If a Transmission Owner, Generator Owner or Reliability Coordinator is found non-compliant, it shall keep information related to the non-compliance until found compliant. The Compliance Enforcement Authority shall keep the last audit and all subsequent record. 1.4. Compliance Monitoring and Assessment Processes - Self-Certifications - Spot Checking - Compliance Audits - Self-Reporting - Compliance Violation Investigations - Complaints 1.5. Additional Compliance Information None 2. Violation Severity Levels R # VSL Moderate VSL High VSL Severe VSL R1 The Transmission Owner or Generator Owner provided the Sequence of Event recording capability meeting the bulk of R1 but missed… Up to and including 10% of the total set, which is the product of the total number of locations in 1.1 times the total number of parameters in 1.2. More than 10% and up to and including 20% of the total set, which is the product of the total number of locations in 1.1 times the total number of parameters in 1.2. More than 20% and up to and including 30% of the total set, which is the product of the total number of locations in 1.1 times the total number of parameters in 1.2. More than 30% of the set, which is the product of the total number of locations in 1.1 times the total number of parameters in 1.2. R2 The Transmission Owner provided the Fault recording capability meeting the bulk of R2 but missed… Up to and including 10% of the total set, which is the total number of Elements at all locations required to be installed as per R3 that meet the criteria listed in 2.1 through 2.6. More than 10% and up to and including 20% of the total set, which is the total number of Elements at all locations required to be installed as per R3 that meet the criteria listed in 2.1 through 2.6. More than 20% and up to and including 30% of the total set, which is the total number of Elements at all locations required to be installed as per R3 that meet the criteria listed in 2.1 through 2.6. More than 30% of the set, which is the total number of Elements at all locations required to be installed as per R3 that meet the criteria listed in 2.1 through 2.6.
R7 The Reliability Coordinator failed to establish its area’s requirements for… through 6.2. OR Failed to document additional triggers or deviations from the settings stipulated in 6.3 through 6.4 for up to 2 locations. Up to and including 10% of the required DDR coverage for its area as per 7.1and 7.2. deviations from the settings stipulated in 6.3 through 6.4 for more than two (2) and up to and including five (5) locations. More than 10% and up to and including 20% of the required DDR coverage for its area as per 7.1 and 7.2. 6.3 through 6.4 for more than five (5) and up to and including ten (10) locations. More than 20% and up to and including 30% of the required DDR coverage for its area as per 7.1 and 7.2. More than 30% of the required DDR coverage for its area as per 7.1 and 7.2. R8 The Reliability Coordinator failed to specify that DDRs installed… Not applicable. Not applicable. Not applicable. Function as continuous recorders. R9 The Reliability Coordinator failed to specify that DDRs are installed Not applicable. Not applicable. Not applicable. The capabilities listed in 9.1 through 9.3. R10 The Reliability Coordinator failed to ensure that the Not applicable. Not applicable. Not applicable. Where DDRs are installed. quantities listed in 10.1 through 10.5 are monitored or derived… R11 The Reliability Coordinator failed to document and report to the Regional Entity upon request Up to two (2) facilities within the Reliability Coordinator’s area that have a DDR. More than two (2) and up to five (5) facilities within the Reliability Coordinator’s area that have a DDR. More than five (5) and up to ten (10) facilities within the Reliability Coordinator’s area that have a DDR. More than ten (10) facilities within the Reliability Coordinator’s area that have a DDR. additional settings and deviations from the required trigger settings described in R9
and the required list of monitored quantities as described in R10 for… R12 The Reliability Coordinator faile to specify to the Transmission Owners and Generator Owner its DDR requirements including the DD triggers established in R9 but missed… Not applicable. d s R setting Not applicable. Not applicable. Established setting triggers. R13 The Transmission Owner or Generator Owner failed to comply with the Reliability Coordinator’s request installing the DDR in accordance with R12 for… Up to and including 10% of the requirement set of the Reliability Coordinator’s request to install DDRs, with the requirement set being the total number of DDRs requested times the number of setting triggers specified for each DDR. More than 10% and up to 20% of the requirement set requested by the Reliability Coordinator for installing DDRs, with the requirement set being the total number of DDRs requested times the number of setting triggers specified for each DDR. More than 20% and up to 30% of the requirement set requested by the Reliability Coordinator for installing DDRs, with the requirement set being the total number of DDRs requested times the number of setting triggers specified for each DDR. More than 30% of the requirement set requested by the Reliability Coordinator and installing DDRs, with the requirement set being the total number of DDRs requested times the number of setting triggers specified for each DDR OR The Reliability Coordinator, Transmission Owners, and Generator Owners failed to mutually agree on an implementation schedule. R14 The Transmission or Generator Owner… Established a maintenance and testing program for stand alone DME but provided incomplete data for any one (1) of 14.1 through Established a maintenance and testing program for alone DME but provided incomplete data for more than one (1) and up to and including (3) of 14.1 through 14.7. Established a maintenance and testing program for stand alone DME but provided incomplete data for more than three (3) and up to and including six (6) of 14.1 through 14.7. Did not establish any maintenance and testing program for DME; OR The Transmission Owner or Generator Owner established a maintenance and testing program for DME but did not provide any data that
14.7. meets all of 14.1 through 14.7. R15 The Reliability Coordinator, Transmission Owner or Generator Owner provided recorded disturbance data from DMEs but was late for… Up to and including fifteen (15) days in meeting the requests of an entity, or entities in 15.1, or 15.2. More than fifteen (15) days but less than and including thirty (30) days in meeting the requests of an entity, or entities in 15.1 or 15.2. More than 30 days but less than and including forty-five (45) days in meeting the requests of an entity, or entities in 15.1 or 15.2. More than (45) days in meeting the requests of an entity, or entities in 15.1 or 15.2. R16 The Reliability Coordinator, Transmission Owner or Generator Owner failed to submit… Up to and including two (2) data files in a format that meets the applicable format requirements in 16.1 through 16.3. More than two (2) and up to and including five (5) data in a format that meets the applicable format requirements in 16.1 through 16.3. More than five (5) and up to and including ten (10) data files in a format that meets the applicable format requirements in 16.1 through 16.3. More than ten (10) data files in a format that the applicable format requirements in 16.1 through 16.3. R17 The Reliability Coordinator, Transmission or Generator Owner failed to maintain or provide to the Regional Entity , upon request… Up to and including two (2) of the items in 17.1 through 17.8. More than two (2) and up to and including four (4) of the items in 17.1 to 17.8. More than four (4) and up to and including six (6) of the items in 17.1 through 17.8. More than six (6) of the items in 17.1 through 17.8. E. Associated Documents Version History Version Date Action Change Tracking