) to determine if the generator
can fully comply with ERCOT Operating Standards based on the submitted FIS, SGIA and RARF
data. The Quarterly Stability Assessment is used to assess the stability impact of the proposed
resource and determine if mitigation plans are needed before the generator is allowed to
synchronize to the ERCOT system.
In Stage 2, the Interconnecting Entity becomes a Resource Entity when it registers as a Market
Participant with ERCOT. Once registered, the Resource Entity is responsible for updating the
RARF with data required by the Resource Registration Glossary – Full Registration column.
ERCOT models the new generator in the Network Operations Model from data supplied in the
RARF to reflect the addition of the new generation and related facilities.
ERCOT will also review the proposed telemetry points list required to establish real-time
communication and control between ERCOT and the QSE. ERCOT works directly with the TSPs
and REs to establish the necessary ERCOT Polled Settlement (EPS) meter communication points
which allows gathering of 15-minute data for settlements.
In Stage 3, ERCOT reviews the generator’s Commissioning Plan Template, and approves the
following 3 checklist parts described in the New Generator Commissioning Checklist:
 Part 1: Request to Commission a Point of Interconnection
 Part 2: Request for Initial Synchronization (or Parts 2a and 2b for WGR’s meeting
applicability of Planning Guide section 5.1.1(1)(b)(ii).
 Part 3: Request to Commission a Resource
In order for the generator to be commissioned and approved for participation in ERCOT market
operations, it must demonstrate that it can satisfy ERCOT’s requirements for Reactive Power
(both leading and lagging), Automatic Voltage Regulator (AVR), Primary Frequency Response
(PFR), Power System Stabilizer (PSS), and follow SCED instructions as applicable to the generation
type.
STAGE 1 – Interconnection Request Application to QSA

Generation Interconnection or Change Request Application and Fees

All IEs seeking to interconnect new or modify existing generation connected to the ERCOT system
in accordance with Planning Guided section 5.1.1 are required to follow the Generation
Interconnection or Change Request (GINR) process.
To begin the GINR process and initiate the Security Screening Study or a simultaneous Security
Screening Study and Full Interconnect Study, IEs must initiate an application using the RIOO-IS
system. Information on RIOO-IS access and use can be found on-line as shown with the large
arrows below.
1. Launches the RIOO-IS application. Best browser to use is Chrome.
2. Related content to help IE/REs and TSPs to sign-up to create an account to use the
application and user guides specific to IE/REs and TSPs. Note that TSPs must follow the
RIOO-IS TSP Sign-Up Reference in order to see all GINRs.

v 1.8 10/15/2018 10
 1

Figure 1: ERCOT.com page to launch RIOO-IS

IE/REs should see a page similar to that below if they have signed up correctly. Note the “Start
New INR Request” button in the top right. TSPs should not see this button.

Figure 2: IE RIOO page after signing in

After clicking the “Start New INR Request” button, the following screen displays showing the action
items to choose to do the SSS only or the SSS and the FIS simultaneously. The screen also
shows the required items required to be submitted for either choice.

v 1.8 10/15/2018 11
Figure 3: Choose the level of studies desired

During the initial GINR application submittal and until the IE is assigned a Resource Integration
(RI) Engineer, IEs should direct questions about the generator interconnection or change process
itself to [email protected]. RIOO-IS issues should be submitted to the ERCOT Helpdesk.
When an ERCOT RI Engineer is assigned to the GINR application, the RI Engineer will notify the
IE with their contact information and inform them that they will oversee their interconnection
application and answer questions.
ERCOT will notify the IE within 10 days if any part of the application requirements are not
complete or the appropriate fee was not submitted. ERCOT will immediately contact the IE if more
information is needed and the IE will have 10 Business Days to answer without impacting the
timeline. If the IE does not respond within 10 Business Days, ERCOT shall notify the IE that the
request has been deemed incomplete and rejected.
When the application is deemed complete, ERCOT will change the status of the completed GINR
application within 10 Business Days to “In progress”.
GINR Applications for Multiple Technology Types
Separate GINR applications should be submitted for each technology type in the interconnection
request. For example, if an interconnection request includes solar and battery facilities, two GINR
applications should be submitted. ERCOT and the interconnecting TSP will hold a single FIS
kickoff meeting for both INR numbers and the IE and the TSP may sign a single SGIA referring to
both INR numbers. Both GINRs will be included the SSS and FIS.
Security Screening Study

