Unidentified Registered Entity, FERC Docket No. NP11-128-000 (February 23, 2011)
Reliability Standard: BAL-006-1
Requirement: R4
Violation Risk Factor: Lower
Violation Severity Level: Not provided
Region: WECC
Issue: Following a compliance audit, WECC Enforcement determined that Unidentified Registered Entity (URE) had a violation of R4 because at the time of the audit it failed to produce evidence that it was performing checks with adjacent Balancing Authorities to ensure it was operating to the same net interchange, nor did it demonstrate that it was operating to a common Net Interchange Schedule and Actual Net Interchange Value and recording the hourly quantities as required by the Reliability Standard.
Finding: WECC Enforcement determined the violation did not pose a serious or substantial risk to the bulk power system because although URE could not provide evidence of compliance with the Requirement at the time of the audit, it later demonstrated that it was operating to a common Net Interchange Schedule and Actual Net Interchange value and was recording hourly quantities as required by the Reliability Standard. In determining the penalty amount, the NERC Board of Trustees Compliance Committee considered the following factors: this was URE’s first occurrence of this type of violation; URE was cooperative; and the number and nature of the violations.
Penalty: $450,000 (aggregated for multiple violations)
FERC Order: Issued March 25, 2011 (no further review)
