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IEEE TRANSACTIONS ON POWER SYSTEMS, VOL. 16, NO. 3, AUGUST 2001
Analysis of Load Frequency Control Performance Assessment Criteria
George Gross, Fellow, IEEE and Jeong Woo Lee
Abstract—This paper presents the development and application of an analytic framework for the formulation and evaluation of control performance criteria in load frequency control (LFC). The framework is constructed so as to explicitly represent the uncertainty in the measured variables in LFC and to use metrics that are meaningful for the structure of the problem. The framework makes effective use of probability and random processes concepts to develop rather general criteria for LFC performance assessment. In fact, the NERC criteria CPS1 and CPS2 are special cases of the criteria of the framework. The paper thus provides an analytic rationale for the NERC control performance criteria. Analysis of the CPS1 and CPS2 criteria shows that, under conditions that are typically in effect in North American interconnections, the two criteria are redundant. Consequently, there is good analytical basis for not requiring the application of CPS2 once CPS1 is satisfied. Numerical results with four interconnections are given to illustrate the analytic results. The framework is a powerful construct that may be used to construct new criteria for LFC performance assessment. Index Terms—AGC, control performance assessment criteria, IOS, LFC, random processes, unbundled ancillary service.
I. INTRODUCTION HIS paper presents the development and application of an analytic framework for the formulation and evaluation of control performance criteria in load frequency control (LFC). Such criteria play an increasingly important role in the provision of LFC as an unbundled service in the new open access transmission regimes. These criteria need to be appropriately formulated to be meaningful in the new environment; in particular, they impact considerably the monitoring and metering requirements for LFC . We start with a brief review of the way LFC is performed. In actual power system operations, the load is changing continuously and randomly. As the ability of the generation to track the changing load is limited due to physical/technical considerations, there results an imbalance between the actual and the scheduled generation quantities. This imbalance leads to a frequency error—the difference between the actual and the synchronous frequency. The magnitude of the frequency error is an indication of how well the power system is capable to balance the actual and the scheduled generation. The presence of an actual-scheduled generation imbalance gives rise initially to system frequency excursions in accordance to the sign of the imbalance. Then, the governor responses take effect and act to
Manuscript received February 15, 2000. This paper was supported by the Grainger Foundation and the University of Illinois Power Affiliates Program. The authors are with the Department of Electrical and Computer Engineering, University of Illinois at Urbana-Champaign, Urbana, IL 61801. Publisher Item Identifier S 0885-8950(01)06075-8.
reduce the magnitude of the actual-scheduled generation imbalance. Within a few seconds, this so-called primary speed control  serves to damp out the frequency excursions and to stabilize the frequency at a new value, which is different than the synchronous frequency. The LFC function  is then deployed as the secondary control process to maintain the frequency error within an acceptable bound. The LFC is performed by the automatic generation control (AGC) by adjusting load reference set points of governors of selected units in the control area and then adjusting their outputs –. Each control area measures the actual frequency and the actual net interchange, typically, every 2–4 seconds. These measurements are used to evaluate the frequency and the net interchange errors. The net interchange error is defined as the difference between the net actual and the net scheduled interchange with the connected control areas. The area control error (ACE)  is then computed by taking into account the effects of frequency bias; it is the basis for the control signals sent by the control area to the generators participating in AGC. In an interconnection, there are many control areas, each of which performs its AGC with the objective of maintaining the magnitude of ACE “sufficiently close to 0” using various criteria. In order to maintain the frequency sufficiently close to its synchronous value over the entire interconnection, the coordination of the control areas’ actions is required. As each control area shares in the responsibility for LFC, effective means are needed for monitoring and assessing each area’s performance of its appropriate share in LFC. This requirement, in turn, brings about the need for meaningful metrics and criteria for LFC performance assessment. The focus of this paper is on the analysis and construction of appropriate metrics and control performance criteria in LFC. For many decades, the LFC performance of an area was assessed by the widely-adopted A1 and A2 criteria. These criteria, based on engineering judgment, had no analytical basis. The pioneering work in ,  resulted in the adoption of new and more sophisticated criteria. These so-called CPS1 and CPS2 criteria required considerably more measurement and data collection. These new criteria still lacked an analytic basis but brought good engineering and power system operations insight. In 1997, NERC adopted CPS1 and CPS2 in place of the old A1 and A2 criteria. The objective of this paper is to provide a solid analytic basis for the formulation, analysis and evaluation of LFC performance criteria. We construct an analytic framework that explicitly represents the uncertainty in the measured variables in LFC and that uses metrics that are meaningful for the structure of the problem. The framework makes effective use of probability and random