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For each GINR request submitted, ERCOT will conduct a high-level, steady-state Security
Screening Study (SS), including power-flow and transfer studies, based on the proposed
Commercial Operation Date (COD) and a single Point of Interconnection (POI). The main purpose
of the study is to provide an indication of the level at which the proposed generation can expect to
operate simultaneously with other known generation in the area before significant transmission
additions or enhancements may be required.
ERCOT is allowed 90 Business days to perform the Screening Study. During this time, ERCOT
will contact the IE if additional information is needed and the IE will have 10 Business Days to
respond without impacting the study timeline.
During the course of the Security Screening Study, ERCOT may consult with affected TSPs to
identify the most efficient means of providing transmission service.
Upon completion of the Security Screening Study, ERCOT will share the report with the IE using
the RIOO-IS system. The report shall indicate study assumptions, transfer analysis results, and
whether a SSR study is required. See below for more information on SSR.
If the GINR is “Cancelled” by ERCOT or “Withdrawn” by the IE, if the IE desires to proceed with
the project at a later date, they must submit a new GINR application.
Full Interconnection Study (FIS)
Within 180 days of the date ERCOT notifies the IE of the SSS results, the IE must submit a
change request on the RIOO-IS system to indicate its desire to pursue a Full Interconnection
Study, or the GINR will be cancelled. After accepting the change request to pursue the FIS from
the IE, ERCOT will notify the affected TSPs and will begin initiation and coordination of the FIS.

Figure 4: Requesting the FIS study

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The IE will pay FIS fees to both ERCOT, as specified in the ERCOT Fee Schedule, and to the TSP
performing the studies. Fees paid to the TSP should be agreed on and specified in the FIS Scope
Agreement. ERCOT is not a party to the FIS contract.
As discussed in Section 5 of the Planning Guide, the FIS process consists of a set of steady-state,
dynamic, short-circuit, and facility studies. The FIS studies are not intended to determine the
deliverability of power from the proposed generation to the market or to ensure that the proposed
generation does not experience any congestion-related curtailments in real-time.
Because the FIS is generally the critical path item in the GINR process with no defined length to
complete, ERCOT recommends that a timetable for the FIS be developed and included in the FIS
study scope agreement.
See Planning Guide section 5.3, Full Interconnection Study Request, for more information
regarding the FIS.
FIS Scope Meeting
Within 10 Business Days of receiving the RIOO-IS change request to proceed with the FIS from
the IE, ERCOT will designate the lead TSP for the FIS. The selection of the lead TSP will be
based upon a preliminary analysis of the most likely Point of Interconnection (POI). The lead TSP
will then arrange a FIS kick-off meeting with ERCOT, the IE and other TSPs desiring to participate
in the study. During the meeting, the IE will discuss the GINR application and the TSP will discuss
the overall scope, timetable of activities, studies being performed, anticipated facilities needed,
etc. ERCOT will discuss the Security Screening Study results.
The date of the FIS kick-off meeting starts the 60-calendar day clock within which the IE and TSP
should reach an agreement on the FIS scope. ERCOT will attempt to mediate if an agreement
cannot be reached within that period. After the 60-day period, if no agreement is reached, the
GINR may be terminated.
FIS Study Process
Based on the overall scope established during the FIS kick-off meeting, the lead TSP shall use the
data provided by ERCOT and the IE to develop and study the existing and future ERCOT system
to determine the generator’s reliability impact at the proposed POI. The TSP(s) will examine
normal transmission operating conditions as well as potentially adverse, or contingency,
conditions.
In comparing interconnection alternatives, the TSP(s) will consider such information as
interconnection cost and construction schedule, impact to short and long-range reliability,
operational flexibility and compatibility with future transmission plans. The TSP(s) may also
consider interconnection alternatives not suggested by the IE or ERCOT. ERCOT will perform an
independent Economic Study for informational purposes if the TSP determines that the estimated
transmission interconnection costs could exceed $25 million dollars.
Following the completion and review of the reliability studies by ERCOT and the TSPs, the report
will be deemed complete and the IE and TSP may execute a SGIA.
Subsynchronous Resonance Study (SSR)
The ERCOT Protocols section 3.22 contains detailed definitions and information pertaining to the
Subsynchronous Resonance, countermeasure, protection, mitigation, etc. terminology used in this
section.

