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January 2008
Texas Regional Entity Report
2
Performance Highlights
● ERCOT’s Control Performance Standard (NERC CPS1) score for November – 112.06
● Scores for November indicate 34 non-wind-only QSEs passed and 1 non-wind-only QSE failed the PRR 525 measure
3
Texas RE Monthly Summary
● For November………. Protocol & Operating Guides violations
• 1 new alleged
NERC Standards violations• 6 new alleged – all resulting from entity self-certifications
Reportable events• 1 Compliance Review in final stage
• 2 new events reported – Compliance Reviews initiated
12 NERC Spot-Checks Initiated
● NERC approved the Texas RE 2008 Compliance Enforcement Program Implementation Plan
Texas Regional Entity
Report Details
5
NERC CPS1 Performance
● ERCOT’s CPS1 Performance November Performance
• Monthly comparison♦ 2007: 112.06
♦ 2006: 131.96
• 12 month rolling average comparison♦ December 2006 November 2007: 128.24
♦ December 2005 November 2006: 142.77
● PRR 525 Performance Scores for November indicate 34 non-wind-only QSEs passed and 1
non-wind-only QSE failed the measure Scores posted on the ERCOT Compliance Website
• SCE Performance Scores
6
ERCOT CPS1 Performance Comparison
100
110
120
130
140
150
Dec
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
CP
S1
Tre
nd
100
110
120
130
140
150
Dec'06-Nov'07 Dec'05-Nov'06 Dec'04-Nov'05 Dec'03-Nov'04
Start of SCE Performance MonitoringJanuary '06
7
ERCOT CPS1 Year-to-Year Comparison
0
20
40
60
80
100
120
140
160
180
0
20
40
60
80
100
120
140
160
180
8
ERCOT’s CPS1 Monthly Performance
100
110
120
130
140
150
160
170
CP
S1
Av
era
ge
100
110
120
130
140
150
160
170
Monthly Avg 12 Mo Rolling Avg
9
ERCOT CPS1 by Interval
0
20
40
60
80
100
120
140
160
180
CP
S1
Av
g %
Nov '07 Shaded Nov '06
06152215
0015
2315
1115815
1815
10
QSE PRR 525 10-Minute Interval Scoring
17 1820
1820
18 18 18 1719 20 19 19
17 18
13
19
2426 27
30 30
35
32 32 31 3234 34
32 32 32 32 33 34 34 34 34 34
13 12 9
10
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
1 1
1 11
11
1
1 11
2 2 2 2 2 3 44 4
44
6 6
6
6 7 7 7
77
7
77
88 8 8 8
8 9
02468
101214161820222426283032343638404244
Nu
mb
er
of
QS
Es
Passing QSEs Failing QSEs Failing Wind
11
November 2007 – SCPS2 Scores
0
10
20
30
40
50
60
70
80
90
100
Pe
rce
nt
35 Non-Wind QSE's 9 Wind QSE's
12
November 2007 Resource Plan Performance Metrics
DK BT DE IP AP AO HA BY BC JA AY AM AR BR HJ DF BP CI AE AD BJ BH JD CF ETResource Status 99 - 100 100 100 100 100 99 100 100 96 98 100 96 - 99 99 100 - 100 100 - 100 100 90LSL as % of HSL 93 - 99 98 98 94 97 98 100 99 100 100 99 97 - 96 99 96 - 95 99 - 94 98 100Day Ahead Zonal Schedule 94 98 100 100 100 99 100 100 100 100 95 100 100 98 97 100 100 94 - 100 100 100 100 100 96Adjustment Period Zonal Schedule 91 89 96 97 96 94 91 98 98 95 96 96 92 92 93 90 97 90 - 89 94 95 95 95 100Down Bid & Obligation 87 96 90 83 96 97 95 93 91 79 94 45 87 68 94 76 95 86 - 92 92 93 97 86 95Total Up AS - - 100 - 100 98 99 98 95 100 97 96 100 87 - 92 - - 100 - - - 97 100 96
DA GR GS BF BE EU JC BG CX FK HW IN IZ JB BX CC JE CD FS AC CQ IV IO FYResource Status 99 - - - - 100 - 99 100 100 100 99 100 - 100 99 - 99 100 100 99 - 100 -LSL as % of HSL 100 - - - - 100 - 100 100 100 100 98 96 - 99 100 - 97 99 100 98 - - -Day Ahead Zonal Schedule 95 97 96 98 99 - 100 98 100 99 100 100 99 - 100 92 100 98 98 100 99 100 - -Adjustment Period Zonal Schedule 92 97 92 97 95 94 96 97 97 96 94 89 99 97 96 97 100 94 89 99 97 98 - -Down Bid & Obligation 79 84 86 85 84 - 100 92 92 92 95 97 99 99 84 93 100 93 - 94 93 96 - -Total Up AS 88 - - - - - - 100 99 97 95 98 100 - 98 99 - 99 - - 99 - - 98
