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Compliance Monitoring Report Fourth Quarter 2012

Compliance Monitoring Report Fourth Quarter 2012. Board of Directors Meeting February 26, 2013. 4 th Quarter NERC Compliance Monitoring Activities. 12 Month Rolling Compliance Monitoring Activities. Q2 Total 38. Q1 Total 43. Q3 Total 59. Q4 Total 55. Compliance Monitoring Activity.

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Compliance Monitoring Report Fourth Quarter 2012

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  1. Compliance Monitoring ReportFourth Quarter 2012 Board of Directors Meeting February 26, 2013

  2. 4th Quarter NERC Compliance Monitoring Activities 4th Quarter 2012 Compliance Monitoring Report

  3. 12 Month Rolling Compliance Monitoring Activities Q2 Total 38 Q1 Total 43 Q3 Total 59 Q4 Total 55 4th Quarter 2012 Compliance Monitoring Report

  4. Compliance Monitoring Activity 4th Quarter 2012 Compliance Monitoring Report

  5. 4th Quarter Non-statutory Activities 4th Quarter 2012 Compliance Monitoring Report

  6. Non-statutory Information • Audits: • One audit was conducted in November 2012. Audit report was issued January 8, 2013. • Investigations: • Initiated 12 formal investigations in Quarter 4 2012 based on performance monitoring. • Analysis of current ERCOT-wide reliability concern continuing. Data collection is complete, expect to finalize review and determine appropriate action in Quarter 2 2013. 4th Quarter 2012 Compliance Monitoring Report

  7. Non-statutory Information • PUCT enforcement program support: • In Quarter 4 2012, PUCT concluded 1 matter referred by Texas RE, including a penalty assessment of $50,000. • Total 2012 PUCT penalty assessments for Texas RE-referred matters was $412,000. • A hearing before the State Office of Administrative Hearings was held in January 2013 in the following Texas RE-referred matter. Texas RE provided expert witness testimony and other hearing support. • Docket No. 40489, Notice of Violation by CPS Energy, an authorized Qualified Scheduling Entity (QSE), of PURA § 39.151 (d) and (j), P.U.C. Subst. R. 25.503(f)(2), ERCOT Protocols §§ 6.5.7.6.2.3(4) Relating to Non-Spinning Reserve Service (NSRS) Deployment, 8.1.1.2.1.3 Relating to NSRS Qualification, and 8.1.1.4.3 (3)(b) Relating to NSRS Energy Deployment Criteria. • A hearing before the State Office of Administrative Hearings is scheduled for Quarter 1 2013 in the following Texas RE-referred matter. Texas RE is providing expert witness testimony and other hearing support. • Docket No. 40368, Notice of Violation by Luminant Energy Company, LLC, an authorized Qualified Scheduling Entity (QSE), of PURA § 39.151 (d) and (j), P.U.C. Subst. R. 25.503(f)(2), ERCOT Protocols §§ 6.5.7.6.2.3(4) Relating to Non-Spinning Reserve Service (NSRS) Deployment, 8.1.1.2.1.3 Relating to NSRS Qualification, and 8.1.1.4.3 (3)(b) Relating to NSRS Energy Deployment Criteria. 4th Quarter 2012 Compliance Monitoring Report

  8. Non-statutory Monitoring Activity 4th Quarter 2012 Compliance Monitoring Report

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