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If ERCOT determines during the Security Screening Study topology-check that the generator may
be vulnerable to SSR, the lead TSP shall be notified that a SSR study is required. The SSR study
scope will be shared between ERCOT, TSPs and the IE and discussed during the FIS kick-off
meeting, but the study itself is not part of the FIS.
ERCOT will review the SSR study for approval. If the study results determine that the Resource is
vulnerable to SSR, the IE shall be responsible for either installing the appropriate SSR
countermeasures or developing a SSR Mitigation Plan. The ERCOT-approved SSR Protection
scheme or Mitigation Plan must be installed and operational prior to Initial Synchronization.
Standard Generation Interconnection Agreement (SGIA)
Should the IE decide to proceed with the construction and completion of the proposed generation
project, they shall execute a SGIA with the respective TSP. ERCOT is not a party to the
agreement.
The SGIA must be signed by all parties within 180 days following the completion of the FIS or,
following notification by ERCOT, the GINR will be cancelled unless the IE requests and is granted
an exception before expiration of the 180 days. The exception will require that work has begun on
the IA by both the IE and TSP.
In certain situations, the IE and the TSP may agree to allow the TSP to begin design or
construction of facilities prior to the execution of the SGIA, or to allow the IE to delay issuing a
Notice to Proceed until sometime after the SGIA is signed.
Planning Guide section 6.9
Meeting the requirements of Planning Guide section 6.9 is an important milestone in the GINR
process. It is required to qualify for entry in the Quarterly Stability Assessment (QSA) and for
submittal into the Network Operations Model. It is also required to begin the Protocol section 16.5
Compliance with Operational Standards Review which will be reviewed prior to Initial
Synchronization of the generator.
Reactive Study Requirements
The Interconnecting Entity is required to submit to ERCOT a reactive study that provides an
engineering analysis of the reactive capability of the proposed interconnected generation
facilities. This study shall include the list of equipment and systems that are to be installed to
meet ERCOT reactive support requirements. It is recommended that the Interconnecting Entity
incorporate in their project plan at least one month for ERCOT to review and approve the study
with consideration for lead-time necessary for procurement of associated equipment. New
generation facilities adding reactive equipment, in addition to the generation’s reactive capability
specified in the ERCOT approved reactive study, shall have the reactive equipment installed in
the field and ready to be placed in service at the time of Initial Synchronization. Protocol Section
3.15 Voltage Support provides more information about reactive requirements.
The Reactive Study is a requirement for the Quarterly Stability Assessment (QSA).

v 1.8 10/15/2018 15
Compliance with Operational Standards Review
After the SGIA is signed and Planning Guide section 6.9 is met, ERCOT will begin the Protocol
section 16.5 (3) review and assess whether or not the proposed generator would violate any
operational standards as established in the Protocols, Operating Guides, Market Guides or Other
Binding Documents.
ERCOT will send the review form to the IE with a list of information required to assess compliance.
ERCOT has 90-days to review the document and provide the IE a written determination of whether
or not the proposed system design complies with the operational standards.
If, based on the information contained in the FIS, IA, RARF and other submitted data, ERCOT
determines that the Resource does not meet, or cannot determine whether the Resource will
meet, the operational standards, ERCOT will provide a written document to the IE explaining the
determination. Additional data may have to be provided to ERCOT by updating the RARF or other
required studies or documents. Final determination of compliance with operational standards will
occur during the Stage 3 process.
Quarterly Stability Assessment (QSA)
ERCOT conducts a stability assessment every three months to assess the impact of planned new
generation proposing to synchronize to the ERCOT System four to six months in the future as
shown in the table below. The QSA assesses the impact of proposed generation and determines
if mitigation plans are required before the generator can synchronize to the ERCOT grid.
Generation not included in the quarter shown in the Initial Synchronization Date column in the
table below will not be eligible for Initial Synchronization during that three-month period:
Generation Resource Initial Last Day for an IE to Completion of Quarterly
Synchronization Quarter meet prerequisites as Stability Assessment
listed below
Upcoming January, February, Prior August 1 End of October
March
Upcoming April, May, June Prior November 1 End of January
Upcoming July, August, Prior February 1 End of April
September
Upcoming October, November, Prior May 1 End of July
December
The IE must have met the following requirements before being allowed to synchronizing a new
generation:
 Completed the requirements of Planning Guide Section 6.9, Addition of Proposed
Generation to the Planning Models.
 Completed the following:
 FIS studies;
 Reactive Power Study;
 System improvements or mitigation plans that were identified in studies
 Initial Compliance with Operational Standards review.
The summary results of the Quarterly Assessment will be posted to the MIS within ten days of
completion. Please refer to Planning Guide section 5.9 for detailed information pertaining to the

