Complete Violation Severity Level Matrix

Complete Violation Severity Levels Matrix

Encompassing All Commission-Approved Reliability Standards

April 2, 2014

*Change History Table is located at the end of the document*

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Complete Violation Severity Level Matrix (BAL)

Encompassing All Commission-Approved Reliability Standards

Complete Violation Severity Level Matrix (BAL)

Encompassing All Commission-Approved Reliability Standards

Standard Number / Requirement Number / Text of Requirement / Lower VSL / Moderate VSL / High VSL / Severe VSL /
BAL-001-1 / R1. / Each Balancing Authority shall operate such that, on a rolling 12-month basis, the average of
the clock-minute averages of the Balancing Authority’s Area Control Error (ACE) divided by
10B (B is the clock-minute average of the Balancing Authority Area’s Frequency Bias) times
the corresponding clock-minute averages of the Interconnection’s Frequency Error is less than
a specific limit. This limit 
is a constant derived from a targeted frequency bound
(separately calculated for each Interconnection) that is reviewed and set as necessary by the NERC Operating Committee.
See Standard for Formula. / The Balancing Authority Area’s value of CPS1 is less than 100% but greater than or equal to 95%. / The Balancing Authority Area’s value of CPS1 is less than 95% but greater than or equal to 90%. / The Balancing Authority Area’s value of CPS1 is less than 90% but greater than or equal to 85%. / The Balancing The Balancing Authority Area’s value of CPS1 is less than 85%.
BAL-001-1 / R2. / Each Balancing Authority shall operate such that its average ACE for at least 90% of clock-ten-minute periods (6 non-overlapping periods per hour) during a calendar month is within a specific limit, referred to as L10.
See Standard for Formula. / The Balancing Authority Area’s value of CPS2 is less than 90% but greater than or equal to 85%. / The Balancing Authority Area’s value of CPS2 is less than 85% but greater than or equal to 80%. / The Balancing Authority Area’s value of CPS2 is less than 80% but greater than or equal to 75%. / The Balancing Authority Area’s value of CPS2 is less than 75%.
BAL-001-1 / R3. / Each Balancing Authority providing Overlap Regulation Service shall evaluate Requirement R1 (i.e., Control Performance Standard 1 or CPS1) and Requirement R2 (i.e., Control Performance Standard 2 or CPS2) using the characteristics of the combined ACE and combined Frequency Bias Settings. / N/A / N/A / N/A / The Balancing Authority providing Overlap Regulation Service failed to use a combined ACE and frequency bias.
BAL-001-1 / R4. / Any Balancing Authority receiving Overlap Regulation Service shall not have its control performance evaluated (i.e. from a control performance perspective, the Balancing Authority has shifted all control requirements to the Balancing Authority providing Overlap Regulation Service). / N/A / N/A / N/A / The Balancing Authority receiving Overlap Regulation Service failed to ensure that control performance was being evaluated in a manner consistent with the calculation methodology as described in BAL-001-01 R3.
BAL-001-1 / E.B.1. / Each Balancing Authority shall operate such that, on a rolling 12-month basis, the average of the clock-minute averages of the Balancing Authority’s Area Control Error (ACE) divided by 10B (B is the clock-minute average of the Balancing Authority Area’s Frequency Bias) times the corresponding clock-minute averages of the Interconnection’s Frequency Error is less than a specific limit. This limit  is a constant derived from a targeted frequency bound (separately calculated for each Interconnection) that is reviewed and set as necessary by the NERC Operating Committee.
See Standard for Formula. / The Balancing Authority Area’s value of CPS1 was less than 100% but greater than or equal to 95%. / The Balancing Authority Area’s value of CPS1 was less than 95% but greater than or equal to 90%. / The Balancing Authority Area’s value of CPS1 was less than 90% but greater than or equal to 85%. / The Balancing Authority Area’s value of CPS1 was less than 85%.
BAL-001-1 / E.B.2. / Each Balancing Authority shall limit the absolute value of IATEC, the Automatic Time Error Correction term as follows: See Standard for Formula. / N/A / N/A / N/A / The Balancing Authority Area’s absolute value for IATEC was greater than Lmax.
BAL-001-1 / E.B.3. / Each Balancing Authority shall set Lmax within the limits as follows:
