Texas Regional Entity Compliance Report

Texas Regional Entity Compliance Report

Larry GrimmSeptember 4, 2008

TRE TAC September 4, 2008

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Texas RE Monthly Summary● For July……….

Protocol & Operating Guides violations• 3 new violations

♦ 1 UFLS violation involving 4 entities♦ 1 SCE violation♦ 1 Block Load Transfer violation

NERC Standards violations• No new alleged violations

Reportable events• 2 new events reported

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Texas RE Monthly Summary (cont.)

Audits• 1 entity audited• 4 entities 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• 6 resulting from self-certification violations

2 protocol mitigation plans completed Settlements

• 4 settlements in progress

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Performance Highlights

● ERCOT’s Control Performance Standard (NERC CPS1) score for July = 133.86

● Initial scores for July indicate 35 non-wind-only QSEs passed and 1 failed the SCPS2 measure

● All 13 active wind-only QSEs or sub-QSEs failed the SCPS2 measure but currently have an exemption from this Protocol requirement

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Texas Regional Entity

Report Details

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NERC CPS1 Performance

● ERCOT’s CPS1 Performance July Performance

• Monthly comparison♦ 2008: 133.86♦ 2007: 136.78

• 12 month rolling average comparison♦ August 2007 July 2008: 121.87♦ August 2006 July 2007: 133.92

● PRR 525 Performance Scores posted on the ERCOT Compliance Website

• SCE Performance Scores

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ERCOT CPS1 Performance Comparison

100

110

120

130

140

150

CP

S1

Tre

nd

100

110

120

130

140

150

Aug '07-Jul '08 Aug '06-Jul '07 Aug '05-Jul '06 Aug '04-Jul '05

Start of SCE Performance MonitoringJanuary '06

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ERCOT’s CPS1 Monthly Performance

100

110

120

130

140

150

160

170C

PS

1 A

ve

rag

e

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

180C

PS

1 A

vg

. %

July '08 Shaded July '07

0615

22150015

1015

1615

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QSE PRR 525 10-Minute Interval Scoring

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

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 32 31

35

9 1210 10 12

11 10 11 1113 12

16

9

4

55

3 3

1

1 1 2 1

1 2

13 2 3

1 00 0 1 0 1

12

1

11

1 11

2 2 2 2 2 3 44 4

44

6 6

6

6 7 7 7

77

7

77

8 8 88 8

8 99

9 1111 12

12 12

13

02468

101214161820222426283032343638404244464850

Nu

mb

er

of

QS

Es

Passing QSEs Failing QSEs Failing Wind-Only

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July 2008 – SCPS2 Scores


0

10

20

30

40

50

60

70

80

90

100P

erc

en

t

35 Passing Non-Wind Only QSEs 13 Wind-Only QSEs 1 Failing Non-Wind-Only QSEs 31 Non-Wind QSEs 12 Wind QSEs/2 Failing Non-Wind QSEs

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Six Month Average Wind-Only 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 (Q

SE)

INV CP SPR (SQ1)

J AN & CO (SQ

1)FPLE W

IND (SQ2)

FPLE PMI (SQ

1)FPLE PM

I (SQ3)

DIRECT W

TU (SQ2)

CPS WIND (SQ

1)LUM

INANT (SQ

1)

FPLE PMI (SQ

4)A

ve

rag

e S

CP

S2

75 MW

80 MW 63 MW

200 MW

124 MW

914 MW

504 MW813 MW

202 MW

609 MW

335 MW

124 MW

120.5 MW

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Total Number of Wind-Only QSEs

0

2

4

6

8

10

12

14

Sep '04

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

Jul '08

MonthNumber of Wind QSEs

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July 2008 Resource Plan Performance Metrics

