Get documents about "Summary
Shared by: leHQBY
-
Stats
- views:
- 2
- posted:
- 11/26/2011
- language:
- Dutch
- pages:
- 68
Document Sample
Nu
Year 2007
Compliance Audit 39
Self-Certification 39
Periodic Data Submittals --
Exception Reporting --
Spot Check 0
Subject to Compliance Violation Investigation --
Subject to Self-Reporting --
Subject to Complaint --
2012 CMEP Reliability Standards Summary
Reliability
Self-Certification
Standards
Annual (A)
(FERC Approved)
BAL-001-0.1a
BAL-002-0 (BAL-002-1 Effective 04/01/2012)
BAL-003-0.1b
BAL-004-0
BAL-005-0.1b
BAL-006-2
CIP-001-2a A
CIP-002-3 A
CIP-003-3 A
CIP-004-3 A
CIP-005-3a A
CIP-006-3c A
CIP-007-3 A
CIP-008-3 A
CIP-009-3 A
COM-001-1.1 A
COM-002-2 A
EOP-001-0 A
EOP-002-3 A
EOP-003-1
EOP-004-1
EOP-005-1 A
EOP-006-1
EOP-008-0 A
EOP-009-0
FAC-001-0
FAC-002-1
FAC-003-1 A
FAC-008-1 A
FAC-009-1 A
FAC-010-2.1
FAC-011-2
FAC-013-1
FAC-014-2 A
INT-001-3
INT-003-3
INT-004-2
INT-005-3
INT-006-3
INT-007-1
INT-008-3
INT-009-1
INT-010-1
IRO-001-1.1
IRO-002-2
IRO-003-2
IRO-004-2 A
IRO-005-3a A
IRO-006-5
IRO-006-EAST-1
IRO-006-WECC-1
IRO-008-1
IRO-009-1
IRO-010-1
IRO-014-1
IRO-015-1
IRO-016-1
MOD-001-1a A
MOD-004-1 A
MOD-008-1 A
MOD-010-0
MOD-012-0
MOD-016-1.1
MOD-017-0.1
MOD-018-0
MOD-019-0.1
MOD-020-0
MOD-021-1
MOD-028-1
MOD-029-1a
MOD-030-2
NUC-001-2
PER-001-0.1
PER-002-0 A
PER-003-0
PER-004-1
PER-004-2
PER-005-1
PRC-001-1 A
PRC-004-1 (PRC-004-2 R1 Effective 4/1/2012) A
PRC-005-1 A
PRC-007-0
PRC-008-0 A
PRC-009-0
PRC-010-0
PRC-011-0 A
PRC-015-0
PRC-016-0.1
PRC-017-0 A
PRC-018-1
PRC-021-1
PRC-022-1
PRC-023-1 A
TOP-001-1
TOP-002-2a A
TOP-003-1
TOP-004-2 A
TOP-005-2a
TOP-006-2
TOP-007-0
TOP-008-1
TPL-001-0.1
TPL-002-0a
TPL-003-0a
TPL-004-0
VAR-001-2 A
VAR-002-1.1b A
Note: The Reliability Standards listed for the above monitoring methods does not necessarily imp
Actively Monitored list. Refer to the "Requirements Detail Tab" for specifics concerning each Relia
Number of Reliability Standards
2008 2009 2010
60 49 56
60 52 60
-- 12 13
-- 14 19
0 13 19
-- 94 95
-- 94 95
-- 94 95
Standards Summary
Annual Program Audit -
Spot Check (SC)
Tier 1 (X)
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
ds does not necessarily imply all requirements are included in the 2011 Reliability Standard
cifics concerning each Reliability Standard monitoring details.
2011 2012
39 37
53 36
14 14
13 13
1 0
102 107
102 107
102 107
2012 Compliance Monitoring and Enforcement Program Requirements Spreadsheet
Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
RESOURCE AND DEMAND BALANCING
Each Balancing Authority shall operate
such that, on a rolling 12-month basis,
BAL-001-0.1a R1. the average of the clock-minute MEDIUM BA M M
averages of the Balancing Authority’s
Area Control Error (ACE) divided by 10B
Each Balancing Authority shall operate
such that its average ACE for at least
BAL-001-0.1a R2. 90% of clock-ten-minute periods (6 non- MEDIUM BA M M
overlapping periods per hour) during a
calendar month is within a specific
Each Balancing Authority providing
Overlap Regulation Service shall
BAL-001-0.1a R3. evaluate Requirement R1 (i.e., Control LOWER BA
Performance Standard 1 or CPS1) and
Requirement R2 (i.e., Control
Any Balancing Authority receiving
Overlap Regulation Service shall not
BAL-001-0.1a R4. have its control performance evaluated LOWER BA
(i.e. from a control performance
perspective, the Balancing Authority
Each Balancing Authority shall have
access to and/or operate Contingency
BAL-002-0 R1. Reserve to respond to Disturbances. HIGH BA, RSG x Q Q
Contingency Reserve may be supplied
from generation, controllable load
A Balancing Authority may elect to
fulfill its Contingency Reserve
BAL-002-0 R1.1. obligations by participating as a HIGH BA, RSG x Q Q
member of a Reserve Sharing Group. In
such cases, the Reserve Sharing Group
Each Regional Reliability Organization,
sub-Regional Reliability Organization or
BAL-002-0 R2. MEDIUM RRO, RSG x Q Q
Reserve Sharing Group shall specify its
Contingency Reserve policies, including:
The minimum reserve requirement for
BAL-002-0 R2.1. HIGH RRO, RSG x Q Q
the group.
BAL-002-0 R2.2. Its allocation among members. LOWER RRO, RSG x Q Q
The permissible mix of Operating
Reserve - Spinning and Operating
BAL-002-0 R2.3. LOWER RRO, RSG x Q Q
Reserve - Supplemental that may be
included in Contingency Reserve.
The procedure for applying Contingency
BAL-002-0 R2.4. LOWER RRO, RSG x Q Q
Reserve in practice.
The limitations, if any, upon the amount
BAL-002-0 R2.5. of interruptible load that may be LOWER RRO, RSG x Q Q
included.
The same portion of resource capacity
(e.g., reserves from jointly owned
BAL-002-0 R2.6. generation) shall not be counted more MEDIUM RRO, RSG x Q Q
than once as Contingency Reserve by
multiple Balancing Authorities.
Each Balancing Authority or Reserve
Sharing Group shall activate sufficient
BAL-002-0 R3. HIGH BA, RSG x Q Q
Contingency Reserve to comply with the
DCS.
As a minimum, the Balancing Authority
or Reserve Sharing Group shall carry at
BAL-002-0 R3.1. least enough Contingency Reserve to HIGH BA, RSG x Q Q
cover the most severe single
contingency.Authority or Reserve
A Balancing All Balancing Authorities
Sharing Group shall meet the
BAL-002-0 R4. Disturbance Recovery Criterion within MEDIUM BA, RSG x Q Q
the Disturbance Recovery Period for
A Balancing Authority shall return The
100% of Reportable Disturbances. its
ACE to zero if its ACE just prior to the
BAL-002-0 R4.1. Reportable Disturbance was positive or MEDIUM BA, RSG x Q Q
equal to zero. For negative initial ACE
values just prior to the Disturbance, the
The default Disturbance Recovery
Period is 15 minutes after the start of a No VRF
BAL-002-0 R4.2. Reportable Disturbance. This period BA, RSG x Q Q
Assigned
may be adjusted to better suit the needs
of an Interconnection based on analysis
Each Reserve Sharing Group shall
comply with the DCS. A Reserve
BAL-002-0 R5. Sharing Group shall be considered in a LOWER RSG x Q Q
Reportable Disturbance condition
whenever a group member has
The Reserve Sharing Group reviews
group ACE (or equivalent) and No VRF
BAL-002-0 R5.1. demonstrates compliance to the DCS. RSG x Q Q
Assigned
To be in compliance, the group ACE (or
its equivalent) must meet the
The Reserve Sharing Group reviews
each member’s ACE in response to the No VRF
BAL-002-0 R5.2. activation of reserves. To be in RSG x Q Q
Assigned
compliance, a member’s ACE (or its
equivalent) must meet or Reserve
A Balancing Authority the Disturbance
Sharing Group shall fully restore its
BAL-002-0 R6. Contingency Reserves within the MEDIUM BA, RSG x Q Q
Contingency Reserve Restoration
Period for its Interconnection.
The Contingency Reserve Restoration
No VRF
BAL-002-0 R6.1. Period begins at the end of the BA, RSG x Q Q
Assigned
Disturbance Recovery Period.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 14 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The default Contingency Reserve
Restoration Period is 90 minutes. This No VRF
BAL-002-0 R6.2. period may be adjusted to better suit BA, RSG x Q Q
Assigned
the reliability targets of the
Each Balancing based on shall have
Interconnection Authority analysis
BAL-002-1 access to and/or operate Contingency
R1. Reserve to respond to Disturbances. HIGH BA, RSG
(effective 4/1/2012)
Contingency Reserve may be supplied
from generation, controllable load
A Balancing Authority may elect to
BAL-002-1 fulfill its Contingency Reserve
R1.1. obligations by participating as a HIGH BA, RSG
(effective 4/1/2012)
member of a Reserve Sharing Group. In
Each cases, the Reserve Sharing Group
such Regional Reliability Organization,
BAL-002-1 sub-Regional Reliability Organization or
R2. MEDIUM RRO, RSG
(effective 4/1/2012) Reserve Sharing Group shall specify its
Contingency Reserve policies, including:
BAL-002-1 The minimum reserve requirement for
R2.1. HIGH RRO, RSG
(effective 4/1/2012) the group.
BAL-002-1
R2.2. Its allocation among members. LOWER RRO, RSG
(effective 4/1/2012)
The permissible mix of Operating
BAL-002-1 Reserve – Spinning and Operating
R2.3. LOWER RRO, RSG
(effective 4/1/2012) Reserve – Supplemental that may be
included in Contingency Reserve.
BAL-002-1 The procedure for applying Contingency
R2.4. LOWER RRO, RSG
(effective 4/1/2012) Reserve in practice.
The limitations, if any, upon the amount
BAL-002-1
R2.5. of interruptible load that may be LOWER RRO, RSG
(effective 4/1/2012)
included.
The same portion of resource capacity
BAL-002-1 (e.g. reserves from jointly owned
R2.6. generation) shall not be counted more MEDIUM RRO, RSG
(effective 4/1/2012)
than once as Contingency Reserve by
multiple Balancing Authorities.
Each Balancing Authority or Reserve
BAL-002-1 Sharing Group shall activate sufficient
R3. HIGH BA, RSG
(effective 4/1/2012) Contingency Reserve to comply with the
DCS.
As a minimum, the Balancing Authority
BAL-002-1 or Reserve Sharing Group shall carry at
R3.1. least enough Contingency Reserve to HIGH BA, RSG
(effective 4/1/2012)
cover the most severe single
contingency. All Balancing Authorities
A Balancing Authority or Reserve
BAL-002-1 Sharing Group shall meet the
R4. Disturbance Recovery Criterion within MEDIUM BA, RSG
(effective 4/1/2012)
the Disturbance Recovery Period for
100% of Reportable Disturbances. its
A Balancing Authority shall return The
BAL-002-1 ACE to zero if its ACE just prior to the
R4.1. Reportable Disturbance was positive or MEDIUM BA, RSG
(effective 4/1/2012)
equal to zero. For negative initial ACE
values just prior to the Disturbance, the
The default Disturbance Recovery
BAL-002-1 No VRF
R4.2. Period is 15 minutes after the start of a BA, RSG
(effective 4/1/2012) Assigned
Reportable Disturbance.
Each Reserve Sharing Group shall
BAL-002-1 comply with the DCS. A Reserve
R5. Sharing Group shall be considered in a LOWER RSG
(effective 4/1/2012)
Reportable Disturbance condition
whenever a group member has
The Reserve Sharing Group reviews
BAL-002-1 group ACE (or equivalent) and No VRF
R5.1. demonstrates compliance to the DCS. RSG
(effective 4/1/2012) Assigned
To be in compliance, the group ACE (or
its equivalent) must meet the
The Reserve Sharing Group reviews
BAL-002-1 each member’s ACE in response to the No VRF
R5.2. activation of reserves. To be in RSG
(effective 4/1/2012) Assigned
compliance, a member’s ACE (or its
equivalent) must meet or Reserve
A Balancing Authority the Disturbance
BAL-002-1 Sharing Group shall fully restore its
R6. Contingency Reserves within the MEDIUM BA, RSG
(effective 4/1/2012)
Contingency Reserve Restoration
Period for its Interconnection.
The Contingency Reserve Restoration
BAL-002-1 No VRF
R6.1. Period begins at the end of the BA, RSG
(effective 4/1/2012) Assigned
Disturbance Recovery Period.
BAL-002-1 The default Contingency Reserve No VRF
R6.2. BA, RSG
(effective 4/1/2012) Restoration Period is 90 minutes. Assigned
Each Balancing Authority shall review
its Frequency Bias Settings by January
BAL-003-0.1b R1. 1 of each year and recalculate its LOWER BA x
setting to reflect any change in the
Frequency Response of the Balancing
The Balancing Authority may change its
Frequency Bias Setting, and the method
BAL-003-0.1b R1.1. used to determine the setting, whenever LOWER BA x
any of the factors used to determine the
current bias value change.
Each Balancing Authority shall report
its Frequency Bias Setting, and method
BAL-003-0.1b R1.2. LOWER BA x A A ER
for determining that setting, to the
NERC Operating Committee.
Each Balancing Authority shall
establish and maintain a Frequency
BAL-003-0.1b R2. Bias Setting that is as close as practical MEDIUM BA x
to, or greater than, the Balancing
Authority’s Frequency Response. a fixed
The Balancing Authority may use
Frequency Bias value which is based on
BAL-003-0.1b R2.1. a fixed, straight-line function of Tie Line LOWER BA x
deviation versus Frequency Deviation.
The Balancing Authority shall determine
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 15 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Balancing Authority may use a
variable (linear or non-linear) bias
BAL-003-0.1b R2.2. value, which is based on a variable LOWER BA x
function of Tie Line deviation to
Frequency Deviation. The Balancing
Each Balancing Authority shall operate
its Automatic Generation Control (AGC)
on Tie Line Frequency Bias, unless
BAL-003-0.1b R3. such operation is adverse to system or MEDIUM BA x
Interconnection reliability.
See Standard for Approved Interpretation of
R3 for WECC WATEC Procedure
Balancing Authorities that use Dynamic
Scheduling or Pseudo-ties for jointly
BAL-003-0.1b R4. owned units shall reflect their LOWER BA x
respective share of the unit governor
droop schedulesin their respective Units
Fixed response for Jointly Owned
mandate that Balancing Authority (A)
BAL-003-0.1b R4.1. that contains the Jointly Owned Unit LOWER BA x
must incorporate the respective share
The Balancing Authorities response a
of the unit governor droop that have for
fixed schedule (B and C) but do not
BAL-003-0.1b R4.2. contain the Jointly Owned Unit shall not LOWER BA x
include their share of the governor
droop response in their Frequency Bias
Balancing Authorities that serve native
load shall have a monthly average
BAL-003-0.1b R5. Frequency Bias Setting that is at least MEDIUM BA x
1% of the Balancing Authority’s
estimated Authorities demand per 0.1
Balancing yearly peak that do not serve
native load shall have a monthly
BAL-003-0.1b R5.1. average Frequency Bias Setting that is MEDIUM BA x
at least 1% of its estimated maximum
generation level in the coming
A Balancing Authority that is year per
performing Overlap Regulation Service
BAL-003-0.1b R6. shall increase its Frequency Bias MEDIUM BA x
Setting to match the frequency
response of the entire area being be
Only a Reliability Coordinator shall
eligible to act as Interconnection Time
BAL-004-0 R1. Monitor. A single Reliability LOWER RC
Coordinator in each Interconnection
The Interconnection by theMonitor shall
shall be designated Time NERC
monitor Time Error and shall initiate or
BAL-004-0 R2. terminate corrective action orders in LOWER RC
accordance with the NAESB Time Error
Correction Procedure.
Each Balancing Authority, when
requested, shall participate in a Time
BAL-004-0 R3. MEDIUM BA
Error Correction by one of the following
methods:
The Balancing Authority shall offset its
frequency schedule by 0.02 Hertz,
BAL-004-0 R3.1. LOWER BA
leaving the Frequency Bias Setting
normal; or
The Balancing Authority shall offset its
Net Interchange Schedule (MW) by an
BAL-004-0 R3.2. amount equal to the computed bias LOWER BA
contribution during a 0.02 Hertz
Frequency Deviation (i.e. 20% of the
Any Reliability Coordinator in an
Interconnection shall have the authority
BAL-004-0 R4. to request the Interconnection Time LOWER RC
Monitor to terminate a Time Error
Balancing in progress, or have
CorrectionAuthorities that a scheduled
reliability concerns with the execution
BAL-004-0 R4.1. of a Time Error Correction shall notify LOWER BA ER
their Reliability Coordinator and request
the termination of a Time Error
All generation, transmission, and load
operating within an Interconnection No VRF
BAL-005-0.1b R1. must be included within the metered GOP, LSE, TOP
Assigned
boundaries of a Balancing Authority
Area. Generator Operator with
Each
generation facilities operating in an
BAL-005-0.1b R1.1. Interconnection shall ensure that those MEDIUM GOP
generation facilities are included within
the metered boundaries of a Balancing
Each Transmission Operator with
transmission facilities operating in an
BAL-005-0.1b R1.2. Interconnection shall ensure that those MEDIUM TOP
transmission facilities are included
within the metered boundaries load
Each Load-Serving Entity with of a
operating in an Interconnection shall
BAL-005-0.1b R1.3. ensure that those loads are included MEDIUM LSE
within the metered boundaries of a
Balancing Authority Area. shall maintain
Each Balancing Authority
Regulating Reserve that can be
BAL-005-0.1b R2. controlled by AGC to meet the Control HIGH BA
Performance Standard.