See Standard for Formula / N/A / N/A / N/A / The Balancing Authority did not set Lmax to within the limits in E.B.3 (i.e.,
0.20 * |B| £ Lmax £ L10).
BAL-001-TRE-1 / R1. / The BA shall identify Frequency Measurable Events (FMEs), and within 14 calendar
days after each FME the BA shall notify the Compliance Enforcement Authority and
make FME information (time of FME (t(0)), pre-perturbation average frequency, postperturbation average frequency) publicly available. / The BA reported an FME more than 14 days but less than 31 days after identification of the event. / The BA reported an FME more than 30 days but less than 51 days after
identification of the event. / The BA reported an FME more than 50 days but less than 71 days after
identification of the event. / The BA reported an FME more than 70 days after identification of the event.
BAL-001-TRE-1 / R2. / The BA shall calculate the Primary Frequency Response of each generating unit/generating facility in accordance with this standard and the Primary Frequency Response Reference Document.1 This calculation shall provide a 12-month rolling
average of initial and sustained Primary Frequency Response performance. This calculation shall be completed each month for the preceding 12 calendar months. [Please see the standard for more information] / The BA submitted a
monthly report more than one month but less than 51 days
after the end of the reporting month. / The BA submitted a monthly report more than 50 days but less than 71 days after the
end of the reporting month. / The BA submitted a monthly report more than 70 days but less than 91 days after the
end of the reporting month. / The BA failed to
submit a monthly
report within 90 days after the end of the reporting month.
BAL-001-TRE-1 / R3. / The BA shall determine the Interconnection minimum Frequency Response (IMFR)
in December of each year for the following year, and make the IMFR, the
methodology for calculation and the criteria for determination of the IMFR publicly available. / The BA did not make the calculation and criteria for
determination of the IMFR publicly available. / The BA did not make the IMFR publicly available. / The BA did not
calculate the IMFR
for the following year in December. / The BA did not
calculate the IMFR for a calendar year.
BAL-001-TRE-1 / R4. / After each calendar month in which one or more FMEs occurs, the BA shall determine
and make publicly available the Interconnection’s combined Frequency Response
performance for a rolling average of the last six (6) FMEs by the end of the following calendar month. / N/A / N/A / The BA did not make public the six-FME rolling average Interconnection
combined Frequency
Response by the end of the following month. / The BA did not
calculate the six-
FME rolling average
Interconnection
combined Frequency
Response for any
month in which an FME occurred.
BAL-001-TRE-1 / R5. / Following any FME that causes the Interconnection’s six-FME rolling average combined Frequency Response performance to be less than the IMFR, the BA shall direct any necessary actions to improve Frequency Response, which may include, but are not limited to, directing adjustment of Governor deadband and/or droop settings. / N/A / N/A / N/A / The BA did not take action to improve Frequency Response when the
Interconnection’s
rolling-average
combined Frequency Response
performance was less than the IMFR.
BAL-001-TRE-1 / R6. / Each GO shall set its Governor parameters as follows: [Please see the standard for more information] / Any Governor
parameter setting was > 10% and ≤ 20% outside setting range specified in R6. / Any Governor
parameter setting was
> 20% and ≤ 30% outside setting range specified in R6. / Any Governor
parameter setting was
> 30% and ≤ 40%
outside setting range specified in R6. / Any Governor
parameter setting was
> 40% outside setting
range specified in
R6,
– OR –
an electronic or
digital Governor was set to step into the droop curve.
BAL-001-TRE-1 / R7. / Each GO shall operate each generating unit/generating facility that is connected
to the interconnected transmission system with the Governor in service and
responsive to frequency when the generating unit/generating facility is online and released for dispatch, unless the GO has a valid reason for operating with the Governor not in service and the GOP has been notified that the Governor is not in service. / N/A / N/A / N/A / The GO operated
with its Governor out of service and did not notify the GOP upon
discovery of its
Governor out of service.