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v. A. . we introduce the smoothed variables that are the averages of the r.d.’s ingly.v. To make the assessment statistically meaningful. is a collection of steady state r.v. the fast fluctuations in these variables are filtered out. and where.v. So. the objective of LFC is modified to maintain for each .’s in this paper. For this purpose. within . we need a large of windows.v. Furtherfollows that . We denote the time independent mean and variance of each r. However.v. economic conditions in the area.v.v.v. Analysis of the CPS1 and CPS2 criteria shows that. are used to evaluate the area control error at . The objective of at LFC is to drive the possible values of the variable each to lie within a desired range.v. we assume that the probability distribution of each r. Moreover. The framework is a powerful construct that may be used to construct new criteria for LFC performance assessment. We is also measured every compute the interconnection frequency error and the net interchange error . (1) is a set of i.v. the relationship between the NERC CPS1 and CPS2 criteria is analyzed using the proposed framework. is independent of time. Then. the losses. Thus. under conditions that are typically in effect in North American interconnections. II. area to its neighboring areas are measured every These measurements are used to compute the actual net area interchange at each sampling instant . in practice. the two criteria are redundant. Under this assumption. at one instant has no effect on the r. We use . the Central Limit Theorem more. The paper has four additional sections. the collection is a set of independent and identically distributed (i. by and . the collection of with is also a set of i.v. which we assume to be uniform throughout the interconnection. Each of the is therefore a function of the variables denoted by actual-scheduled generation imbalance at .’s.) because its value is uncertain at each point of time.’s is approximately normally distributed. rather than monitoring . The interconnection frequency. In this nonoverlapping and covering the entire interval way. at the measurement instant . r.v. Section II presents the development of the probabilistic framework for the LFC performance assessment. we number . We adopt the view in  and to equal the area actual generation minus consider the area scheduled generation at . Corresponding to window . we define for each time subset smoothed r. Formulation of the Framework Consider a control area in a multi-area interconnection and .v. The area scheduled generation is the sum of the area load. the work-and-rest pattern of the population and other sundry factors.’s for the Since .i. such a control performance would be overly tight and it would in fact overstress the generators. any disturbance in the load of simply transitions the power system from its current steady state . respectively. We use bold letters to represent r. represents any one of the r. In Section III.d.d.v.i. Numerical results with four interconnections are given to illustrate the analytic results. where is the area frequency bias coefficient which is a negative constant. for each is approximately normally distributed establishes that . THE LFC PERFORMANCE CRITERIA FRAMEWORK The load at each time instant is a random variable (r. is selected the volatility of the values of is sufficiently large so as so that the cardinality of each to permit the application of the Central Limit Theorem .’s . smoothed r. the NERC criteria CPS1 and CPS2 are special cases of the criteria of the framework. its distribution is fully known once the estimated mean and variance are determined. Since each r. We associate the measurement time is a measurement point in subset with the subinterval .’s over windows of length with the windows being . these cannot be matched by the actual generation due to the generators’ much slower response. we develop a control performance assessment scheme capable of ensuring the effectiveness of the control in some statistically meaningful way. to some other steady state. seconds and is denoted by . The randomness in the load results in the randomness in the variables of the power system.i.v. In addition. at any other instant and the distribution of each steady state r. The sources of randomness are many. These errors.’s for assessing LFC performance. in turn. the scheduled net interchange and the area’s share of support for interconnection frequency . Consequently.GROSS AND LEE: ANALYSIS OF LOAD FREQUENCY CONTROL PERFORMANCE ASSESSMENT CRITERIA 521 processes