A Balancing Authority providing
Regulation Service shall ensure that
BAL-005-0.1b R3. adequate metering, communications, MEDIUM BA
and control equipment are employed to
A Balancing service from becoming a
prevent suchAuthority providing
Regulation Service shall notify the Host
BAL-005-0.1b R4. Balancing Authority for whom it is MEDIUM BA
controlling if it is unable to provide the
A Balancing Authority Intermediate
service, as well as anyreceiving
Regulation Service shall ensure that
BAL-005-0.1b R5. backup plans are in place to provide MEDIUM BA
replacement Regulation Service should
the supplying Balancing Authority no
The Balancing Authority’s AGC shall
compare total Net Actual Interchange to
BAL-005-0.1b R6. total Net Scheduled Interchange plus MEDIUM BA
Frequency Bias obligation to determine
the Balancing Authority’s ACE. Single
The Balancing Authority shall operate
AGC continuously unless such
BAL-005-0.1b R7. operation adversely impacts the MEDIUM BA
reliability of the Interconnection. If AGC
has become inoperative, the Balancing
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 16 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Balancing Authority shall ensure
that data acquisition for and calculation
BAL-005-0.1b R8. of ACE occur at least every six seconds. MEDIUM BA
Each Balancing Authority shall provide
redundant and independent frequency
BAL-005-0.1b R8.1. metering equipment that shall MEDIUM BA
automatically activate upon detection of
The Balancing Authority shall This
failure of the primary source. include
all Interchange Schedules with Adjacent
BAL-005-0.1b R9. Balancing Authorities in the calculation LOWER BA
of Net Scheduled Interchange for the
ACE equation.
Balancing Authorities with a high
voltage direct current (HVDC) link to
BAL-005-0.1b R9.1. another Balancing Authority connected LOWER BA
asynchronously to their Interconnection
The choose to omit the shall include
may Balancing AuthorityInterchange
all Dynamic Schedules in the
BAL-005-0.1b R10. calculation of Net Scheduled HIGH BA
Interchange for the ACE equation.
Balancing Authorities shall include the
effect of ramp rates, which shall be
BAL-005-0.1b R11. identical and agreed to between MEDIUM BA
affected Balancing Authorities, in the
Scheduled Interchange values to
Each Balancing Authority shall include
all Tie Line flows with Adjacent
BAL-005-0.1b R12. Balancing Authority Areas in the ACE MEDIUM BA
calculation.
Balancing Authorities that share a tie
shall ensure Tie Line MW metering is
BAL-005-0.1b R12.1. telemetered to both control centers, and LOWER BA
emanates from a common, agreed-upon
source using common primary metering
Balancing Authorities shall ensure the
power flow and ACE signals that are
BAL-005-0.1b R12.2. utilized for calculating Balancing MEDIUM BA
Authority performance or that are
transmitted for Regulation install
Balancing Authorities shallService are
common metering equipment where
BAL-005-0.1b R12.3. Dynamic Schedules or Pseudo-Ties are MEDIUM BA
implemented between two or more
Balancing Authorities to deliver the
Each Balancing Authority shall perform
hourly error checks using Tie Line
BAL-005-0.1b R13. megawatt-hour meters with common LOWER BA
time synchronization to determine the
accuracy of its Authority shall provide
The Balancing control equipment. The
its operating personnel with sufficient
BAL-005-0.1b R14. instrumentation and data recording LOWER BA
equipment to facilitate monitoring of
control performance, generation
The Balancing Authority shall provide
adequate and reliable backup power
BAL-005-0.1b R15. supplies and shall periodically test LOWER BA
these supplies at the Balancing
Authority’s control center and other
The Balancing Authority shall sample
data at least at the same periodicity
BAL-005-0.1b R16. with which ACE is calculated. The MEDIUM BA
Balancing Authority shall flag missing
or bad data for operator displayat least
Each Balancing Authority shall and
annually check and calibrate its time
BAL-005-0.1b R17. error and frequency devices against a MEDIUM BA
common reference. The Balancing
Authority shall adhere to the minimum
Each Balancing Authority shall
BAL-006-2 R1. calculate and record hourly Inadvertent LOWER BA
Interchange.
Each Balancing Authority shall include
all AC tie lines that connect to its
BAL-006-2 R2. Adjacent Balancing Authority Areas in LOWER BA
its Inadvertent Interchange account. The
Balancing Authority shall take into
Each Balancing Authority shall ensure
all of its Balancing Authority Area
BAL-006-2 R3. interconnection points are equipped LOWER BA
with common megawatt-hour meters,
Adjacent Balancing Authority to the
with readings provided hourlyAreas
shall operate to a common Net
BAL-006-2 R4. Interchange Schedule and Actual Net LOWER BA M M
Interchange value and shall record
these hourly quantities, with like values
Each Balancing Authority, by the end of
BAL-006-2 R4.1. the next business day, shall agree with LOWER BA M M
its Adjacent Balancing Authorities to:
The hourly values of Net Interchange
BAL-006-2 R4.1.1. LOWER BA M M
Schedule.
The hourly integrated megawatt-hour
BAL-006-2 R4.1.2. LOWER BA M M
values of Net Actual Interchange.
Each Balancing Authority shall use the
agreed-to daily and monthly accounting
BAL-006-2 R4.2. data to compile its monthly LOWER BA M M
accumulated Inadvertent Interchange for
the On-Peak and Off-Peak hours ofafter-
A Balancing Authority shall make the
the-fact corrections to the agreed-to
BAL-006-2 R4.3. daily and monthly accounting data only LOWER BA
as needed to reflect actual operating
conditions (e.g. a meter being used for
Adjacent Balancing Authorities that
cannot mutually agree upon their
BAL-006-2 R5. respective Net Actual Interchange or Net LOWER BA ER
Scheduled Interchange quantities by the
15th calendar day of the following
CRITICAL INFRASTRUCTURE
PROTECTION
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 17 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Each Reliability Coordinator, Balancing
Authority, Transmission Operator, BA, GOP, LSE,
CIP-001-2a R1. Generator Operator, and Load-Serving MEDIUM x A X
RC, TOP
Entity shall have procedures for the
Each Reliability Coordinator, their
recognition of and for makingBalancing
Authority, Transmission Operator,
Generator Operator, and Load-Serving
Entity shall have procedures for the BA, GOP, LSE,
CIP-001-2a R2. MEDIUM x A X
communication of information RC, TOP
concerning sabotage events to
appropriate parties in the
Interconnection.
Each Reliability Coordinator, Balancing
Authority, Transmission Operator, BA, GOP, LSE,
CIP-001-2a R3. Generator Operator, and Load-Serving MEDIUM x A X
RC, TOP
Entity shall provide its operating
Each Reliabilitysabotage response
personnel with Coordinator, Balancing
Authority, Transmission Operator, BA, GOP, LSE,
CIP-001-2a R4. Generator Operator, and Load-Serving MEDIUM x A X
RC, TOP
Entity shall establish communications
contacts, as applicable, with local
Critical Asset Identification Method —
The Responsible Entity shall identify BA, GO, GOP, IA,
CIP-002-3 R1. and document a risk-based assessment Pending LSE, RC, RE, TO, x A X
methodology to use to identify its TOP, TSP, NERC
Critical Assets. Entity shall maintain
The Responsible
documentation describing its risk- BA, GO, GOP, IA,
CIP-002-3 R1.1. based assessment methodology that Pending LSE, RC, RE, TO, x A X
includes procedures and evaluation TOP, TSP, NERC
criteria.
BA, GO, GOP, IA,
The risk-based assessment shall
CIP-002-3 R1.2. Pending LSE, RC, RE, TO, x A X
consider the following assets:
TOP, TSP, NERC
Control centers and backup control
BA, GO, GOP, IA,
centers performing the functions of the
CIP-002-3 R1.2.1. Pending LSE, RC, RE, TO, x A X
entities listed in the Applicability
TOP, TSP, NERC
section of this standard.
Transmission substations that support BA, GO, GOP, IA,
CIP-002-3 R1.2.2. the reliable operation of the Bulk Pending LSE, RC, RE, TO, x A X
Electric System. TOP, TSP, NERC
Generation resources that support the BA, GO, GOP, IA,
CIP-002-3 R1.2.3. reliable operation of the Bulk Electric Pending LSE, RC, RE, TO, x A X
System. TOP, TSP, NERC
Systems and facilities critical to system
restoration, including blackstart BA, GO, GOP, IA,
CIP-002-3 R1.2.4. generators and substations in the Pending LSE, RC, RE, TO, x A X
electrical path of transmission lines TOP, TSP, NERC
used for initial system critical to
Systems and facilities restoration.
BA, GO, GOP, IA,
automatic load shedding under a
CIP-002-3 R1.2.5. Pending LSE, RC, RE, TO, x A X
common control system capable of
TOP, TSP, NERC
shedding 300 MW or more.
Special Protection Systems that support BA, GO, GOP, IA,
CIP-002-3 R1.2.6. the reliable operation of the Bulk Pending LSE, RC, RE, TO, x A X
Electric System. TOP, TSP, NERC
Any additional assets that support the
reliable operation of the Bulk Electric BA, GO, GOP, IA,
CIP-002-3 R1.2.7. System that the Responsible Entity Pending LSE, RC, RE, TO, x A X
deems appropriate to include in its TOP, TSP, NERC
assessment. Identification — The
Critical Asset
Responsible Entity shall develop a list BA, GO, GOP, IA,
CIP-002-3 R2. of its identified Critical Assets Pending LSE, RC, RE, TO, x A X
determined through an annual TOP, TSP, NERC
application of the risk-based
Critical Cyber Asset Identification —
Using the list of Critical Assets BA, GO, GOP, IA,
CIP-002-3 R3. developed pursuant to Requirement R2, Pending LSE, RC, RE, TO, x A X
the Responsible Entity shall develop a TOP, TSP, NERC
list of associated Critical Cyber Assets
The Cyber Asset uses a routable BA, GO, GOP, IA,
CIP-002-3 R3.1. protocol to communicate outside the Pending LSE, RC, RE, TO, x A X
Electronic Security Perimeter; or, TOP, TSP, NERC
BA, GO, GOP, IA,
The Cyber Asset uses a routable
CIP-002-3 R3.2. Pending LSE, RC, RE, TO, x A X
protocol within a control center; or,
TOP, TSP, NERC
BA, GO, GOP, IA,
CIP-002-3 R3.3. The Cyber Asset is dial-up accessible Pending LSE, RC, RE, TO, x A X
TOP, TSP, NERC
Annual Approval — The senior manager
or delegate(s) shall approve annually BA, GO, GOP, IA,
CIP-002-3 R4. the risk-based assessment Pending LSE, RC, RE, TO, x A X
methodology, the list of Critical Assets TOP, TSP, NERC
Cyber Security Policy Cyber
and the list of Critical — The Assets.
Responsible Entity shall document and BA, GO, GOP, IA,
CIP-003-3 R1. implement a cyber security policy that Pending LSE, RC, RE, TO, x A
represents management’s commitment TOP, TSP, NERC
The abilitysecurity policy addresses the
and cyber to secure its Critical Cyber
BA, GO, GOP, IA,
requirements in Standards CIP-002-3
CIP-003-3 R1.1. Pending LSE, RC, RE, TO, x A
through CIP-009-3, including provision
TOP, TSP, NERC
for emergency situations.
The cyber security policy is readily
BA, GO, GOP, IA,
available to all personnel who have
CIP-003-3 R1.2. Pending LSE, RC, RE, TO, x A
access to, or are responsible for,
TOP, TSP, NERC
Critical Cyber Assets.
Annual review and approval of the cyber BA, GO, GOP, IA,
CIP-003-3 R1.3. security policy by the senior manager Pending LSE, RC, RE, TO, x A
assigned pursuant to R2. TOP, TSP, NERC
Leadership — The Responsible Entity
shall assign a single senior manager BA, GO, GOP, IA,
CIP-003-3 R2. with overall responsibility and authority Pending LSE, RC, RE, TO, x A X
for leading and managing the entity’s TOP, TSP, NERC
implementation of, and adherence to,
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 18 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
BA, GO, GOP, IA,
The senior manager shall be identified
CIP-003-3 R2.1. Pending LSE, RC, RE, TO, x A X
by name, title, and date of designation.
TOP, TSP, NERC
Changes to the senior manager must be BA, GO, GOP, IA,
CIP-003-3 R2.2. documented within thirty calendar days Pending LSE, RC, RE, TO, x A X
of the effective date. TOP, TSP, NERC
Where allowed by Standards CIP-002-3
through CIP-009-3, the senior manager BA, GO, GOP, IA,
CIP-003-3 R2.3. may delegate authority for specific Pending LSE, RC, RE, TO, x A X
actions to a named delegate or TOP, TSP, NERC
The senior These delegations shall be
delegates. manager or delegate(s),
BA, GO, GOP, IA,
shall authorize and document any
CIP-003-3 R2.4. Pending LSE, RC, RE, TO, x A X
exception from the requirements of the
TOP, TSP, NERC
cyber security policy.
Exceptions — Instances where the
Responsible Entity cannot conform to BA, GO, GOP, IA,
CIP-003-3 R3. its cyber security policy must be Pending LSE, RC, RE, TO, x A
documented as exceptions and TOP, TSP, NERC
authorized by the senior manager or
Exceptions to the Responsible Entity’s
cyber security policy must be BA, GO, GOP, IA,
CIP-003-3 R3.1. documented within thirty days of being Pending LSE, RC, RE, TO, x A
approved by the senior manager or TOP, TSP, NERC
delegate(s). exceptions to the cyber
Documented
security policy must include an BA, GO, GOP, IA,
CIP-003-3 R3.2. explanation as to why the exception is Pending LSE, RC, RE, TO, x A
necessary and any compensating TOP, TSP, NERC
measures.
Authorized exceptions to the cyber
security policy must be reviewed and BA, GO, GOP, IA,
CIP-003-3 R3.3. approved annually by the senior Pending LSE, RC, RE, TO, x A
manager or delegate(s) to ensure the TOP, TSP, NERC
exceptions Protection — The
Information are still required and valid.
Responsible Entity shall implement and BA, GO, GOP, IA,
CIP-003-3 R4. document a program to identify, Pending LSE, RC, RE, TO, x A
classify, and protect information TOP, TSP, NERC
The Criticalwith Critical Cyber Assets.
associated Cyber Asset information to
be protected shall include, at a BA, GO, GOP, IA,
CIP-003-3 R4.1. minimum and regardless of media type, Pending LSE, RC, RE, TO, x A
operational procedures, lists as TOP, TSP, NERC
required in Standard CIP-002-3, network
The Responsible Entity shall classify
BA, GO, GOP, IA,
information to be protected under this
CIP-003-3 R4.2. Pending LSE, RC, RE, TO, x A
program based on the sensitivity of the
TOP, TSP, NERC
Critical Cyber Asset information.
The Responsible Entity shall, at least
annually, assess adherence to its BA, GO, GOP, IA,
CIP-003-3 R4.3. Critical Cyber Asset information Pending LSE, RC, RE, TO, x A
protection program, document the TOP, TSP, NERC
assessment results, and implement
Access Control — The Responsible an
Entity shall document and implement a BA, GO, GOP, IA,
CIP-003-3 R5. program for managing access to Pending LSE, RC, RE, TO, x A X
protected Critical Cyber Asset TOP, TSP, NERC
information.
The Responsible Entity shall maintain a
list of designated personnel who are BA, GO, GOP, IA,
CIP-003-3 R5.1. responsible for authorizing logical or Pending LSE, RC, RE, TO, x A X
physical access to protected TOP, TSP, NERC
information.
Personnel shall be identified by name, BA, GO, GOP, IA,
CIP-003-3 R5.1.1. title, and the information for which they Pending LSE, RC, RE, TO, x A X
are responsible for authorizing access. TOP, TSP, NERC
The list of personnel responsible for
BA, GO, GOP, IA,
authorizing access to protected
CIP-003-3 R5.1.2. Pending LSE, RC, RE, TO, x A X
information shall be verified at least
TOP, TSP, NERC
annually.
The Responsible Entity shall review at
least annually the access privileges to BA, GO, GOP, IA,
CIP-003-3 R5.2. protected information to confirm that Pending LSE, RC, RE, TO, x A X
access privileges are correct and that TOP, TSP, NERC
The correspond Entity shall assess
theyResponsible with the Responsible
BA, GO, GOP, IA,
and document at least annually the
CIP-003-3 R5.3. Pending LSE, RC, RE, TO, x A X
processes for controlling access
TOP, TSP, NERC
privileges to protected information.