v 1.8 10/15/2018 16
QSA process

v 1.8 10/15/2018 17
STAGE 2 - Registration and Modeling
Stage 2 of the Generation Interconnection Process involves the following steps:
 Registering as a Resource Entity
 Resource Asset Registration Forms
 Network Modeling Requirements
 ERCOT Polled-Settlement Meters and ESI ID Requirements
 Telemetry and ICCP Requirements
Registering as a Resource Entity
With the completion of a signed SGIA, the IE must register as a Resource Entity (RE) in the
ERCOT market. Power Generation Companies operating within Texas are also required to
register with the Public Utility Commission of Texas in accordance with PUCT Substantive rules
which may be found at http://www.puc.texas.gov/.
The assigned ERCOT account representative will assist the applicant with registering as a
Resource Entity. The process generally takes 10 to 15 Business Days and is comprised of the
following key submissions which may be found at ercot.com on the Registration & Qualification
webpages:
 Standard Form Market Participant Agreement
 Resource Entity (RE) Application for Registration
 Managed Capacity Declaration Form
 Designation of authorized representatives, contacts, User Security Administrator, etc.
After all of the initial submission documents have been received and approved, ERCOT will send
the following documents and forms to the RE:
 New Generator Coordination Log
 Resource Interconnection Handbook
 Resource Commissioning Plan Template
 ERCOT New Generator Commissioning Checklist
 ERCOT Nodal ICCP Communication Handbook
Resource Asset Registration Forms
The Resource Asset Registration Form (RARF) is the document that contains all of the resource
information needed for all ERCOT systems. The contents of the RARF are governed by the
Resource Registration Glossary. Each field in the RARF has to be submitted at certain times
during Stage 1 and 2 as indicated by the following columns:
 Screening Study (SS)
 Full Interconnection Study (FIS)
 Planning Model

v 1.8 10/15/2018 18
  Full Registration
Prior to Full Registration, RARFs are submitted in the RIOO Interconnection Services application.
For Full Registration, RARFs are submitted through Siebel or ERCOT Legal.
Network Modeling Requirements
The ERCOT Network Operations Model is defined as: A representation of the ERCOT System
providing the complete physical network definition, characteristics, ratings, and operational limits of
all elements of the ERCOT Transmission Grid and other information from TSPs, Resource
Entities, and QSEs. ERCOT uses the physical characteristics, ratings, and operational limits
provided by TSPs and REs to specify limits within which the ERCOT Transmission Grid will be
operated. The Network Operations Model is the basis for the model used to send accurate Base
Points and pricing signals to Market Participants. During the Modeling phase, data required for
dispatching, metering, and communicating with the new or modified Resource will be established
and verified. The model is updated on a scheduled basis as shown in the Network Operations
Model Change Schedule in Protocol 3.10.1.
ERCOT will work with the RE to establish the all-important Model Ready Date (MRD) on which
ERCOT’s systems will link together the following key components:
 Metering and Meter Data Acquisition System (MDAS)
 ERCOT market settlement information and pricing location
 Supervisory Control And Data Acquisition (SCADA) and Inter-Control Center
Communication Protocol (ICCP) communication points
 QSE and Resource Entity relationship and contact information
Establishing these links requires coordination between all involved Market Participants and
internal ERCOT departments. The New Generation Coordination Log provided by ERCOT Client
Services is used as a guide for this process. Appendix A of this document also provides a list of
forms and links to the ERCOT website where Resource Entities can find the forms and additional
information on how to submit modeling data to ERCOT. The MRD for loading the new generator
and associated equipment into the Network Operations Model should precede the desired Planned
Energization Date of the Point of Interconnection (Checklist Part 1) by at least 15- 30 days.
The responsibility for model data submissions is shared between the TSP, QSE and RE.
TSPs must submit:
 Network Operations Model Change Request (NOMCR) for TSP facilities at the Point of
Interconnection
 Outage requests for equipment being added or removed from the Network Operations
Model
QSEs must submit:
 ICCP communication points for all required telemetry
 Outage requests for equipment being added or removed from the Network Operations
Model. Separate requests must be submitted for Transmission Facilities and RE-Owned
and operated facilities that are not Transmission Facilities
REs must submit:

