NERC Case Notes: Reliability Standard TPL-003-0 | White & Case LLP International Law Firm, Global Law Practice
NERC Case Notes: Reliability Standard TPL-003-0

NERC Case Notes: Reliability Standard TPL-003-0

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This page contains the NOP (Notice of Penalty) and ACP (Administrative Citation of Penalty) summaries. Click here to read the FFT (Find, Fix and Track) summaries.

Avista Corporation, FERC Docket No. NP10-26-000 (December 30, 2009)

Reliability Standard: TPL-003-0

Requirement: R1.2

Violation Risk Factor: Medium

Violation Severity Level: Not provided

Region: WECC

Issue: Avista did not address in its annual assessment for 2007 all the required stability studies for the loss of two or more Bulk Power System elements, under certain contingency specified in Category C, for the longer term planning horizon (which is years 6 through 10). While Avista had run both steady-state and dynamic studies for the near-term period, it had only run steady-state studies, not dynamic studies, for the longer-term period.

Findings: WECC and Avista entered into a Settlement Agreement to resolve all of the outstanding issues, where Avista neither admitted nor denied multiple alleged violations but agreed to pay a $30,000 penalty. In determining the aggregate penalty amount for the multiple alleged violations, WECC considered the fact that this was one of the first enforcement proceedings to proceed through WECC since the standard became mandatory, it was a new requirement, Avista did not have any prior violation of the standard, and Avista did not conceal any evidence and was cooperative during the entire enforcement process. And, as the Avista system is surrounded by the Bonneville Power Administration system, the alleged violation did not appear to place the bulk power system at serious risk.

Penalty: $30,000 (aggregate for multiple violations)

FERC Order: Issued January 29, 2010 (no further review)

City of Cleveland, Dept. of Public Utilities, Division of Cleveland Public Power, FERC Docket No. NP10-21-000 (December 30, 2009)

Reliability Standard: TPL-003-0

Requirement: R1, R2, R3

Violation Risk Factor: High with respect to R1, Medium for R2, and Lower for R3

Violation Severity Level: Not discussed

Region: RFC

Issue: Cleveland Public Power (CPP) failed to demonstrate by valid assessment that its transmission system is planned such that the system can supply projected customer loads at all demand levels under certain Category C contingency conditions; failed to provide or maintain written record of a plan addressing scenarios in which its system simulations indicate an inability to respond as required; and failed to document its reliability assessments and corrective plans.

Finding: Duration of violation was from June 18, 2007 when the standard became enforceable through October 16, 2009. In reaching a settlement penalty, RFC considered (1) CPP self-reported the violations; (2) CPP was cooperative throughout the enforcement process; and (3) CPP committed substantial financial and personnel resources, compared to its size, in order to achieve compliance with the standard.

Penalty: $160,000 (aggregate for multiple violations)

FERC Order: Issued January 29, 2010 (no further review)

City of Columbia, MO, FERC Docket No. NP08-29-000 (June 5, 2008)

Reliability Standard: TPL-003-0

Requirement: R1.1

Violation Risk Factor: Medium

Violation Severity Level: Moderate

Region: SERC

Issue: The City of Columbia did not perform the required annual assessments needed to demonstrate that its portion of the transmission system can be operated, under certain contingency conditions defined in Category C, to supply projected customer demands and projected Firm Transmission Services at all demand levels over the range of forecast system demands. The controlled interruption of customer demand, the planned removal of generators, or the curtailment of firm power transfers could be used to meet this reliability standard.

Finding: SERC declined to impose any penalty for multiple violations of the Reliability Standards since the violations occurred during the transition period to mandatory standards and the violations were found not to have put bulk power system reliability at serious or substantial risk. Plus, no system disturbances occurred because of these violations. These multiple violations were the first by the City of Columbia, and the City of Columbia worked cooperatively with SERC during the investigation. Also, the City of Columbia acted immediately to correct the problems and subsequently completed mitigation plans to address the multiple TPL violations and to ensure that reliability is maintained.

Penalty: $0

FERC Order: 124 FERC ¶ 61,015; http://www.nerc.com/files/NoticeOfPenaltyOrder.pdf

Colorado Springs Utilities, FERC Docket No. NP10-190-000 (September 30, 2010)

Reliability Standard: TPL-003-0

Requirement: R1, 6

Violation Risk Factor: High/Medium

Violation Severity Level: Not provided

Region: WECC

Issue: WECC rejected Colorado Spring's completion of its pre-June 18, 2007 self-reported violation of the standard due to its failure to perform the required number of studies of forecast system demands under contingency conditions specified in the standard.