concepts to develop rather general criteria for LFC performance assessment.’s. fluctuating imbalances between the actual and scheduled generation exist at each instant. does not depend on the particular instant. The selection of the is based on the generator response time and window length . r. The use of smoothed variables involves less volatility and is more practical for the LFC performance assessment. Numerical results are given in Section IV. the operating conditions. Accordther the r. The fast fluctuations in the load bring about fast fluctuations in the scheduled generation. Since the steady state r.) r. The LFC performance assessment is based on the assumption that the power system is in steady state at each instant .v. In fact. The flows on the tie lines connecting some time interval seconds. such as the interconnection frequency and the flows on the tie lines. the Using this structure. it collection of elements in and . The paper thus provides an analytic rationale for the NERC control performance criteria.v. Consequently. they include the weather. there is good analytical basis for not requiring the application of CPS2 once CPS1 is satisfied. The concluding section evaluates the contributions of the paper. and consider no furtherefore the r. define the subinterval . ] is the synchronous interconnection frequency where [the scheduled net interchange] at .’s.
We again use a probabilistic measure to assess how well each control area can contain the value of ACE within a specified range. The closer the confidence level is to 1.i. we can derive from them the NERC CPS1 and CPS2 criteria  as special cases.p. is the confidence level that the event happens . We specify its bound to be and formulate the interconnection LFC performance criterion as (2) Such a metric. In actual interconnected power system operations. we need to construct for all the areas specific LFC performance metrics and criteria to ensure that each area is performing its appropriate share in LFC. let be the event that has an absolute value less than or equal to . We make use of quently applies to the r. i. positive [negative] indicates the area ’s undesirable [desirable] control performance. a natural metric is the to measure how closely the values mean square value are bounded within the desired range.v. trol performance criteria (3) (4) is a sufficient condition for the We show that the criterion criterion . is not practical for several reasons. On the has a negative value. whereas we need impose an upper bound on not care about the negative correlation since it indicates a desirable performance. and this situation helps correlation. this area has lower other hand. We propose to use the correlation of for each as a metric of each area’s control performance. we prove that under assumptions that minutes.p. . consequently. we need to . the values of the smoothed variable within a desired range. 16. the variance and the mean square value of may be estimated from any sample path of the process . . total generation exceeds the total load in has a positive value. and area s control performance does not help to restore the frequency to its scheduled value. The proposed criteria make use of natural probability measures such as correlation and confidence level of r. We propose additional metric of each area’s control performance. each control area shares in the responsibility for LFC. One does not consider the contribution of the is that criterion various control areas to the interconnection performance. For the probabilistic structure.’s and random processes (r. A positive correlation indicates that the two r. To assess how the behavior of two r. Once CPS1 is satisfied. value.v. This characterization of conse.d. Area Control Performance Criteria As the first step in monitoring each area’s performance. For large . is err. while a negative correlation indicates the opposite .r.v. RELATIONSHIP OF THE PROPOSED AND NERC CRITERIA The proposed criteria and are formulated to be rather general criteria for control performance assessment. generally hold for windows whose length is equivalent to the criterion . it does not help the interconnection to reduce the interconnection overgeneration and restore the frequency to the synchronous has a positive correlation with .) obtained for the time set . the more likely as an is the event to occur. characteristics.r. . This is a set of i.p.’s and take advantage of the ergodic d.’s is related. In such a case.’s this important characteristic of ergodic processes in the application of the proposed criteria. The starting point of our analysis is the framework that was constructed in Section II. the mean . it becomes unnecessary to check CPS2.e.r. We use this framework to analyze the control performance assessment criteria in the section below. in particular.. If has more actual than scheduled generation and. Then.e. Then. however. Another is that the criterion fails to use much of the information in the monitored measurements. the satisfaction of CPS1 implies that CPS2 is also satisfied. We want this value to exceed a specified confidence level. The framework we constructed in this section is based on the application of basic notions of r. Note that the elements of the d. AUGUST 2001 . The frequency error is a funclation of tion