v 1.8 10/15/2018 19
  Modeling data for the new/modified generation including RE-Owned and operated
Transmission Facilities data through the ERCOT-prescribed process applicable to
Resource Entities
 Generation Node and Meter Mapping package (GENMAP) verification
The Generation Node and Meter Mapping (GENMAP) package is compiled by ERCOT and
provided to the Resource Entity. The GENMAP package provides documentation on the modeled
location of the Resource Node and EPS metering in the Network Operations Model as of the
Model Ready Date. The Resource Entity will review and provide confirmation to ERCOT that
the Generation Node and Meter Mapping is accurate by submitting the Resource Node & EPS
Meter Mapping Verification document included in the Generation Node and Meter Mapping
package.
All RARF data submissions and verifications are designed to take effect on the MRD. On this
day, with submission of the EPS Cutover form, all telemetry and metering with ERCOT will be
fully functional and the generator and associated equipment will appear in the ERCOT Network
Operations Model. At this point, the GINR is modeled such that it later can be dispatched,
scheduled, and settled in ERCOT market systems.
ERCOT Polled-Settlement Meter and ESI ID Requirements
ERCOT maintains a Meter Data Acquisition System (MDAS) to collect all generation and load data
for Settlement purposes as outlined in the Protocols and the Settlement Metering Operating Guide.
MDAS receives its data from ERCOT-Polled Settlement Meters (EPS) which are installed and
maintained by TSPs. Prior to installing EPS meters at generation facilities, TSPs must work with
the RE to prepare an EPS Meter Design Proposal with one-line drawings, facility details and
contact information. The EPS Meter Design Proposal needs to be submitted before the RARF
submitted by the RE can be approved.
To meet the ERCOT Polled Settlement Meter requirements, TSPs will submit the following to
ERCOT:
 Metering Plan
 Design Proposal with one-lines
 Meter Data Acquisition Form
 Meter Cutover Form
TSPs may commence installation of the meters as soon as ERCOT approves the design.
Each service delivery point is assigned an Electronic Service Identifier (ESI ID) by ERCOT for
settlement purposes. Please refer to the ESI ID Service History and Usage Extract User Guide on
the ERCOT User Guide webpage for detailed information.
Telemetry and ICCP Requirements
ERCOT interfaces with each QSE and TSP over a fully redundant, highly available Wide Area
Network (WAN). The WAN is designed for the normal and emergency exchange of Real-Time
data and voice communications used for wholesale operations, frequency control, transmission
security and emergency operations.
Data exchange between ERCOT, QSEs and TSPs is accomplished by using Inter-control Center
Communications Protocol (ICCP) as defined in Chapter 5 of the ICCP Handbook. The data is
v 1.8 10/15/2018 20
used to support functions such as generation control, Current Operating Plans, Outage
Scheduling, Dispatch Instructions, posting of information and other applications. QSEs must work
with interconnected TSPs and ERCOT to establish an ICCP points list based on the RARFs and
NOMCRs approved for use in the Network Operations Model.
Wind Generation Resources (WGRs) and Photovoltaic Generation Resources (PVGRs) must also
provide ICCP points for the site-specific meteorological data required for the Renewable
Production Potential forecasts as specified in Protocols 4.2.2 Wind-Powered Generation and &
4.2.3 Photovoltaic Generation Resource Production Potential
Approximately 30 - 55 days prior to the MRD, the QSE shall submit the ICCP Point List to
ERCOT. It is expected that the ICCP Points List includes parameters for the new generation and
associated equipment, including the interconnecting transmission substation equipment at the
Point of Interconnection. If insufficient information is provided during the modeling process, there
is a high risk of delay in the synchronization and commissioning of the new generator.
Accurate and working telemetry and communication systems must be tested and proven reliable
prior to energization and synchronization of all new or modified RE and TSP facilities.

STAGE 3: Energization, Synchronization and Commissioning

Stage 3 involves the following steps:
 New Generator Commissioning Checklist
 Commissioning Plan Template
 Commissioning Plan Process
 Final Compliance with Operational Standards Review
 Reactive Capability and Performance
 Resource Status during Testing
Background
Stage 3 is primarily governed by the ERCOT New Generator Commissioning Checklist and the
Commissioning Plan Template, which are available on the ERCOT website. The Generator
Commissioning checklist and Commissioning Plan Template process is coordinated by ERCOT
Client Services and all approvals are made by ERCOT Resource Integration.
ERCOT New Generator Commissioning Checklist
The three-part ERCOT New Generator Commissioning Checklist is designed to coordinate the
energization, synchronization and commissioning of a new or modified generation once all
qualification measures have been met to the satisfaction of ERCOT. The three parts of the
Generator Commissioning Checklist for interconnection requests representing new generation are:
 Part 1: Request to commission Point of Interconnection
 Part 2: Request for Initial Synchronization of the Resource
 Part 3: Request to commission a Resource
For interconnection requests representing modified Wind Generation Resources meeting PG
5.1.1(b)(ii), Applicability, the Checklist Part 2 above is replaced by the following two Checklist parts,

v 1.8 10/15/2018 21
submitted before and after modification:
 Part 2a: Request for Wind Units meeting PG 5.1.1(b)(ii) Synchronization (before beginning
work)
 Part 2b: Request for Wind Units meeting PG 5.1.1(b)(ii) Synchronization (after completing
work)
For modified Wind Generation Resources meeting PG 5.1.1(b)(ii), Applicability, Checklist Part 1 is
not necessary and Checklist Part 3 is unchanged.
Note: Checklist Submissions for Existing Generation Seeking to Increase Output
Upon reaching Stage 3 of the interconnection process, these REs and/or QSEs are required to
submit the Checklist Parts 2 and 3. Checklist Part 1 is not necessary but the telemetry points listed
in Part 1 are still required. Parts 2 and 3 are necessary to ensure the resource is modeled correctly
and able to pass all required testing up to the increased capability. This check also helps ensure
that any generation previously exempt from PSS requirements as indicated in Section 2.2.6 of the
ERCOT Nodal Operating Guides that have done work on their excitation systems have installed a
PSS and are operating with it in service.
Commissioning Plan Template
The Commissioning Plan Template provides in-depth details on how the facility will be operated
during all three stages of the Checklist, including testing of generation and control systems while
supporting grid security in accordance with ERCOT Operational Standards. Within 15 days of
receipt, ERCOT shall review the commissioning plan and provide feedback with regards to
compliance with operational standards and identify possible operational limitations during the
commissioning process. The commissioning plan must include the planned dates for all ERCOT
required testing.
The 8 sections of the Commissioning Plan Template are:
 Section 1: General Resource Description
 Section 2: Resource Controls
 Section 3: Resource Shut-Down Sequences
 Section 4: Resource Telemetry Verification
 Section 5: Resource Commissioning Milestones
 Section 6: Resource Detailed Commissioning Schedule
 Section 7: Resource Design Capabilities
 Section 8: Process Notes and Descriptions
All 8 sections of the commissioning plan must be completed before emailing it to ERCOT.
The Generator Commissioning Checklist and Commissioning Plan Template verify critical
communication points and generation security measures before allowing the Resource Entity to
energize the point of interconnection, synchronize generation, and prepare for commissioning of
the Resource.
Commissioning Plan Process

