PROTECTIVE RELAYING THEORY

AND APPLICATIONS
 PROTECTIVE RELAYING
THEORY AND APPLICATIONS
Second Edition, Revised and Expanded

WALTER A.ELMORE
Consulting Engineer
Blue Ridge, Virginia

MARCEL DEKKER, INC.

NEW YORK • BASEL
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 Preface

Continuous change in protective relaying has been caused by two different influences.
One is the fact that the requirements imposed by power systems are in a constant state of
change, and our understanding of the basic concepts has sharpened considerably over the
years. The other is that the means of implementing the fundamental concepts of fault
location and removal and system restoration are constantly growing more sophisticated.
It is primarily because of these changing constraints that this text has been revised and
expanded. It began with contributions from two giants of the industry, J.Lewis Blackburn
and George D.Rockefeller. From the nucleus of their extensive analyses and writings, and
the desire to cover each new contingency with new relaying concepts, this volume has
evolved. New solutions to age-old problems have become apparent as greater experience
has been gained. No problem is without benefit in the solution found.
This new edition weeds out those relaying concepts that have run their course and
have been replaced by more perceptive methods of implementation using new solid-state
or microprocessor-based devices.
No single technological breakthrough has been more influential in generating change
than the microprocessor. Initially, the methods of translating a collection of instantaneous
samples of sine waves into useful current, direction, and impedance measurements were
not obvious. Diligent analysis and extensive testing allowed these useful functions to be
obtained and to be applied to the desired protective functions. This text attempts to
describe, in the simplest possible terms, the manner in which these digital measurements
are accomplished in present-day devices.
In addition to those already mentioned, huge contributions were made in the
development and refinement of the concepts described in this book by Hung Jen Li,
Walter Hinman, Roger Ray, James Crockett, Herb Lensner, A1 Regotti, Fernando Calero,
Eric Udren, James Greene, Liancheng Wang, Elmo Price, Solveig Ward, John McGowan,
and Cliff Downs. Some of these names may not be immediately recognizable, but all
have made an impact with their thoughtful, accurate, well-reasoned writings, and they all
deserve the gratitude of the industry for the wealth of knowledge they have contributed to
this book. I am keenly aware of the high quality of the technical offerings of these people,
and I am particularly grateful for the warmth and depth of their friendship.
Walter A.Elmore
 Contents

Preface iv

1 Introduction and General Philosophies

1
Revised by W.A.Elmore
2 Technical Tools of the Relay Engineer: Phasors, Polarity, and
Symmetrical Components 19
Revised by W.A.Elmore
3 Basic Relay Units
80
Revised by W.A.Elmore
4 Protection Against Transients and Surges
136
W.A.Elmore
5 Instrument Transformers for Relaying
153
W.A.Elmore
6 Microprocessor Relaying Fundamentals
181
W.A.Elmore
7 System Grounding and Protective Relaying
195
Revised by W.A.Elmore
8 Generator Protection
216
Revised by C.L.Downs
9 Motor Protection
264
Revised by C.L.Downs
10 Transformer and Reactor Protection
295
Revised by J.J.McGowan
11 Station-Bus Protection
376
Revised by Solveig Ward
12 Line and Circuit Protection
402
Revised by Elmo Price
13 Backup Protection
571
Revised by E.D.Price
14 System Stability and Out-of-Step Relaying
598
W.A.Elmore
15 Voltage Stability
624
L.Wang
16 Reclosing and Synchronizing
643
Revised by S.Ward
17 Load-Shedding and Frequency Relaying
667
Revised by W.A.Elmore

Bibliography 690
Index 695
 1
Introduction and General Philosophies

Revised by: W.A.ELMORE

1 INTRODUCTION

Relays are compact analog, digital, and numerical devices that are connected throughout
the power system to detect intolerable or unwanted conditions within an assigned area.
They are, in effect, a form of active insurance designed to maintain a high degree of
service continuity and limit equipment damage. They are “silent sentinels.” Although
protective relays will be the main emphasis of this book, other types of relays applied on
a more limited basis or used as part of a total protective relay system will also be covered.