Finding: It was determined by WECC that the violation did not constitute a serious or substantial risk to the bulk power system because the network was set up to supply projected demand over a range of forecast demands. Duration of the violation was from June 18, 2007 through March 6, 2009. In determining the penalty amount, WECC also considered that this was Colorado Springs' first violation of the standard, and that it had self-reported or self-certified 6 of the 9 violations that gave rise to the penalty.

Penalty: $31,000 (aggregate for multiple violations)

FERC Order: Issued October 29, 2010 (no further review)

Eugene Water & Electric Board, FERC Docket No. NP11-43-000 (November 30, 2010)

Reliability Standard: TPL-003-0

Requirement: R1, R2

Violation Risk Factor: High (R1), Medium (R2)

Violation Severity Level: Severe (R1, R2)

Region: WECC

Issue: Eugene Water & Electric Board ("EWEB") submitted a self-report for failing to perform required stability studies under the multiple element contingency conditions as defined in TPL-003-0 and consequently failing to provide a written summary of its system performance plans. EWEB was operating under the assumption that the Balancing Authority ("BA") was conducting the required studies on its behalf, but had not communicated with the BA to confirm this point to assure compliance.

Finding: This was EWEB's first violation of this Reliability Standard, EWEB self-reported the violation and was cooperative throughout the enforcement process, there was no evidence of any attempt or intent to conceal the violation, and the violation did not pose a serious or substantial risk to the bulk power system because EWEB's system is a small portion of a single BA, with a winter peak load of approximately 524 MW, and EWEB does not have any critical interconnection ties.

Penalty: $25,000 (aggregated for multiple violations)

FERC Order: Issued December 30, 2010 (no further review)

Florida Municipal Power Agency, FERC Docket No. NP10-2-000 (October 14, 2009)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Not provided

Region: FRCC

Issue: It was discovered in December 2007 that Florida Municipal Power Agency (FMPA) did not perform the mandated assessments and studies as required by the Reliability Standard in TPL-003-0 R1.

Finding: FRCC found that this violation did not involve a serious or substantial risk to bulk power system reliability since system planning was still being performed by FMPA's Planning Authority and the transmission planning working group (even though FMPA was not conducting the assessments and studies as required). This was FMPA's first violation of this Reliability Standard and it completed a mitigation plan.

Total Penalty: $0

FERC Order: Issued November 13, 2009 (no further review)

Florida Municipal Power Agency, FERC Docket No. NP10-2-000 (October 14, 2009)

Reliability Standard: TPL-003-0

Requirement: R2

Violation Risk Factor: Medium

Violation Severity Level: Not provided

Region: FRCC

Issue: It was discovered in December 2007 that Florida Municipal Power Agency (FMPA) did not perform the mandated assessments and studies as required by the Reliability Standard in TPL-003-0 R1 and therefore was also in violation of R2 of the standard.

Finding: FRCC found that this violation did not involve a serious or substantial risk to bulk power system reliability since system planning was still being performed by FMPA's Planning Authority and the transmission planning working group (even though FMPA was not conducting the assessments and studies as required). This was FMPA's first violation of this Reliability Standard and it completed a mitigation plan.

Total Penalty: $0

FERC Order: Issued November 13, 2009 (no further review)

Florida Municipal Power Agency, FERC Docket No. NP10-2-000 (October 14, 2009)

Reliability Standard: TPL-003-0

Requirement: R3

Violation Risk Factor: Lower

Violation Severity Level: Not provided

Region: FRCC

Issue: It was discovered in December 2007 that Florida Municipal Power Agency (FMPA) did not perform the mandated assessments and studies as required by the Reliability Standard in TPL-003-0 R1 and therefore was also in violation of R3 of the standard.

Finding: FRCC found that this violation did not involve a serious or substantial risk to bulk power system reliability since system planning was still being performed by FMPA's Planning Authority and the transmission planning working group (even though FMPA was not conducting the assessments and studies as required). This was FMPA's first violation of this Reliability Standard and it completed a mitigation plan.

