Texas Regional Entity · 2014-01-11 · Texas Regional Entity Compliance & Standards Report. Larry...

Texas Regional Entity Compliance & Standards Report

Larry GrimmJune 26, 2008

Technical Advisory Committee June 26, 2008

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Texas RE Monthly Summary●

May 2008

Protocol & Operating Guides violations•

3 new violations♦

2 LaaR violations♦

1 SCE violation with mitigation plan

NERC Standards violations•

No new alleged violations•

10 NERC violations were filed with FERC in 2007

Reportable events•

7 new events reported•

4 event reviews completed

http://www.nerc.com/%7Efilez/enforcement/index.html


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Texas RE Monthly Summary (cont.)Audits

•

3 entities audited•

4 entities were issued audit reports•

Audits are on schedule 100% •

Audit Reports are on schedule 100%Mitigation Plans in progress for NERC Standards

•

1 resulting from self-reporting violations-

currently on track with quarterly reporting

•

6 resulting from self-certification violations•

2 mitigation plans approved and 2 mitigation plans completed1 Protocol mitigation plan completedSettlements

•

4 settlements in progress


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Performance Highlights●

ERCOT’s Control Performance Standard (NERC CPS1) score for May = 116.46

●

Initial scores for May indicate 31 non-wind-only QSEs passed and 2 failed the SCPS2 measure


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More Texas RE Activities●

Continue to fill vacant positionsVacancies as of May 31st – 1 open position

●

Statutory & Non-Statutory Budget preparation continues. We are submitting the budget for Board approval June 17, 2008.

●

ERCOT Compliance Process is being updated to address organization changes (ERCOT ISO, Texas RE and PUCT)

Clarify roles and handoffs between involved entitiesEstablished monthly communication meeting with PUCT Oversight and Enforcement DivisionEstablished PUCT Liaison

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Texas Regional Entity

Report Details


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NERC CPS1 Performance●

ERCOT’s CPS1 PerformanceMay Performance

•

Monthly comparison♦

2008: 116.46♦

2007: 125.99•

12 month rolling average comparison♦

June 2007 May 2008: 123.13♦

June 2006 May 2007: 136.55

●

PRR 525 PerformanceScores posted on the ERCOT Compliance Website

•

SCE Performance Scores

http://www.ercot.com/mktinfo/reports/sce_qse/index.html


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100

110

120

130

140

150

Jun

Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

CPS

1 Tr

end

100

110

120

130

140

150

Jun '07-May '08 Jun '06-May '07 Jun '05-May '06 Jun '04-May '05

Start of SCE Performance MonitoringJanuary '06

ERCOT CPS1 Performance Comparison


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ERCOT’s CPS1 Monthly Performance

100

110

120

130

140

150

160

170

May-02

Aug-02Nov-02Feb-03M

ay-03Aug-03Nov-03Feb-04M





ay-08C

PS1

Ave

rage

100

110

120

130

140

150

160

170

Monthly Avg 12 Mo Rolling Avg Trend (12 Mo Rolling Avg)


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ERCOT CPS1 by Time Interval

0

20

40

60

80

100

120

140

160

180

001501150215031504150515061507150815091510151115121513151415151516151715181519152015211522152315

CPS

1 A

vg. %

May '08 Shaded May '07

06152215

0015

1215

1715


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QSE PRR 525 10-Minute Interval Scoring

2018

2018 18 18 17

19 20 19 1917 18

13

19

2426 27

30 30

3532 32 31 32

34 3432 32 32 32

34 35 34 34 34 34 3335 34 34 33

31

910

9 1210 10 12

11 10 11 1113 12

16

9

4

55

3 3

1

1 1 2 11 2

13 2 3

1 00 1

00 1

2

11

11

1 11

2 2 2 2 2 3 44 4

44

6 6

6

6 7 7 77

7

77

78 8 8

8 88 9

99 11

11 1212

02468

10121416182022242628303234363840424446

Nov '04

Jan '05

Mar '05

May '05

Jul '05

Sept '05

Nov '05

Jan '06

Mar '06

May '06

Jul '06

Sep '06

Nov '06

Jan '07

Mar '07

May '07

Jul '07

Sep '07

Nov '07

Jan '08

Mar '08

May '08

Num

ber o

f QSE

s

Passing QSEs Failing QSEs Failing Wind


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May 2008 – SCPS2 Scores

0102030405060708090

100Pe

rcen

t

31 Passing Non-Wind QSEs 12 Wind QSEs 2 Failing Non-Wind QSEs

*Wind-only QSEs have an exemption from this Protocol requirement.


