RELIABILITY | RESILIENCE | SECURITY

NERC | Report Title | Report Date I

Electric Reliability Organization Event Analysis Process Version 4.0 - Appendices Approved: December 10, 2019 Effective Date: January 1, 2020

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Table of Contents

Appendices and Other Suggested References .......................................................................................................... iii

Appendix A: Target Time Frames for Completion of Brief Reports, Event Analysis Reports, and Lessons Learned ..2

Appendix B: Planning Meeting Scope Template ........................................................................................................3

Appendix C: Brief Report Template ............................................................................................................................4

Appendix D: Event Analysis Report Template ......................................................................................................... 11

Appendix E: Lessons Learned Template .................................................................................................................. 12

Revision History ....................................................................................................................................................... 14

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Preface

Electricity is a key component of the fabric of modern society and the Electric Reliability Organization (ERO) Enterprise serves to strengthen that fabric. The vision for the ERO Enterprise, which is comprised of the North American Electric Reliability Corporation (NERC) and the six Regional Entities (REs), is a highly reliable and secure North American bulk power system (BPS). Our mission is to assure the effective and efficient reduction of risks to the reliability and security of the grid.

Reliability | Resilience | Security Because nearly 400 million citizens in North America are counting on us

The North American BPS is divided into six RE boundaries as shown in the map and corresponding table below. The multicolored area denotes overlap as some load-serving entities participate in one Region while associated Transmission Owners/Operators participate in another.

MRO Midwest Reliability Organization

NPCC Northeast Power Coordinating Council

RF ReliabilityFirst

SERC SERC Reliability Corporation

Texas RE Texas Reliability Entity

WECC Western Electricity Coordinating Council

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Appendices and Other Suggested References

Appendix A: Target Time Frames for Completion of Brief Reports, Event Analysis Reports (EARs) and Lessons Learned Appendix B: Planning Meeting Scope Template Appendix C: Brief Report Template Appendix D: Event Analysis Report Template Appendix E: Lessons Learned Template Also see the Addendums below on the EA webpage for further data submission regarding particular events

Addendum for Category 1h Events

Addendum for Events with Failed Station Equipment

Addendum for Determining Event Category

NEI-NERC White Paper: Nuclear Power Plant Loss of Offsite Power Events - NERC Reporting Guidelines Other References:

Attributes of a Quality Event Analysis Report

Attributes of a Quality Lessons Learned

NERC Blackout and Disturbance Analysis Objectives, Analysis Approach, Schedule, and Status – Attachment D from Appendix 8 of NERC Rules of Procedure

Cause Analysis Methods for NERC, Regional Entities and Registered Entities The appendices and reference documents are posted on the EA Program page on the NERC website. To access the EA Program page on the NERC website, click on the Program Areas & Departments tab at the top of the NERC home page, then Reliability Risk Management on the left side of the page, then EA Program under Event Analysis. The latest versions of the appendices are posted under the Current Event Analysis Process Documents tab.

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Appendix A: Target Timeframes for Completion of Brief

Reports, Event Analysis Reports, and Lessons Learned

All timeframes in the table below are subject to extension to ensure accurate and complete information with agreement of the applicable RE. If the timeline for the completion of the EAR exceeds 30 days from the date of the event, updates need to be provided to the RE every 30 days.

Target Timeframes for Completion of Brief Reports, Event Analysis Reports, and Lessons Learned

Event Category

Brief Report Event Analysis

Report Lessons Learned

Close Event Analysis

1

Registered entity sends draft to RE within 10 business days of the event for review (day of the event does not add to the count). Registered entity sends final report to RE within 20 business days.

Within 30 business days of the request1

Within 30 business days of the event (if applicable)

10 business days following receipt of final Brief Report or 30 business days following receipt of final EAR (if requested)

2

Registered entity sends draft to RE within 10 business days of the event for review (day of the event does not add to the count). Registered entity sends final report to RE within 20 business days.

Within 30 business days of the requestError!

Bookmark not defined.

Within 30 business days of the event (if applicable)

10 business days following receipt of final Brief Report or 30 business days following receipt of final EAR (if requested)

3

Registered entity sends draft to RE within 10 business days of the event for review (day of the event does not add to the count). Registered entity sends final report to RE within 20 business days.

Within 60 business days of the event

Within 60 business days of the event (if applicable)

30 business days following receipt of final EAR

4

Registered entity sends draft to RE within 10 business days of the event for review (day of the event does not add to the count). Registered entity sends final report to RE within 20 business days.

Within 180 business days of the event

Within 180 business days of the event (if applicable)

60 business days following receipt of final EAR

5

Registered entity sends draft to RE within 10 business days of the event for review (day of the event does not add to the count). Registered entity sends final report to RE within 20 business days.