Total Penalty: $0

FERC Order: Issued November 13, 2009 (no further review)

NERC Notice of Penalty: http://www.nerc.com/filez/enforcement/Final%20Omnibus%20NOP%20(10%2014%2009)%20(Public).pdf

Imperial Irrigation District, FERC Docket No. NP10-160-000 (September 13, 2010)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High/Medium

Violation Severity Level: Not provided

Region: WECC

Issue: Imperial Irrigation District (IID) self-reported that it had not analyzed transient stability studies to determine if its system performance would be able to handle Category C contingencies.

Finding: WECC found that this violation did not constitute a serious or substantial risk to the bulk power system since IID had actually completed power flow studies, even though it had not evaluated the risk and consequences of Category C contingencies as required. IID has a peak load of 950 MW in southeastern California and is interconnected with multiple Transmission Operators and Balancing Authorities. Furthermore, IID self-reported the violation and this was IID's first violation of this Reliability Standard. Although the violation occurred before the Reliability Standards become mandatory on June 18, 2007, IID did not timely complete an acceptable mitigation plan. Even with the late completion of the mitigation plan, WECC decided not to impose a penalty.

Penalty: $0

FERC Order: Issued October 13, 2010 (no further review)

Indianapolis Power & Light Company, FERC Docket No. NP11-210-000 (June 29, 2011)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Lower

Region: RFC

Issue: During a compliance audit in March 2010, RFC found that Indianapolis Power & Light Company (IPL), as a Transmission Planner, did not maintain proper documentation concerning the upgrades contained in its Assessment that would be needed to satisfy the performance requirements that would come into play for incidents that result in the loss of two or more elements.

Finding: RFC and IPL entered into a settlement agreement to resolve multiple violations, whereby IPL agreed to pay a penalty of $70,000 and to undertake other mitigation measures. RFC found that the TPL-003-0 violation did not constitute a serious or substantial risk to bulk power system reliability since IPL was actually conducting the required assessment for its part of the interconnected transmission system and was planning upgrades to its system to address Category C contingencies. The duration of the TPL-003-0 violation was from June 9, 2009 through April 2, 2010. In approving the settlement agreement, NERC found that these were IPL’s first violations of the relevant Reliability Standards; IPL was cooperative during the enforcement proceeding and did not conceal the violations; there was a compliance program in place (which was evaluated as a mitigating factor); and there were no additional aggravating or mitigating factors.

Penalty: $70,000 (aggregate for 11 violations)

FERC Order: Issued July 29, 2011 (no further review)

Modesto Irrigation District, FERC Docket No. NP10-93-000 (March 31, 2010)

Reliability Standard: TPL-003-0

Requirement: R1, R2, R3

Violation Risk Factor: R1-High, R2-Medium, R3-Lower

Violation Severity Level: Not provided

Region: WECC

Issue: Modesto Irrigation District (MID) failed to perform the full range of "Category C" contingency studies and assessments required by TPL-003-0 R1, R2 and R3.

Finding: The alleged violations occurred from June 18, 2007, when the Standard became enforceable, until December 29, 2008, when MID completed a mitigation plan. Through settlement, no penalty was assessed and MID agreed to undertake a number of activities, including accelerating "Job Task Analysis" development for MID's operators and construction of a back-up control center. In reaching the agreement, WECC considered that it was MID's first violations of this Standard; the violations did not pose a serious or substantial risk to the reliability of the bulk power system; MID is a government entity and a small irrigation district; most violations were self-reported; MID did not attempt to conceal the violations; and the violations were not intentional.

Penalty: $0

FERC Order: Issued April 30, 2010 (no further review)

NERC Registered Entity, FERC Docket No. NP10-137-000 (July 6, 2010)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Not discussed

Region: WECC

Issue: The NERC Registered Entity failed to study multiple demand levels defined in Category C or produce an annual assessment.

Finding: The NERC Registered Entity was required to study multiple demands levels over the range of forecast system demands. In addition, it was required to provide an addendum to its annual assessment to include an analysis of winter (off-peak) conditions. If issues were identified in the winter assessment that required longer lead-time solutions, an analysis of off-peak conditions beyond the five-year horizon would be performed and reported on. If longer lead-time solutions were not identified in the winter assessment, the NERC Registered Entity would so indicate in the addendum and longer-term off-peak analysis would not be necessary. No further publicly available information was provided.

