142 FERC ¶ 61,049

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

18 CFR Part 35

[Docket No. RM13-2-000]

Small Generator Interconnection Agreements and Procedures

(January 17, 2013)

AGENCY: Federal Energy Regulatory Commission.

ACTION: Notice of Proposed Rulemaking.

SUMMARY: The Federal Energy Regulatory Commission (Commission) is proposing 

to revise the pro forma Small Generator Interconnection Procedures (SGIP) and 

pro forma Small Generator Interconnection Agreement (SGIA) originally set forth in 

Order No. 2006. The pro forma SGIP and SGIA establish the terms and conditions under 

which public utilities must provide interconnection service to Small Generating Facilities 

of no more than 20 megawatts (MW). In this Notice of Proposed Rulemaking (NOPR), 

the Commission proposes to modify the pro forma SGIP to: (1) incorporate provisions 

that would provide an Interconnection Customer with the option of requesting from the 

Transmission Provider a pre-application report providing existing information about 

system conditions at a possible Point of Interconnection; (2) revise the 2 MW threshold 

for participation in the Fast Track Process included in section 2 of the pro forma SGIP; 

(3) revise the customer options meeting and the supplemental review following failure of 

the Fast Track screens so that the supplemental review is performed at the discretion of 
Docket No. RM13-2-000 - 2 -

the Interconnection Customer and includes minimum load and other screens to determine 

if a Small Generating Facility may be interconnected safely and reliably; and (4) revise 

the pro forma SGIP Facilities Study Agreement to allow the Interconnection Customer 

the opportunity to provide written comments to the Transmission Provider on the 

upgrades required for interconnection. The Commission also proposes to clarify or 

correct certain sections of the pro forma SGIP and SGIA. The proposed reforms are 

intended to ensure that the time and cost to process small generator interconnect requests 

will be just and reasonable and not unduly discriminatory. To facilitate discussion of the 

proposed reforms, the Commission intends to hold a workshop at which stakeholders 

may discuss the proposals made in this NOPR. The workshop is to be held before the 

end of the comment period. 

DATES: Comments are due [INSERT DATE 120 days after publication in the 

FEDERAL REGISTER].

ADDRESSES: Comments, identified by docket number, may be filed in the following 

ways: 

• Electronic Filing through http://www.ferc.gov. Documents created electronically 

using word processing software should be filed in native applications or print-toPDF format and not in a scanned format.

• Mail/Hand Delivery: Those unable to file electronically may mail or hand-deliver 

comments to: Federal Energy Regulatory Commission, Secretary of the 

Commission, 888 First Street, NE, Washington, DC 20426.
Docket No. RM13-2-000 - 3 -

Instructions: For detailed instructions on submitting comments and additional 

information on the rulemaking process, see the Comment Procedures Section of this 

document.

FOR FURTHER INFORMATION CONTACT:

Leslie Kerr (Technical Information)

Office of Energy Policy and Innovation

Federal Energy Regulatory Commission

888 First Street, NE

Washington, DC 20426

(202) 502-8540

Leslie.Kerr@ferc.gov

Monica Taba (Technical Information)

Office of Electric Reliability

Federal Energy Regulatory Commission

888 First Street, NE

Washington, DC 20426

(202) 502-6789

Monica.Taba@ferc.gov

Elizabeth Arnold (Legal Information)

Office of the General Counsel

Federal Energy Regulatory Commission

888 First Street, NE

Washington, DC 20426

(202) 502-8687

Elizabeth.Arnold@ferc.gov

SUPPLEMENTARY INFORMATION:
UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Small Generator Interconnection Agreements and 

Procedures

Docket No. RM13-2-000

NOTICE OF PROPOSED RULEMAKING

TABLE OF CONTENTS

Paragraph Numbers

I. Introduction ............................................................................................................................1.

II. Background ...........................................................................................................................6.

A. Order No. 2006.................................................................................................................6.

B. Solar Energy Industries Association Petition...................................................................12.

III. Need for Reform .................................................................................................................18.

IV. Proposed Reforms ...............................................................................................................25.

A. Pre-Application Report ....................................................................................................26.

B. Threshold for Participation in the Fast Track Process .....................................................30.

C. Customer Options Meeting and Supplemental Review ...................................................33.

D. Review of Required Upgrades .........................................................................................41.

E. Other Revisions ................................................................................................................45.

V. Workshop .............................................................................................................................47.

VI. Compliance Filings .............................................................................................................50.

VII. Procedural Matters.............................................................................................................54.

VIII. Information Collection Statement ....................................................................................56.

IX. Environmental Analysis......................................................................................................60.

X. Regulatory Flexibility Act ...................................................................................................61.

XI. Comment Procedures .........................................................................................................63.

XII. Document Availability ......................................................................................................67.
Docket No. RM13-2-000 ii

Appendix A: List of Short Names of Commenters on the SEIA Petition (Docket 

No. RM12-10-000) and the Technical Conference (Docket No. AD12-17-000). 

Appendix B: Proposed Flow Chart for Interconnecting a Certified Small Generating 

Facility Using the “Fast Track Process.”

Appendix C: Proposed Revisions to the Pro Forma SGIP.

Appendix D: Proposed Revisions to the Pro Forma SGIA.
142 FERC ¶ 61,049

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Small Generator Interconnection Agreements and 

Procedures

Docket No. RM13-2-000

NOTICE OF PROPOSED RULEMAKING

(January 17, 2013)

I. Introduction

1. The Commission is proposing to revise the pro forma Small Generator 

Interconnection Procedures (SGIP) and pro forma Small Generator Interconnection 

Agreement (SGIA) originally set forth in Order No. 2006.1

 The pro forma SGIP and 

SGIA establish the terms and conditions under which public utilities

2 must provide 

 1 Standardization of Small Generator Interconnection Agreements and 

Procedures, Order No. 2006, FERC Stats. & Regs. ¶ 31,180, order on reh 'g, Order 

No. 2006-A, FERC Stats. & Regs. ¶ 31,196 (2005), order on clarification, Order 

No. 2006-B, FERC Stats. & Regs. ¶ 31,221 (2006) (Order No. 2006).

2 For purposes of this Proposed Rule, a public utility is a utility that owns, 

controls, or operates facilities used for transmitting electric energy in interstate 

commerce, as defined by the Federal Power Act (FPA). See 16 U.S.C. 824(e) (2006). A 

non-public utility that seeks voluntary compliance with the reciprocity condition of an 

Open Access Transmission Tariff (OATT) may satisfy that condition by filing an OATT, 

which includes the pro forma SGIP and the pro forma SGIA.
Docket No. RM13-2-000 - 2 -

interconnection service to Small Generating Facilities3 of no more than 20 megawatts 

(MW).4

 

2. Market changes, including the growth of small generator interconnection requests 

and the growth in solar photovoltaic (PV) installations, driven in part by state renewable 

energy goals and policies, necessitate a reevaluation of the SGIP and SGIA to ensure that 

they continue to facilitate Commission-jurisdictional interconnections in a just and 

reasonable and not unduly discriminatory manner.5

 We note that the Commission has 

previously reviewed the Large Generator Interconnection Procedures (LGIP) after 

significant increases in large generator interconnection requests, mainly from wind 

 3 Capitalized terms used in this NOPR have the meanings specified in the 

Glossaries of Terms or the text of the SGIP or SGIA. Small Generating Facility means 

the device for which the Interconnection Customer has requested interconnection. The 

owner of the Small Generating Facility is the Interconnection Customer. The utility 

entity with which the Small Generating Facility is interconnecting is the Transmission 

Provider. A Small Generating Facility is a device used for the production of electricity 

having a capacity of no more than 20 MW. The interconnection process formally begins 

with the Interconnection Customer submitting an application for interconnection, called 

an Interconnection Request, to the Transmission Provider.

4 The pro forma SGIP and SGIA are used by a public utility to interconnect a 

Small Generating Facility with the utility’s transmission facilities or with its 

jurisdictional distribution facilities for the purpose of selling electric energy at wholesale 

in interstate commerce. 

5 Although not controlling as to interconnections subject to state jurisdiction, the 

Commission notes that one of the intended purposes for the small generator 

interconnection regulations set forth in Order No. 2006 was to serve as a guide for state 

interconnection procedures. See Order No. 2006, FERC Stats. & Regs. ¶ 31,180 at P 4, 

8.
Docket No. RM13-2-000 - 3 -

generators, led to challenges in processing interconnection requests on a timely basis.6

 

The Commission proposes the reforms herein in the belief that failure to do so now could 

lead to unnecessary challenges for Small Generating Facilities in the future.7

 

3. Specifically, the Commission proposes to modify the pro forma SGIP to: 

(1) incorporate provisions that would provide an Interconnection Customer with the 

option of requesting from the Transmission Provider a pre-application report providing 

existing information about system conditions at a possible Point of Interconnection; (2) 

revise the 2 MW threshold for participation in the Fast Track Process included in section 

2 of the pro forma SGIP; (3) revise the customer options meeting and the supplemental 

review following failure of the Fast Track screens so that the supplemental review is 

performed at the discretion of the Interconnection Customer and includes minimum load 

and other screens to determine if a Small Generating Facility may be interconnected 

safely and reliably; and (4) revise the pro forma SGIP Facilities Study Agreement to 

 6 Docket No. AD08-2-000 explored methods to address then current queue 

management challenges in a manner consistent with Standardization of Generator 

Interconnection Agreements and Procedures, Order No. 2003, FERC Stats. & Regs. 

¶ 31,146 (2003), order on reh’g, Order No. 2003-A, FERC Stats. & Regs. ¶ 31,160, 

order on reh’g, Order No. 2003-B, FERC Stats. & Regs. ¶ 31,171 (2004), order on reh’g, 

Order No. 2003-C, FERC Stats. & Regs. ¶ 31,190 (2005), aff'd sub nom. Nat’l Ass’n of 

Regulatory Util. Comm’rs v. FERC, 475 F.3d 1277 (D.C. Cir. 2007), cert. denied, 552 

U.S. 1230 (2008) (Order No. 2003).

7 The Commission routinely evaluates the effectiveness of its regulations and 

policies in light of changing industry conditions to determine if changes in these 

regulations and policies are necessary. See, e.g., Integration of Variable Energy 

Resources, Order No. 764, 77 FR 41482 (July 13, 2012) FERC Stats. & Regs. ¶ 31,331 

(2012).
Docket No. RM13-2-000 - 4 -

allow the Interconnection Customer the opportunity to provide written comments on the 

upgrades required for interconnection. The Commission also proposes to clarify or 

correct certain sections of the pro forma SGIP and SGIA.

4. The proposals set forth in this Notice of Proposed Rulemaking (NOPR) are 

intended to ensure that the time and cost to process small generator interconnection 

requests will be just and reasonable and not unduly discriminatory as sections 205 and 

206 of the FPA require.8 We expect the proposed reforms will reduce the time and cost 

to process small generator interconnection requests for Interconnection Customers and 

Transmission Providers, maintain reliability, increase energy supply, and remove barriers 

to the development of new energy sources. While the Commission proposes that all 

public utilities will be required to amend9 their Open Access Transmission Tariffs 

(OATT) to include a modified pro forma SGIP and SGIA,10 these reforms will likely 

impact public utility Transmission Providers with a significant penetration of distributed 

resources and a larger number of small generator interconnection requests.

5. The Commission believes there is sufficient justification for proposing the reforms 

discussed below. In light of the technical nature of these reforms, the Commission is 

directing its staff to hold a workshop at which stakeholders may discuss possible 

 8 16 U.S.C. 824a and 824b (2006).

9 Compliance procedures are discussed in Part VI below.

10 See proposed revisions to the pro forma SGIP in Appendix C and proposed 

revisions to the pro forma SGIA in Appendix D. 
Docket No. RM13-2-000 - 5 -

refinements to the proposals made in this NOPR before the end of the comment period.11 

The Commission encourages interested stakeholders to participate actively in the 

workshop to assist the Commission in developing any appropriate improvements to the 

proposed reforms to the SGIP and SGIA. 

II. Background

A. Order No. 2006

6. In Order No. 2006, the Commission established a pro forma SGIP and SGIA for 

the interconnection of generation resources no larger than 20 MW. The pro forma SGIP 

describes how an Interconnection Customer’s interconnection request (application) 

should be evaluated. The pro forma SGIP includes three alternative procedures for 

evaluating an interconnection request. They are the Study Process, which can be used by 

any generating facility with a capacity no larger than 20 MW, and two procedures that 

use ten technical screens to quickly identify safety or reliability issues associated with 

proposed interconnections: (1) the Fast Track Process for certified12 Small Generating 

 11 Notice of the date and time of the workshop will be published separately in the 

Federal Register. 

12 See Attachments 3 and 4 of the Order No. 2006, FERC Stats. & Regs. ¶ 31,180 

pro forma SGIP, which specify the codes, standards, and certification requirements that 

Small Generating Facilities must meet.
Docket No. RM13-2-000 - 6 -

Facilities no larger than 2 MW; and (2) the 10 kW Inverter Process for certified inverterbased13 Small Generating Facilities no larger than 10 kW.

7. The Study Process in section 3 of the pro forma SGIP is used to evaluate small 

generator interconnection requests that do not qualify for either the Fast Track Process or 

the 10 kW Inverter Process. The Study Process is similar to the process under the LGIP 

set forth in Order No. 2003. The Study Process normally consists of a scoping meeting, a 

feasibility study, a system impact study, and a facilities study. These studies identify any 

adverse system impacts14 that must be addressed before the Small Generating Facility 

may be interconnected and any equipment modifications required to accommodate the 

interconnection. Once the Interconnection Customer agrees to fund any needed 

upgrades, an SGIA is executed that, among other things, formalizes responsibility for 

construction and payment for interconnection facilities and upgrades.15

8. Under the current Fast Track Process, in place of the scoping meeting and three 

interconnection studies performed under the Study Process, technical screens are used to 

quickly identify reliability or safety issues. If the proposed interconnection passes the 

 13 An inverter is a device that converts the direct current (DC) voltage and current 

of a DC generator to alternating voltage and current. For example, the output of a solar 

panel is DC. The solar panel’s output must be converted by an inverter to alternating 

current (AC) before it can be interconnected with a utility’s AC electric system.

14 An adverse system impact means that technical or operational limits on 

conductors or equipment are exceeded under the interconnection, which may compromise 

the safety or reliability of the electric system.

15 Order No. 2006, FERC Stats. & Regs. ¶ 31,180 at P 44.
Docket No. RM13-2-000 - 7 -

screens, the Transmission Provider offers the Interconnection Customer an SGIA without 

further study. If the proposed interconnection fails the screens, but the Transmission 

Provider determines that the Small Generating Facility may be interconnected without 

affecting safety and reliability, the Transmission Provider provides the Interconnection 

Customer with an SGIA. However, if the Transmission Provider does not or cannot 

determine that the Small Generating Facility may be interconnected without affecting 

safety and reliability, the Transmission Provider offers the Interconnection Customer the 

opportunity to attend a customer options meeting to discuss how to proceed. In that 

meeting, the Transmission Provider must: (1) offer to perform facility modifications or 

minor modifications to the Transmission Provider’s system (e.g., changing meters, fuses, 

relay settings) and provide a non-binding good faith estimate of the cost to make such 

modifications; (2) offer to perform a supplemental review if the Transmission Provider 

concludes that the supplemental review might determine that the Small Generating 

Facility could continue to qualify for interconnection pursuant to the Fast Track Process, 

paid for by the Interconnection Customer, and provide a non-binding good faith estimate 

of the cost of that review; or (3) obtain the Interconnection Customer’s agreement to 

continue evaluating the interconnection request under the Study Process. If the 

Transmission Provider determines in the supplemental review that the Small Generating 

Facility can be interconnected safely and reliably and the Interconnection Customer 

agrees to pay for any upgrades called for in the supplemental review, the Transmission 

Provider and the Interconnection Customer execute an SGIA. If, after the supplemental 

review, the Transmission Provider still is unable to determine that the proposed 
Docket No. RM13-2-000 - 8 -

interconnection would not degrade the safety and reliability of its electric system, the 

Interconnection Request is evaluated using the Study Process.

9. The 10 kW Inverter Process is available for the interconnection of certified 

inverter-based generators no larger than 10 kW. The 10 kW Inverter Process includes a 

simplified application form, interconnection procedures, and a brief set of terms and 

conditions (rather than a separate interconnection agreement). The 10 kW Inverter 

Process uses the same technical screens as the Fast Track Process. If the results of the 

analysis using the technical screens indicate that the generator can be interconnected 

safely and reliably, the interconnection application is approved. To simplify the 10 kW 

Inverter Process, the Interconnection Customer agrees to the terms and conditions of the 

interconnection at the time the interconnection request is made.16

10. The technical screens used in the current 10 kW Inverter Process and the current 

Fast Track Process are included in section 2.2.1 of the pro forma SGIP. The following is

section 2.2.1.2 of the pro forma SGIP, which is referred to in this NOPR as the 15 

Percent Screen:17

For interconnection of a proposed Small Generating Facility 

to a radial distribution circuit, the aggregated generation, 

including the proposed Small Generating Facility, on the 

 16 Id. P 46.

17 The 15 Percent Screen was derived by using a “rule of thumb” that minimum 

load is approximately 30 percent of peak load. To assure minimum loads were not 

exceeded by generation on a given line section, a 50 percent safety margin was applied. 

See Nat’l Renewable Energy Lab, Updating Interconnection Screens for PV System 

Integration 2 (Feb. 2012), http://www.nrel.gov/docs/fy12osti/54063.pdf.
Docket No. RM13-2-000 - 9 -

circuit shall not exceed 15 [percent] of the line section annual 

peak load as most recently measured at the substation. A line 

section is that portion of a Transmission Provider’s electric 

system connected to a customer bounded by automatic 

sectionalizing devices or the end of the distribution line.

11. The Commission anticipated potential changes to its small generator 

interconnection regulations when it encouraged stakeholders to convene an informal 

meeting “biennially, beginning two years from the issuance of this order, to consider and 

recommend consensus proposals for changes in the Commission’s rules for small 

generator interconnection.”18 The Commission is unaware of any such meetings taking 

place to date.

B. Solar Energy Industries Association Petition

12. On February 16, 2012, pursuant to sections 205 and 206 of the FPA and Rule 207 

of the Commission’s Rules of Practice and Procedure,19 and noting that the Commission 

encouraged stakeholders to submit proposed revisions to the regulations set forth in Order 

No. 2006,20 the Solar Energy Industries Association (SEIA) filed a Petition to Initiate 

Rulemaking (Petition) requesting that the Commission revise the pro forma SGIA and 

SGIP set forth in Order No. 2006. SEIA asserts that the pro forma SGIP and SGIA as 

applied to small solar generation are no longer just and reasonable, have become unduly 

 18 Order No. 2006, FERC Stats. & Regs. ¶ 31,180 at P 118.

19 18 CFR 385.207 (2012).

20 SEIA Petition at 4 (citing Order No. 2006, FERC Stats. & Regs. ¶ 31,180 at 

P 118). 
Docket No. RM13-2-000 - 10 -

discriminatory, and present unreasonable barriers to market entry.21 SEIA notes that its 

Petition applies exclusively to solar electric generation due to its unique characteristics.22

13. SEIA requests that the Commission modify the SGIP in three ways. First, SEIA 

requests that the Commission maintain section 2.2.1.2 of the pro forma SGIP (the 15 

Percent Screen), but amend the pro forma SGIP to include a well-defined supplemental 

review that Transmission Providers must offer to provide Interconnection Customers in 

the event that a Small Generating Facility fails the 15 Percent Screen.23

14. Second, SEIA requests that the Commission eliminate the 2 MW threshold for 

participation in the Fast Track Process or, in the alternative, increase the threshold to 10 

MW.24

15. Finally, SEIA encourages the Commission to modify the SGIP to provide, at the 

request and cost of the Interconnection Customer, an expedited, independent third-party 

expert technical review of proposed upgrades required for interconnection to evaluate 

 21 SEIA Petition at 12.

22 Id. at 4 (explaining that solar generation occurs only during daylight hours when 

peak load typically occurs, and solar photovoltaic technology utilizes inverters with builtin functions that protect the safety and reliability of the electric system). 

23 On May 8, 2012, SEIA filed supplemental comments in Docket No. 

RM12-10-000, clarifying that it supports the supplemental review screens included in the 

revision to California Electric Rule 21, the California distribution level interconnection 

rules and regulations (Rule 21). These screens create thresholds for distributed 

generation penetration based on minimum load and establish criteria for power quality, 

voltage, safety and reliability. 

24 SEIA Petition at 16-17. 
Docket No. RM13-2-000 - 11 -

whether there are simpler, less costly options to insure a safe and reliable interconnection. 

SEIA also encourages the Commission to clearly articulate that Transmission Providers 

are required to give such independent third-party reviews “substantial weight” or 

consideration.25

16. On February 28, 2012, the Commission issued a Notice of Petition for Rulemaking 

in Docket No. RM12-10-000, seeking public comment on SEIA’s Petition. The 

Commission received twenty-three timely comments, two protests, two out-of-time

comments, and four answers and reply comments.26

17. On June 13, 2012, the Commission issued a Notice of Technical Conference in 

Docket No. RM12-10-000 and in Docket No. AD12-17-000. On July 17, 2012, the 

Commission convened a technical conference at its headquarters. The Commission 

received nine post-technical conference comments, including clarifying comments from 

SEIA. 

III. Need for Reform 

18. The Commission preliminarily finds that the reforms proposed in this NOPR are 

needed to ensure that the rates, terms, and conditions of interconnection service for Small 

Generating Facilities are just and reasonable and not unduly discriminatory or 

preferential.

 25 Id. at 17-18.

26 See Appendix A: List of Short Names of Commenters on the SEIA Petition 

(Docket No. RM12-10-000) and the Technical Conference (Docket No. AD12-17-000). 
Docket No. RM13-2-000 - 12 -

19. Since the issuance of Order No. 2006, many aspects of the energy industry have 

changed. For example, when Order No. 2006 was issued in 2005, only 79 MW of gridconnected PV were installed.27 By 2011, grid-connected PV had reached approximately 

4,000 MW.28 Similarly, installed wind generation with a capacity of 20 MW or less has 

increased in the contiguous United States from 1,185 MW in 2005 to 2,961 MW in 

2012.29

20. Recent Commission filings have referenced higher volumes of small generator 

interconnection requests.30 Additionally, state renewable portfolio standards are driving 

small generator interconnection requests and influencing state policies. As of 

November 2012, 29 states and the District of Columbia had renewable portfolio 

standards, with an additional eight states having renewable portfolio goals.31 Some state 

renewable portfolio standards include increasing the percentage of renewable energy 

 27 See Nat’l Renewable Energy Lab, Updating Small Generator Interconnection 

Procedures for New Market Conditions 7 (Dec. 2012), 

http://www.nrel.gov/docs/fy13osti/56790.pdf.

28 Id. at 8.

29 SNL Financial, Power Plant Summary (2013).

30 See, e.g., Cal. Indep. Sys. Operator Corp., 133 FERC ¶ 61,223, at P 3 (2010) 

(stating that an increasing volume of small generator Interconnection Requests had 

created inefficiencies); Pacific Gas & Elec. Co., 135 FERC ¶ 61,094, at P 4 (2011) 

(stating that increased small generator Interconnection Requests resulted in a backlog of 

170 requests over three years); PJM Interconnection, LLC, 139 FERC ¶ 61,079, at P 12 

(2012) (stating that smaller projects comprised 66 percent of recent queue volume).

31 See Dep’t of Energy, Summary Maps,,

http://www.dsireusa.org/summarymaps/index.cfm?ee=1&RE=1.
Docket No. RM13-2-000 - 13 -

resources over time, which will lead to increasing penetrations of these energy 

resources. For example, the California renewable portfolio standard is 20 percent by 

December 31, 2013, 25 percent by December 31, 2016, and 33 percent by 2020.32 

Similarly, the Massachusetts renewable portfolio standard is 15 percent by 2020 and an 

additional 1 percent each year thereafter.33

21. Some states have also adopted goals and policies to promote growth in distributed 

generation. For example, Arizona, Colorado, and Illinois have implemented distributed 

generation “carve-outs” in which a percentage of the total state renewable portfolio 

standard must come from distributed generation.34 At the July 17, 2012 technical 

conference, the increase in distributed generation since the issuance of Order No. 2006 

was noted.35

22. The growth in PV installations in particular has been cited by SEIA and IREC as 

evidence that there is a need to reform certain aspects of the SGIP,36 while the California 

Utilities, NRECA and APPA state that this growth is evidence that Order No. 2006 has 

 32 See Dep’t of Energy, California Incentives/Policies for Renewables & 

Efficiency: Renewables Portfolio Standard, 

http://www.dsireusa.org/incentives/incentive.cfm?Incentive_Code=CA25R&re=1&ee=1.

33 See Dep’t of Energy, Massachusetts Incentives/Policies for Renewables & 

Efficiency: Renewables Portfolio Standard, 

http://www.dsireusa.org/incentives/incentive.cfm?Incentive_Code=MA05R&re=1&ee=1.

34 See Dep’t of Energy, Summary Maps, 

http://www.dsireusa.org/summarymaps/index.cfm?ee=1&RE=1.

35 July 17, 2012 Technical Conference Transcript at 26, lines 22-24.

36 SEIA Petition at 6; IREC March 27, 2012 Comments at 7-8.
Docket No. RM13-2-000 - 14 -

been and continues to be successful at facilitating interconnection of Small Generating 

Facilities.37 These positions are not mutually exclusive. The success of Order No. 2006 

in facilitating small generator interconnections could be a factor in penetration levels 

reaching 15 percent on certain line sections, which causes subsequent projects to fail the 

15 Percent Screen. If this is the case, the 15 Percent Screen should be re-examined to 

determine if revisions to the screen can be made that will continue to allow projects to 

participate in the less costly and time-consuming Fast Track Process while maintaining 

the safety and reliability of the Transmission Provider’s system.

23. Moreover, the Commission intended the pro forma SGIP and SGIA to apply to 

interconnections made subject to a jurisdictional OATT for the purposes of jurisdictional 

wholesale sales while also serving as a model for state interconnection rules.38 In its 

comments on the Petition, the NJBPU stated support for keeping the pro forma SGIP 

current with technological advances and newly developed solutions for interconnecting 

small generators.39 The California PUC recommends that the Commission consider 

adopting a supplemental review, including a 100 percent of minimum load screen similar 

to the one in Rule 21, for projects that fail the initial 15 Percent Screen and consider 

 37 California Utilities Post-Technical Conference Comments at 3-4; NRECA and 

APPA March 27, 2012 Protest at 7.

38 Order No. 2006, FERC Stats. & Regs. ¶ 31,180 at P 8.

39 NJBPU March 27, 2012 Comments at 2-3.
Docket No. RM13-2-000 - 15 -

increasing the 2 MW threshold for participation in the Fast Track Process.40 Comments 

such as these indicate that the Commission's actions to update its SGIP may assist states 

in their own efforts to reevaluate state interconnection rules.

24. The Commission acknowledges that the need for reform may not be uniform across 

the country and is proposing reforms that, in implementation, should balance the interests 

of Small Generating Facilities and public utility Transmission Providers. 

IV. Proposed Reforms

25. The Commission is proposing four reforms that are designed to address 

interconnection issues confronting Small Generating Facilities and public utility 

Transmission Providers and that will allow for the more efficient interconnection of small 

generation resources to the benefit of customers. The Commission also proposes to 

clarify or correct certain sections of the pro forma SGIP and SGIA. Together these 

proposals would reform certain aspects of the SGIP and SGIA that may present barriers 

to the interconnection of Small Generating Facilities and keep the cost of interconnecting 

these resources from becoming unjust, unreasonable or unduly discriminatory.

A. Pre-Application Report

26. The Commission proposes to provide the Interconnection Customer with the option 

of requesting a pre-application report from the Transmission Provider for a fee of $300. 

The Commission believes the pre-application report will promote transparency and 

efficiency in the interconnection process. In most cases, a pre-application report would 

 40 California PUC April 9, 2012 Comments at 4, 9.
Docket No. RM13-2-000 - 16 -

increase the amount of information available to Interconnection Customers regarding 

system conditions at a particular Point of Interconnection and help the Interconnection 

Customer make a more efficient decision on siting its generating facility. Currently, only 

limited information is available to the Interconnection Customer under section 1.2 of the 

pro forma SGIP (relevant system studies, interconnection studies and other materials 

useful to an understanding of an interconnection at a particular point on the system), 

often leading developers to submit multiple requests for interconnection for a single 

project to determine which Point of Interconnection is the most advantageous. A preapplication report would enable Interconnection Customers to better evaluate possible 

Points of Interconnection before submitting a formal interconnection request, reducing 

the volume of interconnection requests and increasing the efficiency of the 

interconnection process for both the Transmission Provider and the Interconnection 

Customer.

27. The proposed revision includes new sections 1.2.2 through 1.2.4 of the SGIP and 

specifies the timeframes for providing the pre-application report, the $300 payment 

requirement from the Interconnection Customer to the Transmission Provider for 

producing the pre-application report, and the information that the report should contain. 

The pre-application report, as proposed, would only include information already available 

to the Transmission Provider. The proposed fee is the same as the amount required for 

the Rule 21 pre-application report.