Change Control and Configuration
Management — The Responsible Entity BA, GO, GOP, IA,
CIP-003-3 R6. shall establish and document a process Pending LSE, RC, RE, TO, x A X
of change control and configuration TOP, TSP, NERC
management for adding, modifying,
Awareness — The Responsible Entity
shall establish, document, implement, BA, GO, GOP, IA,
CIP-004-3 R1. and maintain a security awareness Pending LSE, RC, RE, TO, x A
program to ensure personnel having TOP, TSP, NERC
authorized cyber or authorized
Training — The Responsible Entity shall
establish, document, implement, and BA, GO, GOP, IA,
CIP-004-3 R2. maintain an annual cyber security Pending LSE, RC, RE, TO, x A
training program for personnel having TOP, TSP, NERC
authorized cyber or authorized
This program will ensure that all
personnel having such access to BA, GO, GOP, IA,
CIP-004-3 R2.1. Critical Cyber Assets, including Pending LSE, RC, RE, TO, x A
contractors and service vendors, are TOP, TSP, NERC
trained prior to their the policies, such
Training shall cover being granted
access controls, and procedures as BA, GO, GOP, IA,
CIP-004-3 R2.2. developed for the Critical Cyber Assets Pending LSE, RC, RE, TO, x A
covered by CIP-004-3, and include, at a TOP, TSP, NERC
minimum, the following required items
BA, GO, GOP, IA,
CIP-004-3 R2.2.1. The proper use of Critical Cyber Assets; Pending LSE, RC, RE, TO, x A
TOP, TSP, NERC
BA, GO, GOP, IA,
Physical and electronic access controls
CIP-004-3 R2.2.2. Pending LSE, RC, RE, TO, x A
to Critical Cyber Assets;
TOP, TSP, NERC
BA, GO, GOP, IA,
The proper handling of Critical Cyber
CIP-004-3 R2.2.3. Pending LSE, RC, RE, TO, x A
Asset information; and,
TOP, TSP, NERC
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 19 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Action plans and procedures to recover
BA, GO, GOP, IA,
or re-establish Critical Cyber Assets
CIP-004-3 R2.2.4. Pending LSE, RC, RE, TO, x A
and access thereto following a Cyber
TOP, TSP, NERC
Security Incident.
The Responsible Entity shall maintain
documentation that training is BA, GO, GOP, IA,
CIP-004-3 R2.3. conducted at least annually, including Pending LSE, RC, RE, TO, x A
the date the training was completed and TOP, TSP, NERC
attendance records
Personnel Risk Assessment —The
Responsible Entity shall have a BA, GO, GOP, IA,
CIP-004-3 R3. documented personnel risk assessment Pending LSE, RC, RE, TO, x A X
program, in accordance with federal, TOP, TSP, NERC
state, provincial, and local laws, and
The Responsible Entity shall ensure
that each assessment conducted BA, GO, GOP, IA,
CIP-004-3 R3.1. include, at least, identity verification Pending LSE, RC, RE, TO, x A X
(e.g., Social Security Number TOP, TSP, NERC
verification in the U.S.) shall update
The Responsible Entity and seven-year
BA, GO, GOP, IA,
each personnel risk assessment at least
CIP-004-3 R3.2. Pending LSE, RC, RE, TO, x A X
every seven years after the initial
TOP, TSP, NERC
personnel risk assessment or for cause.
The Responsible Entity shall document
the results of personnel risk BA, GO, GOP, IA,
CIP-004-3 R3.3. assessments of its personnel having Pending LSE, RC, RE, TO, x A X
authorized cyber or authorized TOP, TSP, NERC
Access — The Responsible to Critical
unescorted physical access Entity shall
maintain list(s) of personnel with BA, GO, GOP, IA,
CIP-004-3 R4. authorized cyber or authorized Pending LSE, RC, RE, TO, x A X
unescorted physical access to Critical TOP, TSP, NERC
Cyber Assets, including their specific
The Responsible Entity shall review the
list(s) of its personnel who have such BA, GO, GOP, IA,
CIP-004-3 R4.1. access to Critical Cyber Assets Pending LSE, RC, RE, TO, x A X
quarterly, and update the list(s) within TOP, TSP, NERC
The Responsible Entity any change of
seven calendar days of shall revoke
such access to Critical Cyber Assets BA, GO, GOP, IA,
CIP-004-3 R4.2. within 24 hours for personnel Pending LSE, RC, RE, TO, x A X
terminated for cause and within seven TOP, TSP, NERC
calendar days for personnel who no
Electronic Security Perimeter — The
Responsible Entity shall ensure that BA, GO, GOP, IA,
CIP-005-3a R1. every Critical Cyber Asset resides Pending LSE, RC, RE, TO, x A X
within an Electronic Security Perimeter. TOP, TSP, NERC
The Responsible the Electronic Security
Access points to Entity shall identify
Perimeter(s) shall include any BA, GO, GOP, IA,
CIP-005-3a R1.1. externally connected communication Pending LSE, RC, RE, TO, x A X
end point (for example, dial-up modems) TOP, TSP, NERC
terminating at any device within the
For a dial-up accessible Critical Cyber
Asset that uses a non-routable protocol, BA, GO, GOP, IA,
CIP-005-3a R1.2. the Responsible Entity shall define an Pending LSE, RC, RE, TO, x A X
Electronic Security Perimeter for that TOP, TSP, NERC
Communication links connecting device.
single access point at the dial-up
discrete Electronic Security Perimeters BA, GO, GOP, IA,
CIP-005-3a R1.3. shall not be considered part of the Pending LSE, RC, RE, TO, x A X
Electronic Security Perimeter. However, TOP, TSP, NERC
end non-critical Cyber Asset within
Any points of these communication a
defined Electronic Security Perimeter BA, GO, GOP, IA,
CIP-005-3a R1.4. shall be identified and protected Pending LSE, RC, RE, TO, x A X
pursuant to the requirements of TOP, TSP, NERC
Standard CIP-005-3.in the access control
Cyber Assets used
and/or monitoring of the Electronic BA, GO, GOP, IA,
CIP-005-3a R1.5. Security Perimeter(s) shall be afforded Pending LSE, RC, RE, TO, x A X
the protective measures as a specified TOP, TSP, NERC
in Standard CIP-003-3; Standard CIP-004-
The Responsible Entity shall maintain
documentation of Electronic Security BA, GO, GOP, IA,
CIP-005-3a R1.6. Perimeter(s), all interconnected Critical Pending LSE, RC, RE, TO, x A X
and non-critical Cyber Assets within the TOP, TSP, NERC
Electronic SecurityControls — The
Electronic Access Perimeter(s), all
Responsible Entity shall implement and BA, GO, GOP, IA,
CIP-005-3a R2. document the organizational processes Pending LSE, RC, RE, TO, x A X
and technical and procedural TOP, TSP, NERC
mechanisms for control of electronic
These processes and mechanisms shall
BA, GO, GOP, IA,
use an access control model that denies
CIP-005-3a R2.1. Pending LSE, RC, RE, TO, x A X
access by default, such that explicit
TOP, TSP, NERC
access permissions must be specified.
At all access points to the Electronic
Security Perimeter(s), the Responsible BA, GO, GOP, IA,
CIP-005-3a R2.2. Entity shall enable only ports and Pending LSE, RC, RE, TO, x A X
services required for operations and for TOP, TSP, NERC
The Responsible Assets within the
monitoring CyberEntity shall implement
BA, GO, GOP, IA,
and maintain a procedure for securing
CIP-005-3a R2.3. Pending LSE, RC, RE, TO, x A X
dial-up access to the Electronic
TOP, TSP, NERC
Security Perimeter(s).
Where external interactive access into
the Electronic Security Perimeter has BA, GO, GOP, IA,
CIP-005-3a R2.4. been enabled, the Responsible Entity Pending LSE, RC, RE, TO, x A X
shall implement strong procedural or TOP, TSP, NERC
technical controls at the access points
BA, GO, GOP, IA,
The required documentation shall, at
CIP-005-3a R2.5. Pending LSE, RC, RE, TO, x A X
least, identify and describe:
TOP, TSP, NERC
BA, GO, GOP, IA,
The processes for access request and
CIP-005-3a R2.5.1. Pending LSE, RC, RE, TO, x A X
authorization.
TOP, TSP, NERC
BA, GO, GOP, IA,
CIP-005-3a R2.5.2. The authentication methods. Pending LSE, RC, RE, TO, x A X
TOP, TSP, NERC
The review process for authorization BA, GO, GOP, IA,
CIP-005-3a R2.5.3. rights, in accordance with Standard CIP- Pending LSE, RC, RE, TO, x A X
004-3 Requirement R4. TOP, TSP, NERC
BA, GO, GOP, IA,
The controls used to secure dial-up
CIP-005-3a R2.5.4. Pending LSE, RC, RE, TO, x A X
accessible connections.
TOP, TSP, NERC
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 20 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Appropriate Use Banner — Where
technically feasible, electronic access BA, GO, GOP, IA,
CIP-005-3a R2.6. control devices shall display an Pending LSE, RC, RE, TO, x A X
appropriate use banner on the user TOP, TSP, NERC
screen upon all interactive access
Monitoring Electronic Access — The
Responsible Entity shall implement and BA, GO, GOP, IA,
CIP-005-3a R3. document an electronic or manual Pending LSE, RC, RE, TO, x A X
process(es) for monitoring and logging TOP, TSP, NERC
access at access points to the
For dial-up accessible Critical Cyber
Assets that use non-routable protocols, BA, GO, GOP, IA,
CIP-005-3a R3.1. the Responsible Entity shall implement Pending LSE, RC, RE, TO, x A X
and document monitoring process(es) TOP, TSP, NERC
at eachtechnically feasible, dial-up
Where access point to the the security
monitoring process(es) shall detect and BA, GO, GOP, IA,
CIP-005-3a R3.2. alert for attempts at or actual Pending LSE, RC, RE, TO, x A X
unauthorized accesses. These alerts TOP, TSP, NERC
shall provide for appropriate
Cyber Vulnerability Assessment — The
Responsible Entity shall perform a BA, GO, GOP, IA,
CIP-005-3a R4. cyber vulnerability assessment of the Pending LSE, RC, RE, TO, x A X
electronic access points to the TOP, TSP, NERC
Electronic Security Perimeter(s) at least
BA, GO, GOP, IA,
A document identifying the vulnerability
CIP-005-3a R4.1. Pending LSE, RC, RE, TO, x A X
assessment process;
TOP, TSP, NERC
A review to verify that only ports and BA, GO, GOP, IA,
CIP-005-3a R4.2. services required for operations at Pending LSE, RC, RE, TO, x A X
these access points are enabled; TOP, TSP, NERC
BA, GO, GOP, IA,
The discovery of all access points to
CIP-005-3a R4.3. Pending LSE, RC, RE, TO, x A X
the Electronic Security Perimeter;
TOP, TSP, NERC
A review of controls for default BA, GO, GOP, IA,
CIP-005-3a R4.4. accounts, passwords, and network Pending LSE, RC, RE, TO, x A X
management community strings; TOP, TSP, NERC
Documentation of the results of the
assessment, the action plan to BA, GO, GOP, IA,
CIP-005-3a R4.5. remediate or mitigate vulnerabilities Pending LSE, RC, RE, TO, x A X
identified in the assessment, and the TOP, TSP, NERC
execution status of that action plan.
Documentation Review and
Maintenance — The Responsible Entity BA, GO, GOP, IA,
CIP-005-3a R5. shall review, update, and maintain all Pending LSE, RC, RE, TO, x A X
documentation to support compliance TOP, TSP, NERC
withResponsible Entity shall ensure
The the requirements of Standard CIP-
that all documentation required by BA, GO, GOP, IA,
CIP-005-3a R5.1. Standard CIP-005-3 reflect current Pending LSE, RC, RE, TO, x A X
configurations and processes and shall TOP, TSP, NERC
review the documents and procedures
The Responsible Entity shall update the
documentation to reflect the BA, GO, GOP, IA,
CIP-005-3a R5.2. modification of the network or controls Pending LSE, RC, RE, TO, x A X
within ninety calendar days of the TOP, TSP, NERC
change.
The Responsible Entity shall retain
electronic access logs for at least BA, GO, GOP, IA,
CIP-005-3a R5.3. ninety calendar days. Logs related to Pending LSE, RC, RE, TO, x A X
reportable incidents shall be kept in TOP, TSP, NERC
accordance with the requirements of
Physical Security Plan — The
Responsible Entity shall document, BA, GO, GOP, IA,
CIP-006-3c R1. implement, and maintain a physical Pending LSE, RC, RE, TO, x A X
security plan, approved by the senior TOP, TSP, NERC
manager or delegate(s) that shall
All Cyber Assets within an Electronic
Security Perimeter shall reside within BA, GO, GOP, IA,
CIP-006-3c R1.1. an identified Physical Security Pending LSE, RC, RE, TO, x A X
Perimeter. Where a completely enclosed TOP, TSP, NERC
(―six-wall‖) border cannot be
Identification of all physical access
BA, GO, GOP, IA,
points through each Physical Security
CIP-006-3c R1.2. Pending LSE, RC, RE, TO, x A X
Perimeter and measures to control entry
TOP, TSP, NERC
at those access points.
Processes, tools, and procedures to BA, GO, GOP, IA,
CIP-006-3c R1.3. monitor physical access to the Pending LSE, RC, RE, TO, x A X
perimeter(s). TOP, TSP, NERC
Appropriate use of physical access
controls as described in Requirement BA, GO, GOP, IA,
CIP-006-3c R1.4. R4 including visitor pass management, Pending LSE, RC, RE, TO, x A X
response to loss, and prohibition of TOP, TSP, NERC
Review of access of physical access
inappropriate use authorization
BA, GO, GOP, IA,
requests and revocation of access
CIP-006-3c R1.5. Pending LSE, RC, RE, TO, x A X
authorization, in accordance with CIP-
TOP, TSP, NERC
004-3 Requirement R4.
A visitor control program for visitors
(personnel without authorized BA, GO, GOP, IA,
CIP-006-3c R1.6. unescorted access to a Physical Pending LSE, RC, RE, TO, x A X
Security Perimeter), containing at a TOP, TSP, NERC
minimum the following:
Logs (manual or automated) to
BA, GO, GOP, IA,
document the entry and exit of visitors,
CIP-006-3c R1.6.1. Pending LSE, RC, RE, TO, x A X
including the date and time, to and from
TOP, TSP, NERC
Physical Security Perimeters.
BA, GO, GOP, IA,
Continuous escorted access of visitors
CIP-006-3c R1.6.2. Pending LSE, RC, RE, TO, x A X
within the Physical Security Perimeter.
TOP, TSP, NERC
Update of the physical security plan
within thirty calendar days of the BA, GO, GOP, IA,
CIP-006-3c R1.7. completion of any physical security Pending LSE, RC, RE, TO, x A X
system redesign or reconfiguration, TOP, TSP, NERC
including, but not limited to, addition or
BA, GO, GOP, IA,
Annual review of the physical security
CIP-006-3c R1.8. Pending LSE, RC, RE, TO, x A X
plan.
TOP, TSP, NERC
Protection of Physical Access Control
Systems — Cyber Assets that authorize BA, GO, GOP, IA,
CIP-006-3c R2. and/or log access to the Physical Pending LSE, RC, RE, TO, x A X
Security Perimeter(s), exclusive of TOP, TSP, NERC
hardware at the Physical Security
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 21 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
BA, GO, GOP, IA,
Be protected from unauthorized
CIP-006-3c R2.1. Pending LSE, RC, RE, TO, x A X
physical access.
TOP, TSP, NERC
Be afforded the protective measures
specified in Standard CIP-003-3; BA, GO, GOP, IA,
CIP-006-3c R2.2. Standard CIP-004-3 Requirement R3; Pending LSE, RC, RE, TO, x A X
Standard CIP-005-3 Requirements R2 TOP, TSP, NERC
and R3; Standard CIP-006-3
Protection of Electronic Access Control
Systems — Cyber Assets used in the BA, GO, GOP, IA,
CIP-006-3c R3. access control and/or monitoring of the Pending LSE, RC, RE, TO, x A X
Electronic Security Perimeter(s) shall TOP, TSP, NERC
Physical Access Controls Physical
reside within an identified — The
Responsible Entity shall document and BA, GO, GOP, IA,
CIP-006-3c R4. implement the operational and Pending LSE, RC, RE, TO, x A X
procedural controls to manage physical TOP, TSP, NERC
access at all access Accessto the
Monitoring Physical points — The
Responsible Entity shall document and BA, GO, GOP, IA,
CIP-006-3c R5. implement the technical and procedural Pending LSE, RC, RE, TO, x A X
controls for monitoring physical access TOP, TSP, NERC
at all access points to the — Logging
Logging Physical Access Physical
shall record sufficient information to BA, GO, GOP, IA,
CIP-006-3c R6. uniquely identify individuals and the Pending LSE, RC, RE, TO, x A X
time of access twenty-four hours a day, TOP, TSP, NERC
seven days a week. The Responsible
Access Log Retention — The
Responsible Entity shall retain physical BA, GO, GOP, IA,
CIP-006-3c R7. access logs for at least ninety calendar Pending LSE, RC, RE, TO, x A X
days. Logs related to reportable TOP, TSP, NERC
incidents shall be kept in accordance
Maintenance and Testing — The
Responsible Entity shall implement a BA, GO, GOP, IA,
CIP-006-3c R8. maintenance and testing program to Pending LSE, RC, RE, TO, x A X
ensure that all physical security TOP, TSP, NERC
systems under Requirements R4, R5,
Testing and maintenance of all physical BA, GO, GOP, IA,
CIP-006-3c R8.1. security mechanisms on a cycle no Pending LSE, RC, RE, TO, x A X
longer than three years. TOP, TSP, NERC
Retention of testing and maintenance BA, GO, GOP, IA,
CIP-006-3c R8.2. records for the cycle determined by the Pending LSE, RC, RE, TO, x A X
Responsible Entity in Requirement R8.1. TOP, TSP, NERC
Retention of outage records regarding
BA, GO, GOP, IA,
access controls, logging, and
CIP-006-3c R8.3. Pending LSE, RC, RE, TO, x A X
monitoring for a minimum of one
TOP, TSP, NERC
calendar year.