2 CLASSIFICATION OF RELAYS

Relays can be divided into six functional categories:

Protective relays. Detect defective lines, defective apparatus, or other

dangerous or intolerable conditions. These relays generally trip one or
more circuit breaker, but may also be used to sound an alarm.
Monitoring relays. Verify conditions on the power system or in the
protection system. These relays include fault detectors, alarm units,
channel-monitoring relays, synchronism verification, and network
phasing. Power system conditions that do not involve opening circuit
breakers during faults can be monitored by verification relays.
Reclosing relays. Establish a closing sequence for a circuit breaker
following tripping by protective relays.
Regulating relays. Are activated when an operating parameter deviates
from predetermined limits. Regulating relays function through
supplementary equipment to restore the quantity to the prescribed limits.
Auxiliary relays. Operate in response to the opening or closing of the
operating circuit to supplement another relay or device. These include
timers, contact-multiplier relays, sealing units, isolating relays, lockout
relays, closing relays, and trip relays.
 Protective relaying theory and applications 2

Synchronizing (or synchronism check) relays. Assure that proper

conditions exist for interconnecting two sections of a power system.

Many modern relays contain several varieties of these functions. In addition to these
functional categories, relays may be classified by input, operating principle or structure,
and performance characteristic. The following are some of the classifications and
definitions described in ANSI/IEEE Standard C37.90 (see also ANSI/IEEE C37.100
“Definitions for Power Switch-gear”):

Inputs
Current
Voltage
Power
Pressure
Frequency
Temperature
Flow
Vibration

Operating Principle or Structures

Current balance
Percentage
Multirestraint
Product
Solid state
Static
Microprocessor
Electromechanical
Thermal

Performance Characteristics
Differential
Distance
Directional overcurrent
Inverse time
Definite time
Undervoltage
Overvoltage
Ground or phase
High or low speed
Pilot
Phase comparison
Directional comparison
Current differential
 Introduction and general philosophies 3

A separate volume, Pilot Protective Relaying, covers pilot systems (those relaying
functions that involve a communications channel between stations.

2.1 Analog/Digital/Numerical
Solid-state (and static) relays are further categorized under one of the following
designations.

2.1.1 Analog
Analog relays are those in which the measured quantities are converted into lower
voltage but similar signals, which are then combined or compared directly to reference
values in level detectors to produce the desired output (e.g., SA-1 SOQ, SI-T, LCB,
circuit shield relays).

2.1.2 Digital
Digital relays are those in which the measured ac quantities are manipulated in analog
form and subsequently converted into square-wave (binary) voltages. Logic circuits or
microprocessors compare the phase relationships of the square waves to make a trip
decision (e.g., SKD-T, REZ-1).

2.1.3 Numerical
Numerical relays are those in which the measured ac quantities are sequentially sampled
and converted into numeric data form. A microprocessor performs mathematical and/or
logical operations on the data to make trip decisions (e.g., MDAR, MSOC, DPU, TPU,
REL-356, REL-350, REL-512).

3 PROTECTIVE RELAYING SYSTEMS AND THEIR DESIGN

Technically, most relays are small systems within themselves. Throughout this book,
however, the term system will be used to indicate a combination of relays of the same or
different types. Properly speaking, the protective relaying system includes circuit
breakers and current transformers (ct’s) as well as relays. Relays, ct’s, and circuit
breakers must function together. There is little or no value in applying one without the
other.
Protective relays or systems are not required to function during normal power system
operation, but must be immediately available to handle intolerable system conditions and
avoid serious outages and damage. Thus, the true operating life of these relays can be on
the order of a few seconds, even though they are connected in a system for many years.
In practice, the relays operate far more during testing and maintenance than in response
to adverse service conditions.
In theory, a relay system should be able to respond to an infinite number of
abnormalities that can possibly occur within the power system. In practice, the relay
 Protective relaying theory and applications 4

engineer must arrive at a compromise based on the four factors that influence any relay
application:

Economics. Initial, operating, and maintenance

Available measures of fault or troubles. Fault magnitudes and location
of current transformers and voltage transformers
Operating practices. Conformity to standards and accepted practices,
ensuring efficient system operation
Previous experience. History and anticipation of the types of trouble
likely to be encountered within the system

The third and fourth considerations are perhaps better expressed as the “personality of the
system and the relay engineer.”
Since it is simply not feasible to design a protective relaying system capable of
handling any potential problem, compromises must be made. In general, only those
problems that, according to past experience, are likely to occur receive primary
consideration. Naturally, this makes relaying somewhat of an art. Different relay
engineers will, using sound logic, design significantly different protective systems for
essentially the same power system. As a result, there is little standardization in protective
relaying. Not only may the type of relaying system vary, but so will the extent of the
protective coverage. Too much protection is almost as bad as too little.
Nonetheless, protective relaying is a highly specialized technology requiring an in-
depth understanding of the power system as a whole. The relay engineer must know not
only the technology of the abnormal, but have a basic understanding of all the system
components and their operation in the system. Relaying, then, is a “vertical” speciality
requiring a “horizontal” viewpoint. This horizontal, or total system, concept of relaying
includes fault protection and the performance of the protection system during abnormal
system operation such as severe overloads, generation deficiency, out-of-step conditions,
and so forth. Although these areas are vitally important to the relay engineer, his or her
concern has not always been fully appreciated or shared by colleagues. For this reason,
close and continued communication between the planning, relay design, and operation
departments is essential. Frequent reviews of protective systems should be mandatory,
since power systems grow and operating conditions change.
A complex relaying system may result from poor system design or the economic need
to use fewer circuit breakers. Considerable savings may be realized by using fewer circuit
breakers and a more complex relay system. Such systems usually involve design
compromises requiring careful evaluation if acceptable protection is to be maintained. It
should be recognized that the exercise of the very best relaying application principles can
never compensate for the absence of a needed circuit breaker.
 Introduction and general philosophies 5