28. To request a pre-application report, the developer must provide sufficient 

information to clearly identify the proposed Point of Interconnection. After a request is 
Docket No. RM13-2-000 - 17 -

received, a utility must provide the report within ten business days. The utility is only 

required to provide existing information; the utility is not required to obtain new 

information prior to preparing the pre-application report. To the extent information is 

available, the Transmission Provider is required to provide information regarding: 

a. Total capacity and available capacity of the facilities that serve the Point of 

Interconnection;

b. Existing and queued generation at the facilities likely serving the Point of 

Interconnection;

c. Voltage of the facilities that serve the Point of Interconnection;

d. Circuit distance between the proposed Point of Interconnection and the 

substation likely to serve the Point of Interconnection (Substation);

e. Number and rating of protective devices and number and type of voltage 

regulating devices between the proposed Point of Interconnection and the 

Substation; 

f. Number of phases available at the proposed Point of Interconnection;

g. Limiting conductor ratings from the proposed Point of Interconnection to the 

Substation;

h. Peak and minimum load data; and

i. Existing or known constraints associated with the Point of Interconnection.

29. Several commenters express support for this proposal as a way to improve the 

interconnection process by making it less costly and more transparent, timely, and 
Docket No. RM13-2-000 - 18 -

predictable.41 The California Utilities argue that this approach will provide more 

accurate information for Interconnection Customers and will be less costly than 

publishing minimum load data as originally proposed by SEIA.42 IREC notes that in its 

experience, generation developers may submit multiple interconnection requests in an 

effort to find the most cost effective Point of Interconnection. IREC asserts that it is 

inefficient for utilities to process interconnection requests that are unlikely to result in 

interconnections and that this raises project development costs for generators.43 IREC 

states that a pre-application report would allow developers to request specific system 

information about a proposed Point of Interconnection.44

B. Threshold for Participation in the Fast Track Process

30. The Commission proposes to revise the 2 MW threshold for participation in the 

Fast Track Process. The Commission proposes to base Fast Track eligibility on 

individual system and generator characteristics, up to a limit of 5 MW. These 

characteristics include interconnection voltage level, the circuit distance of the 

interconnection from the substation, and generator capacity as the basis for determining 

whether an Interconnection Customer is eligible to be evaluated under the Fast Track 

 41 California Utilities Post-Technical Conference Comments at 6-7; IREC PostTechnical Conference Comments at 4-8; and Clean Coalition Post-Technical Conference 

Comments at 9.

42 California Utilities Post-Technical Conference Comments at 6-7.

43 IREC Post-Technical Conference Comments at 5.

44 Id. at 7 (referencing IREC’s Proposed SGIP Redline at § 1.2.2).
Docket No. RM13-2-000 - 19 -

Process. This approach to base Fast Track eligibility on individual system and generator 

characteristics is similar to the proposal submitted by IREC,45 as shown in the table 

below. 

Line Voltage

Fast Track Eligibility 

Regardless of Location

Fast Track Eligibility 

on ≥ 600 Ampere Line 

and ≤ 2.5 Miles from 

Substation

< 5 kilovolt (kV) ≤ 1 MW ≤ 2 MW

≥ 5 kV and < 15 kV ≤ 2 MW ≤ 3 MW

≥ 15 kV and < 30 kV ≤ 3 MW ≤ 4 MW

≥ 30 kV ≤ 4 MW ≤ 5 MW

31. The Commission has designed this proposal in recognition that, as IREC 

comments,46 a fixed size limit for the Fast Track may be unduly conservative in some 

cases and not conservative enough in others due to variations in distribution line voltage. 

Commenters point to voltage at the Point of Interconnection as a possible determinant of 

Fast Track eligibility.47 Other factors mentioned by commenters include the size of the 

 45 Id. at 9-10.

46 Id. at 9.

47 See July 17, 2012 Technical Conference Transcript at 35, lines 8-11 (San Diego 

Gas & Electric stating that higher voltages may allow for higher penetrations of 

distributed generation); see also id. at 105, lines 14-16 (EEI commenting that a Fast 

Track threshold based on voltage would be more accurate than the current 2 MW 

threshold).
Docket No. RM13-2-000 - 20 -

generator and the location of the interconnection on the circuit.48 Voltage and generator 

size were factors in the different Fast Track thresholds that were agreed upon in the 

Rule 21 settlement process.49 Pacific Gas and Electric states that it has eliminated the 

2 MW limit entirely within its systems, and instead utilizes soft cap guidelines specific to 

the voltage of the Point of Interconnection. Pacific Gas and Electric asserts that it chose 

the advisory caps because they represent rough estimates of the MW size that would 

violate the 15 Percent Screen on a fully loaded circuit if no other projects interconnect to 

that circuit.50 San Diego Gas & Electric supports the varied Rule 21 Fast Track 

eligibility limits, which it claims “recognize the variability among electrical systems.” 51 

32. The Commission notes that CAISO has a 5 MW threshold for participation in its 

Fast Track Process.52 In its proposal to increase its Fast Track threshold from 2 MW to 

5 MW, CAISO stated that, from an engineering standpoint, the increase is relatively 

small and would cause no greater impact on the safety and reliability of the CAISO-

 48 See id. at 35, lines 1-4 (San Diego Gas & Electric asserting that size and 

location of the Small Generating Facility may impact the amount of generation that may 

be interconnected safely and reliably); id. at 59 lines 10-16 (same). See also id. at 38, 

lines 19-21 (IREC stating that locations within 2.5 miles of the relevant substation on 600 

Ampere line allow for higher penetrations of distributed generation).

49 See California PUC Motion to Lodge, Attachment B “Revised Rule 21 Tariff” 

at 26.

50 Pacific Gas and Electric March 27, 2012 Comments at 4 (citing Pacific Gas and 

Electric Company, 135 FERC ¶ 61,094 (2011)). 

51 San Diego Gas & Electric March 27, 2012 Comments at 8-9.

52 Cal. Indep. Sys. Operator Corp., 133 FERC ¶ 61,223 (2010).
Docket No. RM13-2-000 - 21 -

controlled transmission grid.53 The Commission acknowledges, however, that there are a 

wide range of operating practices and electric system configurations. The Commission 

believes that in the instant proceeding, the proposed revision to the Fast Track threshold 

is appropriately based on individual system and generator characteristics that allow it to 

accommodate a variety of operating practices and electric system configurations while 

also maintaining safety and reliability. Thus, this proposal attempts to balance 

Interconnection Customers’ need for a faster, less costly interconnection process with 

Transmission Providers’ need to ensure the safety and reliability of their systems.

C. Customer Options Meeting and Supplemental Review

33. The Commission proposes to revise the customer options meeting and the 

supplemental review for those Interconnection Customers whose projects fail any of the 

ten Fast Track screens, including the 15 Percent Screen.54 As noted in the Background 

section above, if the proposed Small Generating Facility passes the initial review screens 

in section 2.2.1 of the pro forma SGIP, the Transmission Provider will offer the 

Interconnection Customer an SGIA without requiring any supplemental review. If the 

 53 Id. P 35.

54 The current and proposed supplemental review is available to Interconnection 

Customers whose projects are being evaluated under the Fast Track Process. If a project 

is being evaluated under the 10 kW Inverter Process and it fails the screens in section 

2.2.1 of the pro forma SGIP, it may then be evaluated under the Fast Track Process or the 

Study Process. If it is evaluated under the Fast Track Process, the supplemental review 

would be available to the project. (See Order No. 2006, FERC Stats. & Regs. ¶ 31,180 

Appendix D, “Flow Chart for Interconnecting a Certified Inverter-Based Small 

Generating Facility No Larger than 10 kW Using the “10 kW Inverter Process”.) 
Docket No. RM13-2-000 - 22 -

proposed Small Generating Facility fails any of the screens, but the Transmission 

Provider determines that the Small Generating Facility may be interconnected without 

affecting safety and reliability, the Transmission Provider provides the Interconnection 

Customer with an SGIA. If the Transmission Provider cannot determine that the Small 

Generating Facility may be interconnected without affecting safety and reliability, the 

Transmission Provider must offer the Interconnection Customer the opportunity to attend 

a customer options meeting as set forth in section 2.3 of the pro forma SGIP to discuss 

how to proceed. The Commission proposes that, in that meeting, the Transmission 

Provider must: (1) offer to perform facility modifications or minor modifications to the 

Transmission Provider’s system (e.g., changing meters, fuses, relay settings) and provide 

a non-binding good faith estimate of the cost to make such modifications, and if the 

Interconnection Customer agrees to pay for those minor modifications, the Transmission 

Provider will provide the Interconnection Customer an SGIA within 5 business days of 

the customer options meeting; (2) offer to perform a supplemental review of the proposed 

interconnection, paid for by the Interconnection Customer in the amount of $2,500;55 or 

(3) obtain the Interconnection Customer’s agreement to continue evaluating the 

interconnection request under the Study Process.

34. In order to clarify the outcome of the customer options meeting, the Commission 

proposes to modify section 2.3.1 of the pro forma SGIP to require the Transmission 

 55 The proposed $2,500 fee for the supplemental review is the same as the amount 

required for the Rule 21 supplemental review.
Docket No. RM13-2-000 - 23 -

Provider to provide an interconnection agreement to the Interconnection Customer within 

5 business days of the customer options meeting if the Interconnection Customer agrees 

to pay for minor modifications on the Transmission Provider’s system. In addition, the 

Commission proposes to modify section 2.3.2 of the pro forma SGIP so that the 

supplemental review is performed at the discretion of the Interconnection Customer.

35. Further, the Commission proposes that the supplemental review consist of three 

additional screens: (1) the 100 percent of minimum load screen (using daytime minimum 

load for small solar generators (20 MW or less) and absolute minimum load for all other 

Small Generating Facilities) (Minimum Load Screen); (2) the power quality and voltage 

screen; and (3) the safety and reliability screen.56 If the proposed interconnection fails 

 56 These screens are similar to the California Rule 21 screens or tests. See

California PUC Motion to Lodge, Attachment B “Revised Rule 21 Tariff,” Section G.2 

“Supplemental Review Screens” detailing the following screens: 

(1) Penetration Test: “Where 12 months of line section minimum load data is 

available, can be calculated, can be estimated from existing data, or determined 

from a power flow model, is the aggregate Generating Facility capacity on the 

Line Section less than 100 [percent] of the minimum load for all line sections 

bounded by automatic sectionalizing devices upstream of the Generating 

Facility?” Note that the “type of generation will be taken into account when 

calculating, estimating or determining circuit or Line Section minimum load 

relevant for the application of this screen. Solar generation systems with no 

battery storage use daytime minimum load (i.e. 10 a.m. to 4 p.m. for fixed panel 

systems and 8 a.m. to 6 p.m. for PV systems utilizing tracking systems), while all 

other generation uses absolute minimum load.”

(2) Power Quality and Voltage Tests: (a) “Can it be determined within the 

Supplemental Review that the voltage regulation on the line section can be 

maintained in compliance with Commission Rule 2 and/or Conservation Voltage 

Regulation voltage requirements under all system conditions?” (b) “Can it be 

determined within the Supplemental Review that the voltage fluctuation is within 

(continued...)
Docket No. RM13-2-000 - 24 -

any of the supplemental review screens, the Transmission Provider will notify the 

Interconnection Customer that a Study Process under section 3 of the pro forma SGIP is 

required.57

36. The Minimum Load Screen is designed to ensure that power flow from the circuit 

into the substation and its impact on equipment loading, operation, and protection 

systems is minimal. The Minimum Load Screen asks whether the aggregate generation 

facility capacity on a line section is less than 100 percent of the minimum load measured 

during the period relevant for the generator type for all line sections bounded by 

automatic sectionalizing devices upstream of the generation facility. If minimum load 

data are not readily available,58 however, the screen allows Transmission Providers the 

flexibility to calculate, estimate, or otherwise determine minimum load. The 

Commission proposes that, if this is not possible, the Transmission Provider must notify 

 

acceptable limits as defined by [Institute of Electrical and Electronics Engineers] 

IEEE 1453 or utility practice similar to IEEE 1453?” (c) “Can it be determined 

within the Supplemental Review that the harmonic levels meet IEEE 519 limits at 

the Point of Common Coupling (PCC)?”

(3) Safety and Reliability Tests: “Does the location of the proposed Generating 

Facility or the aggregate generation capacity on the Line Section create impacts to 

safety or reliability that cannot be adequately addressed without Detailed Study?”

57 See supra P 7 for a description of the Study Process.

58 Commenters express concern that minimum load data are not commonly tracked 

by utilities. See July 17, 2012 Technical Conference Transcript at 127, lines 16-19; EEI 

Post-Technical Conference Comments at 15; SEIA Post-Technical Conference 

Comments at 3.
Docket No. RM13-2-000 - 25 -

the Interconnection Customer of this in writing and include the reason(s) it is not 

possible.

37. The second screen, related to voltage and power quality, is designed to ensure that 

voltage regulation, fluctuation, and harmonic levels are kept within their limits in 

compliance with reliability standards, IEEE standards, and other applicable standards.

The third screen, related to safety and reliability, ensures that a Small Generating Facility 

would not negatively impact safety and reliability. This screen is intended to provide 

Transmission Providers with the flexibility to identify some of the specific issues that 

may arise due to a Small Generating Facility’s unique variations.

38. This proposed reform is intended to decrease interconnection costs in areas where 

the penetration of Small Generating Facilities is causing Interconnection Customers to 

fail the 15 Percent Screen. Moreover, the additional screens proposed to be included in 

the supplemental review are designed to protect the safety and reliability of the 

Transmission Provider’s system while allowing those Small Generating Facilities that 

pass the proposed supplemental review to interconnect more efficiently and costeffectively.

39. Some commenters argue that that 15 Percent Screen continues to be effective.59 

Others suggest revisions to the pro forma supplemental review in the event a project fails 

 59 See SoCal Edison March 27, 2012 Comments at 6; EEI Post-Technical 

Conference Comments at 11-13.
Docket No. RM13-2-000 - 26 -

the Fast Track screens, similar to California Rule 21.60 The Commission believes that the 

Rule 21 approach, after which our proposal is modeled, is a reasonable middle ground 

and proposes to leave the 15 Percent Screen in place while providing an alternative to the 

15 Percent Screen as part of the supplemental review that enables penetration levels to 

exceed 15 percent on a case-by-case basis if the Transmission Provider determines that 

doing so will not create safety or reliability problems. 

40. While SoCal Edison argues that the existing pro forma SGIP supplemental review 

offers utilities the flexibility to reevaluate projects that fail the Fast Track screens, 

including accounting for the unique characteristics of solar generation,61 we note that 

section 2.4 of the current pro forma SGIP does not define the parameters or the timeline 

and provides little guidance for conducting the supplemental review if a Small 

Generating Facility fails the Fast Track screens in section 2 of the SGIP. The 

Commission believes that this lack of definition and transparency could negatively 

impact the interconnection process. A well-defined supplemental review will provide 

greater transparency with regard to what transpires in the supplemental review, as well as 

mitigate confusion and delays in the interconnection timeline. It will also allow 

 60 Clean Coalition Post-Technical Conference Comments at 3-4; IREC PostTechnical Conference Comments at 14; SEIA May 8, 2012 Comments at 1; California 

PUC April 9, 2012 Comments at 4; EEI Post-Technical Conference Comments at 11, 

fn. 10 (“Whereas the 100 percent minimum load threshold may be appropriate in the 

context of a supplemental review process such as the California Rule 21 proceeding.”).

61 SoCal Edison March 27, 2012 Comments at 5.
Docket No. RM13-2-000 - 27 -

interconnection requests to be more expeditiously reviewed while maintaining safety, 

reliability, and power quality standards.

D. Review of Required Upgrades

41. The Commission proposes to revise the pro forma SGIP to give the 

Interconnection Customer an opportunity to review and comment on the upgrades 

required for interconnection proposed by the Transmission Provider, similar to the 

opportunity for review and comment afforded the Interconnection Customer under the 

LGIP.

42. The Commission believes that, because the Transmission Provider is responsible 

for the safety and reliability of its system, the Transmission Provider should make the 

final decision regarding required upgrades for interconnection. However, the 

Commission is concerned that the pro forma SGIP (including the pro forma Facilities 

Study Agreement) may result in unjust and unreasonable interconnection costs as a result 

of failing to provide an opportunity for the Interconnection Customer to review and 

comment on the required upgrades. Therefore, the Commission proposes to revise the 

pro forma SGIP to include provisions similar to those in sections 8.3 and 8.4 of the 

pro forma LGIP. 

43. In the LGIP, the Interconnection Customer has the opportunity to provide written 

comments on the draft facilities study report, which includes the proposed upgrades 

required for interconnection. The Transmission Provider must include these comments in 

the final report and may alter the study based on the comments. In addition, upon request 

of the Interconnection Customer, the Transmission Provider must provide the 
Docket No. RM13-2-000 - 28 -

Interconnection Customer with “supporting documentation, workpapers, and databases or 

data” developed in the preparation of the facilities study. The LGIP also provides for a 

meeting between the Interconnection Customer and the Transmission Provider within ten 

business days of the Interconnection Customer receiving the draft facilities study report.

44. The Commission believes that incorporating these pro forma LGIP provisions into 

the pro forma SGIP will encourage a dialogue between the Transmission Provider and 

the Interconnection Customer about required interconnection upgrades and will provide 

Interconnection Customers (or a third party designated by the Interconnection Customer) 

with a meaningful opportunity to review and comment on interconnection upgrade 

requirements. 

E. Other Revisions

45. The Commission proposes to clarify or correct certain sections of the pro forma

SGIP and SGIA. First, in section 3.3.5 of the pro forma SGIA, we propose to replace the 

first word of the section (“This”) with “The.” Second, the Commission proposes to 

revise section 1.1.1 of the pro forma SGIP to require that if an Interconnection Customer 

wishes to interconnect its Small Generating Facility using Network Resource 

Interconnection Service, it must do so under the LGIP and execute the Large Generator 

Interconnection Agreement. This requirement was included in Order No. 200362 but was 

not made clear in the pro forma SGIP. To facilitate this clarification, we propose to add 

 62 Order No. 2003, FERC Stats. & Regs. ¶ 31,146 at P 140.
Docket No. RM13-2-000 - 29 -

the definitions of Network Resource and Network Resource Interconnection Service to 

Attachment 1, Glossary of Terms, of the pro forma SGIP.

46. The Commission also proposes to modify section 1.5.4 of the pro forma SGIA to 

address a reliability concern resulting from recently identified issues in Germany and the 

United States (U.S.). The German issue is related to over-frequency resulting from 

imbalances between generation and load.63 The specific cause of over-frequency in 

Germany is not yet an issue in the U.S., although over-frequency events have occurred in 

the U.S.64 The North American Electric Reliability Corporation (NERC) has identified a 

related bulk electric system reliability concern as part of its Frequency Response 

Initiative65 where residential and commercial scale PV systems could trip during underfrequency conditions. This could become a matter of concern at high penetrations of PV 

resources. While the German government has ordered the retrofit of thousands of PV 

systems at significant cost to address its frequency issue,66 the Commission proposes to 

 63 In Germany, large amounts of distributed PV installations are set to trip at 

frequency 50.2 Hz or higher. An over-frequency (50.2 Hz and higher) event can cause 

the PV generation equipment connected to the low-voltage network to shut down. Such a 

sudden drop in generation could seriously disrupt the system.

64 See FERC & NERC, Arizona-Southern California Outages on September 8, 

2011: Causes and Recommendations (2011), 

http://www.nerc.com/files/AZOutage_Report_01MAY12.pdf. 

65 NERC, Frequency Response Initiative Report: The Reliability Role of 

Frequency Response 52 (2012), http://www.nerc.com/docs/standards/dt/FRI_Report_wappendices_10-15-12.pdf.

66 See VDE, Study on the 50.2 Hz Problem (2012), 

http://www.vde.com/en/fnn/Documents/FNN_50-2-Hz_Praesentation_2011-09_engl.pdf.
Docket No. RM13-2-000 - 30 -

prevent such problems with frequency now to mitigate this risk. The proposed revisions 

to section 1.5.4 of the pro forma SGIA will require the Interconnection Customer to 

design, install, maintain, and operate its Small Generating Facility, in accordance with the 

latest version of the applicable standards,67 to prevent automatic disconnection during an 

over- or under-frequency event and to ensure that rates remain just and reasonable.

V. Workshop 

47. Commenters68 suggest that the Commission convene a stakeholder working group 

or similar process as contemplated in Order No. 200669 to review and make 

recommendations on the proposals in the SEIA Petition and issues raised at the 

July 17, 2012 technical conference. In light of the technical nature of the reforms 

proposed above, the Commission agrees that the rulemaking process could benefit from 

stakeholder discussions of the NOPR proposals and other related issues. Therefore, 

during the comment period, the Commission will hold a workshop so that members of the 

public, electric industry participants, and federal and state agencies may discuss the 

proposals in this NOPR and possible refinements to these proposals before the end of the 

comment period.

 67 See, e.g., IEEE Standard 1547 for Interconnecting Distributed Resources with 

Electric Power Systems and Underwriters Laboratories Inc. Standard 1741 for Safety for 

Inverters, Converters, and Controllers for Use in Independent Power Systems.

68 NRECA Post-Technical Conference Comments at 2; EEI Post-Technical 

Conference Comments at 1-2; and California Utilities Post-Technical Conference 

Comments at 7.

69 Order No. 2006, FERC Stats. & Regs. ¶ 31,180 at P 118.
Docket No. RM13-2-000 - 31 -

48. The workshop will be facilitated by Commission staff and will focus on the 

technical details of the NOPR proposals and other related issues. Some of the specific 

items that Commission staff anticipates addressing include:

a. Whether the characteristics proposed for Fast Track Process eligibility 

should be modified to protect system safety and reliability.

b. The specific content of the proposed supplemental review screens. For 

example,

i. Whether twelve months of minimum load data is appropriate for use in 

the Minimum Load Screen, or whether additional data, if available, 

should be required to be considered.

ii. The reasons that minimum load data are not available to Transmission 

Providers and what the Commission could do to encourage data 

availability where appropriate.

c. The content of the pre-application report.

d. Whether the fees proposed in the NOPR ($300 for the pre-application report 

and $2,500 for the supplemental review) are appropriate.

e. Whether storage devices could fall within the definition of Small Generating 

Facility included in Attachment 1 to the SGIP and Attachment 1 to the SGIA 

as devices that produce electricity.

We will schedule the workshop so that comments on this Proposed Rule may reflect any 

reactions to the workshop discussions. 
Docket No. RM13-2-000 - 32 -

49. Within [INSERT DATE 60 days after publication in the FEDERAL 

REGISTER] the Commission will announce the workshop in a separate notice. 

Comments related to the workshop will be due at the same time as comments on this 

NOPR (see the Comment Procedures section below). 

VI. Compliance Filings

50. To comply with the requirements of this Proposed Rule, the Commission proposes 

to require each public utility Transmission Provider to submit a compliance filing within 

six months of the effective date of the Final Rule in this proceeding revising its SGIP and 

SGIA or other document(s) subject to the Commission’s jurisdiction as necessary to 

demonstrate that it meets the requirements set forth in this Proposed Rule.70 

51. In some cases, public utility Transmission Providers may have provisions in their 

existing SGIPs and SGIAs that the Commission has deemed to be consistent with or 

superior to the pro forma SGIP and SGIA. Where these provisions are being modified by 

the Final Rule, public utility Transmission Providers must either comply with the 

Final Rule or demonstrate that these previously-approved variations continue to be 

consistent with or superior to the pro forma SGIP and SGIA as modified by the Final 

Rule. 

52. The Commission will assess whether each compliance filing satisfies the proposed 

requirements and principles stated above and issue additional orders as necessary to 

 70 See Appendix C and Appendix D for the proposed pro forma SGIP and SGIA 

provisions consistent with this Proposed Rule.
Docket No. RM13-2-000 - 33 -

ensure that each public utility Transmission Provider meets the requirements of this 

Proposed Rule.

53. The Commission proposes that Transmission Providers that are not public utilities 

will have to adopt the requirements of this Proposed Rule as a condition of maintaining 

the status of their safe harbor tariff or otherwise satisfying the reciprocity requirement of 

Order No. 888.71

VII. Procedural Matters

54. On October 8, 2012, the California PUC submitted a motion to lodge California 

PUC Decision (D.) 12-09-018, the revised Rule 21, and the Assigned Commissioner’s 

Amended Scoping memo and Ruling Requesting Comments (Amended Scoping 

Memo).72 In its motion, the California PUC states that its recently approved Rule 21

reforms are central to the issues raised in SEIA’s Petition and should be lodged into the 

record of this proceeding.73 No comments were filed in response to the motion.

55. We will grant the California PUC’s motion to lodge California PUC Decision (D.) 

12-09-018, revised Rule 21, and the Amended Scoping Memo into the record of this 

proceeding because the documents have provided information that assisted us in our 

decision-making process. 

 71 Promoting Wholesale Competition Through Open Access Non-Discriminatory 

Transmission on Services by Public Utilities; Recovery of Stranded Costs by Public 

Utilities and Transmitting Utilities, Order No. 888, FERC Stats. & Regs. ¶ 31,036, at 

31,760-763 (1996). 

72 California PUC Motion to Lodge at 1. 

73 Id. at 1-3. 
Docket No. RM13-2-000 - 34 -

VIII. Information Collection Statement

56. The following collections of information contained in this Proposed Rule are 

subject to review by the Office of Management and Budget (OMB) under section 3507(d) 

of the Paperwork Reduction Act of 1995.74 OMB’s regulations require approval of 

certain information collection requirements imposed by agency rules.75 Upon approval 

of a collection of information, OMB will assign an OMB control number and expiration 

date. Respondents subject to the filing requirements of this rule will not be penalized for 

failing to respond to these collections of information unless the collections of information 

display a valid OMB control number. The Commission solicits comments on the 

Commission’s need for this information, whether the information will have practical 

utility, the accuracy of the burden estimates, ways to enhance the quality, utility, and 

clarity of the information to be collected or retained, and any suggested methods for 

minimizing respondents’ burden, including the use of automated information techniques. 

57. Additionally, the Commission encourages comments regarding the time burden 

expected to be required to comply with the proposed rule.

Burden Estimate: The additional estimated public reporting burdens for the proposed 

reporting requirements in this rule are as follows:

 74 44 U.S.C. 3507(d) (2006).

75 5 CFR 1320.11 (2012).
Docket No. RM13-2-000 - 35 -

Data Collection

FERC 516A

Number of 

Respondents 

[1]

Number of 

Responses76

[2]

Hours per 

Response

[3]

Total 

Annual 

Hours

[1 X 2 X 3]

Conforming SGIP 

and SGIA changes 

to incorporate 

proposed revisions. 

First year only. 

(18 CFR 35.28(f) 

(2012))

142 

Transmission 

Providers

1 6 852

Pre-Application 

Report

(18 CFR 35.28(f) 

(2012))

800 

Interconnection 

Customers77 1 0.5 400

142 

Transmission 

Providers 5.63 2 1600

Supplemental 

Review 

(18 CFR 35.28(f) 

(2012))

500 

Interconnection 

Customers 1 0.5 250

142 

Transmission 

Providers 3.52 20 10,000

Review of Required 

Upgrades

(18 CFR 35.28(f) 

(2012))

250 

Interconnection

Customers 1 1 250

142 

Transmission 

Providers 1.76 2 500

Totals First 

Year 13,852

Year 

Two and 

Ongoing 13,000

 76 The number of responses represents the average number of responses per 

respondent.

77 We assume each request for a pre-application report corresponds with one 

Interconnection Customer.
Docket No. RM13-2-000 - 36 -

The Commission seeks comment on the change in the existing burden that would result 

from the following three proposed revisions that are not included in the table above. 

First, the Commission believes that the proposed revision of the 2 MW threshold for 

participation in the Fast Track Process will result in a net decrease in the public reporting 

burden because some Small Generating Facilities will be evaluated under the Fast Track 

Process rather than the Study Process. The Commission estimates that 100 

Interconnection Customers annually may be able to participate in the Fast Track Process 

rather than the Study Process under the proposed rule. Second, the Commission proposes 

to revise section 2.3.2 so that the Transmission Provider is no longer required to provide 

a good faith estimate of the cost of performing the supplemental review to the 

Interconnection Customer. The Commission believes that this may result in a reduction 

in burden for the Transmission Provider. Third, the Commission proposes to revise 

section 1.1.1 of the pro forma SGIP to require that if an Interconnection Customer wishes

to interconnect its Small Generating Facility using Network Resource Interconnection 

Service, it must do so under the LGIP and execute the Large Generator Interconnection 

Agreement. While this addition to the pro forma SGIP should prevent Interconnection 

Customers from following the SGIP where not appropriate, thereby reducing the amount 

of work, the Commission is unsure if it will lead to any substantive burden reduction. 

Cost to Comply: The Commission has projected the cost of compliance to be $817,268 

in the initial year and $767,000 in subsequent years.
Docket No. RM13-2-000 - 37 -

Total Annual Hours for Collection in initial year (13,852 hours) @ $59/hour78

= 

$817,268.

Total Annual Hours for Collection in subsequent years (13,000 hours) @ $59/hour = 

$767,000. 

Title: FERC-516A, Standardization of Small Generator Interconnection Agreements and 

Procedures.

Action: Revision of Currently Approved Collection of Information.

OMB Control No. 1902-0203.

Respondents for this Rulemaking: Businesses or other for profit and/or not-for-profit 

institutions.

Frequency of Information: As indicated in the table.