4 Consecutive Failing Scores 3 Consecutive Failing Scores
2 Consecutive Failing Scores 1 Failing Score
PARTYNAME
PARTYNAMEID
ID
13
Registration Activities
● Organization registration issues continue to be addressed● Purchasing-Selling Entity (PSE) registration
Initially, registration notices sent to 33 entities Registration criteria used
• Entity operates as a Qualified Scheduling Entity (QSE) in the ERCOT Market• Entity shown on NERC TSIN (Transmission Service Information Network) List
• Entity schedules transactions across a HVDC tie
● ERCOT PSE registration being removed● Load-Serving Entity (LSE) registration to be addressed● Joint Registration of some entities likely
14
NERC Functional Entity Types
DP – Distribution Provider GO – Generator Owner GOP – Generator Operator TO – Transmission Owner TP – Transmission Planner
RC – Reliability Coordinator BA – Balancing Authority TOP – Transmission
Operator PA – Planning Authority TSP – Transmission Service
Provider RP – Resource Planner PSE – Purchasing-Selling
Entity
15
Compliance Process Flowcharts
● NERC Compliance Monitoring and Enforcement Program – Reliability Standards Link to NERC Reliability Flowcharts
● ERCOT Compliance Process – ERCOT Protocols and Operating Guides Link to Protocols & Guides Flowcharts
16
2008 Audits by Registered Function
97
13 12
1
23
0
5
10
15
20
25
GOP GO RC BA TOP TO TP DP
Scheduled On-Site Visit Completed Report Issued
17
2008 Compliance Audits Scheduled by Entity
34
2
7
2
5
443 3
5
0
1
2
3
4
5
6
7
8
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Scheduled On-Site Visit Completed Report Issued
18
2008 Audit Schedule
● The 2008 Texas RE Audit Schedule is available here.
19
Compliance Reviews of Events by Month
3
5
7
5
32 2
12 2
3
2
1
1 3
1
1
21
1
1
12
1
0
1
2
3
4
5
6
7
8
9
10
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov
Reviewed Ops Only Report Investigation
20
Violations of ERCOT Protocols
34
8
3 3
9
4
2
1 1
1
0
1
2
3
4
5
6
7
8
9
10
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov
Confirmed - Mitigated Confirmed - Mitigation in Progress Alleged
4
8
3 3
9
7
3
0
1
0
1
21
Violations of NERC Standards Reported by Month
64
2
17
2210
2
4
6
8
10
12
14
16
18
20
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov
Alleged Confirmed - Mitigation in Progress Confirmed - Mitigated
0 0 0 0
2
6
1 2
17
0
6
22
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) 165 Total Registered Functions 99.4% overall response 1 outstanding response
• Entity is challenging their registration
23
NERC Standards Self-Certification
● To date, 25 alleged violations identified (September, October, & November) 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 GO
24
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
Low er
Violation Severity Level
0 5 10 15 20 25
Admin
Training
Tech
Severe
High
Moderate
Lower
Not Spec
25
NERC Standards Self-Reported ViolationsPre-June 18th
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
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
FA
C-0
01
-0
TP
L-0
03
-0
TP
L-0
04
-0
Nu
mb
er
of
Vio
lati
on
s
Mitigation Plans Completed Mitigation Complete This Month Mitigation Plans In Progress
26
Risk Factors for Self-Reported NERC Standards Violations Pre-June 18th
High, 36, 19%
Medium, 58, 30%
Lower, 100, 51%
Risk Factors are being assigned to each NERC Standard as part of the Standard Development Process
27
NERC Standards Self-Reported Violation Categorization Pre-June 18th
23 55 53
10 5 1
31 43
0 20 40 60 80 100 120 140
Admin
Training
Tech
High
Medium
Lower
Violation Risk
Factors