3.1 Design Criteria

The application logic of protective relays divides the power system into several zones,
each requiring its own group of relays. In all cases, the four design criteria listed below
are common to any well-designed and efficient protective system or system segment.
Since it is impractical to satisfy fully all these design criteria simultaneously, the
necessary compromises must be evaluated on the basis of comparative risks.

3.1.1 Reliability
System reliability consists of two elements: dependability and security. Dependability is
the degree of certainty of correct operation in response to system trouble, whereas
security is the degree of certainty that a relay will not operate incorrectly. Unfortunately,
these two aspects of reliability tend to counter one another; increasing security tends to
decrease dependability and vice versa. In general, however, modern relaying systems are
highly reliable and provide a practical compromise between security and dependability.
The continuous supervision made possible by numerical techniques affords improvement
in both dependability and security. Protective relay systems must perform correctly under
adverse system and environmental conditions.
Dependability can be checked relatively easily in the laboratory or during installation
by simulated tests or a staged fault. Security, on the other hand, is much more difficult to
check. A true test of system security would have to measure response to an almost
infinite variety of potential transients and counterfeit trouble indications in the power
system and its environment. A secure system is usually the result of a good background
in design, combined with extensive model power system or EMTP (electromagnetic
transient program) testing, and can only be confirmed in the power system itself and its
environment.

3.1.2 Speed
Relays that could anticipate a fault are utopian. But, even if available, they would
doubtlessly raise the question of whether or not the fault or trouble really required a trip-
out. The development of faster relays must always be measured against the increased
probability of more unwanted or unexplained operations. Time is an excellent criterion
for distinguishing between real and counterfeit trouble.
Applied to a relay, high speed indicates that the operating time usually does not
exceed 50 ms (three cycles on a 60-Hz base). The term instantaneous indicates that no
delay is purposely introduced in the operation. In practice, the terms high speed and
instantaneous are frequently used interchangeably.

3.1.3 Performance vs. Economics

Relays having a clearly defined zone of protection provide better selectivity but generally
cost more. High-speed relays offer greater service continuity by reducing fault damage
and hazards to personnel, but also have a higher initial cost. The higher performance and
 Protective relaying theory and applications 6

cost cannot always be justified. Consequently, both low- and high-speed relays are used
to protect power systems. Both types have high reliability records. Records on protective
relay operations consistently show 99.5% and better relay performance.

3.1.4 Simplicity
As in any other engineering discipline, simplicity in a protective relay system is always
the hallmark of good design. The simplest relay system, however, is not always the most
economical. As previously indicated, major economies may be possible with a complex
relay system that uses a minimum number of circuit breakers. Other factors being equal,
simplicity of design improves system reliability—if only because there are fewer
elements that can malfunction.

3.2 Factors Influencing Relay Performance

Relay performance is generally classed as (1) correct, (2) no conclusion, or (3) incorrect.
Incorrect operation may be either failure to trip or false tripping. The cause of incorrect
operation may be (1) poor application, (2) incorrect settings, (3) personnel error, or (4)
equipment malfunction. Equipment that can cause an incorrect operation includes current
transformers, voltage transformers, breakers, cable and wiring, relays, channels, or station
batteries.
Incorrect tripping of circuit breakers not associated with the trouble area is often as
disastrous as a failure to trip. Hence, special care must be taken in both application and
installation to ensure against this.
“No conclusion” is the last resort when no evidence is available for a correct or
incorrect operation. Quite often this is a personnel involvement.