Necessity of Information: The Commission is proposing changes to the pro forma SGIP 

and SGIA in order to more efficiently and cost-effectively interconnect generators no 

larger than 20 MW (small generators) to Commission-jurisdictional transmission 

systems. The purpose of this Proposed Rule is to revise the pro forma SGIP and SGIA so 

small generators can be reliably and efficiently integrated into the electric grid and to 

ensure that Commission-jurisdictional services are provided at rates, terms and conditions 

 78 This figure is the average of the salary plus benefits for an attorney, consultant 

(engineer), engineer, and administrative staff. The wages are derived from the Bureau of 

Labor and Statistics at http://bls.gov/oes/current/naics3_221000.htm and the benefits 

figure from http://www.bls.gov/news.release/ecec.nr0.htm.
Docket No. RM13-2-000 - 38 -

that are just and reasonable and not unduly discriminatory. This Proposed Rule seeks to 

achieve this goal by amending the pro forma SGIP and SGIA to: (1) incorporate 

provisions that would provide an Interconnection Customer with the option of requesting 

from the Transmission Provider a pre-application report providing existing information 

about system conditions at a possible Point of Interconnection; (2) revise the 2 MW 

threshold for participation in the Fast Track Process included in section 2 of the 

pro forma SGIP; (3) revise the customer options meeting and the supplemental review 

following failure of the Fast Track screens so that the supplemental review is performed 

at the discretion of the Interconnection Customer and includes minimum load and other 

screens to determine if a Small Generating Facility may be interconnected safely and 

reliably; and (4) revise the pro forma SGIP Facilities Study Agreement to allow the 

Interconnection Customer the opportunity to provide written comments to the 

Transmission Provider on the upgrades required for interconnection. The Commission 

also proposes to clarify or correct certain sections of the pro forma SGIP and SGIA. 

Internal Review: The Commission has reviewed the proposed changes and has 

determined that the changes are necessary. These requirements conform to the 

Commission’s need for efficient information collection, communication, and 

management within the energy industry. The Commission has assured itself, by means of 

internal review, that there is specific, objective support for the burden estimates 

associated with the information collection requirements.

58. Interested persons may obtain information on the reporting requirements by 

contacting the following: Federal Energy Regulatory Commission, 888 First Street, NE, 
Docket No. RM13-2-000 - 39 -

Washington, DC 20426 [Attention: Ellen Brown, Office of the Executive Director], 

e-mail: DataClearance@ferc.gov, Phone: (202) 502-8663, fax: (202) 273-0873.

59. Comments on the collections of information and the associated burden estimates 

in the proposed rule should be sent to the Commission in this docket and may also be sent 

to the Office of Information and Regulatory Affairs, Office of Management and Budget, 

725 17th Street, NW, Washington, DC 20503 [Attention: Desk Officer for the Federal 

Energy Regulatory Commission], at the following e-mail address: 

oira_submission@omb.eop.gov. Please reference OMB Control No. 1902-0203 and the 

docket number of this proposed rulemaking in your submission.

IX. Environmental Analysis

60. The Commission is required to prepare an Environmental Assessment or an 

Environmental Impact Statement for any action that may have a significant adverse effect 

on the human environment.79 The Commission has categorically excluded certain actions

from these requirements as not having a significant effect on the human environment.80 

The actions proposed here fall within categorical exclusions in the Commission’s 

regulations for rules that are clarifying, corrective, or procedural, for information

gathering, analysis, and dissemination, and for sales, exchange, and transportation of 

 79 Regulations Implementing the National Environmental Policy Act of 1969, 

Order No. 486, FERC Stats. & Regs. ¶ 30,783 (1987).

80 18 CFR 380.4 (2012).
Docket No. RM13-2-000 - 40 -

natural gas that requires no construction of facilities.81 Therefore, an environmental 

assessment is unnecessary and has not been prepared as part of this NOPR.

X. Regulatory Flexibility Act 

61. The Regulatory Flexibility Act of 1980 (RFA)82 generally requires a description 

and analysis of proposed rules that will have significant economic impact on a substantial 

number of small entities. The RFA mandates consideration of regulatory alternatives that 

accomplish the stated objectives of a proposed rule and that minimize any significant 

economic impact on a substantial number of small entities. The Small Business 

Administration’s Office of Size Standards develops the numerical definition of a small 

business.83 The Small Business Administration has established a size standard for 

electric utilities, stating that a firm is small if, including its affiliates, it is primarily 

engaged in the transmission, generation and/or distribution of electric energy for sale and 

its total electric output for the preceding twelve months did not exceed four million 

megawatt hours (MWh).84 The Commission estimates that the total number of 

Transmission Providers that, absent waiver, would have to modify their current SGIPs 

and SGIAs is 142. Of these, an estimated 11 Transmission Providers dispose of 4 million 

MWh or less per year. The Commission estimates that the average total cost for each of 

 81 See 18 CFR 380.4(a)(2)(ii) (2012).

82 5 U.S.C. §§ 601-612 (2006).

83 13 CFR § 121.101 (2012).

84 13 CFR § 121.201, Sector 22, Utilities & n.1. 
Docket No. RM13-2-000 - 41 -

these entities is $5,381.85 The Commission does not consider this to be a significant 

economic impact. The estimated total number of Interconnection Customers that may be 

subject to the requirements of this proposed rule is 800.86 Of these, all are considered 

small. The Commission estimates that the total annual cost for each entity is $1,984.87 

The Commission does not consider this to be a significant economic impact. Further, the 

Commission expects that Interconnection Customers that are able to participate in the 

Fast Track Process rather than the Study Process will benefit from the proposed revisions 

to the pro forma SGIP.

62. Based on the above, the Commission certifies that the new or revised requirements 

set forth in the proposed rule will not have a significant economic impact on a substantial 

number of small entities. Accordingly, no regulatory flexibility analysis is required.

 85 This number is derived by multiplying the hourly figure for Transmission 

Providers in the Burden Estimate table (12,952) by the cost per hour ($59) divided by the 

number of Transmission Providers. 12,952 hrs * $59/hr / 142 = $5,381.

86 We assume that 800 Commission-jurisdictional interconnection requests will be 

made annually. For the purposes of this proposed rule, each of these requests is assumed 

to be made by a separate Interconnection Customer.

87 This number is derived by multiplying the hourly figure for Interconnection 

Customers in the Burden Estimate table (900) plus an additional 750 hours associated 

with reviewing the draft facilities study report by the cost per hour ($59); plus the $300 

fee per pre-application report multiplied by 800 Interconnection Customers; plus the 

$2,500 fee per supplemental review multiplied by 500 Interconnection Customers; all 

divided by the total number of Interconnection Customers (800). ((1,650 hrs * $59/hr) + 

($300 * 800) + ($2,500 * 500)) / 800 = $1,984.
Docket No. RM13-2-000 - 42 -

XI. Comment Procedures 

63. The Commission invites interested persons to submit comments on the matters and 

issues proposed in this notice to be adopted, including any related matters or alternative 

proposals that commenters may wish to discuss. Comments are due [INSERT DATE 

120 days after publication in the FEDERAL REGISTER]. Comments must refer to 

Docket No. RM13-2-000, and must include the commenter's name, the organization they 

represent, if applicable, and their address in their comments.

64. The Commission encourages comments to be filed electronically via the eFiling

link on the Commission's web site at http://www.ferc.gov. The Commission accepts 

most standard word processing formats. Documents created electronically using word 

processing software should be filed in native applications or print-to-PDF format and not 

in a scanned format. Commenters filing electronically do not need to make a paper 

filing.

65. Commenters that are not able to file comments electronically must send an original 

of their comments to: Federal Energy Regulatory Commission, Secretary of the 

Commission, 888 First Street NE, Washington, DC 20426.

66. All comments will be placed in the Commission's public files and may be viewed, 

printed, or downloaded remotely as described in the Document Availability section 

below. Commenters on this proposal are not required to serve copies of their comments 

on other commenters.
Docket No. RM13-2-000 - 43 -

XII. Document Availability 

67. In addition to publishing the full text of this document in the Federal Register, the 

Commission provides all interested persons an opportunity to view and/or print the 

contents of this document via the Internet through the Commission's Home Page 

(http://www.ferc.gov) and in the Commission's Public Reference Room during normal 

business hours (8:30 a.m. to 5:00 p.m. Eastern time) at 888 First Street, NE, Room 2A, 

Washington, DC 20426.

68. From the Commission's Home Page on the Internet, this information is available on 

eLibrary. The full text of this document is available on eLibrary in PDF and Microsoft

Word format for viewing, printing, and/or downloading. To access this document in 

eLibrary, type the docket number excluding the last three digits of this document in the 

docket number field.

69. User assistance is available for eLibrary and the Commission’s website during 

normal business hours from the Commission’s Online Support at 202-502-6652 (toll free

at 1-866-208-3676) or email at ferconlinesupport@ferc.gov, or the Public Reference 

Room at (202) 502-8371, TTY (202) 502-8659. E-mail the Public Reference Room at 

public.referenceroom@ferc.gov.
Docket No. RM13-2-000 - 44 -

List of Subjects

18 CFR Part 35

Electric power rates, Electric utilities, and Reporting and recordkeeping requirements

By direction of the Commission. Chairman Wellinghoff is not participating.

Commissioner Clark is recused.

( S E A L )

Nathaniel J. Davis, Sr.,

Deputy Secretary.
Docket No. RM13-2-000 - 45 -

In consideration of the foregoing, the Commission proposes to revise Part 35, 

Chapter I, Title 18 of the Code of Federal Regulations as follows.

PART 35-FILING OF RATE SCHEDULES

1. The authority citation for Part 35 continues to read as follows:

Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-

7352.

2. Revise § 35.28(f) to read as follows:

§ 35.28 Non-discriminatory open access transmission tariff.

* * * * *

(f) * * *

(1) Every public utility that is required to have on file a non-discriminatory open 

access transmission tariff under this section must amend such tariff by adding the 

standard interconnection procedures and agreement contained in Order No. 2003, FERC 

Stats. & Regs. ¶ 31,146 (Final Rule on Generator Interconnection), as amended by the 

Commission in Order No. 661, FERC Stats. & Regs. ¶ 31,186 (Final Rule on 

Interconnection for Wind Energy), and the standard small generator interconnection 

procedures and agreement contained in Order No. 2006, FERC Stats. & Regs. ¶ 31,180 

(Final Rule on Small Generator Interconnection), as amended by the Commission in 

Order No. _____, FERC Stats. & Regs. ¶ _____ (Final Rule on Small Generator 

Interconnection Agreements and Procedures), or such other interconnection procedures

and agreements as may be approved by the Commission consistent with Order No. 2003, 
Docket No. RM13-2-000 - 46 -

FERC Stats. & Regs. ¶ 31,146 (Final Rule on Generator Interconnection), Order No. 

2006, FERC Stats. & Regs. ¶ 31,180 (Final Rule on Small Generator Interconnection), 

and Order No. _____, FERC Stats. & Regs. ¶ ______ (Final Rule on Small Generator 

Interconnection Agreements and Procedures).

(i) The amendment to implement the Final Rule on Generator Interconnection 

required by the preceding subsection must be filed no later than January 20, 2004.

(ii) The amendment to implement the Final Rule on Small Generator 

Interconnection required by the preceding subsection must be filed no later than August 

12, 2005.

(iii) The amendment to implement the Final Rule on Interconnection for Wind 

Energy required by the preceding subsection must be filed no later than December 30, 

2005.

(iv) The amendment to implement the Final Rule on Small Generator 

Interconnection Procedures required by the preceding subsection must be filed no later 

than [insert 60 days after publication in the FEDERAL REGISTER].

(v) Any public utility that seeks a deviation from the standard interconnection 

procedures and agreement contained in Order No. 2003, FERC Stats. & Regs. ¶ 31,146 

(Final Rule on Generator Interconnection), as amended by the Commission in Order No. 

661, FERC Stats. & Regs. ¶ 31,186 (Final Rule on Interconnection for Wind Energy), or 

the standard small generator interconnection procedures and agreement contained in 

Order No. 2006, FERC Stats. & Regs. ¶ 31,180 (Final Rule on Small Generator 

Interconnection), as amended by the Commission in Order No. _____, FERC Stats. & 
Docket No. RM13-2-000 - 47 -

Regs. ¶ _____ (Final Rule on Small Generator Interconnection Agreements and 

Procedures), must demonstrate that the deviation is consistent with the principles of 

either Order No. 2003, FERC Stats. & Regs. ¶ 31,146 (Final Rule on Generator 

Interconnection) or Order No. 2006, FERC Stats. & Regs. ¶ 31,180 (Final Rule on Small 

Generator Interconnection).

* * * * *
Docket No. RM13-2-000 - 48 -

Note: Appendix A will not be published in the Code of Federal Regulations.

Appendix A: List of Short Names of Commenters on the SEIA Petition (Docket 

No. RM12-10-000) and the Technical Conference (Docket No. AD12-17-000) 

Short Name or Acronym Commenter

AEP American Electric Power Service 

Corporation

Amonix Amonix

Borrego Borrego Solar Systems

California ISO California Independent System Operator 

Corporation

California PUC California Public Utilities Commission

California Utilities Pacific Gas and Electric Company, San Diego 

Gas & Electric Company, and Southern 

California Edison Company

Clean Coalition Clean Coalition

Detroit Edison Detroit Edison Company

Duke Duke Energy Corporation

EEI Edison Electric Institute

Environmental Defense Fund Environmental Defense Fund

enXco enXco Development Corporation

IREC Interstate Renewable Energy Council

NARUC National Association of Regulatory Utility 

Commissioners

NRECA and APPA National Rural Electric Cooperative Association 

and American Public Power Association
Docket No. RM13-2-000 - 49 -

NV Energy Nevada Power Company and Sierra Pacific 

Power Company

NJBPU New Jersey Board of Public Utilities

NRG NRG Companies

Pacific Gas and Electric Pacific Gas and Electric Company

Pepco Pepco Holdings Inc., Atlantic City Electric 

Company, Delmarva Power & Light Company, 

and Potomac Electric Power Company

PJM PJM Interconnection, LLC

Public Interest Organizations Center for Rural Affairs, Climate + Energy 

Project, Conservation Law Foundation, Energy 

Future Coalition, Environmental Law & Policy 

Center, Fresh Energy, National Audubon 

Society, Natural Resources Defense Council, 

Northwest Energy Coalition, Pace Energy and 

Climate Center, Southern Environmental Law 

Center, Sustainable FERC Project, Sierra Club, 

Union of Concerned Scientists, and the 

Wilderness Society

Recurrent Energy Recurrent Energy

San Diego Gas & Electric San Diego Gas & Electric Company

SEIA Solar Energy Industries Association

SolarCity SolarCity Corporation

SoCal Edison Southern California Edison Company

SunEdison SunEdison LLC

SunPower SunPower Corporation

Suntech Suntech America

USCHPA United States Clean Heat & Power Association
Docket No. RM13-2-000 - 50 -

Note: Appendix B will not be published in the Code of Federal Regulations.

Appendix B

Flow Chart for Interconnecting a Certified Small Generating

Facility Using the "Fast Track Process"
Note: Appendix C will not be published in the Code of Federal Regulations.

Appendix C to the Proposed

Small Generator Interconnection Rule

SMALL GENERATOR

INTERCONNECTION PROCEDURES (SGIP)

(For Generating Facilities No Larger Than 20 MW)
Docket No. RM13-2-000 i

- i -

TABLE OF CONTENTS

Page No. 

Section 1. Application.................................................................................................. - 1 -

1.1 Applicability............................................................................................. - 1 -

1.2 Pre-Application ........................................................................................ - 2 -

1.3 Interconnection Request........................................................................... - 4 -

1.4 Modification of the Interconnection Request........................................... - 5 -

1.5 Site Control............................................................................................... - 5 -

1.6 Queue Position ......................................................................................... - 5 -

1.7 Interconnection Requests Submitted Prior to the Effective Date of the SGIP

- 6 -

Section 2. Fast Track Process.................................................................................... - 6 -

2.1 Applicability............................................................................................. - 6 -

2.2 Initial Review ........................................................................................... - 7 -

2.2.1 Screens .......................................................................................... - 7 -

2.3 Customer Options Meeting .................................................................... - 10 -

2.4 Supplemental Review............................................................................. - 11 -

Section 3. Study Process............................................................................................ - 15 -

3.1 Applicability........................................................................................... - 15 -

3.2 Scoping Meeting..................................................................................... - 15 -

3.3 Feasibility Study..................................................................................... - 16 -

3.4 System Impact Study.............................................................................. - 16 -

3.5 Facilities Study....................................................................................... - 18 -

Section 4. Provisions that Apply to All Interconnection Requests........................ - 19 -

4.1 Reasonable Efforts ................................................................................. - 19 -

4.2 Disputes.................................................................................................. - 19 -

4.3 Interconnection Metering ....................................................................... - 20 -

4.4 Commissioning....................................................................................... - 20 -

4.5 Confidentiality........................................................................................ - 20 -

4.6 Comparability......................................................................................... - 21 -

4.7 Record Retention.................................................................................... - 22 -

4.8 Interconnection Agreement .................................................................... - 22 -

4.9 Coordination with Affected Systems ..................................................... - 22 -

4.10 Capacity of the Small Generating Facility ............................................. - 22 -

Attachment 1 – Glossary of Terms

Attachment 2 – Small Generator Interconnection Request

Attachment 3 – Certification Codes and Standards

Attachment 4 – Certification of Small Generator Equipment Packages

Attachment 5 – Application, Procedures, and Terms and Conditions for Interconnecting a 
Docket No. RM13-2-000 ii

- ii -

Certified Inverter-Based Small Generating Facility No Larger than 10 kW ("10 kW 

Inverter Process")

Attachment 6 – Feasibility Study Agreement

Attachment 7 – System Impact Study Agreement

Attachment 8 – Facilities Study Agreement
Small Generator Interconnection Procedures (SGIP) - 1 -

Section 1. Application

1.1 Applicability

1.1.1 A request to interconnect a certified Small Generating Facility (See 

Attachments 3 and 4 for description of certification criteria) no larger than 

2 MW to the Transmission Provider’s Distribution System shall be 

evaluated under the section 2 Fast Track Process if the eligibility 

requirements of section 2.1 are met. A request to interconnect a certified 

inverter-based Small Generating Facility no larger than 10 kilowatts (kW)

shall be evaluated under the Attachment 5 10 kW Inverter Process. A 

request to interconnect a Small Generating Facility larger than 2 MW but

no larger than 20 megawatts (MW) that does not meet the eligibility 

requirements of section 2.1, or or a Small Generating Facility that does not 

pass the Fast Track Process or the 10 kW Inverter Process, shall be 

evaluated under the section 3 Study Process. If the Interconnection 

Customer wishes to interconnect its Small Generating Facility using 

Network Resource Interconnection Service, it must do so under the 

Standard Large Generator Interconnection Procedures and execute the 

Standard Large Generator Interconnection Agreement.

1.1.2 Capitalized terms used herein shall have the meanings specified in the 

Glossary of Terms in Attachment 1 or the body of these procedures.

1.1.3 Neither these procedures nor the requirements included hereunder apply to 

Small Generating Facilities interconnected or approved for interconnection 

prior to 60 Business Days after the effective date of these procedures.

1.1.4 Prior to submitting its Interconnection Request (Attachment 2), the 

Interconnection Customer may ask the Transmission Provider's 

interconnection contact employee or office whether the proposed 

interconnection is subject to these procedures. The Transmission Provider 

shall respond within 15 Business Days.

1.1.5 Infrastructure security of electric system equipment and operations and 

control hardware and software is essential to ensure day-to-day reliability 

and operational security. The Federal Energy Regulatory Commission 

expects all Transmission Providers, market participants, and 

Interconnection Customers interconnected with electric systems to comply 

with the recommendations offered by the President's Critical Infrastructure 
Small Generator Interconnection Procedures (SGIP) - 2 -

Protection Board and best practice recommendations from the electric 

reliability authority. All public utilities are expected to meet basic 

standards for electric system infrastructure and operational security, 

including physical, operational, and cyber-security practices.

1.1.6 References in these procedures to interconnection agreement are to the

Small Generator Interconnection Agreement (SGIA).

1.2 Pre-Application

1.2.1 The Transmission Provider shall designate an employee or office from 

which information on the application process and on an Affected System 

can be obtained through informal requests from the Interconnection 

Customer presenting a proposed project for a specific site. The name, 

telephone number, and e-mail address of such contact employee or office 

shall be made available on the Transmission Provider's Internet web site. 

Electric system information provided to the Interconnection Customer 

should include relevant system studies, interconnection studies, and other 

materials useful to an understanding of an interconnection at a particular 

point on the Transmission Provider's Transmission System, to the extent 

such provision does not violate confidentiality provisions of prior 

agreements or critical infrastructure requirements. The Transmission 

Provider shall comply with reasonable requests for such information.

1.2.2 In addition to the information described in section 1.2.1, which may be 

provided in response to an informal request, an Interconnection Customer 

may submit a formal written request along with a non-refundable fee of 

$300 for a pre-application report on a proposed project at a specific site. 

The written pre-application report request shall include a proposed Point of 

Interconnection, which shall be defined sufficiently to clearly identify the 

location of the proposed Point of Interconnection. The Transmission 

Provider shall provide the pre-application data described in section 1.2.3 to 

the Interconnection Customer within ten (10) Business Days of receipt of 

the written request and payment of the $300 fee.

1.2.3 Subject to section 1.2.4, the pre-application report will include the 

following information:

1.2.3.1 Total capacity (in MW) of substation/area bus, bank or circuit 

based on normal or operating ratings likely to serve the 
Small Generator Interconnection Procedures (SGIP) - 3 -

proposed Point of Interconnection.

1.2.3.2 Existing aggregate generation capacity (in MW) 

interconnected to a substation/area bus, bank or circuit (i.e., 

amount of generation online) likely to serve the proposed 

Point of Interconnection.

1.2.3.3 Aggregate queued generation capacity (in MW) for a 

substation/area bus, bank or circuit (i.e., amount of generation 

in the queue) likely to serve the proposed Point of 

Interconnection.

1.2.3.4 Available capacity (in MW) of substation/area bus or bank 

and circuit mostly likely to serve the proposed Point of 

Interconnection (i.e., total capacity less the sum of existing 

aggregate generation capacity and aggregate queued 

generation capacity).

1.2.3.5 Substation nominal distribution voltage and/or transmission 

nominal voltage if applicable.

1.2.3.6 Nominal distribution circuit voltage at the proposed Point of 

Interconnection.

1.2.3.7 Approximate circuit distance between the proposed Point of 

Interconnection and the substation.

1.2.3.8 Relevant line section(s) peak load estimate, and minimum 

load data, including daytime minimum load as described in

section 2.3.1.1.1 below and absolute minimum load, when 

available.

1.2.3.9 Number and rating of protective devices and number and type 

(standard, bi-directional) of voltage regulating devices 

between the proposed Point of Interconnection and the 

substation/area. Identify whether the substation has a load tap 

changer.

1.2.3.10 Number of phases available at the proposed Point of 

Interconnection.
Small Generator Interconnection Procedures (SGIP) - 4 -

1.2.3.11 Limiting conductor ratings from the proposed Point of 

Interconnection to the distribution substation.

1.2.3.12 Based on the proposed Point of Interconnection, existing or 

known constraints such as, but not limited to, electrical 

dependencies at that location, short circuit interrupting 

capacity issues, power quality or stability issues on the 

circuit, capacity constraints, or secondary networks.

1.2.4 The pre-application report need only include existing data. A preapplication report request does not obligate the Transmission Provider to 

conduct a study or other analysis of the proposed generator in the event that 

data is not readily available. If the Transmission Provider cannot complete 

all or some of a pre-application report due to lack of available data, the 

Transmission Provider shall provide the Interconnection Customer with a 

pre-application report that includes the data that is available. The provision 

of information on “available capacity” pursuant to section 1.2.3.4 does not 

imply that an interconnection up to this level may be completed without 

impacts since there are many variables studied as part of the 

interconnection review process, and data provided in the pre-application 

report may become outdated at the time of the submission of the complete 

Interconnection Request. Notwithstanding any of the provisions of this 

section, the Transmission Provider shall, in good faith, include data in the 

pre-application report that represents that best available information at the 

time of reporting.

1.3 Interconnection Request

The Interconnection Customer shall submit its Interconnection Request to the 

Transmission Provider, together with the processing fee or deposit specified in the 

Interconnection Request. The Interconnection Request shall be date- and timestamped upon receipt. The original date- and time-stamp applied to the 

Interconnection Request at the time of its original submission shall be accepted as 

the qualifying date- and time-stamp for the purposes of any timetable in these 

procedures. The Interconnection Customer shall be notified of receipt by the 

Transmission Provider within three Business Days of receiving the 

Interconnection Request. The Transmission Provider shall notify the 

Interconnection Customer within ten Business Days of the receipt of the 

Interconnection Request as to whether the Interconnection Request is complete or 

incomplete. If the Interconnection Request is incomplete, the Transmission 
Small Generator Interconnection Procedures (SGIP) - 5 -

Provider shall provide along with the notice that the Interconnection Request is 

incomplete, a written list detailing all information that must be provided to 

complete the Interconnection Request. The Interconnection Customer will have 

ten Business Days after receipt of the notice to submit the listed information or to 

request an extension of time to provide such information. If the Interconnection 

Customer does not provide the listed information or a request for an extension of 

time within the deadline, the Interconnection Request will be deemed withdrawn. 

An Interconnection Request will be deemed complete upon submission of the 

listed information to the Transmission Provider.

1.4 Modification of the Interconnection Request

Any modification to machine data or equipment configuration or to the 

interconnection site of the Small Generating Facility not agreed to in writing by 

the Transmission Provider and the Interconnection Customer may be deemed a 

withdrawal of the Interconnection Request and may require submission of a new 

Interconnection Request, unless proper notification of each Party by the other and 

a reasonable time to cure the problems created by the changes are undertaken.

1.5 Site Control

Documentation of site control must be submitted with the Interconnection 

Request. Site control may be demonstrated through:

1.5.1 Ownership of, a leasehold interest in, or a right to develop a site for the 

purpose of constructing the Small Generating Facility;

1.5.2 An option to purchase or acquire a leasehold site for such purpose; or

1.5.3 An exclusivity or other business relationship between the Interconnection 

Customer and the entity having the right to sell, lease, or grant the 

Interconnection Customer the right to possess or occupy a site for such 

purpose.

1.6 Queue Position

The Transmission Provider shall assign a Queue Position based upon the date- and 

time-stamp of the Interconnection Request. The Queue Position of each 

Interconnection Request will be used to determine the cost responsibility for the 

Upgrades necessary to accommodate the interconnection. The Transmission 

Provider shall maintain a single queue per geographic region. At the Transmission 

Provider's option, Interconnection Requests may be studied serially or in clusters 

for the purpose of the system impact study.
Small Generator Interconnection Procedures (SGIP) - 6 -

1.7 Interconnection Requests Submitted Prior to the Effective Date of the SGIP

Nothing in this SGIP affects an Interconnection Customer's Queue Position 

assigned before the effective date of this SGIP. The Parties agree to complete 

work on any interconnection study agreement executed prior the effective date of 

this SGIP in accordance with the terms and conditions of that interconnection 

study agreement. Any new studies or other additional work will be completed 

pursuant to this SGIP.

Section 2. Fast Track Process

2.1 Applicability

The Fast Track Process is available to an Interconnection Customer proposing to 

interconnect its Small Generating Facility with the Transmission Provider's 

Transmission Distribution System if the Small Generating Facility’s capacity does 

not exceed the limits identified in the table below, which vary according to the 

voltage of the line at the proposed Point of Interconnection. Small Generating 

Facilities located within 2.5 miles of a substation and on a main distribution line 

with minimum 600-ampere capacity are eligible for the Fast Track Process under 

the higher thresholds. In addition to the size threshold, is no larger than 2 MW 

and if the Interconnection Customer's proposed Small Generating Facility must

meets the codes, standards, and certification requirements of Attachments 3 and 4 

of these procedures, or the Transmission Provider has to have reviewed the design 

or tested the proposed Small Generating Facility and isbe satisfied that it is safe to 

operate.
Small Generator Interconnection Procedures (SGIP) - 7 -

Line Voltage

Fast Track Eligibility

Regardless of 

Location

Fast Track Eligibility on

≥ 600 Ampere Line 

and ≤ 2.5 Miles from 

Substation

< 5 kilovolt (kV) ≤ 1 MW ≤ 2 MW

≥ 5 kV and < 15 kV ≤ 2 MW ≤ 3 MW

≥ 15 kV and < 30 kV ≤ 3 MW ≤ 4 MW

≥ 30 kV ≤ 4 MW ≤ 5 MW

2.2 Initial Review

Within 15 Business Days after the Transmission Provider notifies the 

Interconnection Customer it has received a complete Interconnection Request, the 

Transmission Provider shall perform an initial review using the screens set forth 

below, shall notify the Interconnection Customer of the results, and include with 

the notification copies of the analysis and data underlying the Transmission 

Provider's determinations under the screens.

2.2.1 Screens

2.2.1.1 The proposed Small Generating Facility’s Point of 

Interconnection must be on a portion of the Transmission 

Provider’s Distribution System that is subject to the Tariff.

2.2.1.2 For interconnection of a proposed Small Generating Facility 

to a radial distribution circuit, the aggregated generation, 

including the proposed Small Generating Facility, on the 

circuit shall not exceed 15 % of the line section annual peak 

load as most recently measured at the substation. A line 

section is that portion of a Transmission Provider’s electric 

system connected to a customer bounded by automatic 

sectionalizing devices or the end of the distribution line.