Penalty: $39,000 (aggregate for multiple violations)

FERC Order: Issued August 5, 2010 (no further review)

NERC Registered Entity, FERC Docket No. NP10-159-000 (July 30, 2010)

Reliability Standard: TPL-003-0

Requirement: R1, R2, R3

Violation Risk Factor: High for R1, Medium for R2, Lower for R3

Violation Severity Level: Not provided

Region: WECC

Issue: While the Registered Entity had completed necessary power flow studies, the Registered Entity failed to provide evidence that its assessments included a near-term summer study, nor current or past studies over the range of forecast system demand as required. Also, the Registered Entity could not document stability studies demonstrating that its system performance met Category C contingencies.

Finding: Duration of the violations was from June 18, 2007, when the Reliability Standard became enforceable, through March 30, 2009. The violations did not pose a serious risk to the reliability of the bulk power system because the violations were primarily documentation issues, and the Registered Entity is only a medium-sized entity in its balancing authority area. These were the Registered Entity's first violations of the Reliability Standard.

Penalty: $109,000 (aggregate for multiple violations)

FERC Order: Issued August 27, 2010 (no further review)

Nevada Power Company, FERC Docket No. NP10-54-000 (March 1, 2010)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Not provided

Region: WECC

Issue: Nevada Power analyzed its system only with respect to heavy summer load demand conditions, rather than selected demand levels over the range of forecast system demands, under the conditions defined in Category C.

Finding: Duration of violation was from June 18, 2007, when the standard became enforceable, through July 31, 2008. The violation was deemed not to pose a serious or substantial risk to bulk power system reliability because Nevada Power had studied its most heavy load condition.

Penalty: $52,000 (aggregate for multiple violations)

FERC Order: Issued March 31, 2010 (no further review)

Public Utility District No. 1 of Chelan County, FERC Docket No. NP10-2-000 (October 14, 2009)

Reliability Standard: TPL-003-0

Requirement: R1, R2, R3

Violation Risk Factor: High (R1); Medium (R2); Lower (R3)

Violation Severity Level: Not provided

Region: WECC

Issue: In July 2007, Public Utility District No. 1 of Chelan County (CHPD) self-reported that it had not demonstrated a valid assessment and therefore could not meet all of the requirements of TPL-003-0.

Finding: WECC found that the violations did not pose a serious or substantial risk to the bulk power system due to the nature and location of CHPD's system. In addition, CHPD had also historically conducted steady-state assessments on its portion of the interconnected transmission system. The violations were self-reported and were CHPD's first violations of this Reliability Standard. A mitigation plan has been completed.

Penalty: $0

FERC Order: Issued November 13, 2009 (no further review)

Public Utility District No. 1 of Snohomish, FERC Docket No. NP11-135-000 (March 30, 2011)

Reliability Standard: TPL-003-0

Requirement: R1, R2

Violation Risk Factor: High (R1), Medium (R2)

Violation Severity Level: Severe

Region: WECC

Issue: Public Utility District No. 1 of Snohomish (SNPD), a Transmission Planner, failed to perform the required stability studies under the multiple element contingency conditions as defined in Category C of Table I to the Reliability Standard in violation of TPL-003-0 R1. Further, SNPD was not able to provide a written summary of its system performance plans as required by TPL-003-0 R2.

Finding: The NERC Board of Trustees Compliance Committee (NERC BOTCC) approved a settlement agreement which included a penalty in the amount of $26,000 for these and other violations. In reaching this determination, the NERC BOTCC considered the following facts: the violations constituted SNPD's first violations of the subject NERC Reliability Standard; SNPD self-reported the violations; SNPD cooperated during the compliance enforcement process; SNPD did not attempt to conceal a violation or intend to do so; the violations did not create a serious or substantial risk to the bulk power system; and there were no other mitigating or aggravating factors or extenuating circumstances.

Penalty: $26,000 (aggregate for 8 violations)

FERC Order: Issued April 29, 2011 (no further review)

PUD No. 1 Douglas County, FERC Docket No. NP10-167-000 (September 30, 2010)

Reliability Standard: TPL-003-0

Requirement: R1, R2, R3

Violation Risk Factor: High (R1), Medium (R2), Lower (R3)

Violation Severity Level: Severe (R1, R2, R3)

Region: WECC

Issue: PUD No. 1 of Douglas County (DOPD), as a Transmission Planner, failed to maintain current studies in the near-term and long-term planning horizons. DOPD could not provide a valid assessment showing that DOPD's portion of the interconnected transmission system was planned such that the Network could be operated to supply projected customer demands at all demand levels over the range of forecast system demands and under the contingency conditions defined in Category C of Table I to the Standard. As such, DOPD violated TPL-003-0 R1. In addition, DOPD could not provide a written summary of its system performance plans as required by R2. Further, DOPD could not produce such an assessment to WECC as required by R3.