Within 180 business days of the event

Within 180 business days of the event (if applicable)

60 business days following receipt of final EAR

1 The need for an EAR should be determined within 15 business days of receiving the Brief Report.

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Appendix B: Planning Meeting Scope Template

The planning meeting scope template provides guidance for conducting an event analysis planning meeting. The meeting participants (e.g., NERC, the REs, and the registered entities involved in the event) will confirm the event category. If EA process timelines and expectations for that particular event category need to be changed, then there should be clear understanding of any divergence from the EA process by all participants. This is particularly important for large events that involve multiple entities, multiple REs, or both. The Planning Meeting Scope Template can be applied to all events.

Planning Meeting Scope Template Description Discussion Comments

Summary of Event or Incident

Describe what happened Retrieve information from preliminary/initial reports, OE 417, EOP- 004, RCIS, email, telephone calls, etc.

Attendees List names and titles of participants

Event Analysis Project Steps to Address

1. Does the incident or event fit NERC’s Event Categories?

2. Discuss Data Hold Retention Notice requirements and confidentiality needs.

3. What type of analytical work needs to be done?

4. If needed, confirm EA team members (gather accurate contact information).

5. What is the schedule for completing work (e.g., studies, draft reports, final reports, etc.)?

6. Other?

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Appendix C: Brief Report Template

Registered entities are requested to use the Brief Report template as a guideline for submitting event information to their applicable RE and NERC in accordance with Appendix A (Target Time Frames for Completion of Brief Reports, Event Analysis Reports, and Lessons Learned). The template may also be used for less significant events. Word format of this appendix can be found on the NERC website under Program Areas & Departments | Reliability Risk Management | EA Program. Refer to the most current version of the ERO Event Analysis Process. Template Instructions: Reported Event Title: Provide a title that will be used to identify the event. The title should include the date of the event (YYYYMMDD), entity name, substation name, or location as appropriate. Submittal Date: Date Brief Report was first submitted. Subsequent Submittal Date: Date Brief Report was updated. Initial, Interim, or Final Report: Identify if the Brief Report is the first (initial), interim, or a final report. The first report can be a final report in accordance with the timelines in Appendix A. Item 1 – Entity Name and NCR Number: Entity name and NERC Compliance Registry (NCR) number submitting the report. Item 2: Provide contact information about the entity, a contact person. Item 3: Provide the local date, time, and time zone when the event occurred. Item 4 – Brief Description: Provide a short summary of what happened, when it happened, and where, if applicable. This description is not intended to describe the causes and conditions surrounding the event. Item 5 – Proposed Event Categorization (e.g., 1a, 2b): See the list of categories in Step 1 of the process. Items 6-12 and Questions 6–12: If the event did not involve generation, frequency, transmission facilities, load, and/or inverters, questions 6–12 may be left blank. Item 6 – Generation Tripped Off-line: Provide a total megawatt loss (gross). Item 7 – Frequency: Provide the frequency prior to event, minimum and maximum frequency immediately following the event, and the settling frequency. Items 8-9 Load/Customers Impacted: Provide the firm and interruptible MW amount, d of load impacted (if any). The load that was disconnected from the system by utility/entity equipment opening. Load loss due to the response of voltage sensitive load and load that is disconnected from the system by end-user equipment is not included. Do not use change in area load as the load loss. Item 10 - List Transmission, Substation, Generation, and Demand that Experienced a Forced Outage (Excluding Successful Automatic Reclosing): Provide start time, end time, and total outage time for each affected generation, substation equipment, transmission, and/or demand facilities. Describe the bus configuration (e.g. straight, ring, breaker and a half) and specify the voltage level for each substation equipment loss. Specify the