of the interconnection’s actual-scheduled generation imis the actual-scheduled generation imbalance  and has a positive balance of area . this area the interconnection. where. Since some areas may have undesirable control performance. there is overgeneration throughout the interconnection.’s. As such. of may be estimated by For example. we construct for each area’s conand . The proofs the criterion are given in the Appendix. A further consideration is that too wide of an excursion of the ACE from zero is not desirable in every single area. we use their correlation as an indicator. The mean.p.v.’s move in similar direction.v. III..522 IEEE TRANSACTIONS ON POWER SYSTEMS. We. NO.r. where is the observed value of from any sample path . A symmetric situation occurs for the case .’s) to LFC. Then. Consider the discrete time random process (d. Then. the d.. We used the development in  to motivate the formulation of the criteria in equations (3) and (4). i. Using the proposed metrics. we derive an important new result showing that under certain conditions that generally hold. propose of as the interconnection LFC performance measure.p. Given a specified tolerance for area . In addition.’s and . the interconnection to reduce the overgeneration and restore the frequency to the synchronous value.e. 3. Consider the case when value. we need to know how each area responds to the interconnection frequency error based on available measurements. We propose to monitor the correand . CPS2 is a redundant criterion. The judicious use of the measurement set and smoothing allows the specification of implementable criteria to assess the performance of each area in discharging its LFC responsibility.v. B. In this section we show that. thus. . i. In addition. VOL. godic . if has a negative actual than scheduled generation. To ensure that the positive correlation is not excessive.
WSCC.v.’s Since the r. We performed the studies on a number of NERC interconnections. ERCOT and Hydro-Quebec. criterion tion (4) is satisfied if and only if (9) and . and the d. We may The mean windows interpret this estimate to be the proportion of the covering the interval of length which have the absolute value of equaof ACE smaller than or equal to . if otherwise is for a given value of . (18) .d.d. . Then. . for the variance. Moreover. respectively.i. It follows that under this condition. We define Next.’s if otherwise (8) (6) are the i. We for .v. Then. the within the one-year interval is sufficiently large.r. Then. CPS1 may be expressed as . Using equation (13) and (15). criterion be estimated for each by is satisfied if and only if (5) be 1 minute and the interval length Let the window length be 1 year. the mean of and the criterion in equation (4) may be restated as (7) .r.v.i. We use this notation also for . Thus.v. then and are also satisfied. Let specified tolerance in the NERC CPS1 . it follows that the CPS1 is a sufficient condition for the . under holds so that the condition in equation (17).i. IV.’s Furthermore. criterion holds if and only if (16) We introduce the following condition (17) where.p. Let and be values and . then the number of 1-minute windows . Then.v. under the condition in equation (17) there is no need to monitor two separate criteria CPS1 and CPS2 and the monitoring of CPS1 suffices. we have (11) is the cardinality of the window Here.v. We estimate we calculate the corresponding each interconnection’s expected value of frequency error is estimated by . are also i. of the r. where. r. We next consider the relationship between and . NUMERICAL STUDIES We carried out a number of numerical studies to ascertain whether the condition in equation (17) for redundancy of CPS2 can be determined.’s and consequently may be estimated from is an ergodic d. is therefore ergodic. Then.. . where is expressed adopt the notation in minutes. the specified tolerance value Let in equation in the NERC CPS2 . For each . . For sufficiently large . (9) is the same as CPS2. r. Then.d. Then. in equation (4). We use equa- (12) Since . then. if each area satisfies CPS1.’s . It follows that is a set of i.d.r. The expression in equation (5). The CPS2 criterion provides no additional assurance or insight in terms of control performance. we consider the criterion the r. is given in years and is the tolerance in mHz. be any sample path of the d. If CPS1 is satisfied. Consider . for are statistically independent.v. respectively. and the r. Consequently. are i.i. We provide a representative sample here for the following four interconnections: Eastern Interconnection. the grid is uniform so that and it follows that (13) Consider the criterion ances : for two distinct windows and toler(14) (15) is a sufficient condition for the criterion Since the criterion and the CPS1 is equivalent to the criterion . the second inequality is due to the condition in equation (17). tions (10) and (11) to determine .p.’s . Using the values for each interconnection .GROSS AND LEE: ANALYSIS OF LOAD FREQUENCY CONTROL PERFORMANCE ASSESSMENT CRITERIA 523 and . is the same as the NERC CPS1 criterion. Let may an arbitrary sample path. the r. of the NERC-specified and values.p. the relationship of equation (16) is also satisfied. The mean of for each is indesince pendent of the window length (10) .
