Texas Regional Entity Compliance & Standards Report
Larry GrimmJune 26, 2008
Technical Advisory Committee June 26, 2008
Page 2 of 35
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
Technical Advisory Committee June 26, 2008
Page 3 of 35
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
Technical Advisory Committee June 26, 2008
Page 4 of 35
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
Technical Advisory Committee June 26, 2008
Page 5 of 35
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
Page 6 of 32
Technical Advisory Committee June 26, 2008
Texas Regional Entity
Report Details
Technical Advisory Committee June 26, 2008
Page 7 of 35
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
Technical Advisory Committee June 26, 2008
Page 8 of 35
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
Technical Advisory Committee June 26, 2008
Page 9 of 35
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-04Aug-04Nov-04Feb-05M
ay-05Aug-05Nov-05Feb-06M
ay-06Aug-06Nov-06Feb-07M
ay-07Aug-07Nov-07Feb-08M
ay-08C
PS1
Ave
rage
100
110
120
130
140
150
160
170
Monthly Avg 12 Mo Rolling Avg Trend (12 Mo Rolling Avg)
Technical Advisory Committee June 26, 2008
Page 10 of 35
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
Technical Advisory Committee June 26, 2008
Page 11 of 35
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
Technical Advisory Committee June 26, 2008
Page 12 of 35
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.
Technical Advisory Committee June 26, 2008
Page 13 of 35
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.
Technical Advisory Committee June 26, 2008
Page 14 of 35
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.
Technical Advisory Committee June 26, 2008
Page 15 of 35
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
Technical Advisory Committee June 26, 2008
Page 16 of 35
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%
Technical Advisory Committee June 26, 2008
Page 17 of 35
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
Technical Advisory Committee June 26, 2008
Page 18 of 35
●
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)
Technical Advisory Committee June 26, 2008
Page 19 of 35
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
Technical Advisory Committee June 26, 2008
Page 20 of 35
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
Technical Advisory Committee June 26, 2008
Page 21 of 35
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
Technical Advisory Committee June 26, 2008
Page 22 of 35
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
Technical Advisory Committee June 26, 2008
Page 23 of 35
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.
Technical Advisory Committee June 26, 2008
Page 24 of 35
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
Technical Advisory Committee June 26, 2008
Page 25 of 35
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
Technical Advisory Committee June 26, 2008
Page 26 of 35
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 Jun Jul Aug Sep Oct Nov Dec Jan'08
Feb Mar Apr May
Alleged Confirmed - Not Mitigated Confirmed - Mitigated Total
Technical Advisory Committee June 26, 2008
Page 27 of 35
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
Technical Advisory Committee June 26, 2008
Page 28 of 35
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 Jun Jul Aug Sep Oct Nov Dec Jan'08
Feb Mar Apr May
Preliminary AllegedConfirmed - Mitigation in Progress Confirmed - MitigatedIn Settlement Negotiations Total
Technical Advisory Committee June 26, 2008
Page 29 of 35
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
Technical Advisory Committee June 26, 2008
Page 30 of 35
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)
Technical Advisory Committee June 26, 2008
Page 31 of 35
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
Technical Advisory Committee June 26, 2008
Page 32 of 35
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
Technical Advisory Committee June 26, 2008
Page 33 of 35
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
Technical Advisory Committee June 26, 2008
Page 34 of 35
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
Technical Advisory Committee June 26, 2008
Page 35 of 35
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