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Six Month Average Wind SCPS2 Scores

0.00

10.00

20.00

30.00

40.00

50.00

60.00

70.00

80.00

90.00

100.00

AEP SQ3

INV STN (SQ3)INV CP SPR II (SQ2)

SWR 5 LLC (QSE)

INV CP SPR (SQ1)J AN & CO (SQ1)FPLE WIND (SQ2)FPLE PMI (SQ1)FPLE PMI (SQ3)DIRECT WTU (SQ2)CPS WIND (SQ1)LUMINANT (SQ1)

Ave

rage

SCP

S2 75 MW

80 MW 63 MW

200 MW124 MW

914 MW504 MW

813 MW

202 MW

609 MW

335 MW

124 MW

*Wind-only QSEs have an exemption from this Protocol requirement.


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Total Number of Wind QSEs

0

2

4

6

8

10

12

14

Sep '04Nov '04Jan '05Mar '05May '05Jul '05Sept '05Nov '05Jan '06Mar '06May '06Jul '06Sep '06Nov '06Jan '07Mar '07May '07Jul '07Sep '07Nov '07Jan '08Mar '08May '08

MonthNumber of Wind QSEs*Wind-only QSEs have an exemption from this Protocol requirement.


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May 2008 Resource Plan Performance Metrics

2 Consecutive Failing Scores 1 Failing Score

HS BF BE DP EU FX JH JI JJ JC BG CX FK HW IN IZ JK BX CC JE CD FS AC CQ IV FC IO FYResource Status - - - 100 96 - - - - - 95 100 99 100 100 100 - 98 97 - 100 100 100 99 - - 86 -LSL as % of HSL - - - 100 100 - - - - - 98 99 97 96 99 96 - 99 91 - 99 100 100 92 - - 100 -DA Zonal 98 100 100 100 100 - - - - 99 100 100 100 96 99 100 100 100 99 100 100 100 - 98 100 100 100 -AP Zonal 99 100 97 100 100 100 99 99 100 100 99 98 100 97 99 100 100 95 96 100 100 100 100 100 100 33 79 -Down Bid & Obligation 98 100 97 100 99 100 100 100 100 100 100 97 100 95 94 100 100 95 94 100 74 - 89 100 100 99 - -Total Up AS - - - 91 98 - - - - - 99 99 98 86 77 - - 100 97 - 100 - - 98 - - - 77

Resource Plan Performance Metric ID

4 Consecutive Failing Scores 3 Consecutive Failing Scores

JG DK BT DE IP AP AO HA BY BC JA AY AM AR BR HJ DF CI AE AD BJ BH JD CF ET DA GR GSResource Status - 100 - 100 100 100 100 100 100 100 100 99 100 100 99 - 100 100 - 100 97 - 100 99 100 100 - -LSL as % of HSL - 93 - 100 98 100 98 93 99 100 100 100 84 97 93 - 100 95 - 99 98 - 99 99 100 100 - -DA Zonal - 100 98 100 100 100 100 100 100 100 100 91 100 100 99 100 100 85 100 99 100 100 100 100 - 98 98 98AP Zonal 100 97 98 100 99 100 100 99 99 100 100 98 100 99 99 99 99 95 - 99 97 97 100 97 89 98 100 100Down Bid & Obligation 100 97 97 97 100 99 97 99 92 100 97 100 65 100 99 100 94 94 - 96 95 99 98 99 100 94 100 100Total Up AS - - - 99 - 100 97 99 95 98 100 97 99 100 92 - 100 - - - - - 99 98 100 92 - -

Resource Plan Performance Metric ID


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Analysis of May 2008 Resource Plan Performance Metrics

●

Eight entity ID’s had their first consecutive failing score (less than 90%)

* Indicates entities that failed in more than one area

●

One entity ID had their second consecutive failing score

AP Zonal LSL as % of HSL•FC 33%•IO 79%*

•AM 84%*

DA Zonal Resource Status•CI 85% •IO 86%*

Down Bid and Obligation

Total Up AS

•AC 89%•AM 65%*•CD 74%

•FY 77%•HW 86%•IN 77%


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Registration Activities●

NERC Entity Registration issues continue to be addressed and are

being resolved

●

Load-Serving Entity (LSE) registration issues being addressedNERC LSE Compliance Workshop was held on April 15, 2008 to address issues and obtain input from the entitiesNERC made modifications to the registry criteria and posted for 30 days for public comment (the commenting period ended May 30, 2008)

•

NERC Registry Criteria were modified to include all Distribution

Providers (DPs) as LSEs

•

After reviewing the comments, NERC will issue their decision in next few monthsThe LSE registration criteria could change after NERC’s decision

●

AppealsNERC Board of Trustees Compliance Committee (BOTCC) has sided with the Texas RE to continue classifying Constellation and Power Resource Limited (PRL) as Generator Operators (GOPs)There is one NERC registration appeal remaining


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●

Joint Registration Organization (JRO) of some entities remains likely

JRO agreement forms and applications are available online at the Texas RE website.