Test Procedures — The Responsible
Entity shall ensure that new Cyber BA, GO, GOP, IA,
CIP-007-3 R1. Assets and significant changes to Pending LSE, RC, RE, TO, x A X
existing Cyber Assets within the TOP, TSP, NERC
Electronic Security Perimeter do not
The Responsible Entity shall create,
implement, and maintain cyber security BA, GO, GOP, IA,
CIP-007-3 R1.1. test procedures in a manner that Pending LSE, RC, RE, TO, x A X
minimizes adverse effects on the TOP, TSP, NERC
production system or its operation.
The Responsible Entity shall document BA, GO, GOP, IA,
CIP-007-3 R1.2. that testing is performed in a manner Pending LSE, RC, RE, TO, x A X
that reflects the production environment. TOP, TSP, NERC
BA, GO, GOP, IA,
The Responsible Entity shall document
CIP-007-3 R1.3. Pending LSE, RC, RE, TO, x A X
test results.
TOP, TSP, NERC
Ports and Services — The Responsible
Entity shall establish, document and BA, GO, GOP, IA,
CIP-007-3 R2. implement a process to ensure that only Pending LSE, RC, RE, TO, x A X
those ports and services required for TOP, TSP, NERC
normal and emergency operations are
The Responsible Entity shall enable BA, GO, GOP, IA,
CIP-007-3 R2.1. only those ports and services required Pending LSE, RC, RE, TO, x A X
for normal and emergency operations. TOP, TSP, NERC
The Responsible Entity shall disable
other ports and services, including BA, GO, GOP, IA,
CIP-007-3 R2.2. those used for testing purposes, prior to Pending LSE, RC, RE, TO, x A X
production use of all Cyber Assets TOP, TSP, NERC
In the the where unused ports
insidecaseElectronic Security and
services cannot be disabled due to BA, GO, GOP, IA,
CIP-007-3 R2.3. technical limitations, the Responsible Pending LSE, RC, RE, TO, x A X
Entity shall document compensating TOP, TSP, NERC
measure(s) applied to mitigate risk
Security Patch Management — The
Responsible Entity, either separately or BA, GO, GOP, IA,
CIP-007-3 R3. as a component of the documented Pending LSE, RC, RE, TO, x A X
configuration management process TOP, TSP, NERC
specified in CIP-003-3 Requirement R6,
The Responsible Entity shall document
the assessment of security patches and BA, GO, GOP, IA,
CIP-007-3 R3.1. security upgrades for applicability Pending LSE, RC, RE, TO, x A X
within thirty calendar days of TOP, TSP, NERC
The Responsible patches or document
availability of the Entity shall upgrades.
the implementation of security patches. BA, GO, GOP, IA,
CIP-007-3 R3.2. In any case where the patch is not Pending LSE, RC, RE, TO, x A X
installed, the Responsible Entity shall TOP, TSP, NERC
Malicious compensating measure(s)
document Software Prevention — The
Responsible Entity shall use anti-virus BA, GO, GOP, IA,
CIP-007-3 R4. software and other malicious software Pending LSE, RC, RE, TO, x A X
(―malware‖) prevention tools, where TOP, TSP, NERC
technically feasible, to detect, prevent,
The Responsible Entity shall document
and implement anti-virus and malware BA, GO, GOP, IA,
CIP-007-3 R4.1. prevention tools. In the case where anti- Pending LSE, RC, RE, TO, x A X
virus software and malware prevention TOP, TSP, NERC
tools are not installed, the Responsible
The Responsible Entity shall document
and implement a process for the update BA, GO, GOP, IA,
CIP-007-3 R4.2. of anti-virus and malware prevention Pending LSE, RC, RE, TO, x A X
―signatures.‖ The process must TOP, TSP, NERC
address testing and installing the
Account Management — The
Responsible Entity shall establish, BA, GO, GOP, IA,
CIP-007-3 R5. implement, and document technical and Pending LSE, RC, RE, TO, x A X
procedural controls that enforce access TOP, TSP, NERC
authentication of, and accountability
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 22 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Responsible Entity shall ensure
that individual and shared system BA, GO, GOP, IA,
CIP-007-3 R5.1. accounts and authorized access Pending LSE, RC, RE, TO, x A X
permissions are consistent with the TOP, TSP, NERC
The Responsible to know‖ with respect
concept of ―need Entity shall ensure
that user accounts are implemented as BA, GO, GOP, IA,
CIP-007-3 R5.1.1. approved by designated personnel. Pending LSE, RC, RE, TO, x A X
Refer to Standard CIP-003-3 TOP, TSP, NERC
Requirement R5.
The Responsible Entity shall establish
methods, processes, and procedures BA, GO, GOP, IA,
CIP-007-3 R5.1.2. that generate logs of sufficient detail to Pending LSE, RC, RE, TO, x A X
create historical audit trails of TOP, TSP, NERC
The Responsible Entity access activity
individual user account shall review, at
least annually, user accounts to verify BA, GO, GOP, IA,
CIP-007-3 R5.1.3. access privileges are in accordance Pending LSE, RC, RE, TO, x A X
with Standard CIP-003-3 Requirement TOP, TSP, NERC
R5 and Standard CIP-004-3 Requirement
The Responsible Entity shall implement
a policy to minimize and manage the BA, GO, GOP, IA,
CIP-007-3 R5.2. scope and acceptable use of Pending LSE, RC, RE, TO, x A X
administrator, shared, and other generic TOP, TSP, NERC
account privileges includingremoval,
The policy shall include the factory
disabling, or renaming of such accounts BA, GO, GOP, IA,
CIP-007-3 R5.2.1. where possible. For such accounts that Pending LSE, RC, RE, TO, x A X
must remain enabled, passwords shall TOP, TSP, NERC
be changed prior to putting any system
The Responsible Entity shall identify BA, GO, GOP, IA,
CIP-007-3 R5.2.2. those individuals with access to shared Pending LSE, RC, RE, TO, x A X
accounts. TOP, TSP, NERC
Where such accounts must be shared,
the Responsible Entity shall have a BA, GO, GOP, IA,
CIP-007-3 R5.2.3. policy for managing the use of such Pending LSE, RC, RE, TO, x A X
accounts that limits access to only TOP, TSP, NERC
those with authorization, an audit trail
At a minimum, the Responsible Entity
BA, GO, GOP, IA,
shall require and use passwords,
CIP-007-3 R5.3. Pending LSE, RC, RE, TO, x A X
subject to the following, as technically
TOP, TSP, NERC
feasible:
BA, GO, GOP, IA,
Each password shall be a minimum of
CIP-007-3 R5.3.1. Pending LSE, RC, RE, TO, x A X
six characters.
TOP, TSP, NERC
Each password shall consist of a BA, GO, GOP, IA,
CIP-007-3 R5.3.2. combination of alpha, numeric, and Pending LSE, RC, RE, TO, x A X
―special‖ characters. TOP, TSP, NERC
Each password shall be changed at BA, GO, GOP, IA,
CIP-007-3 R5.3.3. least annually, or more frequently based Pending LSE, RC, RE, TO, x A X
on risk. TOP, TSP, NERC
Security Status Monitoring — The
Responsible Entity shall ensure that all BA, GO, GOP, IA,
CIP-007-3 R6. Cyber Assets within the Electronic Pending LSE, RC, RE, TO, x A X
Security Perimeter, as technically TOP, TSP, NERC
feasible, implement automated tools or
The Responsible Entity shall implement
and document the organizational BA, GO, GOP, IA,
CIP-007-3 R6.1. processes and technical and procedural Pending LSE, RC, RE, TO, x A X
mechanisms for monitoring for security TOP, TSP, NERC
events on all Cyber Assets within the
The security monitoring controls shall BA, GO, GOP, IA,
CIP-007-3 R6.2. issue automated or manual alerts for Pending LSE, RC, RE, TO, x A X
detected Cyber Security Incidents. TOP, TSP, NERC
The Responsible Entity shall maintain
logs of system events related to cyber BA, GO, GOP, IA,
CIP-007-3 R6.3. security, where technically feasible, to Pending LSE, RC, RE, TO, x A X
support incident response as required TOP, TSP, NERC
in Standard CIP-008-3.
The Responsible Entity shall retain all BA, GO, GOP, IA,
CIP-007-3 R6.4. logs specified in Requirement R6 for Pending LSE, RC, RE, TO, x A X
ninety calendar days. TOP, TSP, NERC
The Responsible Entity shall review
BA, GO, GOP, IA,
logs of system events related to cyber
CIP-007-3 R6.5. Pending LSE, RC, RE, TO, x A X
security and maintain records
TOP, TSP, NERC
documenting review of logs.
Disposal or Redeployment — The
Responsible Entity shall establish and BA, GO, GOP, IA,
CIP-007-3 R7. implement formal methods, processes, Pending LSE, RC, RE, TO, x A X
and procedures for disposal or TOP, TSP, NERC
redeployment of Cyber Assets withinthe
Prior to the disposal of such assets,
Responsible Entity shall destroy or BA, GO, GOP, IA,
CIP-007-3 R7.1. erase the data storage media to prevent Pending LSE, RC, RE, TO, x A X
unauthorized retrieval of sensitive cyber TOP, TSP, NERC
Prior to or reliability of such assets,
securityredeploymentdata.
the Responsible Entity shall, at a BA, GO, GOP, IA,
CIP-007-3 R7.2. minimum, erase the data storage media Pending LSE, RC, RE, TO, x A X
to prevent unauthorized retrieval of TOP, TSP, NERC
sensitive cyber securityshall maintain
The Responsible Entity or reliability
BA, GO, GOP, IA,
records that such assets were disposed
CIP-007-3 R7.3. Pending LSE, RC, RE, TO, x A X
of or redeployed in accordance with
TOP, TSP, NERC
documented procedures.
Cyber Vulnerability Assessment — The
Responsible Entity shall perform a BA, GO, GOP, IA,
CIP-007-3 R8. cyber vulnerability assessment of all Pending LSE, RC, RE, TO, x A X
Cyber Assets within the Electronic TOP, TSP, NERC
Security Perimeter at least annually.
BA, GO, GOP, IA,
A document identifying the vulnerability
CIP-007-3 R8.1. Pending LSE, RC, RE, TO, x A X
assessment process;
TOP, TSP, NERC
A review to verify that only ports and
BA, GO, GOP, IA,
services required for operation of the
CIP-007-3 R8.2. Pending LSE, RC, RE, TO, x A X
Cyber Assets within the Electronic
TOP, TSP, NERC
Security Perimeter are enabled;
BA, GO, GOP, IA,
A review of controls for default
CIP-007-3 R8.3. Pending LSE, RC, RE, TO, x A X
accounts; and,
TOP, TSP, NERC
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 23 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Documentation of the results of the
assessment, the action plan to BA, GO, GOP, IA,
CIP-007-3 R8.4. remediate or mitigate vulnerabilities Pending LSE, RC, RE, TO, x A X
identified in the assessment, and the TOP, TSP, NERC
Documentation Review action plan.
execution status of thatand
Maintenance — The Responsible Entity BA, GO, GOP, IA,
CIP-007-3 R9. shall review and update the Pending LSE, RC, RE, TO, x A X
documentation specified in Standard TOP, TSP, NERC
CIP-007-3 at least annually. Changes
Cyber Security Incident Response Plan
— The Responsible Entity shall develop BA, GO, GOP, IA,
CIP-008-3 R1. and maintain a Cyber Security Incident Pending LSE, RC, RE, TO, x A X
response plan and implement the plan TOP, TSP, NERC
in response to Cyber Security Incidents.
Procedures to characterize and classify BA, GO, GOP, IA,
CIP-008-3 R1.1. events as reportable Cyber Security Pending LSE, RC, RE, TO, x A X
Incidents. TOP, TSP, NERC
Response actions, including roles and
responsibilities of Cyber Security BA, GO, GOP, IA,
CIP-008-3 R1.2. Incident response teams, Cyber Pending LSE, RC, RE, TO, x A X
Security Incident handling procedures, TOP, TSP, NERC
and communication plans. Security
Process for reporting Cyber
Incidents to the Electricity Sector BA, GO, GOP, IA,
CIP-008-3 R1.3. Information Sharing and Analysis Pending LSE, RC, RE, TO, x A X
Center (ES-ISAC). The Responsible TOP, TSP, NERC
Entity must ensure that all reportable
Process for updating the Cyber Security BA, GO, GOP, IA,
CIP-008-3 R1.4. Incident response plan within thirty Pending LSE, RC, RE, TO, x A X
calendar days of any changes. TOP, TSP, NERC
Process for ensuring that the Cyber BA, GO, GOP, IA,
CIP-008-3 R1.5. Security Incident response plan is Pending LSE, RC, RE, TO, x A X
reviewed at least annually. TOP, TSP, NERC
Process for ensuring the Cyber Security
Incident response plan is tested at least BA, GO, GOP, IA,
CIP-008-3 R1.6. annually. A test of the Cyber Security Pending LSE, RC, RE, TO, x A X
Incident response plan can range from a TOP, TSP, NERC
paper Security full operational
Cyber drill, to a Incident Documentation
— The Responsible Entity shall keep BA, GO, GOP, IA,
CIP-008-3 R2. relevant documentation related to Cyber Pending LSE, RC, RE, TO, x A X
Security Incidents reportable per TOP, TSP, NERC
Recovery Plans — for three calendar
Requirement R1.1 The Responsible
Entity shall create and annually review BA, GO, GOP, IA,
CIP-009-3 R1. recovery plan(s) for Critical Cyber Pending LSE, RC, RE, TO, x A X
Assets. The recovery plan(s) shall TOP, TSP, NERC
address at required actions in
Specify thea minimum the following:
BA, GO, GOP, IA,
response to events or conditions of
CIP-009-3 R1.1. Pending LSE, RC, RE, TO, x A X
varying duration and severity that would
TOP, TSP, NERC
activate the recovery plan(s).
BA, GO, GOP, IA,
Define the roles and responsibilities of
CIP-009-3 R1.2. Pending LSE, RC, RE, TO, x A X
responders.
TOP, TSP, NERC
Exercises — The recovery plan(s) shall
be exercised at least annually. An BA, GO, GOP, IA,
CIP-009-3 R2. exercise of the recovery plan(s) can Pending LSE, RC, RE, TO, x A X
range from a paper drill, to a full TOP, TSP, NERC
operational exercise, to recovery from
Change Control — Recovery plan(s)
shall be updated to reflect any changes BA, GO, GOP, IA,
CIP-009-3 R3. or lessons learned as a result of an Pending LSE, RC, RE, TO, x A
exercise or the recovery from an actual TOP, TSP, NERC
Backup and Restore — be
incident. Updates shall The recovery
plan(s) shall include processes and BA, GO, GOP, IA,
CIP-009-3 R4. procedures for the backup and storage Pending LSE, RC, RE, TO, x A X
of information required to successfully TOP, TSP, NERC
restore Critical Cyber Assets. For
Testing Backup Media — Information
essential to recovery that is stored on BA, GO, GOP, IA,
CIP-009-3 R5. backup media shall be tested at least Pending LSE, RC, RE, TO, x A
annually to ensure that the information TOP, TSP, NERC
is available. Testing can be completed
COMMUNICATIONS
Each Reliability Coordinator,
Transmission Operator, and Balancing
Authority shall provide adequate and
COM-001-1.1 R1. HIGH BA, RC, TOP x A X
reliable telecommunications facilities
for the exchange of Interconnection and
operating information:
COM-001-1.1 R1.1. Internally. HIGH BA, RC, TOP x A X
Between the Reliability Coordinator and
COM-001-1.1 R1.2. its Transmission Operators and HIGH BA, RC, TOP x A X
Balancing Authorities.
With other Reliability Coordinators,
Transmission Operators, and Balancing
COM-001-1.1 R1.3. HIGH BA, RC, TOP x A X
Authorities as necessary to maintain
reliability.
Where applicable, these facilities shall
COM-001-1.1 R1.4. HIGH BA, RC, TOP x A X
be redundant and diversely routed.