Appendix C: Brief Report Template

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voltage level for each transmission loss. Provide MW loss and Peak MW loss for generation loss and load loss, respectively. Item 11 – Describe any Emergency Actions Required to Maintain Reliability of the BES: If an operating limit was exceeded, what actions were taken by the system operators to return the system to a secure state? For 1h EMS event, please include mitigating controls used to monitor the BPS including any notifications made to external entities (e.g. Reliability Coordinator, Balancing Authority, and/or neighboring Transmission Operators). Please advise if you contacted the vendor and what details they have provided. Item 12 – List Inverters that Experienced either Momentary Cessation or Tripping: Please provide the affected facility name, the number of affected inverters, total MW loss, outage duration, and the type of loss (momentary cessation or tripping) Item 13 – Sequence of Events: The sequence of events should provide a chronological timeline of the actions that took place leading up to and through the event. The sequence of events is intended to assist in causal analysis and should not include potential causes or narratives attempting to identify the impact of various activities throughout the event. Item 14 – Identify Contributing Causes of the Event to the Extent Known: If the event consists of more than one event, please provide contributing causes to each event (e.g., Event 1: line-to-ground fault which was followed by Event 2: failure to trip). For every event, continue to ask ‘why’ to help determine the contributing causes. Consider design, equipment, human performance, management practices, procedures, communication, training, weather, configuration, vendor, or anything that may have contributed to the event(s). Item 15 – Identify any Protection System Misoperations to the Extent Known: If a Protection System operated during the event, the operation should be reviewed to ensure the Protection System operated correctly. If it is believed that the Protection System did not operate as expected and possibly reported through PRC-004, it should be identified in this section. If the operation is still being analyzed, it should be noted. The outcome of that analysis should be used to update this report and the fact that a PRC-004 report was made when such information becomes known. Item 16 – Identify any GADS, DADS, TADS, or Misoperation Reports that Will Be Submitted: Identify any loss of generation, demand, or BES Transmission lines related to the event that qualify for reporting through the Generator Availability Data System (GADS), Demand Response Availability Data System (DADS), or Transmission Availability Data System (TADS). Also identify any Protection System misoperation reports that will be submitted. Item 17 – Narrative: Provide a detailed description of the event utilizing the sequence of events, one-line diagrams, available data, and any assumptions, as necessary. The narrative should explain the what, when, how, and where aspects of the events in detail, as well as the impact. The narrative should describe the potential causes of events, measures that, if existed, could have prevented the event, corrective measures taken after the event, and any extent of condition2 identified. Item 18 – If a One-line Diagram is Included, Please Provide an Explanation: One-line diagrams and pictures streamline the review process and simplify understanding of events. Please provide where applicable.

2Reviewing the potential for identified problem to impact other processes or equipment.

Appendix C: Brief Report Template

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Item 19 – Identify the Significance and Duration of any Monitoring and Control Event (i.e., Loss of BPS Visibility, Loss of Data Links, etc.): Provide the number of minutes control and/or monitoring was lost and the extent of the loss (e.g., complete loss of EMS, or lost 40 percent visibility and control). Item 20 – Provide any Corrective Actions that were Identified: These are the things your company will do or has done to prevent a similar event from occurring in the future.

Appendix C: Brief Report Template

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Brief Report Template

Reported Event Title:

Event Date: Submittal Date:

Subsequent Submittal Date: Initial, Interim or Final Report:

Region(s):

1. Entity Name:

NCR Number:

2. Contact Person: Phone Number:

Email:

3. Date of Disturbance

Time of Disturbance Time Zone:

4. Brief Description of Event

5. Proposed Event Categorization:

(e.g., 1a, 2b, 3c)

6. Generation Tripped Off-line (MW)

7. Frequency

Just prior to disturbance (Hz)

Immediately following disturbance (Hz MAX)

Settling (Hz) Immediately following disturbance (Hz MIN)

8. Demand Interrupted

Firm (MW)

Interruptible (MW)

9. Number of affected customers

Firm Interruptible

10. List Transmission, Substation, Generation, and Demand that Experienced a Forced Outage

(Excluding successful automatic reclosing)

Transmission Lines

Appendix C: Brief Report Template

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Line Name Voltage Level Start time of outage End time of outage Total outage duration time

Substation Equipment

Station Name (including station configuration)

Type (e.g. breaker, transformer, bus, relay, CT, PT)

Voltage Level Start time of outage

End time of outage

Total outage duration time

Generation Equipment

Unit Name Fuel Type MW Loss Start time of outage

End time of outage

Total outage duration time

Demand

Peak MW Loss Start time of outage End time of outage Total outage duration time

11. Describe any Emergency Actions Required to Maintain Reliability of the BES

For 1h EMS event, please include mitigating controls used to monitor the BPS including any notifications made to external entities (e.g. Reliability Coordinator, Balancing Authority, and/or neighboring Transmission Operators). Please advise if you contacted the vendors and what details they have provided.

Appendix C: Brief Report Template

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12. List Inverters that Experienced either Momentary Cessation or Tripping

Facility Name Number of Affected Inverters

Note Momentary Cessation or Trip

Total MW Loss Outage Duration

13. Sequence of Events

Time Event

14. Identify contributing causes of the event to the extent known

15. Identify any Protection System Misoperations to the extent known

Appendix C: Brief Report Template

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16. Identify any GADS, DADS, TADS, or Protection System Misoperations Reports that will be submitted

17. Narrative

Explain the what, when, how, and where aspects of the events in detail, as well as the impact. Describe the potential causes of events, measures that could have prevented the event, corrective measures taken after the event, and any extent of condition identified.

For 1h EMS event, please review Addendum for Category 1h Events

If substation equipment failure occurred, please see the Failed Equipment Addendum, fill out the appropriate section, and send it with the Brief Report

18. If a one-line diagram is included, please provide an explanation

19. Identify the significance and duration of any monitoring and control event, such as loss of BPS visibility, loss of data links, etc

20. Provide any corrective actions that were identified

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Appendix D: Event Analysis Report Template

The EAR template is provided as an outline for the contents of an EAR. The level of detail will vary depending on the category and details of a specific event. If an EAR includes confidential/CEII protected information the report shall be labeled appropriately.