2.2.1.3 For interconnection of a proposed Small Generating Facility 

to the load side of spot network protectors, the proposed 

Small Generating Facility must utilize an inverter-based 

equipment package and, together with the aggregated other 

inverter-based generation, shall not exceed the smaller of 5 % 
Small Generator Interconnection Procedures (SGIP) - 8 -

of a spot network's maximum load or 50 kW1

.

2.2.1.4 The proposed Small Generating Facility, in aggregation with 

other generation on the distribution circuit, shall not 

contribute more than 10 % to the distribution circuit's 

maximum fault current at the point on the high voltage 

(primary) level nearest the proposed point of change of 

ownership.

2.2.1.5 The proposed Small Generating Facility, in aggregate with 

other generation on the distribution circuit, shall not cause 

any distribution protective devices and equipment (including, 

but not limited to, substation breakers, fuse cutouts, and line 

reclosers), or Interconnection Customer equipment on the 

system to exceed 

87.5 % of the short circuit interrupting capability; nor shall 

the interconnection be proposed for a circuit that already 

exceeds 

87.5 % of the short circuit interrupting capability.

2.2.1.6 Using the table below, determine the type of interconnection 

to a primary distribution line. This screen includes a review 

of the type of electrical service provided to the 

Interconnecting Customer, including line configuration and 

the transformer connection to limit the potential for creating 

over-voltages on the Transmission Provider's electric power 

system due to a loss of ground during the operating time of 

any anti-islanding function.

Primary Distribution 

Line Type

Type of Interconnection 

to Primary Distribution 

Line

Result/Criteria

Three-phase, three wire 3-phase or single phase, 

phase-to-phase

Pass screen

 1 A spot Network is a type of distribution system found within modern commercial 

buildings to provide high reliability of service to a single customer. (Standard Handbook 

for Electrical Engineers, 11th edition, Donald Fink, McGraw Hill Book Company)
Small Generator Interconnection Procedures (SGIP) - 9 -

Three-phase, four wire Effectively-grounded 3 

phase or Single-phase, 

line-to-neutral

Pass screen

2.2.1.7 If the proposed Small Generating Facility is to be 

interconnected on single-phase shared secondary, the 

aggregate generation capacity on the shared secondary, 

including the proposed Small Generating Facility, shall not 

exceed 20 kW.

2.2.1.8 If the proposed Small Generating Facility is single-phase and 

is to be interconnected on a center tap neutral of a 240 volt 

service, its addition shall not create an imbalance between the 

two sides of the 240 volt service of more than 20 % of the 

nameplate rating of the service transformer.

2.2.1.9 The Small Generating Facility, in aggregate with other 

generation interconnected to the transmission side of a 

substation transformer feeding the circuit where the Small 

Generating Facility proposes to interconnect shall not exceed 

10 MW in an area where there are known, or posted, transient 

stability limitations to generating units located in the general 

electrical vicinity (e.g., three or four transmission busses from 

the point of interconnection).

2.2.1.10 No construction of facilities by the Transmission Provider on 

its own system shall be required to accommodate the Small 

Generating Facility.

2.2.2 If the proposed interconnection passes the screens, the Interconnection 

Request shall be approved and the Transmission Provider will provide the 

Interconnection Customer an executable interconnection agreement within 

five (5) Business Days after the determination.

2.2.3 If the proposed interconnection fails the screens, but the Transmission 

Provider determines that the Small Generating Facility may nevertheless be 

interconnected consistent with safety, reliability, and power quality 

standards, the Transmission Provider shall provide the Interconnection 

Customer an executable interconnection agreement within five (5) Business 
Small Generator Interconnection Procedures (SGIP) - 10 -

Days after the determination.

2.2.4 If the proposed interconnection fails the screens, butand the Transmission Provider 

does not or cannot determine from the initial review that the Small Generating Facility 

may nevertheless be interconnected consistent with safety, reliability, and power quality 

standards unless the Interconnection Customer is willing to consider minor modifications 

or further study, the Transmission Provider shall provide the Interconnection Customer 

with the opportunity to attend a customer options meeting.

2.3 Customer Options Meeting

If the Transmission Provider determines the Interconnection Request cannot be 

approved without minor modifications at minimal cost; or a supplemental study or 

other additional studies or actions; or at significant cost to address safety, 

reliability, or power quality problems, within the five Business Day period after 

the determination, the Transmission Provider shall notify the Interconnection 

Customer and provide copies of all data and analyses underlying its conclusion. 

Within ten (10) Business Days of the Transmission Provider's determination, the 

Transmission Provider shall offer to convene a customer options meeting with the 

Transmission Provider to review possible Interconnection Customer facility 

modifications or the screen analysis and related results, to determine what further 

steps are needed to permit the Small Generating Facility to be connected safely 

and reliably. At the time of notification of the Transmission Provider's 

determination, or at the customer options meeting, the Transmission Provider 

shall:

2.3.1 Offer to perform facility modifications or minor modifications to the 

Transmission Provider's electric system (e.g., changing meters, fuses, relay 

settings) and provide a non-binding good faith estimate of the limited cost 

to make such modifications to the Transmission Provider's electric system. 

If the Interconnection Customer agrees to pay for the modifications to the 

Transmission Provider’s electric system, the Transmission Provider will 

provide the Interconnection Customer with an executable interconnection 

agreement within five (5) Business Days of the Customer Options Meeting; 

or

2.3.2 Offer to perform a supplemental review in accordance with section 2.4 if 

the Transmission Provider concludes that the supplemental review might 

determine that the Small Generating Facility could continue to qualify for 

interconnection pursuant to the Fast Track Process, and provide a nonbinding good faith estimate of the costs of such review; or
Small Generator Interconnection Procedures (SGIP) - 11 -

2.3.3 Obtain the Interconnection Customer's agreement to continue evaluating the 

Interconnection Request under the section 3 Study Process.

2.4 Supplemental Review

If the Interconnection Customer agrees to a supplemental review, the 

Interconnection Customer shall agree in writing within fifteen (15) Business Days 

of the offer, and submit a deposit for the estimated costs the nonrefundable 

supplemental review fee of $2,500 to the Transmission Provider, or the 

Interconnection Request shall be deemed withdrawn. The Interconnection 

Customer shall be responsible for the Transmission Provider's actual costs for 

conducting the supplemental review. The Interconnection Customer must pay any 

review costs that exceed the deposit within 20 Business Days of receipt of the 

invoice or resolution of any dispute. If the deposit exceeds the invoiced costs, the 

Transmission Provider will return such excess within 20 Business Days of the 

invoice without interest.

2.4.1 Within twenty (20) Business Days following receipt of the deposit for a

supplemental review fee, the Transmission Provider will determine if the 

Small Generating Facility can be interconnected safely and reliablyshall 

perform a supplemental review using the screens set forth below, shall 

notify the Interconnection Customer of the results, and include with the 

notification copies of the analysis and data underlying the Transmission 

Provider’s determinations under the screens.

2.4.1.1 If so, the Transmission Provider shall forward an executable 

interconnection agreement to the Interconnection Customer 

within five Business DaysWhere twelve (12) months of line 

section minimum load data is available, can be calculated, can 

be estimated from existing data, or determined from a power 

flow model, the aggregate Generating Facility capacity on the 

line section is less than 100% of the minimum load for all line 

sections bounded by automatic sectionalizing devices 

upstream of the proposed Small Generating Facility. If 

minimum load data is not available, or cannot be calculated, 

estimated or determined, the Transmission Provider shall 

include the reason(s) that it is unable to calculate, estimate or 

determine minimum load in its supplemental review results 

notification under section 2.4.1.
Small Generator Interconnection Procedures (SGIP) - 12 -

2.4.1.1.1 The type of generation used by the proposed 

Small Generating Facility will be taken into 

account when calculating, estimating, or 

determining circuit or line section minimum 

load relevant for the application of screen 

2.4.1.1. Solar photovoltaic (PV) generation 

systems with no battery storage use daytime 

minimum load (i.e. 10 a.m. to 4 p.m. for fixed 

panel systems and 8 a.m. to 6 p.m. for PV 

systems utilizing tracking systems), while all 

other generation uses absolute minimum load.

2.4.1.1.2 When this screen is being applied to a Small 

Generating Facility that serves some onsite 

electrical load, only the net export in kW, if 

known, that may flow into the Transmission 

Provider’s system will be considered as part of 

the aggregate generation.

2.4.1.1.3 Transmission Provider will not consider as part 

of the aggregate generation for purposes of this 

screen generating facility capacity known to be 

already reflected in the minimum load data.

2.4.1.2 In aggregate with existing generation on the line section: (1) 

the voltage regulation on the line section can be maintained in 

compliance with relevant requirements under all system 

conditions; (2) the voltage fluctuation is within acceptable 

limits as defined by Institute of Electrical and Electronics 

Engineers (IEEE) Standard 1453, or utility practice similar to 

IEEE Standard 1453; and (3) the harmonic levels meet IEEE 

Standard 519 limits at the Point of Interconnection.

2.4.1.3 The location of the proposed Small Generating Facility and 

the aggregate generation capacity on the line section do not 

create impacts to safety or reliability that cannot be 

adequately addressed without application of the Study 

Process. The Transmission Provider shall give due 

consideration to the following and other factors in 

determining potential impacts to safety and reliability in 
Small Generator Interconnection Procedures (SGIP) - 13 -

applying this screen.

2.4.1.3.1 Whether the line section has significant 

minimum loading levels dominated by a small 

number of customers (e.g. several large 

commercial customers).

2.4.1.3.2 Whether there is an even or uneven distribution 

of loading along the line section.

2.4.1.3.3 Whether the proposed Small Generating 

Facility is located in close proximity to the 

substation (i.e. less than 2.5 electrical line 

miles), and whether the line section from the 

substation to the Point of Interconnection is 

composed of large conductor cable (i.e. 600-

ampere class cable).

2.4.1.3.4 Whether the proposed Small Generating 

Facility incorporates a time delay function to 

prevent reconnection of the generator to the 

system until system voltage and frequency are 

within normal limits for a prescribed time.

2.4.1.3.5 Whether operational flexibility is reduced by 

the proposed Small Generating Facility, such 

that transfer of the line section(s) of the Small 

Generating Facility to a neighboring 

distribution circuit/substation may trigger 

overloads or voltage issues.

2.4.1.3.6 Whether the proposed Small Generating 

Facility employs equipment or systems certified 

by a recognized standards organization to 

address technical issues such as, but not limited 

to, islanding, reverse power flow, or voltage 

quality.

2.4.2 If the proposed interconnection passes the supplemental screens in sections 

2.4.1.1, 2.4.1.2, and 2.4.1.3 above, the Interconnection Request shall be 
Small Generator Interconnection Procedures (SGIP) - 14 -

approved and the Transmission Provider will provide the Interconnection 

Customer with an executable interconnection agreement within the 

timeframes established in this section 2.4.2. If the proposed 

interconnection requires no construction of facilities by the Transmission 

Provider on its own system, the interconnection agreement shall be 

provided within five (5) Business Days after the notification of the 

supplemental review results. If the proposed interconnection requires only 

interconnection facilities or minor modifications to the Transmission 

Provider's system, the interconnection agreement, along with a non-binding 

good faith estimate for the interconnection facilities and/or minor 

modifications, shall be provided to the Interconnection Customer within 

fifteen (15) Business Days after notification of the supplemental review 

results. If the proposed interconnection requires more than minor 

modifications to the Transmission Provider’s system, the Transmission 

Provider shall notify the Interconnection Customer, at the same time it 

notifies the Interconnection Customer with the supplemental review results, 

that the Interconnection Request may continue to be evaluated under the 

section 3 Study Process.

2.4.1.2 If so, and Interconnection Customer facility modifications are 

required to allow the Small Generating Facility to be 

interconnected consistent with safety, reliability, and power 

quality standards under these procedures, the Transmission 

Provider shall forward an executable interconnection 

agreement to the Interconnection Customer within five 

Business Days after confirmation that the Interconnection 

Customer has agreed to make the necessary changes at the 

Interconnection Customer's cost.

2.4.1.3 If so, and minor modifications to the Transmission Provider's 

electric system are required to allow the Small Generating 

Facility to be interconnected consistent with safety, 

reliability, and power quality standards under the Fast Track 

Process, the Transmission Provider shall forward an 

executable interconnection agreement to the Interconnection 

Customer within ten Business Days that requires the 

Interconnection Customer to pay the costs of such system 

modifications prior to interconnection.

2.4.1.4 If not, the Interconnection Request will continue to be 
Small Generator Interconnection Procedures (SGIP) - 15 -

evaluated under the section 3 Study Process.

Section 3. Study Process

3.1 Applicability

The Study Process shall be used by an Interconnection Customer proposing to 

interconnect its Small Generating Facility with the Transmission Provider's 

Transmission System or Distribution System if the Small Generating Facility (1) is 

larger than 2 MW but no larger than 20 MW and does not meet the eligibility 

requirements of section 2.1, (2) is not certified, or (3) is certified but did not pass 

the Fast Track Process or the 10 kW Inverter Process.

3.2 Scoping Meeting

3.2.1 A scoping meeting will be held within ten Business Days after the 

Interconnection Request is deemed complete, or as otherwise mutually 

agreed to by the Parties. The Transmission Provider and the 

Interconnection Customer will bring to the meeting personnel, including 

system engineers and other resources as may be reasonably required to 

accomplish the purpose of the meeting.

3.2.2 The purpose of the scoping meeting is to discuss the Interconnection 

Request and review existing studies relevant to the Interconnection 

Request. The Parties shall further discuss whether the Transmission 

Provider should perform a feasibility study or proceed directly to a system 

impact study, or a facilities study, or an interconnection agreement. If the 

Parties agree that a feasibility study should be performed, the Transmission 

Provider shall provide the Interconnection Customer, as soon as possible, 

but not later than five Business Days after the scoping meeting, a feasibility 

study agreement (Attachment 6) including an outline of the scope of the 

study and a non-binding good faith estimate of the cost to perform the 

study.

3.2.3 The scoping meeting may be omitted by mutual agreement. In order to 

remain in consideration for interconnection, an Interconnection Customer 

who has requested a feasibility study must return the executed feasibility 

study agreement within 15 Business Days. If the Parties agree not to 

perform a feasibility study, the Transmission Provider shall provide the 

Interconnection Customer, no later than five Business Days after the 
Small Generator Interconnection Procedures (SGIP) - 16 -

scoping meeting, a system impact study agreement (Attachment 7) 

including an outline of the scope of the study and a non-binding good faith 

estimate of the cost to perform the study.

3.3 Feasibility Study

3.3.1 The feasibility study shall identify any potential adverse system impacts 

that would result from the interconnection of the Small Generating Facility.

3.3.2 A deposit of the lesser of 50 percent of the good faith estimated feasibility 

study costs or earnest money of $1,000 may be required from the 

Interconnection Customer.

3.3.3 The scope of and cost responsibilities for the feasibility study are described 

in the attached feasibility study agreement (Attachment 6).

3.3.4 If the feasibility study shows no potential for adverse system impacts, the 

Transmission Provider shall send the Interconnection Customer a facilities 

study agreement, including an outline of the scope of the study and a nonbinding good faith estimate of the cost to perform the study. If no 

additional facilities are required, the Transmission Provider shall send the 

Interconnection Customer an executable interconnection agreement within 

five Business Days.

3.3.5 If the feasibility study shows the potential for adverse system impacts, the 

review process shall proceed to the appropriate system impact study(s).

3.4 System Impact Study

3.4.1 A system impact study shall identify and detail the electric system impacts 

that would result if the proposed Small Generating Facility were 

interconnected without project modifications or electric system 

modifications, focusing on the adverse system impacts identified in the 

feasibility study, or to study potential impacts, including but not limited to 

those identified in the scoping meeting. A system impact study shall 

evaluate the impact of the proposed interconnection on the reliability of the 

electric system.

3.4.2 If no transmission system impact study is required, but potential electric 

power Distribution System adverse system impacts are identified in the 

scoping meeting or shown in the feasibility study, a distribution system 
Small Generator Interconnection Procedures (SGIP) - 17 -

impact study must be performed. The Transmission Provider shall send the 

Interconnection Customer a distribution system impact study agreement 

within 15 Business Days of transmittal of the feasibility study report, 

including an outline of the scope of the study and a non-binding good faith 

estimate of the cost to perform the study, or following the scoping meeting 

if no feasibility study is to be performed.

3.4.3 In instances where the feasibility study or the distribution system impact 

study shows potential for transmission system adverse system impacts, 

within five Business Days following transmittal of the feasibility study 

report, the Transmission Provider shall send the Interconnection Customer 

a transmission system impact study agreement, including an outline of the 

scope of the study and a non-binding good faith estimate of the cost to 

perform the study, if such a study is required.

3.4.4 If a transmission system impact study is not required, but electric power 

Distribution System adverse system impacts are shown by the feasibility 

study to be possible and no distribution system impact study has been 

conducted, the Transmission Provider shall send the Interconnection 

Customer a distribution system impact study agreement.

3.4.5 If the feasibility study shows no potential for transmission system or 

Distribution System adverse system impacts, the Transmission Provider 

shall send the Interconnection Customer either a facilities study agreement 

(Attachment 8), including an outline of the scope of the study and a nonbinding good faith estimate of the cost to perform the study, or an 

executable interconnection agreement, as applicable.

3.4.6 In order to remain under consideration for interconnection, the 

Interconnection Customer must return executed system impact study 

agreements, if applicable, within 30 Business Days.

3.4.7 A deposit of the good faith estimated costs for each system impact study 

may be required from the Interconnection Customer.

3.4.8 The scope of and cost responsibilities for a system impact study are 

described in the attached system impact study agreement.

3.4.9 Where transmission systems and Distribution Systems have separate 

owners, such as is the case with transmission-dependent utilities ("TDUs") 

– whether investor-owned or not – the Interconnection Customer may apply 
Small Generator Interconnection Procedures (SGIP) - 18 -

to the nearest Transmission Provider (Transmission Owner, Regional 

Transmission Operator, or Independent Transmission Provider) providing 

transmission service to the TDU to request project coordination. Affected 

Systems shall participate in the study and provide all information necessary 

to prepare the study.

3.5 Facilities Study

3.5.1 Once the required system impact study(s) is completed, a system impact 

study report shall be prepared and transmitted to the Interconnection 

Customer along with a facilities study agreement within five Business 

Days, including an outline of the scope of the study and a non-binding good 

faith estimate of the cost to perform the facilities study. In the case where 

one or both impact studies are determined to be unnecessary, a notice of the 

fact shall be transmitted to the Interconnection Customer within the same 

timeframe.

3.5.2 In order to remain under consideration for interconnection, or, as 

appropriate, in the Transmission Provider's interconnection queue, the 

Interconnection Customer must return the executed facilities study 

agreement or a request for an extension of time within 30 Business Days.

3.5.3 The facilities study shall specify and estimate the cost of the equipment, 

engineering, procurement and construction work (including overheads) 

needed to implement the conclusions of the system impact study(s).

3.5.4 Design for any required Interconnection Facilities and/or Upgrades shall be 

performed under the facilities study agreement. The Transmission Provider 

may contract with consultants to perform activities required under the 

facilities study agreement. The Interconnection Customer and the 

Transmission Provider may agree to allow the Interconnection Customer to 

separately arrange for the design of some of the Interconnection Facilities. 

In such cases, facilities design will be reviewed and/or modified prior to 

acceptance by the Transmission Provider, under the provisions of the 

facilities study agreement. If the Parties agree to separately arrange for 

design and construction, and provided security and confidentiality 

requirements can be met, the Transmission Provider shall make sufficient 

information available to the Interconnection Customer in accordance with 

confidentiality and critical infrastructure requirements to permit the 

Interconnection Customer to obtain an independent design and cost 
Small Generator Interconnection Procedures (SGIP) - 19 -

estimate for any necessary facilities.

3.5.5 A deposit of the good faith estimated costs for the facilities study may be 

required from the Interconnection Customer.

3.5.6 The scope of and cost responsibilities for the facilities study are described 

in the attached facilities study agreement.

3.5.7 Upon completion of the facilities study, and with the agreement of the 

Interconnection Customer to pay for Interconnection Facilities and 

Upgrades identified in the facilities study, the Transmission Provider shall 

provide the Interconnection Customer an executable interconnection 

agreement within five Business Days.

Section 4. Provisions that Apply to All Interconnection Requests

4.1 Reasonable Efforts

The Transmission Provider shall make reasonable efforts to meet all time frames 

provided in these procedures unless the Transmission Provider and the 

Interconnection Customer agree to a different schedule. If the Transmission 

Provider cannot meet a deadline provided herein, it shall notify the 

Interconnection Customer, explain the reason for the failure to meet the deadline, 

and provide an estimated time by which it will complete the applicable 

interconnection procedure in the process.

4.2 Disputes

4.2.1 The Parties agree to attempt to resolve all disputes arising out of the 

interconnection process according to the provisions of this article.

4.2.2 In the event of a dispute, either Party shall provide the other Party with a written 

Notice of Dispute. Such Notice shall describe in detail the nature of the dispute.

4.2.3 If the dispute has not been resolved within two Business Days after receipt of the 

Notice, either Party may contact FERC's Dispute Resolution Service (DRS) for 

assistance in resolving the dispute.

4.2.4 The DRS will assist the Parties in either resolving their dispute or in selecting an 

appropriate dispute resolution venue (e.g., mediation, settlement judge, early 
Small Generator Interconnection Procedures (SGIP) - 20 -

neutral evaluation, or technical expert) to assist the Parties in resolving their 

dispute. DRS can be reached at 1-877-337-2237 or via the internet at 

http://www.ferc.gov/legal/adr.asp.

4.2.5 Each Party agrees to conduct all negotiations in good faith and will be responsible 

for one-half of any costs paid to neutral third-parties.

4.2.6 If neither Party elects to seek assistance from the DRS, or if the attempted dispute 

resolution fails, then either Party may exercise whatever rights and remedies it 

may have in equity or law consistent with the terms of these procedures.

4.3 Interconnection Metering

Any metering necessitated by the use of the Small Generating Facility shall be 

installed at the Interconnection Customer's expense in accordance with Federal 

Energy Regulatory Commission, state, or local regulatory requirements or the 

Transmission Provider's specifications.

4.4 Commissioning

Commissioning tests of the Interconnection Customer's installed equipment shall 

be performed pursuant to applicable codes and standards. The Transmission 

Provider must be given at least five Business Days written notice, or as otherwise 

mutually agreed to by the Parties, of the tests and may be present to witness the 

commissioning tests.

4.5. Confidentiality

4.5.1 Confidential information shall mean any confidential and/or proprietary 

information provided by one Party to the other Party that is clearly marked 

or otherwise designated "Confidential." For purposes of these procedures 

all design, operating specifications, and metering data provided by the 

Interconnection Customer shall be deemed confidential information 

regardless of whether it is clearly marked or otherwise designated as such.

4.5.2 Confidential Information does not include information previously in the 

public domain, required to be publicly submitted or divulged by 

Governmental Authorities (after notice to the other Party and after 

exhausting any opportunity to oppose such publication or release), or 

necessary to be divulged in an action to enforce these procedures. Each 

Party receiving Confidential Information shall hold such information in 

confidence and shall not disclose it to any third party nor to the public 
Small Generator Interconnection Procedures (SGIP) - 21 -

without the prior written authorization from the Party providing that 

information, except to fulfill obligations under these procedures, or to fulfill 

legal or regulatory requirements.

4.5.2.1Each Party shall employ at least the same standard of care to protect 

Confidential Information obtained from the other Party as it employs 

to protect its own Confidential Information.

4.5.2.2Each Party is entitled to equitable relief, by injunction or otherwise, 

to enforce its rights under this provision to prevent the release of 

Confidential Information without bond or proof of damages, and 

may seek other remedies available at law or in equity for breach of 

this provision.

4.5.3 Notwithstanding anything in this article to the contrary, and pursuant to 18 

CFR § 1b.20, if FERC, during the course of an investigation or otherwise, 

requests information from one of the Parties that is otherwise required to be 

maintained in confidence pursuant to these procedures, the Party shall 

provide the requested information to FERC, within the time provided for in 

the request for information. In providing the information to FERC, the 

Party may, consistent with 18 CFR § 388.112, request that the information 

be treated as confidential and non-public by FERC and that the information 

be withheld from public disclosure. Parties are prohibited from notifying 

the other Party prior to the release of the Confidential Information to 

FERC. The Party shall notify the other Party when it is notified by FERC 

that a request to release Confidential Information has been received by 

FERC, at which time either of the Parties may respond before such 

information would be made public, pursuant to 18 CFR § 388.112. 

Requests from a state regulatory body conducting a confidential 

investigation shall be treated in a similar manner if consistent with the 

applicable state rules and regulations.

4.6 Comparability

The Transmission Provider shall receive, process and analyze all Interconnection 

Requests in a timely manner as set forth in this document. The Transmission 

Provider shall use the same reasonable efforts in processing and analyzing 

Interconnection Requests from all Interconnection Customers, whether the Small 

Generating Facility is owned or operated by the Transmission Provider, its 

subsidiaries or affiliates, or others.
Small Generator Interconnection Procedures (SGIP) - 22 -

4.7 Record Retention

The Transmission Provider shall maintain for three years records, subject to audit, 

of all Interconnection Requests received under these procedures, the times 

required to complete Interconnection Request approvals and disapprovals, and 

justification for the actions taken on the Interconnection Requests.

4.8 Interconnection Agreement

After receiving an interconnection agreement from the Transmission Provider, the 

Interconnection Customer shall have 30 Business Days or another mutually 

agreeable timeframe to sign and return the interconnection agreement and agree to 

pay for Interconnection Facilities and Upgrades, if any, or request that the 

Transmission Provider file an unexecuted interconnection agreement with the 

Federal Energy Regulatory Commission. If the Interconnection Customer does 

not sign the interconnection agreement, or ask that it be filed unexecuted by the 

Transmission Provider within 30 Business Days, the Interconnection Request shall 

be deemed withdrawn. After the interconnection agreement is signed by the 

Parties, the interconnection of the Small Generating Facility shall proceed under 

the provisions of the interconnection agreement.

4.9 Coordination with Affected Systems

The Transmission Provider shall coordinate the conduct of any studies required to 

determine the impact of the Interconnection Request on Affected Systems with 

Affected System operators and, if possible, include those results (if available) in 

its applicable interconnection study within the time frame specified in these 

procedures. The Transmission Provider will include such Affected System 

operators in all meetings held with the Interconnection Customer as required by 

these procedures. The Interconnection Customer will cooperate with the 

Transmission Provider in all matters related to the conduct of studies and the 

determination of modifications to Affected Systems. A Transmission Provider

which may be an Affected System shall cooperate with the Transmission Provider 

with whom interconnection has been requested in all matters related to the conduct 

of studies and the determination of modifications to Affected Systems.

4.10 Capacity of the Small Generating Facility

4.10.1 If the Interconnection Request is for an increase in capacity for an existing 

Small Generating Facility, the Interconnection Request shall be evaluated 

on the basis of the new total capacity of the Small Generating Facility.

4.10.2 If the Interconnection Request is for a Small Generating Facility that 
Small Generator Interconnection Procedures (SGIP) - 23 -

includes multiple energy production devices at a site for which the 

Interconnection Customer seeks a single Point of Interconnection, the 

Interconnection Request shall be evaluated on the basis of the aggregate 

capacity of the multiple devices.

4.10.3 The Interconnection Request shall be evaluated using the maximum rated 

capacity of the Small Generating Facility.
SGIP Glossary of Terms - 1 -

Attachment 1

Glossary of Terms

10 kW Inverter Process – The procedure for evaluating an Interconnection Request for 

a certified inverter-based Small Generating Facility no larger than 10 kW that uses the 

section 2 screens. The application process uses an all-in-one document that includes a 

simplified Interconnection Request, simplified procedures, and a brief set of terms and 

conditions. See SGIP Attachment 5.

Affected System – An electric system other than the Transmission Provider's 

Transmission System that may be affected by the proposed interconnection.

Business Day – Monday through Friday, excluding Federal Holidays.

Distribution System – The Transmission Provider's facilities and equipment used to 

transmit electricity to ultimate usage points such as homes and industries directly from 

nearby generators or from interchanges with higher voltage transmission networks which 

transport bulk power over longer distances. The voltage levels at which Distribution 

Systems operate differ among areas.

Distribution Upgrades – The additions, modifications, and upgrades to the Transmission 

Provider's Distribution System at or beyond the Point of Interconnection to facilitate 

interconnection of the Small Generating Facility and render the transmission service

necessary to effect the Interconnection Customer's wholesale sale of electricity in 

interstate commerce. Distribution Upgrades do not include Interconnection Facilities.

Fast Track Process – The procedure for evaluating an Interconnection Request for a 

certified Small Generating Facility no larger than 2 MW that meets the eligibility 

requirements of section 2.1 and includes the section 2 screens, customer options meeting, 

and optional supplemental review.

Good Utility Practice – Any of the practices, methods and acts engaged in or approved 

by a significant portion of the electric industry during the relevant time period, or any of 

the practices, methods and act which, in the exercise of reasonable judgment in light of 

the facts known at the time the decision was made, could have been expected to 

accomplish the desired result at a reasonable cost consistent with good business practices, 

reliability, safety and expedition. Good Utility Practice is not intended to be limited to 

the optimum practice, method, or act to the exclusion of all others, but rather to be 

acceptable practices, methods, or acts generally accepted in the region.

Interconnection Customer – Any entity, including the Transmission Provider, the 

Transmission Owner or any of the affiliates or subsidiaries of either, that proposes to 

interconnect its Small Generating Facility with the Transmission Provider's Transmission 
SGIP Glossary of Terms - 2 -

System.