v 1.8 10/15/2018 22
At least 30 days before the Resource Entity plans to submit Checklist Part 1, the Resource Entity
is required to submit a completed Commissioning Plan Template.
Checklist submittals and approval:
 Separate Generator Commissioning Checklists must be submitted for each new generator
associated with the same Point of Interconnection. Submit all Checklists to ERCOT’s Client
Services Department
 Prior to submitting Part 1 (Energization of Point of Interconnection) of the Checklist, the
QSE, Resource Entity, and interconnecting Transmission Service Provider shall ensure
that the transmission switchyard facilities have been adequately constructed and modeled
in ERCOT’s Network Operations Model and are ready for energization and operation as
part of the ERCOT system
 ERCOT recommends that Part 1 of the Checklist be submitted at least 7 Business
Days in advance of the planned date of the initial energization of the Point of
Interconnection
 ERCOT shall provide a response to a submitted Checklist part within 7 Business Days of
receipt
 ERCOT recommends that Checklist Part 2 be submitted prior to testing and after approval
of the previous Checklist part by ERCOT
 ERCOT recommends that Checklist Part 3 be submitted after satisfactory completion of
testing and approval of the previous Checklist part by ERCOT
 ERCOT recommends that the planned date for Part 2 (synchronization) and Part 3
(commissioning) of the Checklist be at least 7 Business Days from the date ERCOT
approves the previous Checklist part
 Any Checklist Part submitted prior to receiving approval of the previous Checklist Part will
be considered as being submitted on the next business day after the approval of the
previous Checklist part by ERCOT
A few final notes on Checklist submissions: ERCOT approves Checklist submissions for execution
on Business Days only, during the hours of 8 AM to 5 PM Central Prevailing Time. Checklist
submissions received by ERCOT after 3 PM Central Prevailing Time will be considered as
received by ERCOT on the following Business Day.
Upon receipt of Part 1 of the Checklist, ERCOT shall review it for accuracy and completeness.
ERCOT shall then perform a verification of the network model and SCADA telemetry before
providing energization approval. ERCOT shall provide a response within 5 Business Days of
receipt. If any problems are encountered with the network model or SCADA telemetry that cannot
be readily resolved, ERCOT shall reject Part 1 of the Checklist, and request the QSE, Resource
Entity or Transmission Service Provider, where appropriate, to review and correct any outstanding
issues as required, and then resubmit Checklist Part 1. Part 1 of the Checklist shall not be
approved until all identified problems have been resolved to the satisfaction of ERCOT.
As indicated above, Part 1 of the Checklist should not be submitted before the interconnecting
transmission switchyard facilities have been modeled in the ERCOT Network Operations Model
and are constructed, energized and operational. The same process for Checklist Part 1 applies
with Checklist Part 2. ERCOT shall review the model and telemetry and will reject Part 2 of the