Each Reliability Coordinator,
Transmission Operator, and Balancing
Authority shall manage, alarm, test
and/or actively monitor vital
COM-001-1.1 R2. telecommunications facilities. Special MEDIUM BA, RC, TOP x A X
attention shall be given to emergency
telecommunications facilities and
equipment not used for routine
communications.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 24 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Each Reliability Coordinator,
Transmission Operator and Balancing
Authority shall provide a means to
coordinate telecommunications among
COM-001-1.1 R3. their respective areas. This LOWER BA, RC, TOP x A X
coordination shall include the ability to
investigate and recommend solutions to
telecommunications problems within
the area and with other areas.
Unless agreed to otherwise, each
Reliability Coordinator, Transmission
Operator, and Balancing Authority shall
use English as the language for all
communications between and among
operating personnel responsible for the
COM-001-1.1 R4. MEDIUM BA, RC, TOP x A X
real-time generation control and
operation of the interconnected Bulk
Electric System. Transmission
Operators and Balancing Authorities
may use an alternate language for
internal operations.
Each Reliability Coordinator,
Transmission Operator, and Balancing
Authority shall have written operating
COM-001-1.1 R5. instructions and procedures to enable LOWER BA, RC, TOP x A X
continued operation of the system
during the loss of telecommunications
facilities.
Each NERCNet User Organization shall
adhere to the requirements in
COM-001-1.1 R6. LOWER NERC_Net Users x A X
Attachment 1-COM-001-0, ―NERCNet
Security Policy.‖
Each Transmission Operator, Balancing
Authority, and Generator Operator shall
have communications (voice and data
links) with appropriate Reliability
COM-002-2 R1. Coordinators, Balancing Authorities, HIGH BA, GOP, TOP x A X
and Transmission Operators. Such
communications shall be staffed and
available for addressing a real-time
emergency condition.
Each Balancing Authority and
Transmission Operator shall notify its
Reliability Coordinator, and all other
potentially affected Balancing
COM-002-2 R1.1. Authorities and Transmission Operators HIGH BA, TOP x A X
through predetermined communication
paths of any condition that could
threaten the reliability of its area or
when firm load shedding is anticipated.
Each Reliability Coordinator,
Transmission Operator, and Balancing
COM-002-2 R2. Authority shall issue directives in a MEDIUM BA, RC, TOP x A X
clear, concise, and definitive manner;
shall ensure the recipient of the
EMERGENCY PREPAREDNESS AND
OPERATIONS
Balancing Authorities shall have
operating agreements with adjacent
EOP-001-0 R1. Balancing Authorities that shall, at a HIGH BA x
minimum, contain provisions for
emergency assistance, including
The Transmission Operator shall have
an emergency load reduction plan for all
identified IROLs. The plan shall include
the details on how the Transmission
Operator will implement load reduction
EOP-001-0 R2. in sufficient amount and time to MEDIUM TOP x X
mitigate the IROL violation before
system separation or collapse would
occur. The load reduction plan must be
capable of being implemented within 30
minutes.
Each Transmission Operator and
EOP-001-0 R3. MEDIUM BA, TOP x A X
Balancing Authority shall:
Develop, maintain, and implement a set
of plans to mitigate operating
EOP-001-0 R3.1. MEDIUM BA, TOP x A X
emergencies for insufficient generating
capacity.
Develop, maintain, and implement a set
of plans to mitigate operating
EOP-001-0 R3.2. MEDIUM BA, TOP x A X
emergencies on the transmission
system.
Develop, maintain, and implement a set
EOP-001-0 R3.3. MEDIUM BA, TOP x A X
of plans for load shedding.
Develop, maintain, and implement a set
EOP-001-0 R3.4. MEDIUM BA, TOP x A
of plans for system restoration.
Each Transmission Operator and
Balancing Authority shall have
EOP-001-0 R4. emergency plans that will enable it to MEDIUM BA, TOP x
mitigate operating emergencies. At a
minimum, Transmission Operator and
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 25 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Communications protocols to be used
EOP-001-0 R4.1. MEDIUM BA, TOP x
during emergencies.
A list of controlling actions to resolve
the emergency. Load reduction, in
EOP-001-0 R4.2. sufficient quantity to resolve the MEDIUM BA, TOP x
emergency within NERC-established
timelines, shall be one of the controlling
The tasks to be coordinated with and
EOP-001-0 R4.3. among adjacent Transmission MEDIUM BA, TOP x
Operators and Balancing Authorities.
EOP-001-0 R4.4. Staffing levels for the emergency. MEDIUM BA, TOP x
Each Transmission Operator and
Balancing Authority shall include the
EOP-001-0 R5. applicable elements in Attachment 1- MEDIUM BA, TOP x A X
EOP-001-0 when developing an
emergency plan. Operator and
The Transmission
Balancing Authority shall annually
EOP-001-0 R6. review and update each emergency MEDIUM BA, TOP x
plan. The Transmission Operator and
Balancing Authority shall provide a
The Transmission Operator and
Balancing Authority shall coordinate its
EOP-001-0 R7. emergency plans with other MEDIUM BA, TOP x
Transmission Operators and Balancing
Authorities as appropriate. and
The Transmission Operator This
Balancing Authority shall establish and
EOP-001-0 R7.1. MEDIUM BA, TOP x
maintain reliable communications
between interconnected systems.
The Transmission Operator and
Balancing Authority shall arrange new
EOP-001-0 R7.2. interchange agreements to provide for MEDIUM BA, TOP x
emergency capacity or energy transfers
if existing agreements cannot be
The Transmission Operator and used.
Balancing Authority shall coordinate
EOP-001-0 R7.3. transmission and generator MEDIUM BA, TOP x
maintenance schedules to maximize
capacity or conserve the fuel in
The Transmission Operator and short
Balancing Authority shall arrange
EOP-001-0 R7.4. deliveries of electrical energy or fuel MEDIUM BA, TOP x
from remote systems through normal
operating channels.
Each Balancing Authority and Reliability
Coordinator shall have the
EOP-002-3 R1. responsibility and clear decision- HIGH BA, RC x
making authority to take whatever
actions are needed to ensure the
Each Balancing Authority shall, when
required and as appropriate, take one or
EOP-002-3 R2. more actions as described in its HIGH BA x
capacity and energy emergency plan, ,
to reduce risks to the that is
A Balancing Authorityinterconnected
experiencing an operating capacity or
EOP-002-3 R3. energy emergency shall communicate HIGH BA x
its current and future system conditions
to Balancing Authority anticipating an
A its Reliability Coordinator and
operating capacity or energy emergency
EOP-002-3 R4. shall perform all actions necessary HIGH BA x
including bringing on all available
A deficient postponing equipment
generation, Balancing Authority shall
only use the assistance provided by the
EOP-002-3 R5. Interconnection’s frequency bias for the HIGH BA x
time needed to implement corrective
actions. The Balancing Authority shall
If the Balancing Authority cannot
comply with the Control Performance
EOP-002-3 R6. and Disturbance Control Standards, HIGH BA x
then it shall immediately implement
remedies to do so. These remedies
Loading all available generating
EOP-002-3 R6.1. HIGH BA x
capacity.
Deploying all available operating
EOP-002-3 R6.2. HIGH BA x
reserve.
Interrupting interruptible load and
EOP-002-3 R6.3. HIGH BA x
exports.
Requesting emergency assistance from
EOP-002-3 R6.4. HIGH BA x
other Balancing Authorities.
Declaring an Energy Emergency through
EOP-002-3 R6.5. HIGH BA x
its Reliability Coordinator; and
Reducing load, through procedures
such as public appeals, voltage
EOP-002-3 R6.6. HIGH BA x
reductions, curtailing interruptible
loads and firm loads.
Once the Balancing Authority has
exhausted the steps listed in
EOP-002-3 R7. Requirement 6, or if these steps cannot HIGH BA x A X
be completed in sufficient time to
resolve the emergency condition, the
Manually shed firm load without delay
EOP-002-3 R7.1. HIGH BA x A X
to return its ACE to zero; and
Request the Reliability Coordinator to
declare an Energy Emergency Alert in
EOP-002-3 R7.2. HIGH BA x A X
accordance with Attachment 1-EOP-002-
0 ―Energy Emergency Alert Levels.‖
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 26 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
A Reliability Coordinator that has any
Balancing Authority within its
EOP-002-3 R8. Reliability Coordinator area HIGH RC x A X
experiencing a potential or actual
Energy Emergency shall initiate an
When a Transmission Service Provider
expects to elevate the transmission
EOP-002-3 R9. service priority of an Interchange HIGH LSE, RC x
Transaction from Priority 6 (Network
Integration Transmission Service shall
The deficient Load-Serving Entity from
request its Reliability Coordinator to
EOP-002-3 R9.1. initiate an Energy Emergency Alert in HIGH LSE x
accordance with Attachment 1-EOP-002-
0. Reliability Coordinator shall submit
The
the report to NERC for posting on the
EOP-002-3 R9.2. NERC Website, noting the expected HIGH RC x ER
total MW that may have its transmission
The Reliability changed.
service priorityCoordinator shall use
EEA 1 to forecast the change of the
EOP-002-3 R9.3. priority of transmission service of an LOWER RC x ER
Interchange Transaction on the system
fromReliability to Priority 7. shall use
The Priority 6 Coordinator
EEA 2 to announce the change of the
EOP-002-3 R9.4. priority of transmission service of an LOWER RC x ER
Interchange Transaction on the system
from Priority 6 to Priority 7.
After taking all other remedial steps, a
Transmission Operator or Balancing
Authority operating with insufficient
generation or transmission capacity
EOP-003-1 R1. HIGH BA, TOP x
shall shed customer load rather than
risk an uncontrolled failure of
components or cascading outages of
the Interconnection.
Each Transmission Operator and
Balancing Authority shall establish
EOP-003-1 R2. plans for automatic load shedding for HIGH BA, TOP x X
underfrequency or undervoltage
conditions.
Each Transmission Operator and
Balancing Authority shall coordinate
EOP-003-1 R3. load shedding plans among other HIGH BA, TOP x X
interconnected Transmission Operators
and Balancing Authorities.
A Transmission Operator or Balancing
Authority shall consider one or more of
these factors in designing an automatic
EOP-003-1 R4. HIGH BA, TOP x X
load shedding scheme: frequency, rate
of frequency decay, voltage level, rate
of voltage decay, or power flow levels.
A Transmission Operator or Balancing
Authority shall implement load
EOP-003-1 R5. shedding in steps established to HIGH BA, TOP x
minimize the risk of further
uncontrolled separation, loss of
After a Transmission Operator or
Balancing Authority Area separates
EOP-003-1 R6. from the Interconnection, if there is HIGH BA, TOP x
insufficient generating capacity to
restore system frequency following
The Transmission Operator and
Balancing Authority shall coordinate
EOP-003-1 R7. automatic load shedding throughout HIGH BA, TOP x
their areas with underfrequency
isolation of generating units, tripping of
shunt capacitors, and other automatic
Each Transmission Operator or
Balancing Authority shall have plans for
EOP-003-1 R8. operator-controlled manual load HIGH BA, TOP x X
shedding to respond to real-time
emergencies. The Transmission
Each Regional Reliability Organization
shall establish and maintain a Regional
EOP-004-1 R1. reporting procedure to facilitate LOWER RRO x
preparation of preliminary and final
A Reliability reports.
disturbance Coordinator, Balancing
Authority, Transmission Operator, BA, GOP, LSE,
EOP-004-1 R2. Generator Operator or Load-Serving MEDIUM x
RC, TOP
Entity shall promptly analyze Bulk
Electric System disturbances on its
A Reliability Coordinator, Balancing
Authority, Transmission Operator, BA, GOP, LSE,
EOP-004-1 R3. Generator Operator or Load-Serving LOWER x ER
RC, TOP
Entity experiencing a reportable
incident shall provide a preliminary
The affected Reliability Coordinator,
Balancing Authority, Transmission BA, GOP, LSE,
EOP-004-1 R3.1. Operator, Generator Operator or Load- LOWER x ER
RC, TOP
Serving Entity shall submit within 24
hours of the disturbance or unusual
Applicable reporting forms are provided No VRF BA, GOP, LSE,
EOP-004-1 R3.2. x
in Attachments 022-1 and 022-2. Assigned RC, TOP
Under certain adverse conditions, e.g.,
severe weather, it may not be possible BA, GOP, LSE,
EOP-004-1 R3.3. to assess the damage caused by a LOWER x ER
RC, TOP
disturbance and issue a written
Interconnection Reliability Operating
If, in the judgment of the Regional
Reliability Organization, after
consultation with the Reliability
Coordinator, Balancing Authority, BA, GOP, LSE,
EOP-004-1 R3.4. LOWER x
Transmission Operator, Generator RC, TOP
Operator, or Load-Serving Entity in
which a disturbance occurred, a final
report is required, the affected
Reliability Coordinator, Balancing
When a Bulk Electric System
disturbance occurs, the Regional
EOP-004-1 R4. Reliability Organization shall make its LOWER RRO x ER
representatives on the NERC Operating
Committee and Disturbance Analysis
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 27 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Regional Reliability Organization
shall track and review the status of all
EOP-004-1 R5. final report recommendations at least LOWER RRO x ER
twice each year to ensure they are being
acted upon in a timely manner. If any
Each Transmission Operator shall have
a restoration plan to reestablish its
electric system in a stable and orderly
manner in the event of a partial or total
shutdown of its system, including
necessary operating instructions and
EOP-005-1 R1. procedures to cover emergency MEDIUM TOP x A X
conditions, and the loss of vital
telecommunications channels. Each
Transmission Operator shall include the
applicable elements listed in
Attachment 1-EOP-005 in developing a
restoration plan.
Each Transmission Operator shall
review and update its restoration plan at
EOP-005-1 R2. least annually and whenever it makes MEDIUM TOP x A X
changes in the power system network,
and shall correct deficiencies found
Each Transmission Operator shall
develop restoration plans with a priority
EOP-005-1 R3. MEDIUM TOP x A X
of restoring the integrity of the
Interconnection.
Each Transmission Operator shall
coordinate its restoration plans with the
EOP-005-1 R4. Generator Owners and Balancing MEDIUM TOP x A X
Authorities within its area, its
Reliability Coordinator, and neighboring
Each Transmission Operator and
Balancing Authority shall periodically
EOP-005-1 R5. test its telecommunication facilities MEDIUM BA, TOP x A X
needed to implement the restoration
plan. Transmission Operator and
Each
Balancing Authority shall train its
EOP-005-1 R6. operating personnel in the HIGH BA, TOP x A X
implementation of the restoration plan.
Each Transmission include simulated
Such training shall Operator and
Balancing Authority shall verify the
EOP-005-1 R7. HIGH BA, TOP x A X
restoration procedure by actual testing
or by simulation.
Each Transmission Operator shall verify
that the number, size, availability, and
EOP-005-1 R8. location of system blackstart generating HIGH TOP x A
units are sufficient to meet Regional
The Transmission Operator shall plan
Reliability Organization restoration
document the Cranking Paths, including
EOP-005-1 R9. initial switching requirements, between MEDIUM TOP x A X
each blackstart generating unit and the
unit(s) to be started and shall provide
The Transmission Operator shall
demonstrate, through simulation or
EOP-005-1 R10. testing, that the blackstart generating MEDIUM TOP x A X
units in its restoration plan can perform
their intended functions as required in
The Transmission Operator shall
EOP-005-1 R10.1. perform this simulation or testing at MEDIUM TOP x A X
least once every five years.
Following a disturbance in which one or
more areas of the Bulk Electric System
EOP-005-1 R11. become isolated or blacked out, the HIGH BA, TOP x
affected Transmission Operators and
Balancing Authorities shall begin
The affected Transmission Operators
and Balancing Authorities shall work in
EOP-005-1 R11.1. conjunction with their Reliability MEDIUM BA, TOP x
Coordinator(s) to determine the extent
and condition of the isolated area(s).
The affected Transmission Operators
and Balancing Authorities shall take the
EOP-005-1 R11.2. necessary actions to restore Bulk HIGH BA, TOP x
Electric System frequency to normal,
including adjusting generation, placing
The affected Balancing Authorities,
working with their Reliability
EOP-005-1 R11.3. Coordinator(s), shall immediately HIGH BA x
review the Interchange Schedules
between those Balancing Authority
The affected Transmission Operators
EOP-005-1 R11.4. shall give high priority to restoration of HIGH TOP x
off-site power to nuclear stations.
The affected Transmission Operators
may resynchronize the isolated area(s)
EOP-005-1 R11.5. MEDIUM TOP x
with the surrounding area(s) when the
following conditions are met:
Voltage, frequency, and phase angle
EOP-005-1 R11.5.1. HIGH TOP x
permit.
The size of the area being reconnected
and the capacity of the transmission
EOP-005-1 R11.5.2. lines effecting the reconnection and the HIGH TOP x
number of synchronizing points across
the system are considered.
Reliability Coordinator(s) and adjacent
EOP-005-1 R11.5.3. areas are notified and Reliability MEDIUM TOP x
Coordinator approval is given.
Load is shed in neighboring areas, if
EOP-005-1 R11.5.4. required, to permit successful HIGH TOP x
interconnected system restoration.
Each Reliability Coordinator shall be
aware of the restoration plan of each
EOP-006-1 R1. Transmission Operator in its Reliability MEDIUM RC x
Coordinator Area in accordance with
NERC and regional requirements.