Interconnection Facilities – The Transmission Provider's Interconnection Facilities and 

the Interconnection Customer's Interconnection Facilities. Collectively, Interconnection 

Facilities include all facilities and equipment between the Small Generating Facility and 

the Point of Interconnection, including any modification, additions or upgrades that are 

necessary to physically and electrically interconnect the Small Generating Facility to the 

Transmission Provider's Transmission System. Interconnection Facilities are sole use 

facilities and shall not include Distribution Upgrades or Network Upgrades.

Interconnection Request – The Interconnection Customer's request, in accordance with 

the Tariff, to interconnect a new Small Generating Facility, or to increase the capacity of, 

or make a Material Modification to the operating characteristics of, an existing Small 

Generating Facility that is interconnected with the Transmission Provider’s Transmission 

System.

Material Modification – A modification that has a material impact on the cost or timing 

of any Interconnection Request with a later queue priority date.

Network Resource – Any designated generating resource owned, purchased, or leased 

by a Network Customer under the Network Integration Transmission Service Tariff. 

Network Resources do not include any resource, or any portion thereof, that is committed 

for sale to third parties or otherwise cannot be called upon to meet the Network 

Customer’s Network Load on a non-interruptible basis.

Network Resource Interconnection Service – An Interconnection Service that allows 

the Interconnection Customer to integrate its Generating Facility with the Transmission 

Provider’s System (1) in a manner comparable to that in which the Transmission 

Provider integrates its generating facilities to serve native load customers; or (2) in an 

RTO or ISO with market based congestion management, in the same manner as Network 

Resources. Network Resource Interconnection Service in and of itself does not convey 

transmission service.

Network Upgrades – Additions, modifications, and upgrades to the Transmission 

Provider's Transmission System required at or beyond the point at which the Small 

Generating Facility interconnects with the Transmission Provider’s Transmission System 

to accommodate the interconnection with the Small Generating Facility to the 

Transmission Provider’s Transmission System. Network Upgrades do not include 

Distribution Upgrades.

Party or Parties – The Transmission Provider, Transmission Owner, Interconnection 

Customer or any combination of the above.
SGIP Glossary of Terms - 3 -

Point of Interconnection – The point where the Interconnection Facilities connect with 

the Transmission Provider's Distribution System or Transmission System.

Queue Position – The order of a valid Interconnection Request, relative to all other 

pending valid Interconnection Requests, that is established based upon the date and time 

of receipt of the valid Interconnection Request by the Transmission Provider.

Small Generating Facility – The Interconnection Customer's device for the production 

of electricity identified in the Interconnection Request, but shall not include the 

Interconnection Customer's Interconnection Facilities.

Study Process – The procedure for evaluating an Interconnection Request that includes 

the section 3 scoping meeting, feasibility study, system impact study, and facilities study.

Transmission Owner – The entity that owns, leases or otherwise possesses an interest in 

the portion of the Transmission System at the Point of Interconnection and may be a 

Party to the Small Generator Interconnection Agreement to the extent necessary.

Transmission Provider – The public utility (or its designated agent) that owns, controls, 

or operates transmission or distribution facilities used for the transmission of electricity in 

interstate commerce and provides transmission service under the Tariff. The term 

Transmission Provider should be read to include the Transmission Owner when the 

Transmission Owner is separate from the Transmission Provider.

Transmission System – The facilities owned, controlled or operated by the Transmission 

Provider or the Transmission Owner that are used to provide transmission service under 

the Tariff.

Upgrades – The required additions and modifications to the Transmission Provider's 

Transmission System at or beyond the Point of Interconnection. Upgrades may be 

Network Upgrades or Distribution Upgrades. Upgrades do not include Interconnection 

Facilities.
Small Generator Interconnection Request - 1 -

Attachment 2

SMALL GENERATOR INTERCONNECTION REQUEST

(Application Form)

Transmission Provider: _______________________________________________________________

Designated Contact Person: ______

Address: ______

Telephone Number: _____________________________________________________________

Fax: _____

E-Mail Address: _____

An Interconnection Request is considered complete when it provides all applicable and correct 

information required below. Per SGIP section 1.5, documentation of site control must be submitted with 

the Interconnection Request.

Preamble and Instructions

An Interconnection Customer who requests a Federal Energy Regulatory Commission jurisdictional 

interconnection must submit this Interconnection Request by hand delivery, mail, e-mail, or fax to the 

Transmission Provider.

Processing Fee or Deposit:

If the Interconnection Request is submitted under the Fast Track Process, the non-refundable processing 

fee is $500.

If the Interconnection Request is submitted under the Study Process, whether a new submission or an 

Interconnection Request that did not pass the Fast Track Process, the Interconnection Customer shall 

submit to the Transmission Provider a deposit not to exceed $1,000 towards the cost of the feasibility 

study.

Interconnection Customer Information

Legal Name of the Interconnection Customer (or, if an individual, individual's name)

Name: 

Contact Person: 
Small Generator Interconnection Request - 2 -

Mailing Address: 

City: State: Zip: 

Facility Location (if different from above): 

Telephone (Day): ______________________ Telephone (Evening): _____________________

Fax: _______________________________ E-Mail Address: __________________________________

Alternative Contact Information (if different from the Interconnection Customer)

Contact Name: ___________________________________

Title: ____________________________________________________________________ ______

Address: ___________________________________

 ___________________________________

Telephone (Day): ______________________ Telephone (Evening): ______________________

Fax: _____________________________________ E-Mail Address: _________________________

Application is for: ______New Small Generating Facility

______Capacity addition to Existing Small Generating Facility

If capacity addition to existing facility, please describe: 

Will the Small Generating Facility be used for any of the following?

Net Metering? Yes ___ No ___

To Supply Power to the Interconnection Customer? Yes ___No ___

To Supply Power to Others? Yes ____ No ____

For installations at locations with existing electric service to which the proposed Small Generating 

Facility will interconnect, provide:

(Local Electric Service Provider*) (Existing Account Number*)

[*To be provided by the Interconnection Customer if the local electric service provider is different from 

the Transmission Provider]
Small Generator Interconnection Request - 3 -

Contact Name: __________________________________

Title: __________________________________

Address: __________________________________

 __________________________________

Telephone (Day): _____________________________ Telephone (Evening): ______________________

Fax: _________________________________________ E-Mail Address: _________________________

Requested Point of Interconnection: _____________

Interconnection Customer's Requested In-Service Date: 

Small Generating Facility Information

Data apply only to the Small Generating Facility, not the Interconnection Facilities.

Energy Source: ___ Solar ___ Wind ___ Hydro ___ Hydro Type (e.g. Run-of-River):_____________

Diesel ___ Natural Gas ___ Fuel Oil ___ Other (state type) ___________________________

Prime Mover: Fuel Cell Recip Engine Gas Turb Steam Turb

 Microturbine PV Other

Type of Generator: ____Synchronous ____Induction ____ Inverter

Generator Nameplate Rating: ________kW (Typical) Generator Nameplate kVAR: _______

Interconnection Customer or Customer-Site Load: _________________kW (if none, so state)

Typical Reactive Load (if known): _________________

Maximum Physical Export Capability Requested: ______________ kW

List components of the Small Generating Facility equipment package that are currently certified:

Equipment Type Certifying Entity

1. 

2. 

3. 

4. 

5. 

Is the prime mover compatible with the certified protective relay package? ____Yes ____No
Small Generator Interconnection Request - 4 -

Generator (or solar collector)

Manufacturer, Model Name & Number: 

Version Number: 

Nameplate Output Power Rating in kW: (Summer) _____________ (Winter) ______________

Nameplate Output Power Rating in kVA: (Summer) _____________ (Winter) ______________

Individual Generator Power Factor

Rated Power Factor: Leading: _____________Lagging: _______________

Total Number of Generators in wind farm to be interconnected pursuant to this

Interconnection Request: __________ Elevation: ______ ___Single phase ___Three phase

Inverter Manufacturer, Model Name & Number (if used): _____________________________________

List of adjustable set points for the protective equipment or software: __________________________

Note: A completed Power Systems Load Flow data sheet must be supplied with the Interconnection 

Request.

Small Generating Facility Characteristic Data (for inverter-based machines)

Max design fault contribution current: Instantaneous or RMS? 

Harmonics Characteristics: 

Start-up requirements: 

Small Generating Facility Characteristic Data (for rotating machines)

RPM Frequency: _____________

(*) Neutral Grounding Resistor (If Applicable): ____________

Synchronous Generators:

Direct Axis Synchronous Reactance, Xd: _______ P.U.

Direct Axis Transient Reactance, X' d: ___________P.U.

Direct Axis Subtransient Reactance, X" d: ______________P.U.

Negative Sequence Reactance, X2: _________ P.U.

Zero Sequence Reactance, X0: ____________ P.U.
Small Generator Interconnection Request - 5 -

KVA Base: __________________________

Field Volts: ______________

Field Amperes: ______________

Induction Generators:

Motoring Power (kW): ______________

I2

2

t or K (Heating Time Constant): ______________

Rotor Resistance, Rr: ______________

Stator Resistance, Rs: ______________ 

Stator Reactance, Xs: ______________

Rotor Reactance, Xr: ______________ 

Magnetizing Reactance, Xm: ______________

Short Circuit Reactance, Xd'': ______________

Exciting Current: ______________

Temperature Rise: ______________

Frame Size: ______________ 

Design Letter: ______________

Reactive Power Required In Vars (No Load): ______________

Reactive Power Required In Vars (Full Load): ______________

Total Rotating Inertia, H: _____________ Per Unit on kVA Base

Note: Please contact the Transmission Provider prior to submitting the Interconnection Request to 

determine if the specified information above is required.

Excitation and Governor System Data for Synchronous Generators Only

Provide appropriate IEEE model block diagram of excitation system, governor system and power system 

stabilizer (PSS) in accordance with the regional reliability council criteria. A PSS may be determined to 

be required by applicable studies. A copy of the manufacturer's block diagram may not be substituted.

Interconnection Facilities Information

Will a transformer be used between the generator and the point of common coupling? ___Yes ___No

Will the transformer be provided by the Interconnection Customer? ____Yes ____No

Transformer Data (If Applicable, for Interconnection Customer-Owned Transformer):

Is the transformer: ____single phase _____three phase? Size: ___________kVA 

Transformer Impedance: _______% on __________kVA Base

If Three Phase:

Transformer Primary: _____ Volts _____ Delta _____Wye _____ Wye Grounded

Transformer Secondary: _____ Volts _____ Delta _____Wye _____ Wye Grounded

Transformer Tertiary: _____ Volts _____ Delta _____Wye _____ Wye Grounded
Small Generator Interconnection Request - 6 -

Transformer Fuse Data (If Applicable, for Interconnection Customer-Owned Fuse):

(Attach copy of fuse manufacturer's Minimum Melt and Total Clearing Time-Current Curves)

Manufacturer: __________________ Type: _______________ Size: ________Speed: ______________

Interconnecting Circuit Breaker (if applicable):

Manufacturer: ____________________________ Type: __________

Load Rating (Amps): _______ Interrupting Rating (Amps): ________ Trip Speed (Cycles): __________

Interconnection Protective Relays (If Applicable):

If Microprocessor-Controlled:

List of Functions and Adjustable Setpoints for the protective equipment or software:

Setpoint Function Minimum Maximum

1.

2.

3.

4.

5.

6.

If Discrete Components:

(Enclose Copy of any Proposed Time-Overcurrent Coordination Curves)

Manufacturer: Type: Style/Catalog No.: Proposed Setting: 

Manufacturer: Type: Style/Catalog No.: Proposed Setting: 

Manufacturer: Type: Style/Catalog No.: Proposed Setting: 

Manufacturer: Type: Style/Catalog No.: Proposed Setting: 

Manufacturer: Type: Style/Catalog No.: Proposed Setting: 
Small Generator Interconnection Request - 7 -

Current Transformer Data (If Applicable):

(Enclose Copy of Manufacturer's Excitation and Ratio Correction Curves)

Manufacturer: 

Type: Accuracy Class: Proposed Ratio Connection: ____

Manufacturer: 

Type: Accuracy Class: Proposed Ratio Connection: ____

Potential Transformer Data (If Applicable):

Manufacturer: 

Type: Accuracy Class: Proposed Ratio Connection: ____

Manufacturer: 

Type: Accuracy Class: Proposed Ratio Connection: ____

General Information

Enclose copy of site electrical one-line diagram showing the configuration of all Small Generating 

Facility equipment, current and potential circuits, and protection and control schemes. This one-line 

diagram must be signed and stamped by a licensed Professional Engineer if the Small Generating Facility 

is larger than 50 kW. Is One-Line Diagram Enclosed? ____Yes ____No

Enclose copy of any site documentation that indicates the precise physical location of the proposed Small 

Generating Facility (e.g., USGS topographic map or other diagram or documentation).

Proposed location of protective interface equipment on property (include address if different from the 

Interconnection Customer's address) ___________________________________________________

Enclose copy of any site documentation that describes and details the operation of the protection and 

control schemes. Is Available Documentation Enclosed? ___Yes ____No

Enclose copies of schematic drawings for all protection and control circuits, relay current circuits, relay 

potential circuits, and alarm/monitoring circuits (if applicable).

Are Schematic Drawings Enclosed? ___Yes ____No

Applicant Signature

I hereby certify that, to the best of my knowledge, all the information provided in this Interconnection 

Request is true and correct.

For Interconnection Customer: __________________________Date:_____________ 
Small Generator Certification Codes and Standards - 1 -

Attachment 3

Certification Codes and Standards

IEEE1547 Standard for Interconnecting Distributed Resources with Electric Power 

Systems (including use of IEEE 1547.1 testing protocols to establish conformity) 

UL 1741 Inverters, Converters, and Controllers for Use in Independent Power Systems

IEEE Std 929-2000 IEEE Recommended Practice for Utility Interface of Photovoltaic 

(PV) Systems

NFPA 70 (2002), National Electrical Code

IEEE Std C37.90.1-1989 (R1994), IEEE Standard Surge Withstand Capability (SWC) 

Tests for Protective Relays and Relay Systems

IEEE Std C37.90.2 (1995), IEEE Standard Withstand Capability of Relay Systems to 

Radiated Electromagnetic Interference from Transceivers

IEEE Std C37.108-1989 (R2002), IEEE Guide for the Protection of Network 

Transformers

IEEE Std C57.12.44-2000, IEEE Standard Requirements for Secondary Network 

Protectors

IEEE Std C62.41.2-2002, IEEE Recommended Practice on Characterization of Surges in 

Low Voltage (1000V and Less) AC Power Circuits

IEEE Std C62.45-1992 (R2002), IEEE Recommended Practice on Surge Testing for 

Equipment Connected to Low-Voltage (1000V and Less) AC Power Circuits

ANSI C84.1-1995 Electric Power Systems and Equipment – Voltage Ratings (60 Hertz)

IEEE Std 100-2000, IEEE Standard Dictionary of Electrical and Electronic Terms

NEMA MG 1-1998, Motors and Small Resources, Revision 3

IEEE Std 519-1992, IEEE Recommended Practices and Requirements for Harmonic 

Control in Electrical Power Systems

NEMA MG 1-2003 (Rev 2004), Motors and Generators, Revision 1
Small Generator Certification Process - 1 -

Attachment 4

Certification of Small Generator Equipment Packages

1.0 Small Generating Facility equipment proposed for use separately or packaged with 

other equipment in an interconnection system shall be considered certified for 

interconnected operation if (1) it has been tested in accordance with industry 

standards for continuous utility interactive operation in compliance with the 

appropriate codes and standards referenced below by any Nationally Recognized 

Testing Laboratory (NRTL) recognized by the United States Occupational Safety 

and Health Administration to test and certify interconnection equipment pursuant 

to the relevant codes and standards listed in SGIP Attachment 3, (2) it has been 

labeled and is publicly listed by such NRTL at the time of the interconnection 

application, and (3) such NRTL makes readily available for verification all test 

standards and procedures it utilized in performing such equipment certification, 

and, with consumer approval, the test data itself. The NRTL may make such 

information available on its website and by encouraging such information to be 

included in the manufacturer’s literature accompanying the equipment.

2.0 The Interconnection Customer must verify that the intended use of the equipment 

falls within the use or uses for which the equipment was tested, labeled, and listed 

by the NRTL.

3.0 Certified equipment shall not require further type-test review, testing, or additional 

equipment to meet the requirements of this interconnection procedure; however, 

nothing herein shall preclude the need for an on-site commissioning test by the 

parties to the interconnection nor follow-up production testing by the NRTL.

4.0 If the certified equipment package includes only interface components 

(switchgear, inverters, or other interface devices), then an Interconnection 

Customer must show that the generator or other electric source being utilized with 

the equipment package is compatible with the equipment package and is consistent 

with the testing and listing specified for this type of interconnection equipment.

5.0 Provided the generator or electric source, when combined with the equipment 

package, is within the range of capabilities for which it was tested by the NRTL, 

and does not violate the interface components' labeling and listing performed by 

the NRTL, no further design review, testing or additional equipment on the 

customer side of the point of common coupling shall be required to meet the 

requirements of this interconnection procedure.
Small Generator Certification Process - 2 -

6.0 An equipment package does not include equipment provided by the utility.

7.0 Any equipment package approved and listed in a state by that state’s regulatory 

body for interconnected operation in that state prior to the effective date of these 

small generator interconnection procedures shall be considered certified under 

these procedures for use in that state.

 
Small Generator 10 kW Inverter Process - 1 -

Attachment 5

Application, Procedures, and Terms and Conditions for Interconnecting

a Certified Inverter-Based Small Generating Facility No

Larger than 10 kW ("10 kW Inverter Process")

1.0 The Interconnection Customer ("Customer") completes the Interconnection 

Request ("Application") and submits it to the Transmission Provider 

("Company").

2.0 The Company acknowledges to the Customer receipt of the Application within 

three Business Days of receipt.

3.0 The Company evaluates the Application for completeness and notifies the 

Customer within ten Business Days of receipt that the Application is or is not 

complete and, if not, advises what material is missing.

4.0 The Company verifies that the Small Generating Facility can be interconnected 

safely and reliably using the screens contained in the Fast Track Process in the 

Small Generator Interconnection Procedures (SGIP). The Company has 15 

Business Days to complete this process. Unless the Company determines and 

demonstrates that the Small Generating Facility cannot be interconnected safely 

and reliably, the Company approves the Application and returns it to the 

Customer. Note to Customer: Please check with the Company before submitting 

the Application if disconnection equipment is required. 

5.0 After installation, the Customer returns the Certificate of Completion to the 

Company. Prior to parallel operation, the Company may inspect the Small 

Generating Facility for compliance with standards which may include a witness 

test, and may schedule appropriate metering replacement, if necessary.

6.0 The Company notifies the Customer in writing that interconnection of the Small 

Generating Facility is authorized. If the witness test is not satisfactory, the 

Company has the right to disconnect the Small Generating Facility. The Customer

has no right to operate in parallel until a witness test has been performed, or 

previously waived on the Application. The Company is obligated to complete this 

witness test within ten Business Days of the receipt of the Certificate of 

Completion. If the Company does not inspect within ten Business Days or by 
Small Generator 10 kW Inverter Process - 2 -

mutual agreement of the Parties, the witness test is deemed waived.

7.0 Contact Information – The Customer must provide the contact information for the 

legal applicant (i.e., the Interconnection Customer). If another entity is 

responsible for interfacing with the Company, that contact information must be 

provided on the Application.

8.0 Ownership Information – Enter the legal names of the owner(s) of the Small 

Generating Facility. Include the percentage ownership (if any) by any utility or 

public utility holding company, or by any entity owned by either.

9.0 UL1741 Listed – This standard ("Inverters, Converters, and Controllers for Use in 

Independent Power Systems") addresses the electrical interconnection design of 

various forms of generating equipment. Many manufacturers submit their 

equipment to a Nationally Recognized Testing Laboratory (NRTL) that verifies 

compliance with UL1741. This "listing" is then marked on the equipment and 

supporting documentation.
Small Generator 10 kW Inverter Process - 3 -

Application for Interconnecting a Certified Inverter-Based Small Generating 

Facility No Larger than 10kW

This Application is considered complete when it provides all applicable and correct information required 

below. Per SGIP section 1.5, documentation of site control must be submitted with the Interconnection 

Request. Additional information to evaluate the Application may be required.

Processing Fee

A non-refundable processing fee of $100 must accompany this Application.

Interconnection Customer

Name: _______________________________________________________________________

Contact Person:

Address: 

City: State: Zip: 

Telephone (Day): (Evening): 

Fax: E-Mail Address: 

Contact (if different from Interconnection Customer)

Name: 

Address: 

City: State: Zip: 

Telephone (Day): (Evening): 

Fax: E-Mail Address: 

Owner of the facility (include % ownership by any electric utility): 

Small Generating Facility Information

Location (if different from above): 

Electric Service Company: 

Account Number: 
Small Generator 10 kW Inverter Process - 4 -

Inverter Manufacturer: Model

Nameplate Rating: (kW) (kVA) (AC Volts)

Single Phase _______ Three Phase

System Design Capacity: _________ (kW) _______ (kVA)

Prime Mover: Photovoltaic Reciprocating Engine Fuel Cell 

Turbine Other 

Energy Source: Solar Wind Hydro Diesel Natural Gas 

Fuel Oil Other (describe) _______________________________

Is the equipment UL1741 Listed? Yes No 

If Yes, attach manufacturer’s cut-sheet showing UL1741 listing

Estimated Installation Date: _____________ Estimated In-Service Date: ____________ 

The 10 kW Inverter Process is available only for inverter-based Small Generating Facilities no larger than 

10 kW that meet the codes, standards, and certification requirements of Attachments 3 and 4 of the Small 

Generator Interconnection Procedures (SGIP), or the Transmission Provider has reviewed the design or 

tested the proposed Small Generating Facility and is satisfied that it is safe to operate.

List components of the Small Generating Facility equipment package that are currently certified:

Equipment Type Certifying Entity

1. 

2. 

3. 

4. 

5. 

Interconnection Customer Signature 

I hereby certify that, to the best of my knowledge, the information provided in this Application is true. I 

agree to abide by the Terms and Conditions for Interconnecting an Inverter-Based Small Generating 

Facility No Larger than 10kW and return the Certificate of Completion when the Small Generating 

Facility has been installed.

Signed: ___________________________________________________________________ 

Title: Date: 

Contingent Approval to Interconnect the Small Generating Facility

(For Company use only) 

Interconnection of the Small Generating Facility is approved contingent upon the Terms and Conditions

for Interconnecting an Inverter-Based Small Generating Facility No Larger than 10kW and return of the 

Certificate of Completion.
Small Generator 10 kW Inverter Process - 5 -

Company Signature: __________________________________________________

Title: Date: 

Application ID number: __________________ 

Company waives inspection/witness test? Yes___No___
Small Generator 10 kW Inverter Process - 6 -

Small Generating Facility Certificate of Completion

Is the Small Generating Facility owner-installed? Yes______ No ______

Interconnection Customer: _____________________________________________________________

Contact Person:

Address: 

Location of the Small Generating Facility (if different from above): 

___________________________________________________________________________________

City: State: Zip Code: 

Telephone (Day): (Evening): 

Fax: E-Mail Address: 

Electrician: 

Name: 

Address: 

City: State: Zip Code: 

Telephone (Day): (Evening): 

Fax: E-Mail Address: 

License number: ____________________________________

Date Approval to Install Facility granted by the Company: ___________________

Application ID number: ______________________________

Inspection: 

The Small Generating Facility has been installed and inspected in compliance with the local

building/electrical code of 

Signed (Local electrical wiring inspector, or attach signed electrical inspection):

______________________________________________________________________________

Print Name: 

Date: ___________
Small Generator 10 kW Inverter Process - 7 -

As a condition of interconnection, you are required to send/fax a copy of this form along with a copy of 

the signed electrical permit to (insert Company information below): 

Name: _______________________________________________

Company: ____________________________________________

Address:______________________________________________

_____________________________________________________

City, State ZIP: ________________________________________

Fax: 

Approval to Energize the Small Generating Facility (For Company use only) 

Energizing the Small Generating Facility is approved contingent upon the Terms and Conditions for 

Interconnecting an Inverter-Based Small Generating Facility No Larger than 10kW

Company Signature: 

Title: Date: 
Small Generator 10 kW Inverter Process - 8 -

Terms and Conditions for Interconnecting an Inverter-Based

Small Generating Facility No Larger than 10kW

1.0 Construction of the Facility

The Interconnection Customer (the "Customer") may proceed to construct (including operational 

testing not to exceed two hours) the Small Generating Facility when the Transmission Provider 

(the "Company") approves the Interconnection Request (the "Application") and returns it to the 

Customer.

2.0 Interconnection and Operation

The Customer may operate Small Generating Facility and interconnect with the Company’s 

electric system once all of the following have occurred:

2.1 Upon completing construction, the Customer will cause the Small Generating Facility to 

be inspected or otherwise certified by the appropriate local electrical wiring inspector 

with jurisdiction, and

2.2 The Customer returns the Certificate of Completion to the Company, and 

2.3 The Company has either:

2.3.1 Completed its inspection of the Small Generating Facility to ensure that all 

equipment has been appropriately installed and that all electrical connections 

have been made in accordance with applicable codes. All inspections must be 

conducted by the Company, at its own expense, within ten Business Days after 

receipt of the Certificate of Completion and shall take place at a time agreeable to 

the Parties. The Company shall provide a written statement that the Small 

Generating Facility has passed inspection or shall notify the Customer of what 

steps it must take to pass inspection as soon as practicable after the inspection 

takes place; or

2.3.2 If the Company does not schedule an inspection of the Small Generating Facility 

within ten business days after receiving the Certificate of Completion, the 

witness test is deemed waived (unless the Parties agree otherwise); or

2.3.3 The Company waives the right to inspect the Small Generating Facility.

2.4 The Company has the right to disconnect the Small Generating Facility in the event of 

improper installation or failure to return the Certificate of Completion.

2.5 Revenue quality metering equipment must be installed and tested in accordance with 

applicable ANSI standards.

3.0 Safe Operations and Maintenance

The Customer shall be fully responsible to operate, maintain, and repair the Small Generating 
Small Generator 10 kW Inverter Process - 9 -

Facility as required to ensure that it complies at all times with the interconnection standards to 

which it has been certified.

4.0 Access

The Company shall have access to the disconnect switch (if the disconnect switch is required) and 

metering equipment of the Small Generating Facility at all times. The Company shall provide 

reasonable notice to the Customer when possible prior to using its right of access. 

5.0 Disconnection

The Company may temporarily disconnect the Small Generating Facility upon the following 

conditions:

5.1 For scheduled outages upon reasonable notice.

5.2 For unscheduled outages or emergency conditions.

5.3 If the Small Generating Facility does not operate in the manner consistent with these 

Terms and Conditions.

5.4 The Company shall inform the Customer in advance of any scheduled disconnection, or 

as is reasonable after an unscheduled disconnection.

6.0 Indemnification

The Parties shall at all times indemnify, defend, and save the other Party harmless from, any and 

all damages, losses, claims, including claims and actions relating to injury to or death of any 

person or damage to property, demand, suits, recoveries, costs and expenses, court costs, attorney 

fees, and all other obligations by or to third parties, arising out of or resulting from the other 

Party's action or inactions of its obligations under this agreement on behalf of the indemnifying 

Party, except in cases of gross negligence or intentional wrongdoing by the indemnified Party.

7. 0 Insurance

The Parties agree to follow all applicable insurance requirements imposed by the state in which 

the Point of Interconnection is located. All insurance policies must be maintained with insurers 

authorized to do business in that state.

8.0 Limitation of Liability

Each party’s liability to the other party for any loss, cost, claim, injury, liability, or expense, 

including reasonable attorney’s fees, relating to or arising from any act or omission in its 

performance of this Agreement, shall be limited to the amount of direct damage actually incurred. 

In no event shall either party be liable to the other party for any indirect, incidental, special, 

consequential, or punitive damages of any kind whatsoever, except as allowed under paragraph 

6.0.

9.0 Termination

The agreement to operate in parallel may be terminated under the following conditions:

9.1 By the Customer
Small Generator 10 kW Inverter Process - 10 -

By providing written notice to the Company.

9.2 By the Company

If the Small Generating Facility fails to operate for any consecutive 12 month 

period or the Customer fails to remedy a violation of these Terms and 

Conditions.

9.3 Permanent Disconnection

In the event this Agreement is terminated, the Company shall have the right to 

disconnect its facilities or direct the Customer to disconnect its Small Generating 

Facility.

9.4 Survival Rights

This Agreement shall continue in effect after termination to the extent necessary 

to allow or require either Party to fulfill rights or obligations that arose under the 

Agreement.

10.0 Assignment/Transfer of Ownership of the Facility

This Agreement shall survive the transfer of ownership of the Small Generating Facility to a new 

owner when the new owner agrees in writing to comply with the terms of this Agreement and so 

notifies the Company.
SGIP Feasibility Study Agreement - 1 -

Attachment 6

Feasibility Study Agreement

THIS AGREEMENT is made and entered into this_____day of______________

20___ by and between_____________________________________________________,

a____________________________organized and existing under the laws of the State of

__________________________________________, ("Interconnection Customer,") and

_____________________________________________________, a________________

existing under the laws of the State of________________________________________,

("Transmission Provider"). Interconnection Customer and Transmission Provider each 

may be referred to as a "Party," or collectively as the "Parties."