Finding: WECC imposed a $10,000 penalty for these and other violations. In assessing the penalty, WECC determined that the alleged violations did not create a serious or substantial risk to the bulk power system because, as DOPD conducts weekly operations reviews of system conditions, DOPD is aware of the real time and weekly system conditions. WECC also considered the fact that DOPD operates the Wells Hydroelectric Project, which consists of 10 generating units capable of producing approximately 840 MW of electricity, within a single Balancing Authority.

Penalty: $70,000 (aggregate for multiple violations)

FERC Order: Issued October 29, 2010 (no further review)

Unidentified Registered Entity, FERC Docket No. NP11-175-000 (April 29, 2011)

Reliability Standard: TPL-003-0

Requirement: R1, R2

Violation Risk Factor: High (R1), Medium (R2)

Violation Severity Level: Lower (R1, R2)

Region: WECC

Issue: In December 2008, the Unidentified Registered Entity (URE) self-reported that it had not included all required facilities below 200 kV in its reliability assessment as required (R1). Therefore, the URE was unable to produce a complete written assessment of its system performance (R2).

Finding: WECC and the URE entered into a settlement agreement to resolve multiple violations, whereby the URE agreed to pay a penalty of $32,000 and to undertake other mitigation measures. WECC found that the violations of TPL-003-0 only constituted a minimal risk to bulk power system reliability since the URE had actually conducted studies on its facilities rated above 200 kV and already had an assessment and corrective action plan in place for those facilities. In addition, the real-time, next-day and weekly studies did not reveal any instability in the URE's system. The duration of the TPL-003-0 violations was from June 18, 2007 through November 20, 2009. In approving the settlement agreement and the penalty determination, NERC considered the fact that the violations were the URE's first violations of the relevant Reliability Standards; some of the violations were self-reported; the URE was cooperative during the enforcement process and did not conceal the violations; the URE had a compliance program in place (which was evaluated as a mitigating factor); and there were no additional aggravating or mitigating factors.

Penalty: $32,000 (aggregate for 6 violations)

FERC Order: May 27, 2011 (no further review)

Sacramento Municipal Utility District, FERC Docket No. NP10-29-000 (December 30, 2009)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Not provided

Region: WECC

Issue: SMUD studied adverse peak conditions only with respect to Category C contingency conditions, instead of addressing demand levels over a range of forecast system demands; moreover SMUD could not produce documentation to show it had conducted studies in accordance with this standard.

Finding: Duration of violation was from June 18, 2007, when the standard became enforceable, through February 20, 2009. WECC determined the penalty justified because (1) the violation involved documentation failure only; (2) it was SMUD's first violation of this standard; and (3) there was no evidence SMUD attempted to conceal the violation.

Penalty: $65,000 (aggregate for multiple violations)

FERC Order: Issued January 29, 2010 (no further review)

Texas-New Mexico Power Co., Docket No. NP13-33 (April 30, 2013)

Reliability Standard: TPL-003-0

Requirement: 1/1.3/1.3.1/1.3.7/1.5

Violation Risk Factor: High

Violation Severity Level: Lower

Region: TRE

Issue: In July 2011, Texas-New Mexico Power Co. (TNMP), as a TP, self-certified that it did not perform a stability analysis in order to test system performance under defined conditions for all relevant contingencies.

Finding: TRE found that this violation constituted a moderate risk to BPS reliability since operating with SOLs that have not been validated by a stability analysis increases the risk of cascading outages or uncontrolled separation. But, TNMP did have established SOLs and the problem was discovered and promptly addressed through TNMP’s internal controls. The duration of the violation was from June 28, 2007 through April 4, 2011. TNMP neither admitted nor denied the violation. TNMP’s internal compliance program was viewed as a mitigating factor, as well as the fact that TNMP engaged in measures above and beyond what was strictly required (such as adding a third transmission planner and additional engineers and increasing training).

Total Penalty: $7,000 (aggregate for 4 violations)

FERC Order: Issued May 30, 2013 (no further review)

Turlock Irrigation District, FERC Docket NP10-18-000 (November 13, 2009)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Not provided

Region: WECC

Issue: TID self-reported that it did not properly complete and distribute the required valid assessment of Category C conditions to neighboring entities.