the areas accomplish their objective for the LFC once CPS1 is satisfied. The selected periods for the inspection are one year from May 1998 to April 1999 in the Eastern Interconnection . CPS2 criterion provides no additional insight in terms of control performance and the monitoring of CPS1 suffices. the the criterion. pp. We start with the definition of the average ACE variables for window: each (A. 16. APPENDIX We prove the fact that the satisfaction of the area control perimplies the satisfaction of the criterion formance criterion . We used the smoothed variables over non!overlapping windows to get more insight on the control performance assessment issues. Table I gives the values of and and the by the NERC . with Suppose each area satisfies the criterion . ii) These assumptions are reasonable for the interconnections of interest. . NO. CONCLUSION In this paper.1) Let be the number of control areas in the interconnection. and. 3. the single month data can be tested effectively to ascertain the redundancy of the specified CPS2 criterion. 6–7]. V. for windows and of two different control areas are independent r.’s [6. This is particularly important as LFC is becoming an unbundled ancillary service in the new open access transmission regimes.524 IEEE TRANSACTIONS ON POWER SYSTEMS. the application of the framework shows that the satisfaction of CPS1 implies that CPS2 is also satisfied under a certain condition. we show that the criterion under a set of assumptions. In fact.v. Since the sum of the net interchange errors over the interconnection is zero. the calculated values of for each interconnection.’s are independent. all the areas of equation (3). Then. The use of statistically meaningful metrics for the area control performance assessment led to the formulation of rather and . analysis of actual data shows that for the con. AUGUST 2001 TABLE I DATA FOR THE NUMERICAL STUDIES The framework brings considerable new analytic insights into the LFC performance assessment problem. trol areas in North America. In addition. As such. one month is sufficiently long to provide a statistically meaningful data set for the estimate. for (A. VOL. . i. The ergodic nature of general performance criteria the random processes permits the evaluation of the proposed metrics using chronological data. criterion is equivalent to the Next. It can be used for the formulation of new control performance criteria and for the analysis of the measurement and monitoring requirements for LFC. is sufficiently small for window length . we constructed a random process based LFC performance assessment framework. Consequently.3) and so the criterion is satisIt follows that criterion is a sufficient condition for fied. This framework is effective in dealing with the random characteristics of the variables of interest in LFC. We developed the results year. areas . Due to the ergodic nature of evaluation of the the r. The proposed criteria are general and include the criteria CPS1 and CPS2 as special cases. the month of January 1998 in ERCOT and the month of August 1997 in Hydro-Quebec .p. We introduce the following : two assumptions for window length and of two different control i) The r. estimated values of We can see that the condition in equation (17) is satisfied by each of the four interconnections for the selected periods. analysis and evaluation of LFC performance criteria. In these cases. Consequently. in the previous section under the assumption of However.v. .2) . using the frequency data obtained from sufficiently large number of time instants in each interconnection. Moreover.e..s in the control performance criteria. (A. It is also shown in  that . given that the frequency errors are sampled every 1– 3 seconds in these interconnections. we show the criterion to be equivalent to under assumptions that generally hold for window length . CPS2 is a redundant criterion and the control areas do not need to monitor whether CPS2 is satisfied. the year 1998 in WSCC. The framework provides a solid analytic basis for the formulation.