RECITALS

WHEREAS, Interconnection Customer is proposing to develop a Small Generating 

Facility or generating capacity addition to an existing Small Generating Facility 

consistent with the Interconnection Request completed by Interconnection Customer 

on_________________________; and

WHEREAS, Interconnection Customer desires to interconnect the Small Generating 

Facility with the Transmission Provider's Transmission System; and

WHEREAS, Interconnection Customer has requested the Transmission Provider to 

perform a feasibility study to assess the feasibility of interconnecting the proposed Small 

Generating Facility with the Transmission Provider's Transmission System, and of any 

Affected Systems; 

NOW, THEREFORE, in consideration of and subject to the mutual covenants contained 

herein the Parties agreed as follows:

1.0 When used in this Agreement, with initial capitalization, the terms specified shall 

have the meanings indicated or the meanings specified in the standard Small 

Generator Interconnection Procedures.

2.0 The Interconnection Customer elects and the Transmission Provider shall cause to 

be performed an interconnection feasibility study consistent the standard Small 

Generator Interconnection Procedures in accordance with the Open Access 

Transmission Tariff.
SGIP Feasibility Study Agreement - 2 -

3.0 The scope of the feasibility study shall be subject to the assumptions set forth in 

Attachment A to this Agreement.

4.0 The feasibility study shall be based on the technical information provided by the 

Interconnection Customer in the Interconnection Request, as may be modified as 

the result of the scoping meeting. The Transmission Provider reserves the right to 

request additional technical information from the Interconnection Customer as 

may reasonably become necessary consistent with Good Utility Practice during the 

course of the feasibility study and as designated in accordance with the standard 

Small Generator Interconnection Procedures. If the Interconnection Customer 

modifies its Interconnection Request, the time to complete the feasibility study 

may be extended by agreement of the Parties.

5.0 In performing the study, the Transmission Provider shall rely, to the extent 

reasonably practicable, on existing studies of recent vintage. The Interconnection 

Customer shall not be charged for such existing studies; however, the 

Interconnection Customer shall be responsible for charges associated with any 

new study or modifications to existing studies that are reasonably necessary to 

perform the feasibility study.

6.0 The feasibility study report shall provide the following analyses for the purpose of 

identifying any potential adverse system impacts that would result from the 

interconnection of the Small Generating Facility as proposed:

6.1 Initial identification of any circuit breaker short circuit capability limits 

exceeded as a result of the interconnection;

6.2 Initial identification of any thermal overload or voltage limit violations 

resulting from the interconnection; 

6.3 Initial review of grounding requirements and electric system protection; 

and

6.4 Description and non-binding estimated cost of facilities required to 

interconnect the proposed Small Generating Facility and to address the 

identified short circuit and power flow issues.

7.0 The feasibility study shall model the impact of the Small Generating Facility 

regardless of purpose in order to avoid the further expense and interruption of 

operation for reexamination of feasibility and impacts if the Interconnection 
SGIP Feasibility Study Agreement - 3 -

Customer later changes the purpose for which the Small Generating Facility is 

being installed.

8.0 The study shall include the feasibility of any interconnection at a proposed project 

site where there could be multiple potential Points of Interconnection, as requested 

by the Interconnection Customer and at the Interconnection Customer's cost.

9.0 A deposit of the lesser of 50 percent of good faith estimated feasibility study costs 

or earnest money of $1,000 may be required from the Interconnection Customer.

10.0 Once the feasibility study is completed, a feasibility study report shall be prepared 

and transmitted to the Interconnection Customer. Barring unusual circumstances, 

the feasibility study must be completed and the feasibility study report transmitted 

within 30 Business Days of the Interconnection Customer's agreement to conduct 

a feasibility study.

11.0 Any study fees shall be based on the Transmission Provider's actual costs and will 

be invoiced to the Interconnection Customer after the study is completed and 

delivered and will include a summary of professional time.

12.0 The Interconnection Customer must pay any study costs that exceed the deposit 

without interest within 30 calendar days on receipt of the invoice or resolution of 

any dispute. If the deposit exceeds the invoiced fees, the Transmission Provider 

shall refund such excess within 30 calendar days of the invoice without interest.

13.0 Governing Law, Regulatory Authority, and Rules

The validity, interpretation and enforcement of this Agreement and each of its 

provisions shall be governed by the laws of the state of __________________ 

(where the Point of Interconnection is located), without regard to its conflicts of 

law principles. This Agreement is subject to all Applicable Laws and Regulations. 

Each Party expressly reserves the right to seek changes in, appeal, or otherwise 

contest any laws, orders, or regulations of a Governmental Authority.

14.0 Amendment

The Parties may amend this Agreement by a written instrument duly executed by 

both Parties.

15.0 No Third-Party Beneficiaries

This Agreement is not intended to and does not create rights, remedies, or benefits 

of any character whatsoever in favor of any persons, corporations, associations, or 
SGIP Feasibility Study Agreement - 4 -

entities other than the Parties, and the obligations herein assumed are solely for the 

use and benefit of the Parties, their successors in interest and where permitted, 

their assigns.

16.0 Waiver

16.1 The failure of a Party to this Agreement to insist, on any occasion, upon 

strict performance of any provision of this Agreement will not be 

considered a waiver of any obligation, right, or duty of, or imposed upon, 

such Party.

16.2 Any waiver at any time by either Party of its rights with respect to this 

Agreement shall not be deemed a continuing waiver or a waiver with 

respect to any other failure to comply with any other obligation, right, duty 

of this Agreement. Termination or default of this Agreement for any 

reason by Interconnection Customer shall not constitute a waiver of the 

Interconnection Customer's legal rights to obtain an interconnection from 

the Transmission Provider. Any waiver of this Agreement shall, if 

requested, be provided in writing.

17.0 Multiple Counterparts

This Agreement may be executed in two or more counterparts, each of which is 

deemed an original but all constitute one and the same instrument.

18.0 No Partnership

This Agreement shall not be interpreted or construed to create an association, joint 

venture, agency relationship, or partnership between the Parties or to impose any 

partnership obligation or partnership liability upon either Party. Neither Party 

shall have any right, power or authority to enter into any agreement or undertaking 

for, or act on behalf of, or to act as or be an agent or representative of, or to 

otherwise bind, the other Party.

19.0 Severability

If any provision or portion of this Agreement shall for any reason be held or 

adjudged to be invalid or illegal or unenforceable by any court of competent 

jurisdiction or other Governmental Authority, (1) such portion or provision shall 

be deemed separate and independent, (2) the Parties shall negotiate in good faith to 

restore insofar as practicable the benefits to each Party that were affected by such 

ruling, and (3) the remainder of this Agreement shall remain in full force and 

effect.
SGIP Feasibility Study Agreement - 5 -

20.0 Subcontractors

Nothing in this Agreement shall prevent a Party from utilizing the services of any 

subcontractor as it deems appropriate to perform its obligations under this 

Agreement; provided, however, that each Party shall require its subcontractors to 

comply with all applicable terms and conditions of this Agreement in providing 

such services and each Party shall remain primarily liable to the other Party for the 

performance of such subcontractor.

20.1 The creation of any subcontract relationship shall not relieve the hiring

Party of any of its obligations under this Agreement. The hiring Party shall 

be fully responsible to the other Party for the acts or omissions of any 

subcontractor the hiring Party hires as if no subcontract had been made; 

provided, however, that in no event shall the Transmission Provider be 

liable for the actions or inactions of the Interconnection Customer or its 

subcontractors with respect to obligations of the Interconnection Customer 

under this Agreement. Any applicable obligation imposed by this 

Agreement upon the hiring Party shall be equally binding upon, and shall 

be construed as having application to, any subcontractor of such Party.

20.2 The obligations under this article will not be limited in any way by any 

limitation of subcontractor’s insurance.

21.0 Reservation of Rights

The Transmission Provider shall have the right to make a unilateral filing with 

FERC to modify this Agreement with respect to any rates, terms and conditions, 

charges, classifications of service, rule or regulation under section 205 or any 

other applicable provision of the Federal Power Act and FERC's rules and 

regulations thereunder, and the Interconnection Customer shall have the right to

make a unilateral filing with FERC to modify this Agreement under any applicable 

provision of the Federal Power Act and FERC's rules and regulations; provided 

that each Party shall have the right to protest any such filing by the other Party and 

to participate fully in any proceeding before FERC in which such modifications 

may be considered. Nothing in this Agreement shall limit the rights of the Parties 

or of FERC under sections 205 or 206 of the Federal Power Act and FERC's rules 

and regulations, except to the extent that the Parties otherwise agree as provided 

herein.

IN WITNESS WHEREOF, the Parties have caused this Agreement to be duly executed 

by their duly authorized officers or agents on the day and year first above written.
SGIP Feasibility Study Agreement - 6 -

[Insert name of Transmission Provider] [Insert name of Interconnection 

Customer]

___________________________________ _________________________________

Signed______________________________ Signed___________________________

Name (Printed): Name (Printed):

___________________________________ ________________________________

Title_______________________________ Title____________________________
SGIP Feasibility Study Agreement - 7 -

Attachment A to

Feasibility Study Agreement

Assumptions Used in Conducting the Feasibility Study

The feasibility study will be based upon the information set forth in the Interconnection 

Request and agreed upon in the scoping meeting held on _____________________:

1) Designation of Point of Interconnection and configuration to be studied.

2) Designation of alternative Points of Interconnection and configuration.

1) and 2) are to be completed by the Interconnection Customer. Other assumptions 

(listed below) are to be provided by the Interconnection Customer and the Transmission 

Provider.
SGIP System Impact Study Agreement - 1 -

Attachment 7

System Impact Study Agreement

THIS AGREEMENT is made and entered into this_____day of______________

20___ by and between_____________________________________________________,

a____________________________organized and existing under the laws of the State of

__________________________________________, ("Interconnection Customer,") and

_____________________________________________________, a________________

existing under the laws of the State of________________________________________,

("Transmission Provider"). Interconnection Customer and Transmission Provider each 

may be referred to as a "Party," or collectively as the "Parties."

RECITALS

WHEREAS, the Interconnection Customer is proposing to develop a Small Generating 

Facility or generating capacity addition to an existing Small Generating Facility 

consistent with the Interconnection Request completed by the Interconnection Customer 

on________________________; and

WHEREAS, the Interconnection Customer desires to interconnect the Small Generating 

Facility with the Transmission Provider's Transmission System; 

WHEREAS, the Transmission Provider has completed a feasibility study and provided 

the results of said study to the Interconnection Customer (This recital to be omitted if the 

Parties have agreed to forego the feasibility study.); and

WHEREAS, the Interconnection Customer has requested the Transmission Provider to 

perform a system impact study(s) to assess the impact of interconnecting the Small 

Generating Facility with the Transmission Provider's Transmission System, and of any 

Affected Systems; 

NOW, THEREFORE, in consideration of and subject to the mutual covenants contained 

herein the Parties agreed as follows:

1.0 When used in this Agreement, with initial capitalization, the terms specified shall 

have the meanings indicated or the meanings specified in the standard Small 

Generator Interconnection Procedures.

2.0 The Interconnection Customer elects and the Transmission Provider shall cause to 
SGIP System Impact Study Agreement - 2 -

be performed a system impact study(s) consistent with the standard Small 

Generator Interconnection Procedures in accordance with the Open Access 

Transmission Tariff.

3.0 The scope of a system impact study shall be subject to the assumptions set forth in 

Attachment A to this Agreement.

4.0 A system impact study will be based upon the results of the feasibility study and 

the technical information provided by Interconnection Customer in the 

Interconnection Request. The Transmission Provider reserves the right to request 

additional technical information from the Interconnection Customer as may 

reasonably become necessary consistent with Good Utility Practice during the 

course of the system impact study. If the Interconnection Customer modifies its 

designated Point of Interconnection, Interconnection Request, or the technical 

information provided therein is modified, the time to complete the system impact 

study may be extended.

5.0 A system impact study shall consist of a short circuit analysis, a stability analysis, 

a power flow analysis, voltage drop and flicker studies, protection and set point 

coordination studies, and grounding reviews, as necessary. A system impact study 

shall state the assumptions upon which it is based, state the results of the analyses, 

and provide the requirement or potential impediments to providing the requested 

interconnection service, including a preliminary indication of the cost and length 

of time that would be necessary to correct any problems identified in those 

analyses and implement the interconnection. A system impact study shall provide 

a list of facilities that are required as a result of the Interconnection Request and 

non-binding good faith estimates of cost responsibility and time to construct.

6.0 A distribution system impact study shall incorporate a distribution load flow study, 

an analysis of equipment interrupting ratings, protection coordination study, 

voltage drop and flicker studies, protection and set point coordination studies, 

grounding reviews, and the impact on electric system operation, as necessary.

7.0 Affected Systems may participate in the preparation of a system impact study, 

with a division of costs among such entities as they may agree. All Affected 

Systems shall be afforded an opportunity to review and comment upon a system 

impact study that covers potential adverse system impacts on their electric 

systems, and the Transmission Provider has 20 additional Business Days to 

complete a system impact study requiring review by Affected Systems.
SGIP System Impact Study Agreement - 3 -

8.0 If the Transmission Provider uses a queuing procedure for sorting or prioritizing 

projects and their associated cost responsibilities for any required Network 

Upgrades, the system impact study shall consider all generating facilities (and with 

respect to paragraph 8.3 below, any identified Upgrades associated with such 

higher queued interconnection) that, on the date the system impact study is 

commenced –

8.1 Are directly interconnected with the Transmission Provider's electric 

system; or

8.2 Are interconnected with Affected Systems and may have an impact 

on the proposed interconnection; and

8.3 Have a pending higher queued Interconnection Request to 

interconnect with the Transmission Provider's electric system.

9.0 A distribution system impact study, if required, shall be completed and the results 

transmitted to the Interconnection Customer within 30 Business Days after this 

Agreement is signed by the Parties. A transmission system impact study, if 

required, shall be completed and the results transmitted to the Interconnection 

Customer within 45 Business Days after this Agreement is signed by the Parties, 

or in accordance with the Transmission Provider's queuing procedures.

10.0 A deposit of the equivalent of the good faith estimated cost of a distribution 

system impact study and the one half the good faith estimated cost of a 

transmission system impact study may be required from the Interconnection 

Customer. 

11.0 Any study fees shall be based on the Transmission Provider's actual costs and will 

be invoiced to the Interconnection Customer after the study is completed and 

delivered and will include a summary of professional time.

12.0 The Interconnection Customer must pay any study costs that exceed the deposit 

without interest within 30 calendar days on receipt of the invoice or resolution of 

any dispute. If the deposit exceeds the invoiced fees, the Transmission Provider 

shall refund such excess within 30 calendar days of the invoice without interest.

13.0 Governing Law, Regulatory Authority, and Rules

The validity, interpretation and enforcement of this Agreement and each of its 

provisions shall be governed by the laws of the state of __________________ 
SGIP System Impact Study Agreement - 4 -

(where the Point of Interconnection is located), without regard to its conflicts of 

law principles. This Agreement is subject to all Applicable Laws and Regulations. 

Each Party expressly reserves the right to seek changes in, appeal, or otherwise 

contest any laws, orders, or regulations of a Governmental Authority.

14.0 Amendment

The Parties may amend this Agreement by a written instrument duly executed by 

both Parties.

15.0 No Third-Party Beneficiaries

This Agreement is not intended to and does not create rights, remedies, or benefits

of any character whatsoever in favor of any persons, corporations, associations, or 

entities other than the Parties, and the obligations herein assumed are solely for the 

use and benefit of the Parties, their successors in interest and where permitted, 

their assigns.

16.0 Waiver

16.1 The failure of a Party to this Agreement to insist, on any occasion, upon 

strict performance of any provision of this Agreement will not be 

considered a waiver of any obligation, right, or duty of, or imposed upon, 

such Party.

16.2 Any waiver at any time by either Party of its rights with respect to this 

Agreement shall not be deemed a continuing waiver or a waiver with 

respect to any other failure to comply with any other obligation, right, duty 

of this Agreement. Termination or default of this Agreement for any 

reason by Interconnection Customer shall not constitute a waiver of the 

Interconnection Customer's legal rights to obtain an interconnection from 

the Transmission Provider. Any waiver of this Agreement shall, if 

requested, be provided in writing.

17.0 Multiple Counterparts

This Agreement may be executed in two or more counterparts, each of which is 

deemed an original but all constitute one and the same instrument.

18.0 No Partnership

This Agreement shall not be interpreted or construed to create an association, joint 

venture, agency relationship, or partnership between the Parties or to impose any 

partnership obligation or partnership liability upon either Party. Neither Party 

shall have any right, power or authority to enter into any agreement or undertaking 
SGIP System Impact Study Agreement - 5 -

for, or act on behalf of, or to act as or be an agent or representative of, or to 

otherwise bind, the other Party.

19.0 Severability

If any provision or portion of this Agreement shall for any reason be held or 

adjudged to be invalid or illegal or unenforceable by any court of competent 

jurisdiction or other Governmental Authority, (1) such portion or provision shall 

be deemed separate and independent, (2) the Parties shall negotiate in good faith to 

restore insofar as practicable the benefits to each Party that were affected by such 

ruling, and (3) the remainder of this Agreement shall remain in full force and 

effect.

20.0 Subcontractors

Nothing in this Agreement shall prevent a Party from utilizing the services of any 

subcontractor as it deems appropriate to perform its obligations under this 

Agreement; provided, however, that each Party shall require its subcontractors to 

comply with all applicable terms and conditions of this Agreement in providing 

such services and each Party shall remain primarily liable to the other Party for the 

performance of such subcontractor.

20.1 The creation of any subcontract relationship shall not relieve the hiring 

Party of any of its obligations under this Agreement. The hiring Party shall 

be fully responsible to the other Party for the acts or omissions of any 

subcontractor the hiring Party hires as if no subcontract had been made; 

provided, however, that in no event shall the Transmission Provider be 

liable for the actions or inactions of the Interconnection Customer or its 

subcontractors with respect to obligations of the Interconnection Customer 

under this Agreement. Any applicable obligation imposed by this 

Agreement upon the hiring Party shall be equally binding upon, and shall 

be construed as having application to, any subcontractor of such Party.

20.2 The obligations under this article will not be limited in any way by any 

limitation of subcontractor’s insurance.

21.0 Reservation of Rights

The Transmission Provider shall have the right to make a unilateral filing with 

FERC to modify this Agreement with respect to any rates, terms and conditions, 

charges, classifications of service, rule or regulation under section 205 or any 

other applicable provision of the Federal Power Act and FERC's rules and 

regulations thereunder, and the Interconnection Customer shall have the right to 
SGIP System Impact Study Agreement - 6 -

make a unilateral filing with FERC to modify this Agreement under any applicable 

provision of the Federal Power Act and FERC's rules and regulations; provided 

that each Party shall have the right to protest any such filing by the other Party and 

to participate fully in any proceeding before FERC in which such modifications

IN WITNESS THEREOF, the Parties have caused this Agreement to be duly executed 

by their duly authorized officers or agents on the day and year first above written.

[Insert name of Transmission Provider] [Insert name of Interconnection 

Customer]

___________________________________ _________________________________

Signed______________________________ Signed___________________________

Name (Printed): Name (Printed):

___________________________________ ________________________________

Title_______________________________ Title____________________________
SGIP System Impact Study Agreement - 7 -

Attachment A to System

Impact Study Agreement

Assumptions Used in Conducting the System Impact Study

The system impact study shall be based upon the results of the feasibility study, subject to 

any modifications in accordance with the standard Small Generator Interconnection 

Procedures, and the following assumptions:

1) Designation of Point of Interconnection and configuration to be studied.

2) Designation of alternative Points of Interconnection and configuration.

1) and 2) are to be completed by the Interconnection Customer. Other assumptions 

(listed below) are to be provided by the Interconnection Customer and the Transmission 

Provider.
Attachment 8

Facilities Study Agreement

THIS AGREEMENT is made and entered into this_____day of______________

20___ by and between_____________________________________________________,

a____________________________organized and existing under the laws of the State of

__________________________________________, ("Interconnection Customer,") and

_____________________________________________________, a________________

existing under the laws of the State of________________________________________,

("Transmission Provider"). Interconnection Customer and Transmission Provider each 

may be referred to as a "Party," or collectively as the "Parties."

RECITALS

WHEREAS, the Interconnection Customer is proposing to develop a Small Generating 

Facility or generating capacity addition to an existing Small Generating Facility 

consistent with the Interconnection Request completed by the Interconnection Customer 

on______________________; and

WHEREAS, the Interconnection Customer desires to interconnect the Small Generating 

Facility with the Transmission Provider's Transmission System;

WHEREAS, the Transmission Provider has completed a system impact study and 

provided the results of said study to the Interconnection Customer; and

WHEREAS, the Interconnection Customer has requested the Transmission Provider to 

perform a facilities study to specify and estimate the cost of the equipment, engineering, 

procurement and construction work needed to implement the conclusions of the system 

impact study in accordance with Good Utility Practice to physically and electrically 

connect the Small Generating Facility with the Transmission Provider's Transmission 

System.

NOW, THEREFORE, in consideration of and subject to the mutual covenants contained 

herein the Parties agreed as follows:

1.0 When used in this Agreement, with initial capitalization, the terms specified shall 

have the meanings indicated or the meanings specified in the standard Small 

Generator Interconnection Procedures.

2.0 The Interconnection Customer elects and the Transmission Provider shall cause a 
SGIP System Impact Study Agreement - 2 -

facilities study consistent with the standard Small Generator Interconnection 

Procedures to be performed in accordance with the Open Access Transmission 

Tariff.

3.0 The scope of the facilities study shall be subject to data provided in Attachment A 

to this Agreement.

4.0 The facilities study shall specify and estimate the cost of the equipment, 

engineering, procurement and construction work (including overheads) needed to 

implement the conclusions of the system impact study(s). The facilities study 

shall also identify (1) the electrical switching configuration of the equipment, 

including, without limitation, transformer, switchgear, meters, and other station 

equipment, (2) the nature and estimated cost of the Transmission Provider's 

Interconnection Facilities and Upgrades necessary to accomplish the 

interconnection, and (3) an estimate of the time required to complete the 

construction and installation of such facilities.

5.0 The Transmission Provider may propose to group facilities required for more than 

one Interconnection Customer in order to minimize facilities costs through 

economies of scale, but any Interconnection Customer may require the installation 

of facilities required for its own Small Generating Facility if it is willing to pay the 

costs of those facilities.

6.0 A deposit of the good faith estimated facilities study costs may be required from 

the Interconnection Customer.

7.0 In cases where Upgrades are required, the facilities study must be completed 

within 45 Business Days of the receipt of this Agreement. In cases where no 

Upgrades are necessary, and the required facilities are limited to Interconnection 

Facilities, the facilities study must be completed within 30 Business Days.

8.0 Once the facilities study is completed, a draft facilities study report shall be 

prepared and transmitted to the Interconnection Customer. Barring unusual 

circumstances, the facilities study must be completed and the draft facilities study 

report transmitted 

within 30 Business Days of the Interconnection Customer's agreement to conduct 

a facilities study.

9.0 Interconnection Customer may, within thirty (30) calendar days after receipt of the 

draft report, provide written comments to Transmission Provider, which 

Transmission Provider shall include in the final report. Transmission Provider 

shall issue the final Interconnection Facilities Study report within fifteen (15) 

Business Days of receiving Interconnection Customer’s comments or promptly 
SGIP System Impact Study Agreement - 3 -

upon receiving Interconnection Customer’s statement that it will not provide 

comments. Transmission Provider may reasonably extend such fifteen-day period 

upon notice to Interconnection Customer if Interconnection Customer’s comments 

require Transmission Provider to perform additional analyses or make other 

significant modifications prior to the issuance of the final Interconnection 

Facilities Report. Upon request, Transmission Provider shall provide 

Interconnection Customer supporting documentation, workpapers, and databases 

or data developed in the preparation of the Interconnection Facilities Study, 

subject to confidentiality arrangements consistent with Section 4.5 of the standard 

Small Generator Interconnection Procedures.

10.0 Within ten (10) Business Days of providing a draft Interconnection Facilities 

Study report to Interconnection Customer, Transmission Provider and 

Interconnection Customer shall meet to discuss the results of the Interconnection 

Facilities Study.

911.0 Any study fees shall be based on the Transmission Provider's actual costs and will 

be invoiced to the Interconnection Customer after the study is completed and 

delivered and will include a summary of professional time.

1012.0The Interconnection Customer must pay any study costs that exceed the deposit 

without interest within 30 calendar days on receipt of the invoice or resolution of 

any dispute. If the deposit exceeds the invoiced fees, the Transmission Provider 

shall refund such excess within 30 calendar days of the invoice without interest.

1113.0Governing Law, Regulatory Authority, and Rules

The validity, interpretation and enforcement of this Agreement and each of its 

provisions shall be governed by the laws of the state of __________________ 

(where the Point of Interconnection is located), without regard to its conflicts of 

law principles. This Agreement is subject to all Applicable Laws and Regulations. 

Each Party expressly reserves the right to seek changes in, appeal, or otherwise 

contest any laws, orders, or regulations of a Governmental Authority.

1214.0Amendment

The Parties may amend this Agreement by a written instrument duly executed by 

both Parties.

1315.0No Third-Party Beneficiaries

This Agreement is not intended to and does not create rights, remedies, or benefits 

of any character whatsoever in favor of any persons, corporations, associations, or 

entities other than the Parties, and the obligations herein assumed are solely for the 

use and benefit of the Parties, their successors in interest and where permitted, 

their assigns.
SGIP System Impact Study Agreement - 4 -

1416.0Waiver

1416.1The failure of a Party to this Agreement to insist, on any occasion, upon 

strict performance of any provision of this Agreement will not be 

considered a waiver of any obligation, right, or duty of, or imposed upon, 

such Party.

1416.2Any waiver at any time by either Party of its rights with respect to this 

Agreement shall not be deemed a continuing waiver or a waiver with 

respect to any other failure to comply with any other obligation, right, duty 

of this Agreement. Termination or default of this Agreement for any 

reason by Interconnection Customer shall not constitute a waiver of the 

Interconnection Customer's legal rights to obtain an interconnection from 

the Transmission Provider. Any waiver of this Agreement shall, if 

requested, be provided in writing.

1517.0Multiple Counterparts

This Agreement may be executed in two or more counterparts, each of which is 

deemed an original but all constitute one and the same instrument.

1618.0No Partnership

This Agreement shall not be interpreted or construed to create an association, joint 

venture, agency relationship, or partnership between the Parties or to impose any 

partnership obligation or partnership liability upon either Party. Neither Party 

shall have any right, power or authority to enter into any agreement or undertaking 

for, or act on behalf of, or to act as or be an agent or representative of, or to 

otherwise bind, the other Party.

1719.0Severability

If any provision or portion of this Agreement shall for any reason be held or 

adjudged to be invalid or illegal or unenforceable by any court of competent 

jurisdiction or other Governmental Authority, (1) such portion or provision shall 

be deemed separate and independent, (2) the Parties shall negotiate in good faith to 

restore insofar as practicable the benefits to each Party that were affected by such 

ruling, and (3) the remainder of this Agreement shall remain in full force and 

effect.

1820.0Subcontractors

Nothing in this Agreement shall prevent a Party from utilizing the services of any 

subcontractor as it deems appropriate to perform its obligations under this 

Agreement; provided, however, that each Party shall require its subcontractors to 

comply with all applicable terms and conditions of this Agreement in providing 
SGIP System Impact Study Agreement - 5 -

such services and each Party shall remain primarily liable to the other Party for the 

performance of such subcontractor.

1820.1The creation of any subcontract relationship shall not relieve the hiring 

Party of any of its obligations under this Agreement. The hiring Party shall 

be fully responsible to the other Party for the acts or omissions of any 

subcontractor the hiring Party hires as if no subcontract had been made; 

provided, however, that in no event shall the Transmission Provider be 

liable for the actions or inactions of the Interconnection Customer or its 

subcontractors with respect to obligations of the Interconnection Customer 

under this Agreement. Any applicable obligation imposed by this 

Agreement upon the hiring Party shall be equally binding upon, and shall 

be construed as having application to, any subcontractor of such Party.

1820.2The obligations under this article will not be limited in any way by any

limitation of subcontractor’s insurance.

1921.0Reservation of Rights

The Transmission Provider shall have the right to make a unilateral filing with 

FERC to modify this Agreement with respect to any rates, terms and conditions, 

charges, classifications of service, rule or regulation under section 205 or any 

other applicable provision of the Federal Power Act and FERC's rules and 

regulations thereunder, and the Interconnection Customer shall have the right to 

make a unilateral filing with FERC to modify this Agreement under any applicable 

provision of the Federal Power Act and FERC's rules and regulations; provided 

that each Party shall have the right to protest any such filing by the other Party and 

to participate fully in any proceeding before FERC in which such modifications

IN WITNESS WHEREOF, the Parties have caused this Agreement to be duly executed 

by their duly authorized officers or agents on the day and year first above written.

[Insert name of Transmission Provider] [Insert name of Interconnection 

Customer]

___________________________________ _________________________________

Signed______________________________ Signed___________________________

Name (Printed): Name (Printed):

___________________________________ ________________________________
SGIP System Impact Study Agreement - 6 -

Title_______________________________ Title____________________________
SGIP System Impact Study Agreement - 7 -

Attachment A to

Facilities Study Agreement

Data to Be Provided by the Interconnection Customer

with the Facilities Study Agreement

Provide location plan and simplified one-line diagram of the plant and station facilities. 

For staged projects, please indicate future generation, transmission circuits, etc.