The Reliability Coordinator shall
EOP-006-1 R2. monitor restoration progress and HIGH RC x
coordinate any needed assistance.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 28 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Reliability Coordinator shall have a
Reliability Coordinator Area restoration
EOP-006-1 R3. plan that provides coordination between MEDIUM RC x
individual Transmission Operator
restoration plans and that ensures
The Reliability Coordinator shall serve
as the primary contact for
EOP-006-1 R4. disseminating information regarding MEDIUM RC x
restoration to neighboring Reliability
Coordinators and Transmission
Reliability Coordinators shall approve,
communicate, and coordinate the re-
EOP-006-1 R5. synchronizing of major system islands HIGH RC x
or synchronizing points so as not to
cause a Burden on adjacentshall take
The Reliability Coordinator
actions to restore normal operations
EOP-006-1 R6. once an operating emergency has been MEDIUM RC x
mitigated in accordance with its
restoration plan.Coordinator,
Each Reliability
Transmission Operator and Balancing
EOP-008-0 R1. Authority shall have a plan to continue HIGH BA, RC, TOP x A X
reliability operations in the event its
control center becomes inoperable. The
The contingency plan shall not rely on
EOP-008-0 R1.1. data or voice communication from the MEDIUM BA, RC, TOP x X
primary control facility to be viable.
The plan shall include procedures and
responsibilities for providing basic tie
EOP-008-0 R1.2. line control and procedures and for MEDIUM BA, RC, TOP x X
maintaining the status of all inter-area
schedules, such that there is an hourly
accounting of all schedules.
The contingency plan must address
monitoring and control of critical
EOP-008-0 R1.3. transmission facilities, generation MEDIUM BA, RC, TOP x A X
control, voltage control, time and
frequency control, control of critical
The plan shall include procedures and
responsibilities for maintaining basic
EOP-008-0 R1.4. HIGH BA, RC, TOP x X
voice communication capabilities with
other areas.
The plan shall include procedures and
responsibilities for conducting periodic
EOP-008-0 R1.5. MEDIUM BA, RC, TOP x A X
tests, at least annually, to ensure
viability of the plan.
The plan shall include procedures and
responsibilities for providing annual
EOP-008-0 R1.6. training to ensure that operating MEDIUM BA, RC, TOP x A X
personnel are able to implement the
contingency plans.
The plan shall be reviewed and updated
EOP-008-0 R1.7. MEDIUM BA, RC, TOP x X
annually.
Interim provisions must be included if it
is expected to take more than one hour
EOP-008-0 R1.8. MEDIUM BA, RC, TOP x X
to implement the contingency plan for
loss of primary control facility.
The Generator Operator of each
blackstart generating unit shall test the
EOP-009-0 R1. startup and operation of each system MEDIUM GOP
blackstart generating unit identified in
the BCP as required in the Regional BCP
The Generator Owner or Generator
Operator shall provide documentation
EOP-009-0 R2. of the test results of the startup and LOWER GO, GOP A A
operation of each blackstart generating
unit to the Regional Reliability
FACILITIES DESIGN, CONNECTIONS
AND MAINTENANCE
The Transmission Owner shall
document, maintain, and publish facility
FAC-001-0 R1. connection requirements to ensure MEDIUM TO x
compliance with NERC Reliability
Standards and applicable Regional
FAC-001-0 R1.1. Generation facilities, MEDIUM TO x
FAC-001-0 R1.2. Transmission facilities, and MEDIUM TO x
FAC-001-0 R1.3. End-user facilities MEDIUM TO x
The Transmission Owner’s facility
connection requirements shall address,
FAC-001-0 R2. MEDIUM TO x
but are not limited to, the following
items:
Provide a written summary of its plans
to achieve the required system
FAC-001-0 R2.1. MEDIUM TO x
performance as described above
throughout the planning horizon:
Procedures for coordinated joint
studies of new facilities and their
FAC-001-0 R2.1.1. MEDIUM TO x
impacts on the interconnected
transmission systems.
Procedures for notification of new or
modified facilities to others (those
FAC-001-0 R2.1.2. responsible for the reliability of the MEDIUM TO x
interconnected transmission systems)
as soon as feasible.
Voltage level and MW and MVAR
FAC-001-0 R2.1.3. capacity or demand at point of MEDIUM TO x
connection.
FAC-001-0 R2.1.4. Breaker duty and surge protection. MEDIUM TO x
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 29 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
FAC-001-0 R2.1.5. System protection and coordination. MEDIUM TO x
FAC-001-0 R2.1.6. Metering and telecommunications. MEDIUM TO x
FAC-001-0 R2.1.7. Grounding and safety issues. MEDIUM TO x
FAC-001-0 R2.1.8. Insulation and insulation coordination. MEDIUM TO x
Voltage, Reactive Power, and power
FAC-001-0 R2.1.9. MEDIUM TO x
factor control.
FAC-001-0 R2.1.10. Power quality impacts. MEDIUM TO x
FAC-001-0 R2.1.11. Equipment Ratings. MEDIUM TO x
FAC-001-0 R2.1.12. Synchronizing of facilities. MEDIUM TO x
FAC-001-0 R2.1.13. Maintenance coordination. MEDIUM TO x
Operational issues (abnormal frequency
FAC-001-0 R2.1.14. MEDIUM TO x
and voltages).
Inspection requirements for existing or
FAC-001-0 R2.1.15. MEDIUM TO x
new facilities.
Communications and procedures during
FAC-001-0 R2.1.16. normal and emergency operating MEDIUM TO x
conditions.
The Transmission Owner shall maintain
and update its facility connection
FAC-001-0 R3. requirements as required. The MEDIUM TO x
Transmission Owner shall make
documentation of these requirements
The Generator Owner, Transmission
Owner, Distribution Provider, and Load-
FAC-002-1 R1. Serving Entity seeking to integrate MEDIUM DP, GO, LSE, TO x
generation facilities, transmission
facilities, and electricity end-user
Evaluation of the reliability impact of
the new facilities and their connections
FAC-002-1 R1.1. MEDIUM DP, GO, LSE, TO x
on the interconnected transmission
systems.
Ensurance of compliance with NERC
Reliability Standards and applicable
FAC-002-1 R1.2. Regional, subregional, Power Pool, and MEDIUM DP, GO, LSE, TO x
individual system planning criteria and
facility connection requirements. in the
Evidence that the parties involved
assessment have coordinated and
FAC-002-1 R1.3. cooperated on the assessment of the MEDIUM DP, GO, LSE, TO x
reliability impacts of new facilities on
the interconnected transmission
Evidence that the assessment included
steady-state, short-circuit, and
FAC-002-1 R1.4. dynamics studies as necessary to MEDIUM DP, GO, LSE, TO x
evaluate system performance under
both normal and contingency conditions
Documentation that the assessment
included study assumptions, system
FAC-002-1 R1.5. performance, alternatives considered, MEDIUM DP, GO, LSE, TO x
and jointly coordinated
recommendations.
The Planning Authority, Transmission
Planner, Generator Owner, DP, GO, LSE, PA,
FAC-002-1 R2. Transmission Owner, Load-Serving LOWER x
PC, TO, TP
Entity, and Distribution Provider shall
each retain its documentation (of its
The Transmission owner shall prepare,
and keep current, a formal transmission
FAC-003-1 R1. vegetation management (TVM). The HIGH TO x A X
TVMP shall include the Transmission
Owner's objectives, practices, approved
The TVMP shall define a schedule for
and the type (aerial, ground) of ROW
FAC-003-1 R1.1. vegetation inspections. This schedule HIGH TO x A X
should be flexible enough to adjust for
The Transmission Owner, inspection
changing conditions. The in the TVMP,
shall identify and document clearances
FAC-003-1 R1.2. between vegetation and any overhead, HIGH TO x A X
ungrounded supply conductors, taking
into consideration transmission line
Clearance 1 — The Transmission Owner
shall determine and document
FAC-003-1 R1.2.1. appropriate clearance distances to be HIGH TO x A X
achieved at the time of transmission
vegetation 2 — The Transmission Owner
Clearance management work based
shall determine and document specific
FAC-003-1 R1.2.2. radial clearances to be maintained HIGH TO x A X
between vegetation and conductors
under all rated electrical operating
Where transmission system transient
overvoltage factors are not known,
FAC-003-1 R1.2.2.1. clearances shall be derived from Table HIGH TO x A X
5, IEEE 516-2003, phase-to-ground
distances, with appropriate altitude
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 30 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Where transmission system transient
overvoltage factors are known,
FAC-003-1 R1.2.2.2. clearances shall be derived from Table HIGH TO x A X
7, IEEE 516-2003, phase-to-phase
voltages, withdirectly involved in the
All personnel appropriate altitude
design and implementation of the TVMP
FAC-003-1 R1.3. shall hold appropriate qualifications HIGH TO x A X
and training, as defined by the
Transmission Owner, to perform their
Each Transmission Owner shall develop
mitigation measures to achieve
FAC-003-1 R1.4. sufficient clearances for the protection HIGH TO x A X
of the transmission facilities when it
identifies locations on the ROW where
Each Transmission Owner shall
establish and document a process for
FAC-003-1 R1.5. the immediate communication of HIGH TO x A X
vegetation conditions that present an
imminent threat of Owner shall create
The Transmission a transmission line
and implement an annual plan for
FAC-003-1 R2. vegetation management work to ensure HIGH TO x A X
the reliability of the system. The plan
shall describe the methods used, such
The Transmission Owner shall report
quarterly to its RRO, or the RRO’s
FAC-003-1 R3. designee, sustained transmission line LOWER TO x Q Q
outages determined by the
Transmission Owner to have been
Multiple sustained outages on an
individual line, if caused by the same
FAC-003-1 R3.1. vegetation, shall be reported as one LOWER TO x Q Q
outage regardless of the actual number
of outages within 24-hour not required
The TransmissionaOwner is period.
to report to the RRO, or the RRO’s
FAC-003-1 R3.2. designee, certain sustained LOWER TO x Q Q
transmission line outages caused by
vegetation: (1) Vegetation-related
The outage information provided by the
Transmission Owner to the RRO, or the
FAC-003-1 R3.3. RRO’s designee, shall include at a LOWER TO x Q Q
minimum: the name of the circuit(s)
outaged, the date, time and duration of
An outage shall be categorized as one
FAC-003-1 R3.4. LOWER TO x Q Q
of the following:
Category 1 — Grow-ins: Outages
caused by vegetation growing into lines
FAC-003-1 R3.4.1. LOWER TO x Q Q
from vegetation inside and/or outside of
the ROW.
Category 2 — Fall-ins: Outages caused
FAC-003-1 R3.4.2. by vegetation falling into lines from LOWER TO x Q Q
inside the ROW.
Category 3 — Fall-ins: Outages caused
FAC-003-1 R3.4.3. by vegetation falling into lines from LOWER TO x Q Q
outside the ROW.
The RRO shall report the outage
information provided to it by
FAC-003-1 R4. Transmission Owner’s, as required by LOWER RRO x Q Q
Requirement 3, quarterly to NERC, as
The as any actions taken by the RRO as
well Transmission Owner and Generator
Owner shall each document its current
FAC-008-1 R1. methodology used for developing LOWER GO, TO x A X
Facility Ratings (Facility Ratings
Methodology) of its solely and jointly
A statement that a Facility Rating shall
equal the most limiting applicable
FAC-008-1 R1.1. MEDIUM GO, TO x A X
Equipment Rating of the individual
equipment that comprises that Facility.
The method by which the Rating (of
FAC-008-1 R1.2. major BES equipment that comprises a MEDIUM GO, TO x A X
Facility) is determined.
The scope of equipment addressed
shall include, but not be limited to,
FAC-008-1 R1.2.1. generators, transmission conductors, MEDIUM GO, TO x A X
transformers, relay protective devices,
terminal equipment, and series and
The scope of Ratings addressed shall
FAC-008-1 R1.2.2. include, as a minimum, both Normal and MEDIUM GO, TO x A X
Emergency Ratings.
FAC-008-1 R1.3. Consideration of the following: LOWER GO, TO x A X
Ratings provided by equipment
FAC-008-1 R1.3.1. MEDIUM GO, TO x A X
manufacturers.
Design criteria (e.g., including
applicable references to industry Rating
FAC-008-1 R1.3.2. MEDIUM GO, TO x A X
practices such as manufacturer’s
warranty, IEEE, ANSI or other standards).
FAC-008-1 R1.3.3. Ambient conditions. MEDIUM GO, TO x A X
FAC-008-1 R1.3.4. Operating limitations. MEDIUM GO, TO x A X
FAC-008-1 R1.3.5. Other assumptions. LOWER GO, TO x A X
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 31 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Transmission Owner and Generator
Owner shall each make its Facility
Ratings Methodology available for
inspection and technical review by
those Reliability Coordinators,
FAC-008-1 R2. Transmission Operators, Transmission LOWER GO, TO x X
Planners, and Planning Authorities that
have responsibility for the area in which
the associated Facilities are located,
within 15 business days of receipt of a
request.
If a Reliability Coordinator,
Transmission Operator, Transmission
FAC-008-1 R3. Planner, or Planning Authority provides LOWER GO, TO x
written comments on its technical
The Transmission Owner Owner’s or
review of a Transmission and Generator
Owner shall each establish Facility
FAC-009-1 R1. Ratings for its solely and jointly owned MEDIUM GO, TO x A X
Facilities that are consistent with the
associated Facility Ratings
The Transmission Owner and Generator
Owner shall each provide Facility
Ratings for its solely and jointly owned
Facilities that are existing Facilities,
new Facilities, modifications to existing
FAC-009-1 R2. Facilities and re-ratings of existing MEDIUM GO, TO x X
Facilities to its associated Reliability
Coordinator(s), Planning Authority(ies),
Transmission Planner(s), and
Transmission Operator(s) as scheduled
by such requesting entities.
The Planning Authority shall have a
documented SOL Methodology for use
FAC-010-2.1 R1. in developing SOLs within its Planning LOWER PA, PC
Authority Area. This SOL Methodology
shall:
Be applicable for developing SOLs used
FAC-010-2.1 R1.1. LOWER PA, PC
in the planning horizon.
State that SOLs shall not exceed
FAC-010-2.1 R1.2. LOWER PA, PC
associated Facility Ratings.
Include a description of how to identify
FAC-010-2.1 R1.3. the subset of SOLs that qualify as LOWER PA, PC
IROLs.
The Planning Authority’s SOL
Methodology shall include a No VRF
FAC-010-2.1 R2. requirement that SOLs provide BES PA, PC
Assigned
performance consistent with the
following:
In the pre-contingency state, the BES
shall demonstrate transient, dynamic
FAC-010-2.1 R2.1. and voltage stability; all Facilities shall HIGH PA, PC
be within their Facility Ratings and
within their thermal, voltage and
Following the single Contingencies1
identified in Requirement 2.2.1 through
FAC-010-2.1 R2.2. Requirement 2.2.3, the system shall HIGH PA, PC
demonstrate transient, dynamic and
voltageline to ground or three-phasebe
Single stability; all Facilities shall
Fault (whichever is more severe), with
FAC-010-2.1 R2.2.1. Normal Clearing, on any Faulted MEDIUM PA, PC
generator, line, transformer, or shunt
device.
Loss of any generator, line, transformer,
FAC-010-2.1 R2.2.2. MEDIUM PA, PC
or shunt device without a Fault.
Single pole block, with Normal Clearing,
FAC-010-2.1 R2.2.3. in a monopolar or bipolar high voltage MEDIUM PA, PC
direct current system.
Starting with all Facilities in service,
the system’s response to a single
FAC-010-2.1 R2.3. MEDIUM PA, PC
Contingency, may include any of the
following:
Planned or controlled interruption of
electric supply to radial customers or
FAC-010-2.1 R2.3.1. some local network customers MEDIUM PA, PC
connected to or supplied by the Faulted
Facility or by the affected area.
System reconfiguration through manual
FAC-010-2.1 R2.3.2. or automatic control or protection MEDIUM PA, PC
actions.
To prepare for the next Contingency,
system adjustments may be made,
FAC-010-2.1 R2.4. including changes to generation, uses MEDIUM PA, PC
of the transmission system, and the
Starting with system topology.
transmission all facilities in service and
following any of the multiple
FAC-010-2.1 R2.5. Contingencies identified in Reliability MEDIUM PA, PC
Standard TPL-003 the system shall
demonstrate transient, dynamic and to
In determining the system’s response
any of the multiple Contingencies,
FAC-010-2.1 R2.6. identified in Reliability Standard TPL- MEDIUM PA, PC
003, in addition to the actions identified
Planned or controlled interruption shall
in R2.3.1 and R2.3.2, the following of
electric supply to customers (load
FAC-010-2.1 R2.6.1. shedding), the planned removal from MEDIUM PA, PC
service of certain generators, and/or the
curtailment ofAuthority’s methodology
The Planning contracted Firm (non-
for determining SOLs, shall include, as
FAC-010-2.1 R3. a minimum, a description of the LOWER PA, PC
following, along with any reliability
margins applied for each:
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 32 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Study model (must include at least the
entire Planning Authority Area as well
FAC-010-2.1 R3.1. as the critical modeling details from LOWER PA, PC
other Planning Authority Areas that
would impact the Facility or Facilities
FAC-010-2.1 R3.2. Selection of applicable Contingencies. LOWER PA, PC
Level of detail of system models used to
FAC-010-2.1 R3.3. LOWER PA, PC
determine SOLs.