●

ERCOT ISO, as a Transmission Operator (TOP) is in the process of negotiating with NERC registered Transmission Owners (TOs) to reach a TOP JRO agreement

Up to 28 additional TOPs

Registration Activities (continued)

http://www.ercot.com/mktrules/compliance/tre/


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Regional Standards Activities

●

SAR-004-

TRE-01: ERCOT-Specific Sabotage Reporting Regional Standard

Remanded by RSC on May 27, 2008 for further clarification and modification

●

SAR-003-TRE-01: FERC-Ordered Modification to ERCOT Waiver to R2 of BAL-001-0 CPS2

Accepted by RSC on May 27, 2008On the June ROS agenda to form the SDT


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Regional Standards Activities (cont.)

●

SAR-002-TRE-01: Development and Documentation of Regional UFLS Program

Accepted by RSC on May 27, 2008On the June ROS agenda to form the SDT

●

SAR-001-TRE-01: Provision for ERCOT ISO to Participate and have a Vote in the Regional Standards Processes

Accepted by RSC on January 29, 2008SDT to meet for the second time on June 3, 2008


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Compliance Process Flowcharts

●

NERC Compliance Monitoring and Enforcement Program –

Reliability StandardsLink to NERC Reliability Flowcharts

●

ERCOT Compliance Process –

ERCOT Protocols and Operating Guides

Link to Protocols & Guides Flowcharts

http://www.ercot.com/mktrules/compliance/tre/enforcement/doc/NERC_CEP_Flowcharts.pdf

http://www.ercot.com/mktrules/compliance/keydocs/Compliance_Processes_Flowcharts.pdf


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2008 Audits by Registered Function

4

14

41

4 3

2

3

5 44

1

5

3

2

47

22

12

1

12

9

0

5

10

15

20

25

DP GO GOP RC BA TOP TO TP

Scheduled Audit Performed Report Issued Totals


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32

7

2

5 5

23

1

54

3

5

4

3

2

3

4

2

7

2

5 5

00

1

2

3

4

5

6

7

8

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Scheduled Audit Performed Report Issued Totals

2008 Compliance Audits Scheduled by Entity

The 2008 Texas RE Audit Schedule and completed NERC reports are available on the NERC Website.

http://www.nerc.com/~comply/


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Compliance Reviews of Events by Month

35

75

3 2 2 1 2 3

3

2

1

1 31 2 1

1

6

42 3

5

2 1

11

1 1

11

3

4

52

0

6

9 9

5 56

34 4

0

21

12

87

3

7

0

2

4

6

8

10

12

14

Jan'07

Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan'08

Feb Mar Apr May

Reviewed Ops Only Report TRE Report Issued Under TRE Review Total


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Analysis of the Compliance Reviews of Events by Month

Event Date Event Name Potential Violations Needed11/29/2007 EECP Step 1 IRO-005 Final Report - Draft Written12/12/2007 Possible DCS Event Protocol 6.5.4 Final Report - Draft Written1/4/2008 SPS Misoperation Standards PRC-016; PRC-017 Under Texas RE Review

1/15/2008 SPS Misoperation Under Texas RE Review Under Texas RE Review1/21/2008 SPS Misoperation Standards PRC-016; PRC-017 Under Texas RE Review2/19/2008 Loss of Multiple Elements Under Texas RE Review Under Texas RE Review2/24/2008 SPS Misoperation Protocol 7.2.3.3 Under Texas RE Review

2/26/2008 EECP Step 2 TOP-002, BAL 002, BAL 005, COM-002, IRO 005 Under Texas RE Review

2/28/2008 SPS Misoperation Protocol 7.2.3.3 Under Texas RE Review3/10/2008 SPS Misoperation Protocol 7.2.3.3 Under Texas RE Review3/13/2008 SPS Misoperation Protocol 7.2.3.3 Under Texas RE Review3/16/2008 Possible DCS Event Under Texas RE Review Under Texas RE Review3/18/2008 Loss of Multiple Elements Under Texas RE Review Under Texas RE Review3/21/2008 SPS Misoperation Protocol 7.2.3.3 Under Texas RE Review5/1/2008 Voltage Dev > 5% Under Texas RE Review Under Texas RE Review5/9/2008 Loss of Multiple Elements Under Texas RE Review Under Texas RE Review