On the one-line diagram, indicate the generation capacity attached at each 

metering location. (Maximum load on CT/PT)

On the one-line diagram, indicate the location of auxiliary power. (Minimum load 

on CT/PT) Amps

One set of metering is required for each generation connection to the new ring bus or 

existing Transmission Provider station. Number of generation connections: 

_____________

Will an alternate source of auxiliary power be available during CT/PT maintenance?

 Yes No ______

Will a transfer bus on the generation side of the metering require that each meter set be 

designed for the total plant generation? Yes No _____ 

(Please indicate on the one-line diagram). 

What type of control system or PLC will be located at the Small Generating Facility?

________________________________________________________________________

______

________________________________________________________________________

______

What protocol does the control system or PLC use?

________________________________________________________________________

______

________________________________________________________________________
SGIP System Impact Study Agreement - 8 -

______

Please provide a 7.5-minute quadrangle map of the site. Indicate the plant, station, 

transmission line, and property lines.

Physical dimensions of the proposed interconnection station:

________________________________________________________________________

______

Bus length from generation to interconnection station:

________________________________________________________________________

______

Line length from interconnection station to Transmission Provider's Transmission 

System.

________________________________________________________________________

______

Tower number observed in the field. (Painted on tower leg)*:

________________________________________________________________________

______

Number of third party easements required for transmission lines*:

________________________________________________________________________

______

* To be completed in coordination with Transmission Provider. 

Is the Small Generating Facility located in Transmission Provider’s service area?

 Yes No If No, please provide name of local provider:

________________________________________________________________________

______

Please provide the following proposed schedule dates: 

Begin Construction Date:____________________________
SGIP System Impact Study Agreement - 9 -

Generator step-up transformers Date:____________________________

receive back feed power

Generation Testing Date:____________________________

Commercial Operation Date:____________________________
Note: Appendix D will not be published in the Code of Federal Regulations.

Appendix D to the Proposed

Small Generator Interconnection Rule

SMALL GENERATOR

INTERCONNECTION AGREEMENT (SGIA)

(For Generating Facilities No Larger Than 20 MW)
- i -

TABLE OF CONTENTS

Page No.

Article 1. Scope and Limitations of Agreement........................................................ - 1 -

1.1 Applicability............................................................................................. - 2 -

1.2 Purpose ..................................................................................................... - 3 -

1.3 No Agreement to Purchase or Deliver Power.......................................... - 3 -

1.4 Limitations................................................................................................ - 3 -

1.5 Responsibilities of the Parties .................................................................. - 2 -

1.6 Parallel Operation Obligations................................................................. - 3 -

1.7 Metering ................................................................................................... - 3 -

1.8 Reactive Power......................................................................................... - 3 -

Article 2. Inspection, Testing, Authorization, and Right of Access........................ - 4 -

2.1 Equipment Testing and Inspection........................................................... - 4 -

2.2 Authorization Required Prior to Parallel Operation................................. - 5 -

2.3 Right of Access ........................................................................................ - 5 -

Article 3. Effective Date, Term, Termination, and Disconnection.......................... - 6 -

3.1 Effective Date........................................................................................... - 6 -

3.2 Term of Agreement .................................................................................. - 6 -

3.3 Termination .............................................................................................. - 6 -

3.4 Temporary Disconnection ........................................................................ - 7 -

3.4.1 Emergency Conditions....................................................... - 7 -

3.4.2 Routine Maintenance, Construction, and Repair ............... - 7 -

3.4.3 Forced Outages................................................................... - 8 -

3.4.4 Adverse Operating Effects................................................. - 8 -

3.4.5 Modification of the Small Generating Facility .................. - 8 -

3.4.6 Reconnection...................................................................... - 9 -

Article 4. Cost Responsibility for Interconnection Facilities and Distribution 

Upgrades........................................................................................................................ - 9 -

4.1 Interconnection Facilities......................................................................... - 9 -

4.2 Distribution Upgrades .............................................................................. - 9 -

Article 5. Cost Responsibility for Network Upgrades.............................................. - 9 -

5.1 Applicability............................................................................................. - 9 -

5.2 Network Upgrades.................................................................................. - 10 -

5.2.1 Repayment of Amounts Advanced for Network Upgrades - 10 

-

5.3 Special Provisions for Affected Systems............................................... - 11 -

5.4 Rights Under Other Agreements............................................................ - 11 -

Article 6. Billing, Payment, Milestones, and Financial Security........................... - 11 -

6.1 Billing and Payment Procedures and Final Accounting ........................ - 12 -
- ii -

6.2 Milestones. ............................................................................................. - 12 -

6.3 Financial Security Arrangements........................................................... - 13 -

Article 7. Assignment, Liability, Indemnity, Force Majeure, Consequential 

Damages, and Default................................................................................................. - 13 -

7.1 Assignment............................................................................................. - 13 -

7.2 Limitation of Liability............................................................................ - 14 -

7.3 Indemnity................................................................................................ - 14 -

7.4 Consequential Damages......................................................................... - 15 -

7.5 Force Majeure......................................................................................... - 15 -

7.6 Default.................................................................................................... - 16 -

Article 8. Insurance ................................................................................................... - 16 -

Article 9. Confidentiality........................................................................................... - 17 -

Article 10. Disputes.................................................................................................... - 18 -

Article 11. Taxes ........................................................................................................ - 19 -

Article 12. Miscellaneous .......................................................................................... - 19 -

12.1 Governing Law, Regulatory Authority, and Rules ....................................... 3

12.2 Amendment ................................................................................................... 3

12.3 No Third-Party Beneficiaries ........................................................................ 3

12.4 Waiver ........................................................................................................... 4

12.5 Entire Agreement ................................................................................... - 20 -

12.6 Multiple Counterparts.................................................................................... 4

12.7 No Partnership............................................................................................... 4

12.8 Severability.................................................................................................... 4

12.9 Security Arrangements........................................................................... - 21 -

12.10 Environmental Releases.............................................................. - 21 -

12.11 Subcontractors.................................................................................... 5

12.12 Reservation of Rights......................................................................... 5

Article 13. Notices...................................................................................................... - 22 -

13.1 General ................................................................................................... - 22 -

13.2 Billing and Payment ............................................................................... - 23 -

13.3 Alternative Forms of Notice................................................................... - 23 -

13.4 Designated Operating Representative .................................................... - 24 -

13.5 Changes to the Notice Information ........................................................ - 25 -

Article 14. Signatures................................................................................................ - 25 -

Attachment 1 – Glossary of Terms

Attachment 2 – Description and Costs of the Small Generating Facility, Interconnection 

Facilities, and Metering Equipment

Attachment 3 – One-line Diagram Depicting the Small Generating Facility, 

Interconnection Facilities, Metering Equipment, and Upgrades

Attachment 4 – Milestones
- iii -

Attachment 5 – Additional Operating Requirements for the Transmission Provider's 

Transmission System and Affected Systems Needed to Support the Interconnection 

Customer’s Needs

Attachment 6 – Transmission Provider's Description of its Upgrades and Best Estimate of 

Upgrade Costs
Small Generator Interconnection Agreement (SGIA) - 1 -

This Interconnection Agreement ("Agreement") is made and entered into this ________ 

day of ________________, 20__, by 

___________________________________________________

("Transmission Provider"), and 

_________________________________________________

("Interconnection Customer") each hereinafter sometimes referred to individually as 

"Party" or both referred to collectively as the "Parties."

Transmission Provider Information

Transmission Provider: ______________________________________________

Attention: _________________________________________________________

Address: __________________________________________________________

City: _______________________________ State: ______________ Zip: ______

Phone: ________________ Fax: _________________

Interconnection Customer Information

Interconnection Customer: ____________________________________________

Attention: _________________________________________________________

Address: __________________________________________________________

City: _______________________________ State: ______________ Zip: ______

Phone: ________________ Fax: _________________

Interconnection Customer Application No: _____________

In consideration of the mutual covenants set forth herein, the Parties agree as follows:

Article 1. Scope and Limitations of Agreement

1.1 This Agreement shall be used for all Interconnection Requests submitted under the 

Small Generator Interconnection Procedures (SGIP) except for those submitted 

under the 10 kW Inverter Process contained in SGIP Attachment 5.

1.2 This Agreement governs the terms and conditions under which the Interconnection 

Customer’s Small Generating Facility will interconnect with, and operate in 

parallel with, the Transmission Provider's Transmission System.

1.3 This Agreement does not constitute an agreement to purchase or deliver the 

Interconnection Customer's power. The purchase or delivery of power and other 

services that the Interconnection Customer may require will be covered under 
Small Generator Interconnection Agreement (SGIA) - 2 -

separate agreements, if any. The Interconnection Customer will be responsible for 

separately making all necessary arrangements (including scheduling) for delivery 

of electricity with the applicable Transmission Provider.

1.4 Nothing in this Agreement is intended to affect any other agreement between the 

Transmission Provider and the Interconnection Customer.

1.5 Responsibilities of the Parties

1.5.1 The Parties shall perform all obligations of this Agreement in accordance 

with all Applicable Laws and Regulations, Operating Requirements, and 

Good Utility Practice.

1.5.2 The Interconnection Customer shall construct, interconnect, operate and 

maintain its Small Generating Facility and construct, operate, and maintain 

its Interconnection Facilities in accordance with the applicable 

manufacturer's recommended maintenance schedule and, in accordance 

with this Agreement, and with Good Utility Practice.

1.5.3 The Transmission Provider shall construct, operate, and maintain its 

Transmission System and Interconnection Facilities in accordance with this 

Agreement, and with Good Utility Practice.

1.5.4 The Interconnection Customer agrees to construct its facilities or systems in 

accordance with applicable specifications that meet or exceed those 

provided by the National Electrical Safety Code, the American National 

Standards Institute, IEEE, Underwriter's Laboratory, and Operating 

Requirements in effect at the time of construction and other applicable 

national and state codes and standards. The Interconnection Customer 

agrees to design, install, maintain, and operate its Small Generating Facility 

so as to reasonably minimize the likelihood of (1) a disturbance of its Small 

Generating Facility adversely affecting or impairing the system or 

equipment of the Transmission Provider and any Affected Systems, and (2) 

a disturbance of the system or equipment of the Transmission Provider or 

any Affected System causing off-normal frequency deviations and resulting 

in a common mode disconnection of its Small Generating Facility.

1.5.5 Each Party shall operate, maintain, repair, and inspect, and shall be fully 

responsible for the facilities that it now or subsequently may own unless 

otherwise specified in the Attachments to this Agreement. Each Party shall 

be responsible for the safe installation, maintenance, repair and condition of 
Small Generator Interconnection Agreement (SGIA) - 3 -

their respective lines and appurtenances on their respective sides of the 

point of change of ownership. The Transmission Provider and the 

Interconnection Customer, as appropriate, shall provide Interconnection 

Facilities that adequately protect the Transmission Provider's Transmission 

System, personnel, and other persons from damage and injury. The 

allocation of responsibility for the design, installation, operation, 

maintenance and ownership of Interconnection Facilities shall be delineated 

in the Attachments to this Agreement.

1.5.6 The Transmission Provider shall coordinate with all Affected Systems to 

support the interconnection.

1.6 Parallel Operation Obligations

Once the Small Generating Facility has been authorized to commence parallel 

operation, the Interconnection Customer shall abide by all rules and procedures 

pertaining to the parallel operation of the Small Generating Facility in the 

applicable control area, including, but not limited to; 1) the rules and procedures 

concerning the operation of generation set forth in the Tariff or by the applicable 

system operator(s) for the Transmission Provider's Transmission System and; 2) 

the Operating Requirements set forth in Attachment 5 of this Agreement.

1.7 Metering

The Interconnection Customer shall be responsible for the Transmission Provider's 

reasonable and necessary cost for the purchase, installation, operation, 

maintenance, testing, repair, and replacement of metering and data acquisition 

equipment specified in Attachments 2 and 3 of this Agreement. The 

Interconnection Customer's metering (and data acquisition, as required) equipment 

shall conform to applicable industry rules and Operating Requirements.

1.8 Reactive Power

1.8.1 The Interconnection Customer shall design its Small Generating Facility to 

maintain a composite power delivery at continuous rated power output at 

the Point of Interconnection at a power factor within the range of 0.95 

leading to 0.95 lagging, unless the Transmission Provider has established 

different requirements that apply to all similarly situated generators in the 

control area on a comparable basis. The requirements of this paragraph 

shall not apply to wind generators.

1.8.2 The Transmission Provider is required to pay the Interconnection Customer 

for reactive power that the Interconnection Customer provides or absorbs 
Small Generator Interconnection Agreement (SGIA) - 4 -

from the Small Generating Facility when the Transmission Provider 

requests the Interconnection Customer to operate its Small Generating 

Facility outside the range specified in article 1.8.1. In addition, if the 

Transmission Provider pays its own or affiliated generators for reactive 

power service within the specified range, it must also pay the 

Interconnection Customer.

1.8.3 Payments shall be in accordance with the Interconnection Customer's 

applicable rate schedule then in effect unless the provision of such 

service(s) is subject to a regional transmission organization or independent 

system operator FERC-approved rate schedule. To the extent that no rate 

schedule is in effect at the time the Interconnection Customer is required to 

provide or absorb reactive power under this Agreement, the Parties agree to 

expeditiously file such rate schedule and agree to support any request for 

waiver of the Commission's prior notice requirement in order to 

compensate the Interconnection Customer from the time service 

commenced. 

1.9 Capitalized terms used herein shall have the meanings specified in the Glossary of 

Terms in Attachment 1 or the body of this Agreement.

Article 2. Inspection, Testing, Authorization, and Right of Access

2.1 Equipment Testing and Inspection

2.1.1 The Interconnection Customer shall test and inspect its Small Generating 

Facility and Interconnection Facilities prior to interconnection. The 

Interconnection Customer shall notify the Transmission Provider of such 

activities no fewer than five Business Days (or as may be agreed to by the 

Parties) prior to such testing and inspection. Testing and inspection shall 

occur on a Business Day. The Transmission Provider may, at its own 

expense, send qualified personnel to the Small Generating Facility site to 

inspect the interconnection and observe the testing. The Interconnection 

Customer shall provide the Transmission Provider a written test report 

when such testing and inspection is completed.

2.1.2 The Transmission Provider shall provide the Interconnection Customer 

written acknowledgment that it has received the Interconnection Customer's 

written test report. Such written acknowledgment shall not be deemed to 

be or construed as any representation, assurance, guarantee, or warranty by 
Small Generator Interconnection Agreement (SGIA) - 5 -

the Transmission Provider of the safety, durability, suitability, or reliability 

of the Small Generating Facility or any associated control, protective, and 

safety devices owned or controlled by the Interconnection Customer or the 

quality of power produced by the Small Generating Facility.

2.2 Authorization Required Prior to Parallel Operation

2.2.1 The Transmission Provider shall use Reasonable Efforts to list applicable 

parallel operation requirements in Attachment 5 of this Agreement. 

Additionally, the Transmission Provider shall notify the Interconnection 

Customer of any changes to these requirements as soon as they are known. 

The Transmission Provider shall make Reasonable Efforts to cooperate 

with the Interconnection Customer in meeting requirements necessary for 

the Interconnection Customer to commence parallel operations by the inservice date.

2.2.2 The Interconnection Customer shall not operate its Small Generating 

Facility in parallel with the Transmission Provider's Transmission System 

without prior written authorization of the Transmission Provider. The 

Transmission Provider will provide such authorization once the 

Transmission Provider receives notification that the Interconnection 

Customer has complied with all applicable parallel operation requirements. 

Such authorization shall not be unreasonably withheld, conditioned, or 

delayed.

2.3 Right of Access

2.3.1 Upon reasonable notice, the Transmission Provider may send a qualified 

person to the premises of the Interconnection Customer at or immediately 

before the time the Small Generating Facility first produces energy to 

inspect the interconnection, and observe the commissioning of the Small 

Generating Facility (including any required testing), startup, and operation 

for a period of up to three Business Days after initial start-up of the unit. In 

addition, the Interconnection Customer shall notify the Transmission 

Provider at least five Business Days prior to conducting any on-site 

verification testing of the Small Generating Facility.

2.3.2 Following the initial inspection process described above, at reasonable 

hours, and upon reasonable notice, or at any time without notice in the 

event of an emergency or hazardous condition, the Transmission Provider 

shall have access to the Interconnection Customer's premises for any 
Small Generator Interconnection Agreement (SGIA) - 6 -

reasonable purpose in connection with the performance of the obligations 

imposed on it by this Agreement or if necessary to meet its legal obligation 

to provide service to its customers.

2.3.3 Each Party shall be responsible for its own costs associated with following 

this article.

Article 3. Effective Date, Term, Termination, and Disconnection

3.1 Effective Date

This Agreement shall become effective upon execution by the Parties subject to 

acceptance by FERC (if applicable), or if filed unexecuted, upon the date specified 

by the FERC. The Transmission Provider shall promptly file this Agreement with 

the FERC upon execution, if required.

3.2 Term of Agreement

This Agreement shall become effective on the Effective Date and shall remain in 

effect for a period of ten years from the Effective Date or such other longer period 

as the Interconnection Customer may request and shall be automatically renewed 

for each successive one-year period thereafter, unless terminated earlier in 

accordance with article 3.3 of this Agreement.

3.3 Termination

No termination shall become effective until the Parties have complied with all 

Applicable Laws and Regulations applicable to such termination, including the 

filing with FERC of a notice of termination of this Agreement (if required), which 

notice has been accepted for filing by FERC.

3.3.1 The Interconnection Customer may terminate this Agreement at any time 

by giving the Transmission Provider 20 Business Days written notice.

3.3.2 Either Party may terminate this Agreement after Default pursuant to article 

7.6.

3.3.3 Upon termination of this Agreement, the Small Generating Facility will be 

disconnected from the Transmission Provider's Transmission System. All 

costs required to effectuate such disconnection shall be borne by the 

terminating Party, unless such termination resulted from the nonterminating Party’s Default of this SGIA or such non-terminating Party 

otherwise is responsible for these costs under this SGIA.
Small Generator Interconnection Agreement (SGIA) - 7 -

3.3.4 The termination of this Agreement shall not relieve either Party of its 

liabilities and obligations, owed or continuing at the time of the 

termination.

3.3.5 Thise provisions of this article shall survive termination or expiration of 

this Agreement.

3.4 Temporary Disconnection

Temporary disconnection shall continue only for so long as reasonably necessary 

under Good Utility Practice.

3.4.1 Emergency Conditions -- "Emergency Condition" shall mean a condition or 

situation: (1) that in the judgment of the Party making the claim is 

imminently likely to endanger life or property; or (2) that, in the case of the 

Transmission Provider, is imminently likely (as determined in a nondiscriminatory manner) to cause a material adverse effect on the security of, 

or damage to the Transmission System, the Transmission Provider's 

Interconnection Facilities or the Transmission Systems of others to which 

the Transmission System is directly connected; or (3) that, in the case of the 

Interconnection Customer, is imminently likely (as determined in a nondiscriminatory manner) to cause a material adverse effect on the security of, 

or damage to, the Small Generating Facility or the Interconnection 

Customer's Interconnection Facilities. Under Emergency Conditions, the 

Transmission Provider may immediately suspend interconnection service 

and temporarily disconnect the Small Generating Facility. The 

Transmission Provider shall notify the Interconnection Customer promptly 

when it becomes aware of an Emergency Condition that may reasonably be 

expected to affect the Interconnection Customer's operation of the Small 

Generating Facility. The Interconnection Customer shall notify the 

Transmission Provider promptly when it becomes aware of an Emergency 

Condition that may reasonably be expected to affect the Transmission 

Provider's Transmission System or any Affected Systems. To the extent 

information is known, the notification shall describe the Emergency 

Condition, the extent of the damage or deficiency, the expected effect on 

the operation of both Parties' facilities and operations, its anticipated 

duration, and the necessary corrective action.

3.4.2 Routine Maintenance, Construction, and Repair

The Transmission Provider may interrupt interconnection service or curtail 

the output of the Small Generating Facility and temporarily disconnect the 
Small Generator Interconnection Agreement (SGIA) - 8 -

Small Generating Facility from the Transmission Provider's Transmission 

System when necessary for routine maintenance, construction, and repairs 

on the Transmission Provider's Transmission System. The Transmission 

Provider shall provide the Interconnection Customer with five Business 

Days notice prior to such interruption. The Transmission Provider shall use 

Reasonable Efforts to coordinate such reduction or temporary 

disconnection with the Interconnection Customer.

3.4.3 Forced Outages

During any forced outage, the Transmission Provider may suspend 

interconnection service to effect immediate repairs on the Transmission 

Provider's Transmission System. The Transmission Provider shall use 

Reasonable Efforts to provide the Interconnection Customer with prior 

notice. If prior notice is not given, the Transmission Provider shall, upon 

request, provide the Interconnection Customer written documentation after 

the fact explaining the circumstances of the disconnection.

3.4.4 Adverse Operating Effects

The Transmission Provider shall notify the Interconnection Customer as 

soon as practicable if, based on Good Utility Practice, operation of the 

Small Generating Facility may cause disruption or deterioration of service 

to other customers served from the same electric system, or if operating the 

Small Generating Facility could cause damage to the Transmission 

Provider's Transmission System or Affected Systems. Supporting 

documentation used to reach the decision to disconnect shall be provided to 

the Interconnection Customer upon request. If, after notice, the 

Interconnection Customer fails to remedy the adverse operating effect 

within a reasonable time, the Transmission Provider may disconnect the 

Small Generating Facility. The Transmission Provider shall provide the 

Interconnection Customer with five Business Day notice of such 

disconnection, unless the provisions of article 3.4.1 apply.

3.4.5 Modification of the Small Generating Facility

The Interconnection Customer must receive written authorization from the 

Transmission Provider before making any change to the Small Generating 

Facility that may have a material impact on the safety or reliability of the 

Transmission System. Such authorization shall not be unreasonably 

withheld. Modifications shall be done in accordance with Good Utility 

Practice. If the Interconnection Customer makes such modification without 

the Transmission Provider's prior written authorization, the latter shall have 

the right to temporarily disconnect the Small Generating Facility.
Small Generator Interconnection Agreement (SGIA) - 9 -

3.4.6 Reconnection

The Parties shall cooperate with each other to restore the Small Generating 

Facility, Interconnection Facilities, and the Transmission Provider's 

Transmission System to their normal operating state as soon as reasonably 

practicable following a temporary disconnection.

Article 4. Cost Responsibility for Interconnection Facilities and Distribution 

Upgrades

4.1 Interconnection Facilities

4.1.1 The Interconnection Customer shall pay for the cost of the Interconnection 

Facilities itemized in Attachment 2 of this Agreement. The Transmission 

Provider shall provide a best estimate cost, including overheads, for the 

purchase and construction of its Interconnection Facilities and provide a 

detailed itemization of such costs. Costs associated with Interconnection 

Facilities may be shared with other entities that may benefit from such 

facilities by agreement of the Interconnection Customer, such other entities, 

and the Transmission Provider.

4.1.2 The Interconnection Customer shall be responsible for its share of all 

reasonable expenses, including overheads, associated with (1) owning, 

operating, maintaining, repairing, and replacing its own Interconnection 

Facilities, and (2) operating, maintaining, repairing, and replacing the 

Transmission Provider's Interconnection Facilities.

4.2 Distribution Upgrades

The Transmission Provider shall design, procure, construct, install, and own the 

Distribution Upgrades described in Attachment 6 of this Agreement. If the 

Transmission Provider and the Interconnection Customer agree, the 

Interconnection Customer may construct Distribution Upgrades that are located on 

land owned by the Interconnection Customer. The actual cost of the Distribution 

Upgrades, including overheads, shall be directly assigned to the Interconnection 

Customer.

Article 5. Cost Responsibility for Network Upgrades 

5.1 Applicability
Small Generator Interconnection Agreement (SGIA) - 10 -

No portion of this article 5 shall apply unless the interconnection of the Small 

Generating Facility requires Network Upgrades.

5.2 Network Upgrades

The Transmission Provider or the Transmission Owner shall design, procure, 

construct, install, and own the Network Upgrades described in Attachment 6 of 

this Agreement. If the Transmission Provider and the Interconnection Customer 

agree, the Interconnection Customer may construct Network Upgrades that are 

located on land owned by the Interconnection Customer. Unless the Transmission 

Provider elects to pay for Network Upgrades, the actual cost of the Network 

Upgrades, including overheads, shall be borne initially by the Interconnection 

Customer.

5.2.1 Repayment of Amounts Advanced for Network Upgrades

The Interconnection Customer shall be entitled to a cash repayment, equal 

to the total amount paid to the Transmission Provider and Affected System 

operator, if any, for Network Upgrades, including any tax gross-up or other 

tax-related payments associated with the Network Upgrades, and not 

otherwise refunded to the Interconnection Customer, to be paid to the 

Interconnection Customer on a dollar-for-dollar basis for the non-usage 

sensitive portion of transmission charges, as payments are made under the 

Transmission Provider's Tariff and Affected System's Tariff for 

transmission services with respect to the Small Generating Facility. Any 

repayment shall include interest calculated in accordance with the 

methodology set forth in FERC’s regulations at 18 C.F.R. § 

35.19a(a)(2)(iii) from the date of any payment for Network Upgrades 

through the date on which the Interconnection Customer receives a 

repayment of such payment pursuant to this subparagraph. The 

Interconnection Customer may assign such repayment rights to any person.

5.2.1.1 Notwithstanding the foregoing, the Interconnection Customer, 

the Transmission Provider, and any applicable Affected 

System operators may adopt any alternative payment 

schedule that is mutually agreeable so long as the 

Transmission Provider and said Affected System operators 

take one of the following actions no later than five years from 

the Commercial Operation Date: (1) return to the 

Interconnection Customer any amounts advanced for 

Network Upgrades not previously repaid, or (2) declare in 

writing that the Transmission Provider or any applicable 

Affected System operators will continue to provide payments 
Small Generator Interconnection Agreement (SGIA) - 11 -

to the Interconnection Customer on a dollar-for-dollar basis 

for the non-usage sensitive portion of transmission charges, or 

develop an alternative schedule that is mutually agreeable and 

provides for the return of all amounts advanced for Network 

Upgrades not previously repaid; however, full reimbursement 

shall not extend beyond twenty (20) years from the 

commercial operation date.

5.2.1.2 If the Small Generating Facility fails to achieve commercial 

operation, but it or another generating facility is later 

constructed and requires use of the Network Upgrades, the 

Transmission Provider and Affected System operator shall at 

that time reimburse the Interconnection Customer for the 

amounts advanced for the Network Upgrades. Before any 

such reimbursement can occur, the Interconnection Customer, 

or the entity that ultimately constructs the generating facility, 

if different, is responsible for identifying the entity to which 

reimbursement must be made.

5.3 Special Provisions for Affected Systems

Unless the Transmission Provider provides, under this Agreement, for the 

repayment of amounts advanced to any applicable Affected System operators for 

Network Upgrades, the Interconnection Customer and Affected System operator 

shall enter into an agreement that provides for such repayment. The agreement 

shall specify the terms governing payments to be made by the Interconnection 

Customer to Affected System operator as well as the repayment by Affected 

System operator.

5.4 Rights Under Other Agreements

Notwithstanding any other provision of this Agreement, nothing herein shall be 

construed as relinquishing or foreclosing any rights, including but not limited to 

firm transmission rights, capacity rights, transmission congestion rights, or 

transmission credits, that the Interconnection Customer shall be entitled to, now or 

in the future, under any other agreement or tariff as a result of, or otherwise 

associated with, the transmission capacity, if any, created by the Network 

Upgrades, including the right to obtain cash reimbursements or transmission 

credits for transmission service that is not associated with the Small Generating 

Facility.

Article 6. Billing, Payment, Milestones, and Financial Security
Small Generator Interconnection Agreement (SGIA) - 12 -

6.1 Billing and Payment Procedures and Final Accounting

6.1.1 The Transmission Provider shall bill the Interconnection Customer for the 

design, engineering, construction, and procurement costs of Interconnection 

Facilities and Upgrades contemplated by this Agreement on a monthly 

basis, or as otherwise agreed by the Parties. The Interconnection Customer 

shall pay each bill within 30 calendar days of receipt, or as otherwise 

agreed to by the Parties.

6.1.2 Within three months of completing the construction and installation of the 

Transmission Provider's Interconnection Facilities and/or Upgrades 

described in the Attachments to this Agreement, the Transmission Provider 

shall provide the Interconnection Customer with a final accounting report 

of any difference between (1) the Interconnection Customer's cost 

responsibility for the actual cost of such facilities or Upgrades, and (2) the 

Interconnection Customer's previous aggregate payments to the 

Transmission Provider for such facilities or Upgrades. If the 

Interconnection Customer's cost responsibility exceeds its previous 

aggregate payments, the Transmission Provider shall invoice the 

Interconnection Customer for the amount due and the Interconnection 

Customer shall make payment to the Transmission Provider within 30 

calendar days. If the Interconnection Customer's previous aggregate 

payments exceed its cost responsibility under this Agreement, the 

Transmission Provider shall refund to the Interconnection Customer an 

amount equal to the difference within 30 calendar days of the final 

accounting report.