Allowed uses of Special Protection
FAC-010-2.1 R3.4. MEDIUM PA, PC
Systems or Remedial Action Plans.
Anticipated transmission system
FAC-010-2.1 R3.5. configuration, generation dispatch and LOWER PA, PC
Load level.
Criteria for determining when violating
a SOL qualifies as an Interconnection
FAC-010-2.1 R3.6. Reliability Operating Limit (IROL) and MEDIUM PA, PC
criteria for developing any associated
IROL Tv.
The Planning Authority shall issue its
SOL Methodology, and any change to
FAC-010-2.1 R4. LOWER PA, PC
that methodology, to all of the following
prior to the effectiveness of the change:
Each adjacent Planning Authority and
each Planning Authority that indicated it
FAC-010-2.1 R4.1. LOWER PA, PC
has a reliability-related need for the
methodology.
Each Reliability Coordinator and
Transmission Operator that operates
FAC-010-2.1 R4.2. LOWER PA, PC
any portion of the Planning Authority’s
Planning Authority Area.
Each Transmission Planner that works
FAC-010-2.1 R4.3. in the Planning Authority’s Planning LOWER PA, PC
Authority Area.
If a recipient of the SOL Methodology
provides documented technical
FAC-010-2.1 R5. comments on the methodology, the LOWER PA, PC
Reliability Coordinator shall provide a
documented response to that recipienta
The Reliability Coordinator shall have
documented methodology for use in
FAC-011-2 R1. developing SOLs (SOL Methodology) LOWER RC
within its Reliability Coordinator Area.
This SOL Methodology shall:
Be applicable for developing SOLs used
in the operations horizon.
FAC-011-2 R1.1. LOWER RC
State that SOLs shall not exceed
associated Facility Ratings.
FAC-011-2 R1.2. LOWER RC
Include a description of how to identify
the subset of SOLs that qualify as IROLs.
FAC-011-2 R1.3. LOWER RC
The Reliability Coordinator’s SOL
Methodology shall include a No VRF
FAC-011-2 R2. requirement that SOLs provide BES RC
Assigned
performance consistent with the
following:
In the pre-contingency state, the BES
shall demonstrate transient, dynamic
FAC-011-2 R2.1. and voltage stability; all Facilities shall HIGH RC
be within their Facility Ratings and
within their thermal, voltage and
Following the single Contingencies
identified in Requirement 2.2.1 through
FAC-011-2 R2.2. Requirement 2.2.3, the system shall HIGH RC
demonstrate transient, dynamic and
voltageline to ground or 3-phase Fault
Single stability; all Facilities shall be
(whichever is more severe), with Normal
FAC-011-2 R2.2.1. Clearing, on any Faulted generator, line, MEDIUM RC
transformer, or shunt device.
Loss of any generator, line, transformer,
or shunt device without a Fault.
FAC-011-2 R2.2.2. MEDIUM RC
Single pole block, with Normal Clearing,
in a monopolar or bipolar high voltage
FAC-011-2 R2.2.3. direct current system. MEDIUM RC
In determining the system’s response to
a single Contingency, the following
FAC-011-2 R2.3. shall be acceptable: MEDIUM RC
Planned or controlled interruption of
electric supply to radial customers or
FAC-011-2 R2.3.1. some local network customers MEDIUM RC
connected to or supplied by the Faulted
Facility or by the affected area.
Interruption of other network
customers, (a) only if the system has
FAC-011-2 R2.3.2. already been adjusted, or is being MEDIUM RC
adjusted, following at least one prior
outage, or (b) if the real-time operating
System reconfiguration through manual
or automatic control or protection
FAC-011-2 R2.3.3. actions. MEDIUM RC
To prepare for the next Contingency,
system adjustments may be made,
FAC-011-2 R2.4. including changes to generation, uses MEDIUM RC
of the transmission system, and the
transmission system topology.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 33 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Reliability Coordinator’s
methodology for determining SOLs,
FAC-011-2 R3. shall include, as a minimum, a MEDIUM RC
description of the following, along with
any reliability margins applied for each:
Study model (must include at least the
entire Reliability Coordinator Area as
FAC-011-2 R3.1. well as the critical modeling details MEDIUM RC
from other Reliability Coordinator Areas
that would impact the Facility or
Selection of applicable Contingencies
FAC-011-2 R3.2. MEDIUM RC
A process for determining which of the
stability limits associated with the list
FAC-011-2 R3.3. of multiple contingencies (provided by MEDIUM RC
the Planning Authority in accordance
with FAC-014 shall address 6) are
This process Requirement the need to
modify these limits, to modify the list of No VRF
FAC-011-2 R3.3.1. limits, and to modify the list of RC
Assigned
associated multiple contingencies
Level of detail of system models used to
determine SOLs.
FAC-011-2 R3.4. LOWER RC
Allowed uses of Special Protection
Systems or Remedial Action Plans.
FAC-011-2 R3.5. MEDIUM RC
Anticipated transmission system
configuration, generation dispatch and
FAC-011-2 R3.6. Load level MEDIUM RC
Criteria for determining when violating
a SOL qualifies as an Interconnection
FAC-011-2 R3.7. Reliability Operating Limit (IROL) and MEDIUM RC
criteria for developing any associated
IROL Tv.
The Reliability Coordinator shall issue
its SOL Methodology and any changes
FAC-011-2 R4. to that methodology, prior to the LOWER RC
effectiveness of the Methodology or of a
change to the Reliability Coordinator
Each adjacentMethodology, to all of the
and each Reliability Coordinator that
FAC-011-2 R4.1. indicated it has a reliability-related LOWER RC
need for the methodology.
Each Planning Authority and
Transmission Planner that models any
FAC-011-2 R4.2. portion of the Reliability Coordinator’s LOWER RC
Reliability Coordinator Area.
Each Transmission Operator that
operates in the Reliability Coordinator
FAC-011-2 R4.3. Area. LOWER RC
If a recipient of the SOL Methodology
provides documented technical
FAC-011-2 R5. comments on the methodology, the LOWER RC
Reliability Coordinator shall provide a
documented response to that recipient
The Reliability Coordinator and
Planning Authority shall each establish
FAC-013-1 R1. a set of inter-regional and intra-regional MEDIUM PA, PC, RC
Transfer Capabilities that is consistent
withReliability Coordinator and
The its current Transfer Capability
Planning Authority shall each provide
FAC-013-1 R2. its inter-regional and intra-regional MEDIUM PA, PC, RC
Transfer Capabilities to those entities
The have a reliability-related need
that Reliability Coordinator shall for
provide its Transfer Capabilities to its
FAC-013-1 R2.1. associated Regional Reliability MEDIUM RC
Organization(s), to its adjacent
The Planning Authority shall to the
Reliability Coordinators, and provide its
Transfer Capabilities to its associated
FAC-013-1 R2.2. Reliability Coordinator(s) and Regional MEDIUM PA, PC
Reliability Organization(s), and to the
Transmission Planners and shall ensure
The Reliability Coordinator
that SOLs, including Interconnection
FAC-014-2 R1. Reliability Operating Limits (IROLs), for MEDIUM RC
its Reliability Coordinator Area are
established and that the SOLs
The Transmission Operator shall
establish SOLs (as directed by its
FAC-014-2 R2. Reliability Coordinator) for its portion of MEDIUM RC, TOP
the Reliability Coordinator Area that are
consistent with its Reliabilityestablish
The Planning Authority shall
SOLs, including IROLs, for its Planning
FAC-014-2 R3. MEDIUM PA, PC
Authority Area that are consistent with
its SOL Methodology.
The Transmission Planner shall
establish SOLs, including IROLs, for its
FAC-014-2 R4. Transmission Planning Area that are MEDIUM PA, PC, TP
consistent with its Planning Authority’s
The Methodology.
SOL Reliability Coordinator, Planning
Authority and Transmission Planner
FAC-014-2 R5. shall each provide its SOLs and IROLs HIGH PA, PC, RC, TP
to those entities that have a reliability-
related need for those limits and
The Reliability Coordinator shall
provide its SOLs (including the subset
FAC-014-2 R5.1. of SOLs that are IROLs) to adjacent HIGH RC
Reliability Coordinators and Reliability
Coordinators who indicate the
Identification and status of a reliability-
associated Facility (or group of
FAC-014-2 R5.1.1. MEDIUM RC
Facilities) that is (are) critical to the
derivation of the IROL.
The value of the IROL and its associated
FAC-014-2 R5.1.2. MEDIUM RC
Tv.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 34 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
FAC-014-2 R5.1.3. The associated Contingency(ies). MEDIUM RC
The type of limitation represented by
FAC-014-2 R5.1.4. the IROL (e.g., voltage collapse, angular MEDIUM RC
stability).
The Transmission Operator shall
provide any SOLs it developed to its
FAC-014-2 R5.2. Reliability Coordinator and to the MEDIUM TOP
Transmission Service Providers that
share its portion of the Reliability
The Planning Authority shall provide its
SOLs (including the subset of SOLs that
FAC-014-2 R5.3. are IROLs) to adjacent Planning MEDIUM PA, PC
Authorities, and to Transmission
Planners, Transmission Service provide
The Transmission Planner shall
its SOLs (including the subset of SOLs
FAC-014-2 R5.4. that are IROLs) to its Planning MEDIUM TP
Authority, Reliability Coordinators,
Transmission Operators, and
The Planning Authority shall identify the
subset of multiple contingencies (if
FAC-014-2 R6. MEDIUM PA, PC
any), from Reliability Standard TPL-003
which result in stability limits.
The Planning Authority shall provide
this list of multiple contingencies and
FAC-014-2 R6.1. the associated stability limits to the MEDIUM PA, PC
Reliability Coordinators that monitor the
facilities associated with these
If the Planning Authority does not
identify any stability-related multiple
FAC-014-2 R6.2. contingencies, the Planning Authority MEDIUM PA, PC
shall so notify the Reliability
Coordinator.
INTERCHANGE SCHEDULING AND
COORDINATION
The Load-Serving, Purchasing-Selling
INT-001-3 Entity shall ensure that Arranged
R1. LOWER PSE ER
Interchange is submitted to the
Interchange Authority for:
INT-001-3 All Dynamic Schedules at the expected
R1.1. LOWER PSE ER
average MW profile for each hour.
The Sink Balancing Authority shall
INT-001-3
R2. ensure that Arranged Interchange is LOWER BA ER
submitted to the Interchange Authority:
If a Purchasing-Selling Entity is not
INT-001-3
R2.1. involved in the Interchange, such as LOWER BA ER
delivery from a jointly owned generator.
INT-001-3 For each bilateral Inadvertent
R2.2. LOWER BA ER
Interchange payback.
Each Receiving Balancing Authority
shall confirm Interchange Schedules
INT-003-3 R1. with the Sending Balancing Authority MEDIUM BA ER
prior to implementation in the Balancing
Authority’s ACE equation.
The Sending Balancing Authority and
Receiving Balancing Authority shall
INT-003-3 R1.1. LOWER BA ER
agree on Interchange as received from
the Interchange Authority, including:
INT-003-3 R1.1.1. Interchange Schedule start and end time. LOWER BA ER
INT-003-3 R1.1.2. Energy profile. LOWER BA ER
If a high voltage direct current (HVDC)
tie is on the Scheduling Path, then the
INT-003-3 R1.2. Sending Balancing Authorities and MEDIUM BA ER
Receiving Balancing Authorities shall
coordinate the Interchange Schedule
At such time as the reliability event
INT-004-2 allows for the reloading of the
R1. transaction, the entity that initiated the LOWER BA, PSE, RC, TOP
curtailment shall release the limit on
the Interchange Transaction tag to allow
The Purchasing-Selling Entity
INT-004-2 responsible for tagging a Dynamic
R2. Interchange Schedule shall ensure the LOWER PSE
tag is updated for the next available
scheduling hour andprofile in an hour is
The average energy future hours when
INT-004-2 greater than 250 MW and in that hour
R2.1. the actual hourly integrated energy LOWER PSE
deviates from the hourly average energy
profile indicated on the tag in an hour is
The average energy profile by more
INT-004-2 less than or equal to 250 MW and in that
R2.2. hour the actual hourly integrated energy LOWER PSE
deviates from the hourly average energy
profile indicated on the tag by more
A Reliability Coordinator or
INT-004-2 Transmission Operator determines the
R2.3. deviation, regardless of magnitude, to LOWER PSE
be a reliability concern and notifies the
Purchasing-Selling Entity of that period
Prior to the expiration of the time
INT-005-3 defined in the Timing Table, Column A,
R1. the Interchange Authority shall MEDIUM IA
distribute the Arranged Interchange
information for reliability assessment to
When a Balancing Authority or
INT-005-3 Reliability Coordinator initiates a
R1.1. Curtailment to Confirmed or MEDIUM IA
Implemented Interchange for reliability,
the Interchange Authority shall
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 35 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Prior to the expiration of the reliability
INT-005-3 assessment period defined in the
R1. Timing Table, Column B, the Balancing LOWER BA, TSP
Authority and Transmission Service
Provider shall respond to a request from
Each involved Balancing Authority shall
INT-005-3
R1.1. evaluate the Arranged Interchange with LOWER BA
respect to:
INT-005-3 Energy profile (ability to support the
R1.1.1. LOWER BA
magnitude of the Interchange).
INT-005-3 Ramp (ability of generation
R1.1.2. LOWER BA
maneuverability to accommodate).
INT-005-3 Scheduling path (proper connectivity of
R1.1.3. LOWER BA
Adjacent Balancing Authorities).
Each involved Transmission Service
INT-005-3 Provider shall confirm that the
R1.2. transmission service arrangements LOWER TSP
associated with the Arranged
Interchange haveAuthority shall verify
The Interchange adjacent
that Arranged Interchange is balanced
INT-007-1 R1. and valid prior to transitioning Arranged LOWER IA
Interchange to Confirmed Interchange
by verifying the following:
Source Balancing Authority megawatts
equal sink Balancing Authority
INT-007-1 R1.1. LOWER IA
megawatts (adjusted for losses, if
appropriate).
All reliability entities involved in the
INT-007-1 R1.2. Arranged Interchange are currently in LOWER IA
the NERC registry.
INT-007-1 R1.3. The following are defined: LOWER IA
INT-007-1 R1.3.1. Generation source and load sink. LOWER IA
INT-007-1 R1.3.2. Megawatt profile. LOWER IA
INT-007-1 R1.3.3. Ramp start and stop times. LOWER IA
INT-007-1 R1.3.4. Interchange duration. LOWER IA
Each Balancing Authority and
Transmission Service Provider that
INT-007-1 R1.4. received the Arranged Interchange LOWER IA
information from the Interchange
Authority for reliabilityof the time period
Prior to the expiration assessment has
INT-008-3 defined in the Timing Table, Column C,
R1. the Interchange Authority shall LOWER IA
distribute to all Balancing Authorities
(including Balancing Authorities on
For Confirmed Interchange, the
INT-008-3
R1.1. Interchange Authority shall also LOWER IA
communicate:
Start and stop times, ramps, and
INT-008-3
R1.1.1. megawatt profile to Balancing LOWER IA
Authorities.
Necessary Interchange information to
INT-008-3
R1.1.2. NERC-identified reliability analysis LOWER IA
services.
The Balancing Authority shall
INT-009-1 R1. implement Confirmed Interchange as MEDIUM BA
received from the Interchange Authority.
The Balancing Authority that
experiences a loss of resources
INT-010-1 R1. covered by an energy sharing LOWER BA
agreement shall ensure that a request
for anmodification to an existing
For a Arranged Interchange is
Interchange schedule that is directed by
INT-010-1 R2. a Reliability Coordinator for current or LOWER RC
imminent reliability-related reasons, the
For a new Coordinator shall direct a
Reliability Interchange schedule that is
directed by a Reliability Coordinator for
INT-010-1 R3. current or imminent reliability-related LOWER RC
reasons, the Reliability Coordinator
shall direct a Balancing Authority to
INTERCONNECTION RELIABILITY
OPERATIONS AND COORDINATION
Each Regional Reliability Organization,
subregion, or interregional coordinating
IRO-001-1.1 R1. group shall establish one or more HIGH RRO
Reliability Coordinators to continuously
assess transmission reliability and
The Reliability Coordinator shall comply
IRO-001-1.1 R2. with a regional reliability plan approved HIGH RC
by the NERC Operating Committee.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 36 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Reliability Coordinator shall have
clear decision-making authority to act
IRO-001-1.1 R3. and to direct actions to be taken by HIGH RC
Transmission Operators, Balancing
Authorities, Generator Operators,
Reliability Coordinators that delegate
tasks to other entities shall have formal
IRO-001-1.1 R4. operating agreements with each entity MEDIUM RC
to which tasks are delegated. The
Reliability Coordinator shall verify that
The Reliability Coordinator shall list
within its reliability plan all entities to
IRO-001-1.1 R5. LOWER RC
which the Reliability Coordinator has
delegated required tasks.
The Reliability Coordinator shall verify
that all delegated tasks are carried out
IRO-001-1.1 R6. MEDIUM RC
by NERC-certified Reliability
Coordinator operating personnel.