Event Analysis Report Template

1. Report Cover Sheet

a. Reported Event Title (same as the title assigned to the Brief Report)

b. Date of Report

c. Preparer’s Name

2. Table of Contents

3. Executive Summary

4. Event Overview

Provide a description of the pertinent facts related to the event, including pre- and post-event periods.

5. Sequence of Events

Provide a sequence of events. This timeline is a building block for all other aspects of the analysis, and is a starting point for the root cause analysis.

6. Cause Analysis

Provide the causal factors of the event. Cause analysis is a factual record to support the conclusions in the final report.

7. Detailed System Analysis

a. System conditions prior to event

b. Generation outage summary (relevant outage, planned or unplanned)

c. Transmission outage summary (relevant outage, planned or unplanned)

d. Effects on customers/public

e. Event response, including emergency actions taken to maintain reliability of the BES

a. Restoration observations

8. Findings, Conclusions, and Recommendations

a. Specific findings and conclusions including corrective actions

b. Recommendations, including lessons learned and good industry practices

9. Appendices

a. One-line diagrams

b. Graphic representations

c. Team members

d. Other relevant data

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Appendix E: Lessons Learned Template

Instructions for completing a lessons learned report:

Title – The title should be short and specify the theme of the lesson learned so the reader can easily identify the subject.

Primary Interest Groups – Primary interest groups are NERC registered entities that could possibly benefit from the information contained in the lessons learned report. NERC registered entities (e.g., Transmission Owner, Generator Owner, Load Serving Entity, etc.) are defined per the NERC Reliability Functional Model Function Definitions and Responsible Entities document, which can be found on the NERC website.

Problem Statement – The problem statement is a short descriptive narrative of the problem that occurred. Usually this can be defined in one sentence, but the purpose of the problem statement is to explain the problem so the reader is able to easily determine if the problem is of interest without having to go further into the report.

Details – The details section is a concise narrative of what happened in the event, the end result of the event, the findings of the analysis of the event, corrective actions taken, and any other pertinent information that will provide the reader information that could be used to apply the lessons learned. One-line diagrams or other diagrams and representations that will help the reader understand the event should be included. Lessons learned should include as much data and information as possible. Confidential information should be treated accordingly, and vendor-specific information should not be included unless it is discussed and coordinated with the vendor. If dissemination of vendor-specific information is beneficial, it may be pursued outside the EAP.

Corrective Actions – Identify corrective actions by listing the changes the entity incorporated to prevent, mitigate, or reduce the recurrence or impact of a similar event. Some examples of items identified are changes in procedures and processes, maintenance changes, changes in training programs, equipment replacement, equipment testing changes, etc.

Lesson Learned – A lesson learned is knowledge or understanding gained by experience that has a significant impact for an organization. The experience may be either positive or negative. Successes are also sources of lessons learned.

Appendix E: Lessons Learned Template

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Lessons Learned Template

Lesson Learned Title

Primary Interest Groups

Problem Statement

Details

Corrective Actions

Lesson Learned

Click here for: Lesson Learned Comment Form

For more Information please contact:

NERC – Lessons Learned (via email) Region Contact Information

Source of Lesson Learned: Region Name

Lesson Learned #: XXXXXXXX

Date Published: XX/XX/XXXX

Category: This document is designed to convey lessons learned from NERC’s various activities. It is not intended to establish new requirements under

NERC’s Reliability Standards or to modify the requirements in any existing Reliability Standards. Compliance will continue to be determined

based on language in the NERC Reliability Standards as they may be amended from time to time. Implementation of this lesson learned is not

a substitute for compliance with requirements in NERC’s Reliability Standards.

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Revision History

Rev. Date Reviewers Revision Description

1 December 2011 Event Analysis Working Group, NERC Management, Operating and Planning Committees.

Document endorsed by Operating and Planning Committees January 2012. Document endorsed by NERC Board of Trustees February 2012.

2 July 2013 Event Analysis Subcommittee, NERC Management, NERC Operating Committee.

Document endorsed by Operating and Planning Committees June 18, 2013.

3 September 2015 Event Analysis Subcommittee, NERC Management, NERC Operating Committee.

Document endorsed by Operating Committee September 16, 2015.

3.1 December 2016 Event Analysis Subcommittee, NERC Management, NERC Operating Committee.

Document endorsed by Operating Committee December 13, 2016.

4 December 2019 Event Analysis Subcommittee, NERC Management, NERC Operating Committee.

Document endorsed by Operating Committee December 10, 2019.