v 1.8 10/15/2018 23
Checklist if any problems are encountered that cannot be readily resolved
ERCOT’s approval of Part 1 and Part 2 checklist, energization of the generator’s Point of
Interconnection and synchronization of the generator to the grid, is given for a specific target day
requested by the Resource Entity and is subject to real-time grid operating conditions. Accordingly,
the Resource Entity’s QSE must contact the ERCOT control room on the day of energization as
per ERCOT’s Operating Procedures and receive permission to proceed prior to station
energization or synchronization of the generation.
In the event that system conditions are such that energizing the generator station facilities or
allowing the generation to synchronize to the grid will place unnecessary risk to the ERCOT
Transmission Grid, ERCOT System Operators have the authority to cancel or otherwise prohibit
these actions.
Checklist Part 3 approval requires verification of several generator capabilities such as reactive
capability, primary frequency response, and voltage control. Obtaining approval of Checklist Part 3
is dependent on the time necessary for the RE and QSE to perform all required performance
testing. Once all testing has been performed and Checklist Part 3 has been submitted to ERCOT,
ERCOT shall review all test results and approve Checklist Part 3 as appropriate. If any issues are
identified with regards to performance testing that cannot be readily resolved, ERCOT shall reject
the Part 3 submittal, and request the QSE, Resource Entity or Transmission Service Provider,
where appropriate, review and correct any outstanding issues as required, and then resubmit
Checklist Part 3. Part 3 of the Checklist shall not be approved until all identified problems have
been resolved to the satisfaction of ERCOT.
Once Checklist Part 3 approval has been given, the Resource is given a Resource Commissioning
Date by ERCOT and approved for participation in ERCOT market operations. Final review by
ERCOT and initial qualification testing has been completed.
Final Compliance with Operational Standards
As stated in Protocol 16.5 Registration of a Resource Entity, an IE shall not proceed to Initial
Synchronization of a generation resource in the event of any of the following conditions:
 ERCOT has reasonably determined that the generation resource may violate operational
standards established in the Protocols, Planning Guide, Nodal Operating Guides, and Other
Binding Documents
 The Resource Entity has not yet demonstrated to ERCOT’s satisfaction that the generation
resource can comply with the Operational Standards.
 The requirements of Planning Guide 5.9, Quarterly Stability Assessment, have not been
completed
 Any required sub-synchronous resonance studies have not been complete and approved by
ERCOT as specified in the ERCOT Protocols.
Based on ERCOT’s review of the Operation Standard requirements, the RE will be notified by
email if the generator to be synchronized has passed or failed to meet the Protocol requirements.
A copy of the compliance report will be available in RIOO-IS. Initial synchronization will not be
allowed until all Operational Standard requirements have been satisfied.
Reactive Power Capability, VSS, AVR, PFR, and PSS Testing
In order for the generator to be commissioned and approved for participation in ERCOT market
v 1.8 10/15/2018 24
operations, it must demonstrate that it can satisfy ERCOT’s requirements for Reactive Power (both
leading and lagging), Automatic Voltage Regulator (AVR), Primary Frequency Response (PFR),
and Power System Stabilizer (PSS), as applicable to the generation type.
These performance tests are some of the final steps before the commissioning of a generator.
ERCOT may direct the generator to isolate from the grid until the required testing has been
completed or mitigation plans have been established to address operational risks until the testing
can be completed.
VSS and AVR
All Generation Resources connecting over 20 MVA of gross capacity or those units connected at
the same Point of Interconnection aggregating to greater than 20 MVA of gross capacity shall
provide VSS and AVR according to Protocol Section 3.15 Voltage Support. This means that
Generation Resources, such as wind or solar plants that plan on energizing their facility as new
equipment is installed, shall have the ability to provide VSS as required in the Protocols once the
gross connected capacity of the generation resource exceeds 20 MVA.
If unable to provide VSS until the generation resource is fully constructed, the Resource Entity
may continue commissioning the new equipment so long as the Resource Entity has only 20 MVA
of equipment energized at a time. Once a generation resource has enough generation capacity
available for AVR and VSS control, the Resource Entity is to request approval from ERCOT to
generate above 20 MVA and up to the capability in which the generation resource can provide
voltage control.
The manner in which a generation resource can operate above 20 MVA shall be documented in
the Commissioning Plan. For Intermittent Renewable Resources planning on providing VSS
through the use of capacitor and reactive banks, it is encouraged that those reactive devices be
installed by the beginning of Stage 3 (prior to Checklist Part 1 approval) to maximize output from
the generator during the Commissioning process.
Reactive Power Capability
Typically, coordinated Reactive Power Capability tests are performed in coordination with ERCOT
and the TSP as described in Operating Guide section 3.3.2.2 Reactive Testing Requirements.
Although the ERCOT Operating Guides recommend maximum leading reactive tests be performed
in low load months, and maximum lagging reactive tests be performed in high load months, this is
often not possible for initial operation. Coordinated Reactive testing is generally required for Part 3
approval.
If issues arise in completing a non‐coordinated reactive test, then a coordinated reactive test will
be required. No extensions to complete reactive testing for Part 3 approval are provided. If either
leading or lagging reactive test cannot be completed due to RE plant limitations, the issues must
be resolved and a new reactive test conducted. If either leading or lagging coordinated reactive
test cannot be completed due to limitations on the TSP/ERCOT system (not due to limitations
inside the RE plant) then approval of the reactive test may be granted if all submitted information
and test results meet ERCOT requirements. Otherwise, additional reactive testing will be required.
Primary Frequency Response (PFR)
PFR testing is performed in accordance with Nodal Operating Guide Section 8, Attachment C.
Test data is submitted to ERCOT via NDCRC.
Power System Stabilizer (PSS)