JG HQ DK BT DE IP JF AP AO HA BY BC JA AY AM AR BR HJ DF CI AE AD BJ BH JM JD CF ET DA GR GSResource Status - - 100 - 100 100 - 100 100 100 99 100 100 99 99 100 99 - 100 100 - 100 100 - - 100 100 100 100 - -LSL as % of HSL - - 99 - 97 99 - 96 100 98 100 100 98 100 100 92 97 - 99 100 - 99 98 - - 100 98 100 100 - -DA Zonal Schedule 100 100 99 87 99 100 100 100 100 100 100 100 100 95 100 100 100 99 100 98 - 99 98 97 100 100 98 - 99 100 86AP Zonal Schedule 99 - 97 88 99 100 - 100 100 100 100 100 100 98 100 100 99 96 100 99 - 100 99 100 98 100 97 - 99 100 100Down Bid & Obligation 99 - 96 91 98 100 100 94 98 99 94 98 99 100 98 98 100 100 79 97 - 100 97 97 99 99 99 - 99 100 100Total Up AS Scheduled - - - - 99 - - 100 97 98 95 99 100 98 90 99 97 - 96 - 98 - - - - 100 100 - 94 - -

HS BF BE DP EU FX JH JI JJ JC CY BG CX FK HW IN IZ JK BX CC JE CD FS AC CQ IV CR IO HY FYResource Status - - - 100 100 - - - - - - 99 99 99 100 99 100 - 99 100 - 96 100 100 99 - - 99 - -LSL as % of HSL - - - 100 100 - - - - - - 97 98 96 100 100 94 - 99 98 - 99 100 100 89 - - 100 - -DA Zonal Schedule 89 100 100 100 100 100 100 100 100 66 100 98 100 100 98 100 100 96 99 100 98 100 100 100 98 98 100 97 100 -AP Zonal Schedule 99 99 100 100 100 99 99 98 99 100 - 98 94 100 96 95 100 100 99 98 92 100 100 98 100 100 - 100 - -Down Bid & Obligation 100 100 100 99 86 98 99 99 99 100 - 99 96 100 91 94 100 100 99 99 100 93 - 93 100 99 - 96 - -Total Up AS Scheduled - - - 100 100 - - - - - - 99 99 99 99 84 98 - 99 97 - 100 - - 96 - - - - 91

4 Consecutive Failing Scores 3 Consecutive Failing Scores

2 Consecutive Failing Scores 1 Failing Score

Resource Plan Performance Metric

Resource Plan Performance Metric

ID

ID

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Analysis of June 2008 Resource Plan Performance Metrics

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

* Indicates entity failed in more than one area

• Two entity ID’s had their second consecutive failing score

AP Zonal LSL as % of HSL

•BT 88%* •CQ 89%

DA Zonal Down Bid and Obligation

•BT 87%*

•GS 86%

•HS 89%

•EU 86%

•JC 66%

•DF 79%

•EU 86%

Total Up AS Scheduled

•IN 84%

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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 addressed NERC made modifications to the registry criteria and posted for 30

days for public comment (the commenting period ended May 30th)

• NERC has received all comments for review.

NERC BOTCC made a decision on changing the registry criteria and sent final analysis to FERC for their approval.

• NERC’s decision was to register all DP’s as LSE’s.

● Appeals One entity appealing to FERC a NERC BOTCC decision upholding

Texas RE’s decision to register the entity.

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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 What this means to Texas RE – more and longer compliance

audits and self-certifications There could be some DP JRO’s

Registration Activities (continued)

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2008 Audits by Registered Function

2 1

512

412

2

1

22

6

9

3

87

22

9

1

12

9

0

5

10

15

20

25

DP GO GOP RC BA TOP TO TP

Scheduled Audit Performed Report Issued

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2008 Compliance Audits Scheduledby Entity

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

7

2

5 5

21

23

2

43

5

5

4

3

2

3

4

1

7

2

5 5

0

0

1

2

3

4

5

6

7

8

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

Audit Scheduled Audits Performed Reports Issued

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Compliance Reviews of Events by Month