Finding: Duration of the violation was from June 18, 2007 when the standard became enforceable through October 25, 2008. WECC gave consideration to the fact that TID is a small entity with limited financial resources, it self-reported the violation, the violation resulted in a minimal to moderate impact to the reliability of the bulk power system, the violation was TID's first of this requirement, and TID provided evidence of a superlative compliance program.

Penalty: $80,000 (aggregate for multiple violations)

FERC Order: Order Denying Rehearing and Providing Clarification, issued June 21, 2012, 139 FERC ¶ 61,248 (2012); http://www.ferc.gov/whats-new/comm-meet/2012/062112/E-8.pdf

Unidentified Registered Entity, FERC Docket No. NP11-1-000 (October 7, 2010)

Reliability Standard: TPL-003-0

Requirement: R1, R2

Violation Risk Factor: High (R1); Medium (R2)

Violation Severity Level: N/A

Region: WECC

Issue: WECC determined during an audit that an Unidentified Registered Entity (URE) could not demonstrate that its system could operate to meet certain contingencies; did not undertake post-transient stability studies; the planning engineers lacked the technical knowledge required to perform such stability studies; and the URE did not have a detailed, documented corrective action plan to achieve the necessary system performance. NERC Enforcement found that the URE had violations because its planning assessment was based on power-flow studies only; a transient stability analysis and a transient voltage analysis were missing from URE's assessment; URE's system is not radial, and therefore, it had to have a written supply of plans to achieve required system performance without shedding load, which the URE did not have.

Finding: The violations did not pose a serious or substantial risk to the reliability of the bulk power system because of the URE's relative size and location and access to outside energy resources if needed for real-time operations. The violation only dealt with long-term planning.

Penalty: $106,000 (aggregate for multiple violations)

FERC Order: Issued November 5, 2010 (no further review)

Unidentified Registered Entity, FERC Docket No. NP11-124-000 (February 23, 2011)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Severe

Region: RFC

Issue: RFC found that the Unidentified Registered Entity (URE) failed to demonstrate that system performance met Category C contingencies.

Finding: The NERC Board of Trustees Compliance Committee (NERC BOTCC) approved a settlement agreement which included a penalty in the amount of $100,000 for this and other violations. In reaching this determination, the NERC BOTCC considered the following facts, among others: the violation constituted the URE's first violation of the subject NERC Reliability Standard; the URE self-reported 11 of the 16 violations; the URE cooperated during the compliance enforcement process; the URE's compliance program; the URE did not attempt to conceal a violation or intend to do so; the violation did not create a serious or substantial risk to the bulk power system; and there were no other mitigating or aggravating factors or extenuating circumstances.

Penalty: $100,000 (aggregate for multiple violations)

FERC Order: Issued March 25, 2011 (no further review)

Unidentified Registered Entity, FERC Docket No. NP11-269-000 (September 30, 2011)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Severe

Region: WECC

Issue: URE self-reported that it failed to finalize documentation of its annual assessment for 2009 until 2010.

Finding: WECC determined that the violation posed a minimal risk to the reliability of the BPS because the URE did not prepare the assessments that were required, but its portion of the interconnected transmission system is planned such that it can be operated to supply projected customer demands and projected Firm Transmission Services at all demand levels over the range of forecasted system demands. Duration of the violation was from the date the assessments were due through May 6, 2010. WECC and the NERC BOTCC took into consideration that URE had a compliance program as a particular mitigating factor as well as the self-report. WECC also exercised its discretion to assess a single aggregate penalty for the violations of TPL-001-0.1, TPL-002-0, TPL-003-0 and TPL-004-0 stemming from this one incident of non-compliance.

Penalty: $225,000 (aggregate for 11 violations)

FERC Order: Issued October 28, 2011 (no further review)

Utilities Commission of New Smyrna Beach, FERC Docket NP10-2-000 (October 14, 2009)

Reliability Standard: TPL-003-0

Requirement: R1

Violation Risk Factor: High

Violation Severity Level: Not provided

Region: FRCC

Issue: Utilities Commission of New Smyrna Beach (New Smyrna) failed to perform the assessments required by the standard.

Finding: Duration of the violation was from June 18, 2007, when the standard became enforceable, through June 12, 2009. Penalty was deemed appropriate because this was New Smyrna's first violation of this standard, and the violation did not pose a serious or substantial threat to the reliability of the bulk power system because the required assessments were being done by its Planning Authority and others.

Penalty: $0

FERC Order: Issued November 13, 2009 (no further review)