6.2 Milestones

The Parties shall agree on milestones for which each Party is responsible and list 

them in Attachment 4 of this Agreement. A Party's obligations under this 

provision may be extended by agreement. If a Party anticipates that it will be 

unable to meet a milestone for any reason other than a Force Majeure Event, it 

shall immediately notify the other Party of the reason(s) for not meeting the 

milestone and (1) propose the earliest reasonable alternate date by which it can 

attain this and future milestones, and (2) requesting appropriate amendments to 

Attachment 4. The Party affected by the failure to meet a milestone shall not 

unreasonably withhold agreement to such an amendment unless it will suffer 

significant uncompensated economic or operational harm from the delay, (2) 

attainment of the same milestone has previously been delayed, or (3) it has reason 

to believe that the delay in meeting the milestone is intentional or unwarranted 
Small Generator Interconnection Agreement (SGIA) - 13 -

notwithstanding the circumstances explained by the Party proposing the 

amendment.

6.3 Financial Security Arrangements

At least 20 Business Days prior to the commencement of the design, procurement, 

installation, or construction of a discrete portion of the Transmission Provider's 

Interconnection Facilities and Upgrades, the Interconnection Customer shall 

provide the Transmission Provider, at the Interconnection Customer's option, a 

guarantee, a surety bond, letter of credit or other form of security that is 

reasonably acceptable to the Transmission Provider and is consistent with the 

Uniform Commercial Code of the jurisdiction where the Point of Interconnection 

is located. Such security for payment shall be in an amount sufficient to cover the 

costs for constructing, designing, procuring, and installing the applicable portion 

of the Transmission Provider's Interconnection Facilities and Upgrades and shall 

be reduced on a dollar-for-dollar basis for payments made to the Transmission 

Provider under this Agreement during its term. In addition:

6.3.1 The guarantee must be made by an entity that meets the 

creditworthiness requirements of the Transmission Provider, and 

contain terms and conditions that guarantee payment of any amount 

that may be due from the Interconnection Customer, up to an agreedto maximum amount.

6.3.2 The letter of credit or surety bond must be issued by a financial 

institution or insurer reasonably acceptable to the Transmission 

Provider and must specify a reasonable expiration date.

Article 7. Assignment, Liability, Indemnity, Force Majeure, Consequential 

Damages, and Default

7.1 Assignment

This Agreement may be assigned by either Party upon 15 Business Days prior 

written notice and opportunity to object by the other Party; provided that:

7.1.1 Either Party may assign this Agreement without the consent of the other 

Party to any affiliate of the assigning Party with an equal or greater credit 

rating and with the legal authority and operational ability to satisfy the 

obligations of the assigning Party under this Agreement, provided that the 

Interconnection Customer promptly notifies the Transmission Provider of 

any such assignment;
Small Generator Interconnection Agreement (SGIA) - 14 -

7.1.2 The Interconnection Customer shall have the right to assign this 

Agreement, without the consent of the Transmission Provider, for collateral 

security purposes to aid in providing financing for the Small Generating 

Facility, provided that the Interconnection Customer will promptly notify 

the Transmission Provider of any such assignment.

7.1.3 Any attempted assignment that violates this article is void and ineffective. 

Assignment shall not relieve a Party of its obligations, nor shall a Party's 

obligations be enlarged, in whole or in part, by reason thereof. An assignee 

is responsible for meeting the same financial, credit, and insurance 

obligations as the Interconnection Customer. Where required, consent to 

assignment will not be unreasonably withheld, conditioned or delayed.

7.2 Limitation of Liability

Each Party's liability to the other Party for any loss, cost, claim, injury, liability, or 

expense, including reasonable attorney's fees, relating to or arising from any act or 

omission in its performance of this Agreement, shall be limited to the amount of 

direct damage actually incurred. In no event shall either Party be liable to the 

other Party for any indirect, special, consequential, or punitive damages, except as 

authorized by this Agreement.

7.3 Indemnity

7.3.1 This provision protects each Party from liability incurred to third parties as 

a result of carrying out the provisions of this Agreement. Liability under 

this provision is exempt from the general limitations on liability found in 

article 7.2.

7.3.2 The Parties shall at all times indemnify, defend, and hold the other Party 

harmless from, any and all damages, losses, claims, including claims and 

actions relating to injury to or death of any person or damage to property, 

demand, suits, recoveries, costs and expenses, court costs, attorney fees, 

and all other obligations by or to third parties, arising out of or resulting 

from the other Party's action or failure to meet its obligations under this 

Agreement on behalf of the indemnifying Party, except in cases of gross 

negligence or intentional wrongdoing by the indemnified Party.

7.3.3 If an indemnified person is entitled to indemnification under this article as a 

result of a claim by a third party, and the indemnifying Party fails, after 

notice and reasonable opportunity to proceed under this article, to assume 
Small Generator Interconnection Agreement (SGIA) - 15 -

the defense of such claim, such indemnified person may at the expense of 

the indemnifying Party contest, settle or consent to the entry of any 

judgment with respect to, or pay in full, such claim.

7.3.4 If an indemnifying party is obligated to indemnify and hold any 

indemnified person harmless under this article, the amount owing to the 

indemnified person shall be the amount of such indemnified person's actual 

loss, net of any insurance or other recovery.

7.3.5 Promptly after receipt by an indemnified person of any claim or notice of 

the commencement of any action or administrative or legal proceeding or 

investigation as to which the indemnity provided for in this article may 

apply, the indemnified person shall notify the indemnifying party of such 

fact. Any failure of or delay in such notification shall not affect a Party's 

indemnification obligation unless such failure or delay is materially 

prejudicial to the indemnifying party.

7.4 Consequential Damages

Other than as expressly provided for in this Agreement, neither Party shall be 

liable under any provision of this Agreement for any losses, damages, costs or 

expenses for any special, indirect, incidental, consequential, or punitive damages, 

including but not limited to loss of profit or revenue, loss of the use of equipment, 

cost of capital, cost of temporary equipment or services, whether based in whole 

or in part in contract, in tort, including negligence, strict liability, or any other 

theory of liability; provided, however, that damages for which a Party may be 

liable to the other Party under another agreement will not be considered to be 

special, indirect, incidental, or consequential damages hereunder.

7.5 Force Majeure

7.5.1 As used in this article, a Force Majeure Event shall mean "any act of God, 

labor disturbance, act of the public enemy, war, insurrection, riot, fire, 

storm or flood, explosion, breakage or accident to machinery or equipment, 

any order, regulation or restriction imposed by governmental, military or 

lawfully established civilian authorities, or any other cause beyond a 

Party’s control. A Force Majeure Event does not include an act of 

negligence or intentional wrongdoing."

7.5.2 If a Force Majeure Event prevents a Party from fulfilling any obligations 

under this Agreement, the Party affected by the Force Majeure Event 

(Affected Party) shall promptly notify the other Party, either in writing or 
Small Generator Interconnection Agreement (SGIA) - 16 -

via the telephone, of the existence of the Force Majeure Event. The 

notification must specify in reasonable detail the circumstances of the Force 

Majeure Event, its expected duration, and the steps that the Affected Party 

is taking to mitigate the effects of the event on its performance. The 

Affected Party shall keep the other Party informed on a continuing basis of 

developments relating to the Force Majeure Event until the event ends. The 

Affected Party will be entitled to suspend or modify its performance of 

obligations under this Agreement (other than the obligation to make 

payments) only to the extent that the effect of the Force Majeure Event 

cannot be mitigated by the use of Reasonable Efforts. The Affected Party 

will use Reasonable Efforts to resume its performance as soon as possible.

7.6 Default

7.6.1 No Default shall exist where such failure to discharge an obligation (other 

than the payment of money) is the result of a Force Majeure Event as 

defined in this Agreement or the result of an act or omission of the other 

Party. Upon a Default, the non-defaulting Party shall give written notice of 

such Default to the defaulting Party. Except as provided in article 7.6.2, the 

defaulting Party shall have 60 calendar days from receipt of the Default 

notice within which to cure such Default; provided however, if such 

Default is not capable of cure within 60 calendar days, the defaulting Party 

shall commence such cure within 20 calendar days after notice and 

continuously and diligently complete such cure within six months from 

receipt of the Default notice; and, if cured within such time, the Default 

specified in such notice shall cease to exist.

7.6.2 If a Default is not cured as provided in this article, or if a Default is not 

capable of being cured within the period provided for herein, the nondefaulting Party shall have the right to terminate this Agreement by written 

notice at any time until cure occurs, and be relieved of any further 

obligation hereunder and, whether or not that Party terminates this 

Agreement, to recover from the defaulting Party all amounts due hereunder, 

plus all other damages and remedies to which it is entitled at law or in 

equity. The provisions of this article will survive termination of this 

Agreement.

Article 8. Insurance

8.1 The Interconnection Customer shall, at its own expense, maintain in force general 
Small Generator Interconnection Agreement (SGIA) - 17 -

liability insurance without any exclusion for liabilities related to the 

interconnection undertaken pursuant to this Agreement. The amount of such 

insurance shall be sufficient to insure against all reasonably foreseeable direct 

liabilities given the size and nature of the generating equipment being 

interconnected, the interconnection itself, and the characteristics of the system to 

which the interconnection is made. The Interconnection Customer shall obtain 

additional insurance only if necessary as a function of owning and operating a 

generating facility. Such insurance shall be obtained from an insurance provider 

authorized to do business in the State where the interconnection is located. 

Certification that such insurance is in effect shall be provided upon request of the 

Transmission Provider, except that the Interconnection Customer shall show proof 

of insurance to the Transmission Provider no later than ten Business Days prior to 

the anticipated commercial operation date. An Interconnection Customer of 

sufficient credit-worthiness may propose to self-insure for such liabilities, and 

such a proposal shall not be unreasonably rejected.

8.2 The Transmission Provider agrees to maintain general liability insurance or selfinsurance consistent with the Transmission Provider’s commercial practice. Such 

insurance or self-insurance shall not exclude coverage for the Transmission 

Provider's liabilities undertaken pursuant to this Agreement.

8.3 The Parties further agree to notify each other whenever an accident or incident 

occurs resulting in any injuries or damages that are included within the scope of 

coverage of such insurance, whether or not such coverage is sought.

Article 9. Confidentiality

9.1 Confidential Information shall mean any confidential and/or proprietary 

information provided by one Party to the other Party that is clearly marked or 

otherwise designated "Confidential." For purposes of this Agreement all design, 

operating specifications, and metering data provided by the Interconnection 

Customer shall be deemed Confidential Information regardless of whether it is 

clearly marked or otherwise designated as such.

9.2 Confidential Information does not include information previously in the public 

domain, required to be publicly submitted or divulged by Governmental 

Authorities (after notice to the other Party and after exhausting any opportunity to 

oppose such publication or release), or necessary to be divulged in an action to 

enforce this Agreement. Each Party receiving Confidential Information shall hold 

such information in confidence and shall not disclose it to any third party nor to 
Small Generator Interconnection Agreement (SGIA) - 18 -

the public without the prior written authorization from the Party providing that 

information, except to fulfill obligations under this Agreement, or to fulfill legal or 

regulatory requirements.

9.2.1 Each Party shall employ at least the same standard of care to protect 

Confidential Information obtained from the other Party as it employs to 

protect its own Confidential Information.

9.2.2 Each Party is entitled to equitable relief, by injunction or otherwise, to 

enforce its rights under this provision to prevent the release of Confidential 

Information without bond or proof of damages, and may seek other 

remedies available at law or in equity for breach of this provision.

9.3 Notwithstanding anything in this article to the contrary, and pursuant to 18 CFR § 

1b.20, if FERC, during the course of an investigation or otherwise, requests 

information from one of the Parties that is otherwise required to be maintained in 

confidence pursuant to this Agreement, the Party shall provide the requested 

information to FERC, within the time provided for in the request for information. 

In providing the information to FERC, the Party may, consistent with 18 CFR § 

388.112, request that the information be treated as confidential and non-public by 

FERC and that the information be withheld from public disclosure. Parties are 

prohibited from notifying the other Party to this Agreement prior to the release of 

the Confidential Information to FERC. The Party shall notify the other Party to 

this Agreement when it is notified by FERC that a request to release Confidential 

Information has been received by FERC, at which time either of the Parties may 

respond before such information would be made public, pursuant to 18 CFR § 

388.112. Requests from a state regulatory body conducting a confidential 

investigation shall be treated in a similar manner if consistent with the applicable 

state rules and regulations.

Article 10. Disputes

10.1 The Parties agree to attempt to resolve all disputes arising out of the 

interconnection process according to the provisions of this article.

10.2 In the event of a dispute, either Party shall provide the other Party with a written 

Notice of Dispute. Such Notice shall describe in detail the nature of the dispute.

10.3 If the dispute has not been resolved within two Business Days after receipt of the 

Notice, either Party may contact FERC's Dispute Resolution Service (DRS) for 
Small Generator Interconnection Agreement (SGIA) - 19 -

assistance in resolving the dispute.

10.4 The DRS will assist the Parties in either resolving their dispute or in selecting an 

appropriate dispute resolution venue (e.g., mediation, settlement judge, early 

neutral evaluation, or technical expert) to assist the Parties in resolving their 

dispute. DRS can be reached at 1-877-337-2237 or via the internet at 

http://www.ferc.gov/legal/adr.asp.

10.5 Each Party agrees to conduct all negotiations in good faith and will be responsible 

for one-half of any costs paid to neutral third-parties.

10.6 If neither Party elects to seek assistance from the DRS, or if the attempted dispute 

resolution fails, then either Party may exercise whatever rights and remedies it 

may have in equity or law consistent with the terms of this Agreement.

Article 11. Taxes

11.1 The Parties agree to follow all applicable tax laws and regulations, consistent with 

FERC policy and Internal Revenue Service requirements.

11.2 Each Party shall cooperate with the other to maintain the other Party's tax status. 

Nothing in this Agreement is intended to adversely affect the Transmission 

Provider's tax exempt status with respect to the issuance of bonds including, but 

not limited to, local furnishing bonds.

Article 12. Miscellaneous

12.1 Governing Law, Regulatory Authority, and Rules

The validity, interpretation and enforcement of this Agreement and each of its 

provisions shall be governed by the laws of the state of __________________ 

(where the Point of Interconnection is located), without regard to its conflicts of 

law principles. This Agreement is subject to all Applicable Laws and Regulations. 

Each Party expressly reserves the right to seek changes in, appeal, or otherwise 

contest any laws, orders, or regulations of a Governmental Authority.

12.2 Amendment

The Parties may amend this Agreement by a written instrument duly executed by 

both Parties, or under article 12.12 of this Agreement.
Small Generator Interconnection Agreement (SGIA) - 20 -

12.3 No Third-Party Beneficiaries

This Agreement is not intended to and does not create rights, remedies, or benefits 

of any character whatsoever in favor of any persons, corporations, associations, or 

entities other than the Parties, and the obligations herein assumed are solely for the 

use and benefit of the Parties, their successors in interest and where permitted, 

their assigns.

12.4 Waiver

12.4.1 The failure of a Party to this Agreement to insist, on any occasion, upon 

strict performance of any provision of this Agreement will not be 

considered a waiver of any obligation, right, or duty of, or imposed upon, 

such Party.

12.4.2 Any waiver at any time by either Party of its rights with respect to this 

Agreement shall not be deemed a continuing waiver or a waiver with 

respect to any other failure to comply with any other obligation, right, duty 

of this Agreement. Termination or default of this Agreement for any 

reason by Interconnection Customer shall not constitute a waiver of the 

Interconnection Customer's legal rights to obtain an interconnection from 

the Transmission Provider. Any waiver of this Agreement shall, if 

requested, be provided in writing.

12.5 Entire Agreement

This Agreement, including all Attachments, constitutes the entire agreement 

between the Parties with reference to the subject matter hereof, and supersedes all 

prior and contemporaneous understandings or agreements, oral or written, between 

the Parties with respect to the subject matter of this Agreement. There are no 

other agreements, representations, warranties, or covenants which constitute any 

part of the consideration for, or any condition to, either Party's compliance with its 

obligations under this Agreement.

12.6 Multiple Counterparts

This Agreement may be executed in two or more counterparts, each of which is 

deemed an original but all constitute one and the same instrument.

12.7 No Partnership

This Agreement shall not be interpreted or construed to create an association, joint 

venture, agency relationship, or partnership between the Parties or to impose any 

partnership obligation or partnership liability upon either Party. Neither Party 

shall have any right, power or authority to enter into any agreement or undertaking 
Small Generator Interconnection Agreement (SGIA) - 21 -

for, or act on behalf of, or to act as or be an agent or representative of, or to 

otherwise bind, the other Party.

12.8 Severability

If any provision or portion of this Agreement shall for any reason be held or 

adjudged to be invalid or illegal or unenforceable by any court of competent 

jurisdiction or other Governmental Authority, (1) such portion or provision shall 

be deemed separate and independent, (2) the Parties shall negotiate in good faith to 

restore insofar as practicable the benefits to each Party that were affected by such 

ruling, and (3) the remainder of this Agreement shall remain in full force and 

effect.

12.9 Security Arrangements

Infrastructure security of electric system equipment and operations and control 

hardware and software is essential to ensure day-to-day reliability and operational 

security. FERC expects all Transmission Providers, market participants, and 

Interconnection Customers interconnected to electric systems to comply with the 

recommendations offered by the President's Critical Infrastructure Protection 

Board and, eventually, best practice recommendations from the electric reliability 

authority. All public utilities are expected to meet basic standards for system 

infrastructure and operational security, including physical, operational, and cybersecurity practices.

12.10 Environmental Releases

Each Party shall notify the other Party, first orally and then in writing, of the 

release of any hazardous substances, any asbestos or lead abatement activities, or 

any type of remediation activities related to the Small Generating Facility or the 

Interconnection Facilities, each of which may reasonably be expected to affect the 

other Party. The notifying Party shall (1) provide the notice as soon as practicable, 

provided such Party makes a good faith effort to provide the notice no later than 

24 hours after such Party becomes aware of the occurrence, and (2) promptly 

furnish to the other Party copies of any publicly available reports filed with any 

governmental authorities addressing such events.

12.11 Subcontractors

Nothing in this Agreement shall prevent a Party from utilizing the services of any 

subcontractor as it deems appropriate to perform its obligations under this 

Agreement; provided, however, that each Party shall require its subcontractors to 

comply with all applicable terms and conditions of this Agreement in providing 

such services and each Party shall remain primarily liable to the other Party for the 

performance of such subcontractor.
Small Generator Interconnection Agreement (SGIA) - 22 -

12.11.1 The creation of any subcontract relationship shall not relieve 

the hiring Party of any of its obligations under this 

Agreement. The hiring Party shall be fully responsible to the 

other Party for the acts or omissions of any subcontractor the 

hiring Party hires as if no subcontract had been made; 

provided, however, that in no event shall the Transmission 

Provider be liable for the actions or inactions of the 

Interconnection Customer or its subcontractors with respect to 

obligations of the Interconnection Customer under this 

Agreement. Any applicable obligation imposed by this 

Agreement upon the hiring Party shall be equally binding 

upon, and shall be construed as having application to, any 

subcontractor of such Party.

12.11.2 The obligations under this article will not be limited in any 

way by any limitation of subcontractor’s insurance.

12.12 Reservation of Rights

The Transmission Provider shall have the right to make a unilateral filing with 

FERC to modify this Agreement with respect to any rates, terms and conditions, 

charges, classifications of service, rule or regulation under section 205 or any 

other applicable provision of the Federal Power Act and FERC's rules and 

regulations thereunder, and the Interconnection Customer shall have the right to 

make a unilateral filing with FERC to modify this Agreement under any applicable 

provision of the Federal Power Act and FERC's rules and regulations; provided 

that each Party shall have the right to protest any such filing by the other Party and 

to participate fully in any proceeding before FERC in which such modifications 

may be considered. Nothing in this Agreement shall limit the rights of the Parties 

or of FERC under sections 205 or 206 of the Federal Power Act and FERC's rules 

and regulations, except to the extent that the Parties otherwise agree as provided 

herein. 

Article 13. Notices

13.1 General

Unless otherwise provided in this Agreement, any written notice, demand, or 

request required or authorized in connection with this Agreement ("Notice") shall 

be deemed properly given if delivered in person, delivered by recognized national 

currier service, or sent by first class mail, postage prepaid, to the person specified 
Small Generator Interconnection Agreement (SGIA) - 23 -

below:

If to the Interconnection Customer:

Interconnection Customer: 

____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

Phone: ________________ Fax: _________________

If to the Transmission Provider:

Transmission Provider: 

_____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

Phone: ________________ Fax: _________________

13.2 Billing and Payment

Billings and payments shall be sent to the addresses set out below:

Interconnection Customer: ____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

Transmission Provider: 

_____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

13.3 Alternative Forms of Notice
Small Generator Interconnection Agreement (SGIA) - 24 -

Any notice or request required or permitted to be given by either Party to the other 

and not required by this Agreement to be given in writing may be so given by 

telephone, facsimile or e-mail to the telephone numbers and e-mail addresses set 

out below:

If to the Interconnection Customer:

Interconnection Customer: 

____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

Phone: ________________ Fax: _________________

If to the Transmission Provider:

Transmission Provider: 

_____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

Phone: ________________ Fax: _________________

13.4 Designated Operating Representative

The Parties may also designate operating representatives to conduct the 

communications which may be necessary or convenient for the administration of 

this Agreement. This person will also serve as the point of contact with respect to 

operations and maintenance of the Party’s facilities.

Interconnection Customer’s Operating Representative:

Interconnection Customer: 

____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 
Small Generator Interconnection Agreement (SGIA) - 25 -

Zip:_______

Phone: ________________ Fax: _________________

Transmission Provider’s Operating Representative:

Transmission Provider: 

_____________________________________________

Attention: _________________________________

Address: 

__________________________________________________________

City: _______________________________ State:______________ 

Zip:_______

Phone: ________________ Fax: _________________

13.5 Changes to the Notice Information

Either Party may change this information by giving five Business Days written 

notice prior to the effective date of the change.

Article 14. Signatures

IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by 

their respective duly authorized representatives.

For the Transmission Provider

Name:___________________________________________

Title: ___________________________________________

Date: ___________________

For the Interconnection Customer

Name:___________________________________________
Small Generator Interconnection Agreement (SGIA) - 26 -

Title: ___________________________________________

Date: ___________________
Glossary of Terms 

 - 1 -

Attachment 1

Glossary of Terms

Affected System – An electric system other than the Transmission Provider's 

Transmission System that may be affected by the proposed interconnection.

Applicable Laws and Regulations – All duly promulgated applicable federal, state and 

local laws, regulations, rules, ordinances, codes, decrees, judgments, directives, or 

judicial or administrative orders, permits and other duly authorized actions of any 

Governmental Authority.

Business Day – Monday through Friday, excluding Federal Holidays.

Default – The failure of a breaching Party to cure its breach under the Small Generator 

Interconnection Agreement.

Distribution System – The Transmission Provider's facilities and equipment used to 

transmit electricity to ultimate usage points such as homes and industries directly from 

nearby generators or from interchanges with higher voltage transmission networks which 

transport bulk power over longer distances. The voltage levels at which Distribution 

Systems operate differ among areas.

Distribution Upgrades – The additions, modifications, and upgrades to the Transmission 

Provider's Distribution System at or beyond the Point of Interconnection to facilitate 

interconnection of the Small Generating Facility and render the transmission service 

necessary to effect the Interconnection Customer's wholesale sale of electricity in 

interstate commerce. Distribution Upgrades do not include Interconnection Facilities.

Good Utility Practice – Any of the practices, methods and acts engaged in or approved 

by a significant portion of the electric industry during the relevant time period, or any of 

the practices, methods and acts which, in the exercise of reasonable judgment in light of 

the facts known at the time the decision was made, could have been expected to 

accomplish the desired result at a reasonable cost consistent with good business practices, 

reliability, safety and expedition. Good Utility Practice is not intended to be limited to 

the optimum practice, method, or act to the exclusion of all others, but rather to be 

acceptable practices, methods, or acts generally accepted in the region.

Governmental Authority – Any federal, state, local or other governmental regulatory or 

administrative agency, court, commission, department, board, or other governmental 

subdivision, legislature, rulemaking board, tribunal, or other governmental authority 

having jurisdiction over the Parties, their respective facilities, or the respective services 

they provide, and exercising or entitled to exercise any administrative, executive, police, 
Glossary of Terms 

 - 2 -

or taxing authority or power; provided, however, that such term does not include the 

Interconnection Customer, the Interconnection Provider, or any Affiliate thereof.

Interconnection Customer – Any entity, including the Transmission Provider, the 

Transmission Owner or any of the affiliates or subsidiaries of either, that proposes to 

interconnect its Small Generating Facility with the Transmission Provider's Transmission 

System.

Interconnection Facilities – The Transmission Provider's Interconnection Facilities and 

the Interconnection Customer's Interconnection Facilities. Collectively, Interconnection 

Facilities include all facilities and equipment between the Small Generating Facility and 

the Point of Interconnection, including any modification, additions or upgrades that are 

necessary to physically and electrically interconnect the Small Generating Facility to the 

Transmission Provider's Transmission System. Interconnection Facilities are sole use 

facilities and shall not include Distribution Upgrades or Network Upgrades. 

Interconnection Request – The Interconnection Customer's request, in accordance with 

the Tariff, to interconnect a new Small Generating Facility, or to increase the capacity of, 

or make a Material Modification to the operating characteristics of, an existing Small 

Generating Facility that is interconnected with the Transmission Provider’s Transmission 

System.

Material Modification – A modification that has a material impact on the cost or timing 

of any Interconnection Request with a later queue priority date.

Network Upgrades – Additions, modifications, and upgrades to the Transmission 

Provider's Transmission System required at or beyond the point at which the Small 

Generating Facility interconnects with the Transmission Provider’s Transmission System 

to accommodate the interconnection of the Small Generating Facility with the 

Transmission Provider’s Transmission System. Network Upgrades do not include 

Distribution Upgrades.

Operating Requirements – Any operating and technical requirements that may be 

applicable due to Regional Transmission Organization, Independent System Operator, 

control area, or the Transmission Provider's requirements, including those set forth in the 

Small Generator Interconnection Agreement.

Party or Parties – The Transmission Provider, Transmission Owner, Interconnection 

Customer or any combination of the above.

Point of Interconnection – The point where the Interconnection Facilities connect with 

the Transmission Provider's Transmission System.
Glossary of Terms 

 - 3 -

Reasonable Efforts – With respect to an action required to be attempted or taken by a 

Party under the Small Generator Interconnection Agreement, efforts that are timely and 

consistent with Good Utility Practice and are otherwise substantially equivalent to those a 

Party would use to protect its own interests.

Small Generating Facility – The Interconnection Customer's device for the production 

of electricity identified in the Interconnection Request, but shall not include the 

Interconnection Customer's Interconnection Facilities.

Tariff – The Transmission Provider or Affected System's Tariff through which open 

access transmission service and Interconnection Service are offered, as filed with the 

FERC, and as amended or supplemented from time to time, or any successor tariff.

Transmission Owner – The entity that owns, leases or otherwise possesses an interest in 

the portion of the Transmission System at the Point of Interconnection and may be a 

Party to the Small Generator Interconnection Agreement to the extent necessary.

Transmission Provider – The public utility (or its designated agent) that owns, controls, 

or operates transmission or distribution facilities used for the transmission of electricity in 

interstate commerce and provides transmission service under the Tariff. The term 

Transmission Provider should be read to include the Transmission Owner when the 

Transmission Owner is separate from the Transmission Provider.

Transmission System – The facilities owned, controlled or operated by the Transmission 

Provider or the Transmission Owner that are used to provide transmission service under 

the Tariff.

Upgrades – The required additions and modifications to the Transmission Provider's 

Transmission System at or beyond the Point of Interconnection. Upgrades may be 

Network Upgrades or Distribution Upgrades. Upgrades do not include Interconnection 

Facilities.
Attachment 2

Description and Costs of the Small Generating Facility,

Interconnection Facilities, and Metering Equipment

Equipment, including the Small Generating Facility, Interconnection Facilities, and 

metering equipment shall be itemized and identified as being owned by the 

Interconnection Customer, the Transmission Provider, or the Transmission Owner. The 

Transmission Provider will provide a best estimate itemized cost, including overheads, of 

its Interconnection Facilities and metering equipment, and a best estimate itemized cost 

of the annual operation and maintenance expenses associated with its Interconnection 

Facilities and metering equipment.
Attachment 3

One-line Diagram Depicting the Small Generating Facility, Interconnection

Facilities, Metering Equipment, and Upgrades
Attachment 4

Milestones

In-Service Date: ___________________

Critical milestones and responsibility as agreed to by the Parties:

Milestone/Date Responsible Party

(1) _______________________________________ ______________________

(2) _______________________________________ ______________________

(3) _______________________________________ ______________________

(4) _______________________________________ ______________________

(5) _______________________________________ ______________________

(6) _______________________________________ ______________________

(7) _______________________________________ ______________________

(8) _______________________________________ ______________________

(9) _______________________________________ ______________________

(10) _______________________________________ ______________________

Agreed to by:

For the Transmission Provider__________________________ Date______________

For the Transmission Owner (If Applicable) ________________________ 

Date_____________

For the Interconnection Customer________________________ Date______________
Attachment 5

Additional Operating Requirements for the Transmission Provider's

Transmission System and Affected Systems Needed to Support

the Interconnection Customer's Needs

The Transmission Provider shall also provide requirements that must be met by the 

Interconnection Customer prior to initiating parallel operation with the Transmission 

Provider's Transmission System.
Attachment 6

Transmission Provider's Description of its Upgrades

and Best Estimate of Upgrade Costs

The Transmission Provider shall describe Upgrades and provide an itemized best 

estimate of the cost, including overheads, of the Upgrades and annual operation and 

maintenance expenses associated with such Upgrades. The Transmission Provider shall 

functionalize Upgrade costs and annual expenses as either transmission or distribution 

related.