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Violations of ERCOT Protocols

0 0 0 0 32 13

4

8

3 3

9 5

1 1 1

2

1

34

8

3 3

9

7

0 01 1 1

3

0 01

3

0

2

4

6

8

10

12

Jan'07


Feb Mar Apr May

Alleged Confirmed - Not Mitigated Confirmed - Mitigated Total


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Analysis of the Violations of ERCOT Protocols

●

There were 3 Alleged Violations of Protocols in May●

2 LaaR violations open from July 2007 and 1 LaaR violation open from January 2008

Entities currently in the process of completing mitigation plans


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Violations of NERC Standards Reported by Month

0 0 01

02

02

17

6

12

13

10 0

6

0

2

4

6

8

10

12

14

16

18

20

Jan'07


Feb Mar Apr May

Preliminary AllegedConfirmed - Mitigation in Progress Confirmed - MitigatedIn Settlement Negotiations Total


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Analysis of the Violations of NERC Standards Reported by Month

●

There were no violations of NERC standards reported this month

●

16 Violations are in settlement negotiations (4 Registered Entities)

●

6 mitigation plans have been sent to NERC for approval

We are currently awaiting updated mitigation plan completion dates from one registered entity for the 6 violations


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2007 NERC Standards Self-Certification

●

NERC Registered Entities not audited in 2007 required to self-certify to the actively monitored Reliability Standards applicable to their Registration(s)

279 Total Registered Functions 25 violations identified

•

9 FAC-008 –

lack documented process (3 GOs)•

6 FAC-009 –

lack documented process (3 GOs)•

4 CIP-001 –

lack documented process (1 GOP)•

3 IRO-004 –

lack documented process (2 GOs; 1 GOP)•

3 PRC-005 –

relay maintenance delinquent (1 TO; 2 GOs)


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2007 NERC Standards Self-Certification Violation Status

Mitigation Plan Status

0123456789

10

FAC-

008-

1

FAC-

009-

1

CIP

-001

-1

PRC-

005-

1

IRO

-004

-1

Num

ber

of V

iola

tions

Mitigation Plans Completed Mitigation Plans In Progress


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2007 NERC Standards Self-Certification Violation Details

Std Qty Req'mt VSL VRF Time Horizon Impact CategoryPRC-005 2 R2 Moderate Lower LT Plan Minimal TechPRC-005 1 R1.1 Lower High LT Plan Minimal AdminFAC-008 3 R1 Severe Lower LT Plan Minimal AdminFAC-008 3 R2 Severe Lower OP Plan Minimal AdminFAC-008 3 R3 Severe Lower OP Plan Minimal AdminFAC-009 3 R1 Severe Medium LT Plan Minimal AdminFAC-009 3 R2 Severe Medium LT Plan Minimal AdminIRO-004 3 R4 Not Spec High OP Plan Minimal AdminCIP-001 1 R1 Lower Medium LT Plan Low AdminCIP-001 1 R2 Lower Medium LT Plan Low AdminCIP-001 1 R3 High Medium LT Plan Low AdminCIP-001 1 R4 Lower Medium LT Plan Low AdminTotal 25

Violation Risk Factors

0 5 10 15 20 25

Admin

Training

Tech

HighMediumLower

Violation Severity Level

0 5 10 15 20 25

Admin

Training

Tech

SevereHighModerateLowerNot Spec


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NERC Standards Self-Reported Violations Pre-June 18th 2007

Mitigation Plan Status

0

5

10

15

20

25

30

35

40

45

50

PRC

-018

-1

CIP

-001

-1

FAC

-008

-1

PRC

-001

-1

FAC

-009

-1

VAR

-002

-1

PRC

-005

-1

TOP-

002-

2

TOP-

001-

1

TOP-

003-

0

PRC

-004

-1

FAC

-001

-0

IRO

-004

-1

CO

M-0

02-2

FAC

-002

-0

BA

L-00

5-0

IRO

-001

-1

MO

D-0

10-0

MO

D-0

12-0

TOP-

006-

1

TPL-

003-

0

TPL-

004-

0

Num

ber

of V

iola

tions

Mitigation Plans Completed Mitigation Plans In Progress


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Risk Factors for Self-Reported NERC Standards Violations Pre-June 18th 2007

High, 36, 18%

Medium, 65, 32%

Lower, 100, 50%

Risk Factors are being assigned to each NERC Standard as part of the Standard Development Process


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NERC Standards Self-Reported Violation Categorization Pre-June 18th 2007

23 59 53

10 51

31 46

0 20 40 60 80 100 120 140

Admin

Training

Tech

HighMediumLower

Violation Risk

Factors

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