BAL-001-TRE-1 / R8. / Each GOP shall notify the BA as soon as practical but within 30 minutes of the discovery of a status change (in service, out of service) of a Governor. / The GOP notified the BA of a change in Governor status
between 31 minutes and one hour after the GOP was notified of the discovery of the change. / The GOP notified the BA of a change in Governor status more than 1 hour but within 4 hours after the GOP was notified of the discovery of the change. / The GOP notified the BA of a change in Governor status more than 4 hours but within 24 hours after the GOP was notified of the discovery of the change. / The GOP failed to
notify the BA of a
change in Governor status within 24
hours after the GOP was notified of the discovery of the change.
BAL-001-TRE-1 / R9. / Each GO shall meet a minimum 12-month rolling average initial Primary Frequency
Response performance of 0.75 on each generating unit/generating facility, based on participation in at least eight FMEs. [Please see the standard for more information] / A GO’s rolling
average initial
Primary Frequency
Response
performance per R9 was < 0.75 and ≥ 0.65. / A GO’s rolling
average initial
Primary Frequency
Response
performance per R9 was < 0.65 and ≥ 0.55. / A GO’s rolling
average initial
Primary Frequency
Response
performance per R9 was < 0.55 and ≥ 0.45. / A GO’s rolling
average initial
Primary Frequency
Response
performance per R9 was < 0.45.
BAL-001-TRE-1 / R10. / Each GO shall meet a minimum 12-month rolling average sustained Primary Frequency
Response performance of 0.75 on each generating unit/generating facility, based on participation in at least eight FMEs. [Please see the standard for more information] / A GO’s rolling
average sustained
Primary Frequency
Response
performance per R10 was < 0.75 and ≥ 0.65. / A GO’s rolling
average sustained
Primary Frequency
Response
performance per R10 was < 0.65 and ≥ 0.55. / A GO’s rolling
average sustained
Primary Frequency
Response
performance per R10 was < 0.55 and ≥ 0.45. / A GO’s rolling
average sustained
Primary Frequency
Response
performance per R10 was < 0.45.
BAL-002-1 / R1. / Each Balancing Authority shall have access to and/or operate Contingency Reserve to respond to Disturbances. Contingency Reserve may be supplied from generation, controllable load resources, or coordinated adjustments to Interchange Schedules. / N/A / N/A / N/A / The Balancing Authority does not have access to and/or operate Contingency Reserve to respond to Disturbances.
BAL-002-1 / R1.1. / A Balancing Authority may elect to fulfill its Contingency Reserve obligations by participating as a member of a Reserve Sharing Group. In such cases, the Reserve Sharing Group shall have the same responsibilities and obligations as each Balancing Authority with respect to monitoring and meeting the requirements of Standard BAL-002. / N/A / N/A / N/A / The Balancing Authority has elected to fulfill its Contingency Reserve obligations by participating as a member of a Reserve Sharing Group and the Reserve Sharing Group has not provided the same responsibilities and obligations as required of the responsible entity with respect to monitoring and meeting the requirements of Standard BAL-002.
BAL-002-1 / R2. / Each Regional Reliability Organization, sub-Regional Reliability Organization or Reserve Sharing Group shall specify its Contingency Reserve policies, including: / The Regional Reliability Organization, sub-Regional Reliability Organization, or Reserve Sharing Group has failed to specify 1 of the following sub-requirements. / The Regional Reliability Organization, sub-Regional Reliability Organization, or Reserve Sharing Group has failed to specify 2 or 3 of the following sub-requirements. / The Regional Reliability Organization, sub-Regional Reliability Organization, or Reserve Sharing Group has failed to specify 4 or 5 of the following sub-requirements. / The Regional Reliability Organization, sub-Regional Reliability Organization, or Reserve Sharing Group has failed to specify all 6 of the following sub-requirements.
BAL-002-1 / R2.1. / The minimum reserve requirement for the group. / N/A / N/A / N/A / The Regional Reliability Organization, sub-Regional Reliability Organization, or Reserve Sharing Group has failed to specify the minimum reserve requirement for the group.
BAL-002-1 / R2.2. / Its allocation among members. / N/A / N/A / N/A / The Regional Reliability Organization, sub-Regional Reliability Organization, or Reserve Sharing Group has failed to specify the allocation of reserves among members.