35

75

32 2

12

31

3

2

1

1 31

21

1

6

42

3

6

9

21

11

1 1

11

3

4

5

2

1

16

9 9

5 56

34 4

0

21

12

87

3

7

11

2

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 Jun Jul

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 Needed

11/29/2007 EECP Step 1 IRO-005, R4 Final Report - Draft Written

12/12/2007 Possible DCS Event Protocol 6.5.4 Final Report - Draft Written

1/4/2008 SPS Misoperation PRC-016; PRC-017 Under TRE Review

1/15/2008 SPS Misoperation Under TRE Review Under TRE Review

1/21/2008 SPS Misoperation PRC-016; PRC-017 Under TRE Review

2/19/2008 Loss of Multiple Elements Under TRE Review Under TRE Review

2/24/2008 SPS Misoperation Protocol 7.2.3.3 Under TRE Review

2/26/2008 EECP Step 2 TOP-002; Bal-002; BAL-005 Com-002; IRO-005 Under TRE Review




3/16/2008 Under Freq Relay Ops Under TRE Review Under TRE Review

3/18/2008 Possible DCS Event Under TRE Review Under TRE Review


5/1/2008 Volt Dev >5% on 345KV Sys Under TRE Review Under TRE Review

6/11/2008Comp Sys Fail: Loss of

Primary and BackupProtocol 12.4.4.1 Under TRE Review

6/18/2008 EECP Step 1 Under TRE Review Under TRE Review

7/27/2008 SPS Misoperation Under TRE Review Under TRE Review

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Violations of ERCOT Protocols

0 0 0 0 31 2 1

34

8

3 3

96

1 1 1

3

1

1

1

3

4

8

3 3

9

7

0 0

1 1 1

3

0 0

1

3

2

0

2

4

6

8

10

12

Jan'07


Feb Mar Apr May JuneJuly

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 July 2008

● July 2007 has 1 LaaR violation open Entity is currently in the process of completing their

mitigation plan

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Violations of NERC Standards Reported by Month

0 0 0

6

10

2

0

2

17

6

12

13

10 0 0 0

0

2

4

6

8

10

12

14

16

18

20

Jan'07


Feb Mar Apr MayJuneJuly

Preliminary AllegedConfirmed - Mitigation in Progress Confirmed - MitigatedIn Settlement NegotiationsTotal

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Analysis of the Violations of NERC Standards Reported by Month

● There were no violations of NERC standards reported in July.

● 16 Violations are in settlement negotiations.● 6 Mitigation plans under review at NERC- pending

NERC approval.

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2007 NERC Standards Self-Certification

● NERC Registered Entities not audited in 2007 required to self-certify for 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

0

1

2

3

4

5

6

7

8

9

10

FA

C-0

08-1

FA

C-0

09-1

CIP

-001

-1

PR

C-0

05-1

IRO

-004

-1

Nu

mb

er o

f V

iola

tio

ns

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 Category

PRC-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

High

Medium

Lower

Violation Severity Level

0 5 10 15 20 25

Admin

Training

Tech

SevereHighModerateLowerNot Spec

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NERC Standards Self-Reported ViolationsPre-June 18th 2007

Mitigation Plan Status

0

5

10

15

20

25

30

35

40

45

50

PR

C-0

18

-1

CIP

-00

1-1

FA

C-0

08

-1

PR

C-0

01

-1

FA

C-0

09

-1

VA

R-0

02

-1

PR

C-0

05

-1

TO

P-0

02

-2

TO

P-0

01

-1

TO

P-0

03

-0

PR

C-0

04

-1

FA

C-0

01

-0

IRO

-00

4-1

CO

M-0

02

-2

FA

C-0

02

-0

BA

L-0

05

-0

IRO

-00

1-1

MO

D-0

10

-0

MO

D-0

12

-0

TO

P-0

06

-1

TP

L-0

03

-0

TP

L-0

04

-0

Nu

mb

er o

f V

iola

tio

ns

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

High

Medium

Lower

Violation Risk

Factors

Texas Regional Entity Compliance Report

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