Englewood Cliffs. as and are positive (A.6) becomes sufficiently large. and A. Since var var . He is currently working toward the Ph.’s with standard .  R.6) that also tends to zero. and M. [Online]. .  P.  .i. 7. vol. Aug.S.5) Here we used equation (A.GROSS AND LEE: ANALYSIS OF LOAD FREQUENCY CONTROL PERFORMANCE ASSESSMENT CRITERIA 525 so as to be negligible. degree in University of Illinois at Urbana-Champaign. the rion under the two assumptions introduced above.9) holds if and only if (A. normal distribution.v.7) in terms of are i.com. r. Institute of Government and Public Affairs. Then. N. for such window length the assumption (A.  N. He was previously employed by Pacific Gas and Electric Company in various technical. Ewart.7) where. 1.” IEEE Trans. D. Stark and J. Goodman. 1106–1122.S. His undergraduate work was completed at McGill University. NH. It follows from assumption ii) that that the relationship (A. Aug. Power Systems. 1994. private communication providing the data for the WSCC.12) Since the assumptions i) and ii) imply that for that . Aug. “Control performance standards and procedures for interconnected operation. Available: www. pp. 14. ERCOT and Hydro-Quebec systems. Power System Stability and Control.e. 1–14. Random Processes and Estimation Theory for Engineers. Mar.10) or. L.  N.9) holds if and only if so (A. New York. Operating Manual.4) and the i. “Tie-line bias prioritized energy control. economics and operations and utility regulatory policy and industry restructuring. at the University of Illinois at Urbana-Champaign.  Power Systems. vol. Probability. Since the criterion is a sufficient condition for the criterion as shown criterion is also a sufficient condition for the above. 3. Power Systems. “Defining Interconnected Operations Services Under Open Access: Final Report. New York. Woods.i. J. . 1992. the fact that and tends to zero implies that necessarily both var and tend to zero.8) .” NERC.” in Proceedings of System Engineering for Power: Status and Prospects. 1999. equivalently if and only if (A. policy and management positions. Fink.nerc. 1997. which is the same as the criterion is equivalent to the criteConsequently. the relationship (A. D. EPRI TR-107 813. (A. NY: John Wiley & Sons. planning. It follows from equation (A. (A. pp. 10. Consequently. “Automatic generation control: Performance under normal conditions.  NERC. Ewart. Kundur. Henniker. relationship (A. no. property of as We also determine the mean of .12) holds if and only if (A. L. 3. Jeong Woo Lee received the B. 581–626. respectively.” IEEE Trans. pp. Thus. in equation Now. NJ: Prentice Hall.  H. the introduction of assumption ii) does not lead to any loss of generality. NY: McGraw-Hill.5) tends to zero. Hoffmann. Therefore. 1975. 1995.. . vol. we substitute equation (4). criterion as We first rewrite the (A.d. We rewrite as (A. Apr. VanSlyck. pp. Feb.13) criterion. and he earned his graduate degrees from the University of California.d. 51–59.9) for the standard normal distribuSince tion .D. no.  NERC.”. pp. 1997. Let Then. 1994.4) introduces no loss of generality.2) to obtain the last equality.” IEEE Trans.11) George Gross (F’88) is Professor of Electrical and Computer Engineering and Professor.  D. Yates and D. Let in (A. the relationship (A. the criterion under these two assumptions. “NERC’s new control performance standards. i. REFERENCES  NERC IOS Working Group. VanSlyck. Berkeley. 1999. His current research and teaching activities are in the areas of power system analysis. Jaleeli. “Understanding automatic generation control. Jaleeli and L. 43–164. Probability and Stochastic Processes. it follows using equation (A. degrees in electrical engineering from Seoul National University in 1994 and 1996. no.
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