3.3 Zones of Protection

The general philosophy of relay applications is to divide the power system into zones that
can be protected adequately with fault recognition and removal producing disconnection
of a minimum amount of the system.
The power system is divided into protective zones for
1. Generators
2. Transformers
3. Buses
 Introduction and general philosophies 7

Figure 1–1 A typical system and its

zones of protection.
4. Transmission and distribution circuits
5. Motors
A typical power system and its zones of protection are shown in Figure 1–1. The location
of the current transformers supplying the relay or relay system defines the edge of the
protective zone. The purpose of the protective system is to provide the first line of
protection within the guidelines outlined above. Since failures do occur, however, some
form of backup protection is provided to trip out the adjacent breakers or zones
surrounding the trouble area.
Protection in each zone is overlapped to avoid the possibility of unprotected areas.
This overlap is accomplished by connecting the relays to current transformers, as shown
in Figure 1–2a. It shows the connection for “dead tank” breakers, and Figure 1–2b the
“live tank” breakers commonly used with EHV circuits. Any trouble in the small area
between the current transformers will operate both zone A and B relays and trip all
breakers in the two zones. In Figure 1–2a, this small area represents the breaker, and in
Figure 1–2b the current transformer, which is generally not part of the breaker.

4 APPLYING PROTECTIVE RELAYS

The first step in applying protective relays is to state the protection problem accurately.
Although developing a clear, accurate statement of the problem can often be the most
difficult part, the time spent will pay dividends—particularly when assistance from others
is
 Protective relaying theory and applications 8

Figure 1–2 The principle of

overlapping protection around a circuit
breaker.
desired. Information on the following associated or supporting areas is necessary:

System configuration
Existing system protection and any known deficiencies
Existing operating procedures and practices and possible future
expansions
Degree of protection required
Fault study
Maximum load and current transformer locations and ratios
Voltage transformer locations, connections, and ratios
Impedance of lines, transformers, and generators

4.1 System Configuration

System configuration is represented by a single-line diagram showing the area of the
system involved in the protection application. This diagram should show in detail the
location of the breakers; bus arrangements; taps on lines and their capacity; location and
 Introduction and general philosophies 9

size of the generation; location, size, and connections of the power transformers and
capacitors; location and ratio of ct’s and vt’s; and system frequency.
Transformer connections are particularly important. For ground relaying, the location
of all ground “sources” must also be known.

4.2 Existing System Protection and Procedures

The existing protective equipment and reasons for the desired change(s) should be
outlined. Deficiencies in the present relaying system are a valuable guide to
improvements. New installations should be so specified. As new relay systems will often
be required to operate with or utilize parts of the existing relaying, details on these
existing systems are important.
Whenever possible, changes in system protection should conform with existing
operating procedures and practices. Exceptions to standard procedures tend to increase
the risk of personnel error and may disrupt the efficient operation of the system.
Anticipated system expansions can also greatly influence the choice of protection.

4.3 Degree of Protection Required

To determine the degree of protection required, the general type of protection being
considered should be outlined, together with the system conditions or operating
procedures and practices that will influence the final choice. These data will provide
answers to the following types of questions. Is pilot, high-, medium-, or slow-speed
relaying required? Is simultaneous tripping of all breakers of a transmission line
required? Is instantaneous reclosing needed? Are generator neutral-to-ground faults to be
detected?

4.4 Fault Study

An adequate fault study is necessary in almost all relay applications. Three-phase faults,
line-to-ground faults, and line-end faults should all be included in the study. Line-end
fault (fault on the line side of an open breaker) data are important in cases where one
breaker may operate before another. For ground-relaying, the fault study should include
zero sequence currents and voltages and negative sequence currents and voltages. These
quantities are easily obtained during the course of a fault study and are often extremely
useful in solving a difficult relaying problem.

4.5 Maximum Loads, Transformer Data, and Impedances

Maximum loads, current and voltage transformer connections, ratios and locations, and
dc voltage are required for proper relay application. Maximum loads should be consistent
with the fault data and based on the same system conditions. Line and transformer
impedances, transformer connections, and grounding methods should also be known.
Phase sequence should be specified if three-line connection drawings are involved.
 Protective relaying theory and applications 10

Obviously, not all the above data are necessary in every application. It is desirable,
however, to review the system with respect to the above points and, wherever applicable,
compile the necessary data.
In any event, no amount of data can ensure a successful relay application unless the
protection problems are first defined. In fact, the application problem is essentially solved
when the available measures for distinguishing between tolerable and intolerable
conditions can be identified and specified.

5 RELAYS AND APPLICATION DATA

Connected to the power system through the current and voltage transformers, protective
relays are wired into the control circuit to trip the proper circuit breakers. In the following
discussion, typical connections for relays mounted on conventional switchboards and for
rack-mounted solid-state relays will be used to illustrate the standard application
practices and techniques.