v 1.8 10/15/2018 25
Synchronous generators must have a PSS installed per Nodal Operating Guide Section 2.2.6.
PSS testing requirements are included in Nodal Operating Guide Section 2.2.6(7).
Use of ON-TEST, ON and OFF Status during the Commissioning Process
During the commissioning process for a new Resource, the QSE will submit a Resource status in
accordance with Protocol section 3.9.1 Current Operating Plan (COP) Criteria. The status of
“ONTEST” should be used during the actual testing of the Resource.
ERCOT System Operations may require that a QSE provide a MW schedule for the generation
resource’s output for the duration of the planned test.
At the point when the Resource is not testing and is on control and capable of following SCED Base
Points and curtailment flags, the Resource would begin using an ON status in the COP and
telemetry. Resources using an ON status are subject to Base Point Deviation charges and GREDP
monitoring.
When the Resource is off-line and unavailable, the Resource status must be set to OFF.

v 1.8 10/15/2018 26
APPENDIX A: Helpful Resources and Links
Public Utility Commission of Texas (PUCT) Substantive Rules 25.198 governs the initiation of
transmission service in Texas, and Substantive Rule §25.109 outlines the certification, licensing,
and registration of generators. ERCOT Protocol Section 16.5 identifies additional requirements
related to the registration of the Resource Entity as a Market Participant and the generation that it
will represent in the ERCOT market.
Refer to the following links for additional information.
PUCT rules: http://www.puc.texas.gov/industry/electric/business/pgc/Pgc.aspx.
ERCOT Protocols: http://ercot.com/mktrules/nprotocols/current
ERCOT Planning Guides Section 5: http://ercot.com/content/wcm/current_guides/
GINR application forms and registration information is available on the ERCOT website at:
http://ercot.com/services/rq/re
Interconnecting Distributed Generation (less than 10 MW and at voltages below 60-kV) is
described in PUCT substantive Rule 25.211, and is not discussed in this document.

v 1.8 10/15/2018 27
APPENDIX B: LIST OF ERCOT FORMS FOR INTERCONNECTION PROCESS
Process/Form Entity Location Submission
Generation Interconnection or IE RIOO-IS [email protected]
Change Request (GINR)

Screening Study Data IE RIOO-IS [email protected]

submission

SGIA IE PUCT [email protected]

Document
Resource Registration RE RE Registration ERCOT Account Manager or
[email protected]
Standard Market Participant RE SFMA ERCOT Legal via fax or mail
Agreement

Managed Capacity Declaration RE Managed ERCOT Account Manager or

Form Capacity Form [email protected]
Resource Asset Registration RE RARF Forms MIS System
Form (RARF)

Resource Registration Glossary IE/RE Res Reg RARF submission requirements

Glossary
EPS Design Proposal TSP/RE EPS Design [email protected], ERCOT
Form Account Manager
MDAS Form TSP/RE MDAS Form [email protected]

EPS Cutover Form TSP/RE EPS Cutover [email protected],

Form 1ERCOTEAADataAggregation@er
cot.com
Outage Schedule QSE MIS System Through MIS outage scheduler

QSE ICCP Points List QSE MIS System Through MIS service request

New Generation Checklist RE New Gen ERCOT Account Manager or

Checklist [email protected]
Request for Unit Testing QSE Operating Sent to the ERCOT Shift
Procedures Supervisor: [email protected].
Commissioning Plan Template QSE Comm Plan ECS representative or
Template [email protected]
Net Dependable Capability and QSE MIS System Through MIS dashboard
Reactive Capability (NDCRC

v 1.8 10/15/2018 28
APPENDIX C: NAMING CONVENTIONS
LLC names – not used by ERCOT Operations, not used by ERCOT Planning, and they are
therefore unrestricted.
Sitecode names – used by Operations in switching orders, and used by Planning in modeling.
Therefore it is critical that they are clear and distinct and not easily confused with anything else.
There is an 8-character limit in the Sitecode name. A certain amount of human judgment goes into
accepting new names. For example, “Heart Solar” and “Hart Solar” sound alike and either one
could be okay, but not both. Sometimes similar names can be tolerated if they are geographically
far apart.
Project names – used by Planning and all other departments in all other communications. Ideally
the project name would be the same as the sitecode, and it is convenient for the project name to
include “wind” or “solar” or “gas” instead of “ranch” or “farm” or “project.” For example, if the
project name is Ibis Wind then the sitecode can be IBIS_W and everyone can easily recognize it.
Commission Plan file names - Include the GINR number at the end of the filename before the
extension and include the GINR number in the subject line of the email.
Commissioning Checklist file name - [Gen site name] & [unit name] & “Part” & [1,2, or 3] &
“Checklist” & [Date Submitted] & “.pdf”

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