5.1 Switchboard Relays

Many relays are supplied in a rectangular case that is permanently mounted on a
switchboard located in the substation control house. The relay chassis, in some
implementations, slides into the case and can be conveniently removed for testing and
maintenance. The case is usually mounted flush and permanently wired to the input and
control circuits. In the Flexitest case, the electrical connections are made through small,
front-accessible, knife-blade switches. A typical switchboard relay is shown in Figure 1–
3; its corresponding internal schematic is shown in Figure 1–4. While the example shown
is an electromechanical relay, many solid-state relays are in the Flexitest case for
switchboard mounting.
 Introduction and general philosophies 11

Figure 1–3 A typical switchboard type

relay. (The CR directional time
overcurrent relay in the Flexitest case.)
The important designations in the ac schematic for the relay, such as that illustrated in
Figure 1–5, are

Phase rotation
Tripping direction
Current and voltage transformer polarities
Protective relaying theory and applications 12

Figure 1–4 Typical internal schematic

for a switchboard-mounted relay. (The
circuit shown is for the CR directional
time overcurrent relay of Figure 1–3.)
 Introduction and general philosophies 13

Figure 1–5 Typical ac schematic for a

switchboard-mounted relay. (The
connections are for the CR phase and
CRC ground directional time
overcurrent relay of Figure 1–3.)

Relay polarity and terminal numbers

Phasor diagram

All these designations are required for a directional relay. In other applications, some
may not apply. In accordance with convention, all relay contacts are shown in the
position they assume when the relay is deenergized.
A typical control circuit is shown in Figure 1–6. Three phase relays and one ground
relay are shown protecting this circuit. Any one could trip the associated circuit breaker
to isolate the trouble or fault area. A station battery, either 125 Vdc or 250 Vdc, is
commonly used for tripping. Lower-voltage batteries are not recommended for tripping
service when long trip leads are involved.
 Protective relaying theory and applications 14

In small stations where a battery cannot be justified, tripping energy is obtained from a
capacitor trip device. This device is simply a capacitor charged, through a rectifier, by the
ac line voltage. An example of this arrangement is presented in Figure 1–7. When the
relay contacts close, the discharge of the energy in the capacitor through the trip coil is
sufficient to trip

Figure 1–6 Typical dc schematic for a

switchboard-mounted relay. (The
connections are for three phase type
CR and one CRC ground directional
time overcurrent relays of Figure 1–3
applied to trip a circuit breaker.)
the breaker. Line voltage cannot be used directly since, of course, it may be quite low
during fault conditions.

5.2 Rack-Mounted Relays

Solid-state and microprocessor relays are usually rackmounted (Fig. 1–8). Since these
relays involve more complex and sophisticated circuitry, different levels of information
are required to understand their operation. A block diagram provides understanding of the
basic process. Figure 1–9 is a block diagram for the MDAR microprocessor relay.
 Introduction and general philosophies 15

Detailed logic diagrams plus ac and dc schematics are also required for a complete view
of the action to be expected from these relays.

Figure 1–7 Typical capacitor trip

device schematic.

Figure 1–8 A typical rack type relay.

(The SBFU static circuit breaker
failure relay.)

6 CIRCUIT-BREAKER CONTROL

Complete tripping and closing circuits for circuit breakers are complex. A typical circuit
diagram is shown in Figure 1–10. In this diagram, the protective relay circuits, such as
that shown in Figure 1–6, are abbreviated to a single contact marked “prot relays.” While
the trip circuits must be energized from a source available during a fault (usually the
station battery), the closing circuits may be operated on ac. Such breakers have control
circuits similar to those shown in Figure 1–10, except that the 52X, 52Y, and 52CC
circuits are arranged for ac operation.
 Protective relaying theory and applications 16

The scheme shown includes red light supervision of the trip coil, 52X/52Y antipump
control, and low-pressure and latch checks that most breakers contain in some form.

Figure 1–9 Block diagram of MDAR

relay.

Figure 1–10 A typical control circuit

schematic for a circuit breaker showing
the tripping and closing circuits.
 Introduction and general philosophies 17

7 COMPARISON OF SYMBOLS

Various symbols are used throughout the world to represent elements of the power
system. Table 1–1 compiles a few of the differences.
Table 1–1 Comparison of Symbols
Element U.S. practice European
practice
Normally open contact
Normally closed contact
Form C

Breaker
Fault

Current transformer

Transformer

Phase designations (typical) A, B, C RST

(preferred)
1, 2, 3
Component designations (positive, negative, 1, 2, 0 1, 2, 0
zero)
Current I I
Voltage V U