The Reliability Coordinator shall have
clear, comprehensive coordination
IRO-001-1.1 R7. agreements with adjacent Reliability HIGH RC
Coordinators to ensure that System
Operating Limit or Interconnection
Transmission Operators, Balancing
Authorities, Generator Operators, BA, GOP, LSE,
IRO-001-1.1 R8. Transmission Service Providers, Load- HIGH
PSE, TOP, TSP
Serving Entities, and Purchasing-Selling
Entities shall comply with Reliability in
The Reliability Coordinator shall act
the interests of reliability for the overall
IRO-001-1.1 R9. Reliability Coordinator Area and the HIGH RC
Interconnection before the interests of
any other entity.
Each Reliability Coordinator shall have
adequate communications facilities
IRO-002-2 R1. (voice and data links) to appropriate HIGH RC x
entities within its Reliability
Coordinator Area. These
Each Reliability Coordinator — or its
Transmission Operators and Balancing
IRO-002-2 R2. Authorities — shall provide, or arrange MEDIUM RC x
provisions for, data exchange to other
Reliability Coordinators or
Each Reliability Coordinator shall have
multi-directional communications
IRO-002-2 R3. capabilities with its Transmission MEDIUM BA, RC, TOP x
Operators and Balancing Authorities,
and with neighboring Reliability
Each Reliability Coordinator shall have
detailed real-time monitoring capability
IRO-002-2 R4. of its Reliability Coordinator Area and HIGH RC x
sufficient monitoring capability of its
surrounding Reliability Coordinator
Each Reliability Coordinator shall
monitor Bulk Electric System elements
IRO-002-2 R5. (generators, transmission lines, buses, HIGH RC x
transformers, breakers, etc.) that could
result in SOL or IROL violations within
Each Reliability Coordinator shall have
adequate analysis tools such as state
IRO-002-2 R6. estimation, pre- and post-contingency HIGH RC x
analysis capabilities (thermal, stability,
Each Reliability Coordinatoroverview
and voltage), and wide-area shall
continuously monitor its Reliability
IRO-002-2 R7. Coordinator Area. Each Reliability HIGH RC x
Coordinator shall have provisions for
Each Reliability that shall be exercised
backup facilitiesCoordinator shall
control its Reliability Coordinator
IRO-002-2 R8. analysis tools, including approvals for HIGH RC x
planned maintenance. Each Reliability
Coordinator shall have procedures in
Each Reliability Coordinator shall
monitor all Bulk Electric System
IRO-003-2 R1. facilities, which may include sub- HIGH RC
transmission information, within its
Reliability Coordinator Area and know
Each Reliability Coordinator shall
the current status of all critical facilities
IRO-003-2 R2. whose failure, degradation or HIGH RC
disconnection could result in an SOL or
IROL violation. Reliability Coordinators
Each Transmission Operator, Balancing
Authority, and Transmission Service
IRO-004-2 R1. Provider shall comply with the HIGH BA, TOP, TSP x A ER X
directives of its Reliability Coordinator
based on the next day assessments in
Each Reliability Coordinator shall
monitor its Reliability Coordinator Area
IRO-005-3a R1. parameters, including but not limited to Pending RC x A X
the following:
Current status of Bulk Electric System
elements (transmission or generation
IRO-005-3a R1.1. including critical auxiliaries such as Pending RC x A X
Automatic Voltage Regulators and
Special Protection Systems) and system
Current pre-contingency element
conditions (voltage, thermal, or
IRO-005-3a R1.2. stability), including any applicable Pending RC x A X
mitigation plans to alleviate SOL or
Current post-contingency the plan’s
IROL violations, including element
conditions (voltage, thermal, or
IRO-005-3a R1.3. stability), including any applicable Pending RC x A X
mitigation plans to alleviate SOL or
IROL violations, including the plan’s
System real and reactive reserves
(actual versus required).
IRO-005-3a R1.4. Pending RC x A X
Capacity and energy adequacy
conditions.
IRO-005-3a R1.5. Pending RC x A X
Current ACE for all its Balancing
Authorities.
IRO-005-3a R1.6. Pending RC x A X
Current local or Transmission Loading
Relief procedures in effect.
IRO-005-3a R1.7. Pending RC x A X
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 37 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Planned generation dispatches.
IRO-005-3a R1.8. Pending RC x A X
Planned transmission or generation
outages.
IRO-005-3a R1.9. Pending RC x A X
Contingency events.
IRO-005-3a R1.10. Pending RC x A X
Each Reliability Coordinator shall
monitor its Balancing Authorities’
IRO-005-3a R2. parameters to ensure that the required Pending RC x A X
amount of operating reserves is
provided and available as required to
Each Reliability Coordinator shall
ensure its Transmission Operators and
IRO-005-3a R3. Balancing Authorities are aware of Geo- Pending RC x A X
Magnetic Disturbance (GMD) forecast
information and assist as needed in the
The Reliability Coordinator shall
disseminate information within its
IRO-005-3a R4. Reliability Coordinator Area, as Pending RC x A X
required.
Each Reliability Coordinator shall
monitor system frequency and its
IRO-005-3a R5. Balancing Authorities’ performance and Pending BA, RC, TOP x A X
direct any necessary rebalancing to
return to CPS and DCS compliance. The
The Reliability Coordinator shall
coordinate with Transmission
IRO-005-3a R6. Operators, Balancing Authorities, and Pending RC x A X
Generator Operators as needed to
develop and implement action
As necessary, the Reliability plans to
Coordinator shall assist the Balancing
IRO-005-3a R7. Authorities in its Reliability Coordinator Pending RC x A X
Area in arranging for assistance from
neighboring Reliability Coordinator
The Reliability Coordinator shall
identify sources of large Area Control
IRO-005-3a R8. Errors that may be contributing to Pending RC x A X
Frequency Error, Time Error, or
Inadvertent Special Protection System
Whenever aInterchange and shall
that may have an inter-Balancing
IRO-005-3a R9. Authority, or inter-Transmission Pending RC, TOP x A X
Operator impact (e.g., could potentially
In instances where flows resulting in a
affect transmissionthere is a difference
in derived limits, the Transmission BA, GOP, LSE,
IRO-005-3a R10. Operators, Balancing Authorities, Pending x A X
PSE, TOP, TSP
Generator Operators, Transmission
Service Providers, Load-Serving
The Transmission Service Provider
shall respect SOLs and IROLs in
IRO-005-3a R11. accordance with filed tariffs and Pending TSP x A X
regional Total Transfer Calculation and
Available Transfer Calculation
Each Reliability Coordinator who
foresees a transmission problem (such
IRO-005-3a R12. as an SOL or IROL violation, loss of Pending RC x A X
reactive reserves, etc.) within its
Reliability Coordinator Area shall issue
A Reliability Coordinator experiencing a
potential or actual SOL or IROL
IRO-006-5 R1. violation within its Reliability HIGH RC x
Coordinator Area shall, with its
authority andor instructing others to act
When acting at its discretion, select
to mitigate the magnitude and duration
IRO-006-EAST-1 R1. of the instance of exceeding an IROL HIGH RC x
within that IROL’s TV, each Reliability
Coordinator shall initiate, prior to or
To ensure operating entities are
provided with information needed to
IRO-006-EAST-1 R2. maintain an awareness of changes to MEDIUM RC x
the Transmission System, when
initiating the Eastern Interconnection
A list of congestion management
actions to be implemented, and
IRO-006-EAST-1 R2.1. MEDIUM RC x
One of the following TLR levels: TLR-1,
TLR-2, TLR-3A, TLR-3B, TLR-4, TLR-5A,
IRO-006-EAST-1 R2.2. TLR-5B, TLR-6, TLR-0 MEDIUM RC x
Upon the identification of the TLR level
and a list of congestion management
IRO-006-EAST-1 R3. actions to be implemented, the MEDIUM RC x
Reliability Coordinator initiating this
TLR procedure shall:
Notify all Reliability Coordinators in the
Eastern Interconnection of the identified
IRO-006-EAST-1 R3.1. TLR level MEDIUM RC x
Communicate the list of congestion
management actions to be implemented
IRO-006-EAST-1 R3.2. to 1.) all Reliability Coordinators in the MEDIUM RC x
Eastern Interconnection, and 2.) those
Reliability Coordinators in other
Request that the congestion
management actions identified in
IRO-006-EAST-1 R3.3. Requirement R2, Part 2.1 be MEDIUM RC x
implemented by:
1.) Each Reliability Coordinator
Each Reliability Coordinator that
receives a request as described in
IRO-006-EAST-1 R4. Requirement R3, Part 3.3. shall, within HIGH RC x
15 minutes of receiving the request,
implement the congestion management
Upon receiving a request of Step 4 or
greater (see Attachment 1-IRO-006-
IRO-006-WECC-1 R1. WECC-1) from the Transmission MEDIUM RC x
Operator of a Qualified Transfer Path,
the Reliability Coordinator shall approve
The Balancing Authorities shall
curtailment requests to the schedules
IRO-006-WECC-1 R2. as submitted, implement alternative MEDIUM BA x
actions, or a combination there of that
collectively meets the Relief
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 38 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Each Reliability Coordinator shall
perform an Operational Planning
IRO-008-1 R1. Analysis to assess whether the planned MEDIUM RC
operations for the next day within its
Wide Reliabilityexceed any of its
Each Area, will Coordinator shall
perform a Real-Time Assessment at
IRO-008-1 R2. least once every 30 minutes to HIGH RC
determine if its Wide Area is exceeding
any IROLs or is expected to exceed any
When a Reliability Coordinator
determines that the results of an
IRO-008-1 R3. Operational Planning Analysis or Real- MEDIUM RC
Time Assessment indicates the need for
specific operational actions to prevent
For each IROL (in its Reliability
Coordinator Area) that the Reliability
IRO-009-1 R1. Coordinator identifies one or more days MEDIUM RC
prior to the current day, the Reliability
Coordinator shall its Reliability
For each IROL (in have one or more
Coordinator Area) that the Reliability
IRO-009-1 R2. Coordinator identifies one or more days MEDIUM RC
prior to the current day, the Reliability
Coordinator shall have one or more
When an assessment of actual or
expected system conditions predicts
IRO-009-1 R3. that an IROL in its Reliability HIGH RC
Coordinator Area will be exceeded, the
Reliability Coordinator shall implement
When actual system conditions show
that there is an instance of exceeding
IRO-009-1 R4. an IROL in its Reliability Coordinator HIGH RC
Area, the Reliability Coordinator shall,
If unanimity cannot be reached on to act
without delay, act or direct others the
value for an IROL or its Tv, each
IRO-009-1 R5. Reliability Coordinator that monitors HIGH RC
that Facility (or group of Facilities)
shall, without Coordinator most
The Reliabilitydelay, use theshall have a
documented specification for data and
IRO-010-1a R1. information to build and maintain LOWER RC
models to support Real-time monitoring,
Operational Planning Analyses, and
List of required data and information
needed by the Reliability Coordinator to
IRO-010-1a R1.1. support Real-Time Monitoring, LOWER RC
Operational Planning Analyses, and
Real-Time Assessments.
IRO-010-1a R1.2. Mutually agreeable format. LOWER RC
Timeframe and periodicity for providing
data and information (based on its
IRO-010-1a R1.3. hardware and software requirements, LOWER RC
and the time needed to do its
Operational Planning Analyses).
Process for data provision when
IRO-010-1a R1.4. automated Real-Time system operating LOWER RC
data is unavailable.
The Reliability Coordinator shall
distribute its data specification to
IRO-010-1a R2. entities that have Facilities monitored LOWER RC
by the Reliability Coordinator and to
entities that provide Facility status to
Each Balancing Authority, Generator
Owner, Generator Operator, Interchange BA, GO, GOP, IA,
IRO-010-1a R3. Authority, Load-serving Entity, MEDIUM LSE, RC, TO, TOP
Reliability Coordinator, Transmission
Operator, and Transmission Owner
The Reliability Coordinator shall have
Operating Procedures, Processes, or
IRO-014-1 R1. Plans in place for activities that require MEDIUM RC x
notification, exchange of information or
coordination of actions with one or
These Operating Procedures,
IRO-014-1 R1.1. Processes, or Plans shall collectively LOWER RC x
address, as a minimum, the following:
Communications and notifications,
including the conditions under which
IRO-014-1 R1.1.1. one Reliability Coordinator notifies MEDIUM RC x
other Reliability Coordinators; the
process to follow in making those
IRO-014-1 R1.1.2. Energy and capacity shortages. MEDIUM RC x
Planned or unplanned outage
IRO-014-1 R1.1.3. MEDIUM RC x
information.
Voltage control, including the
IRO-014-1 R1.1.4. coordination of reactive resources for MEDIUM RC x
voltage control.
Coordination of information exchange
IRO-014-1 R1.1.5. LOWER RC x
to support reliability assessments.
Authority to act to prevent and mitigate
instances of causing Adverse Reliability
IRO-014-1 R1.1.6. LOWER RC x
Impacts to other Reliability Coordinator
Areas.
Each Reliability Coordinator’s
Operating Procedure, Process, or Plan
IRO-014-1 R2. that requires one or more other LOWER RC x
Reliability Coordinators to take action
(e.g., make notifications, exchange
Agreed to by all the Reliability
IRO-014-1 R2.1. Coordinators required to take the LOWER RC x
indicated action(s).
Distributed to all Reliability
IRO-014-1 R2.2. Coordinators that are required to take LOWER RC x
the indicated action(s).
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 39 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
A Reliability Coordinator’s Operating
Procedures, Processes, or Plans
IRO-014-1 R3. developed to support a Reliability MEDIUM RC x
Coordinator-to-Reliability Coordinator
Operating Procedure, Process, or Plan
A reference to the associated Reliability
IRO-014-1 R3.1. Coordinator-to-Reliability Coordinator MEDIUM RC x
Operating Procedure, Process, or Plan.
The agreed-upon actions from the
associated Reliability Coordinator-to-
IRO-014-1 R3.2. LOWER RC x
Reliability Coordinator Operating
Procedure, Process, or Plan.
Each of the Operating Procedures,
Processes, and Plans addressed in
IRO-014-1 R4. LOWER RC x
Reliability Standard IRO-014
Requirement 1 and Requirement 3 shall:
IRO-014-1 R4.1. Include version control number or date LOWER RC x
IRO-014-1 R4.2. Include a distribution list. LOWER RC x
Be reviewed, at least once every three
IRO-014-1 R4.3. LOWER RC x
years, and updated if needed.
The Reliability Coordinator shall follow
its Operating Procedures, Processes, or
IRO-015-1 R1. Plans for making notifications and MEDIUM RC
exchanging reliability-related
information with other Reliability
The Reliability Coordinator shall make
notifications to other Reliability
IRO-015-1 R1.1. Coordinators of conditions in its MEDIUM RC
Reliability Coordinator Area that may
impact other Reliability Coordinator
The Reliability Coordinator shall
participate in agreed upon conference
IRO-015-1 R2. LOWER RC
calls and other communication forums
with adjacent Reliability Coordinators.
The frequency of these conference calls
shall be agreed upon by all involved
IRO-015-1 R2.1. LOWER RC
Reliability Coordinators and shall be at
least weekly.
The Reliability Coordinator shall
provide reliability-related information
IRO-015-1 R3. MEDIUM RC
as requested by other Reliability
Coordinators.
The Reliability Coordinator that
identifies a potential, expected, or
IRO-016-1 R1. actual problem that requires the actions MEDIUM RC
of one or more other Reliability
Coordinators Reliability Coordinators
If the involvedshall contact the other
agree on the problem and the actions to
IRO-016-1 R1.1. take to prevent or mitigate the system MEDIUM RC
condition, each involved Reliability
Coordinator shall implement the agreed-
If the involved Reliability Coordinators
cannot agree on the problem(s) each
IRO-016-1 R1.2. Reliability Coordinator shall re-evaluate MEDIUM RC
the causes of the disagreement (bad
data, status, study results, tools, etc.).
If time permits, this re-evaluation shall
IRO-016-1 R1.2.1. MEDIUM RC
be done before taking corrective actions.
If time does not permit, then each
Reliability Coordinator shall operate as
IRO-016-1 R1.2.2. MEDIUM RC
though the problem(s) exist(s) until the
conflicting system status is resolved.
If the involved Reliability Coordinators
cannot agree on the solution, the more
IRO-016-1 R1.3. MEDIUM RC
conservative solution shall be
implemented.
The Reliability Coordinator shall
document (via operator logs or other
IRO-016-1 R2. data sources) its actions taken for LOWER RC
either the event or for the disagreement
on the problem(s) or for both.
MODELING, DATA AND ANALYSIS
Each Transmission Operator shall
select one of the methodologies1 listed
MOD-001-1a R1. below for Pending TOP x A X
calculating Available Transfer
Capability (ATC) or Available Flowgate
Each Transmission Service Provider
shall calculate ATC or AFC values as
MOD-001-1a R2. listed below using the methodology or Pending TSP x A X
methodologies selected by its
Transmission Operator(s):
Hourly values for at least the next 48
MOD-001-1a R2.1. Pending TSP x A X
hours.
Daily values for at least the next 31
MOD-001-1a R2.2. Pending TSP x A X
calendar days.
Monthly values for at least the next 12
MOD-001-1a R2.3. Pending TSP x A X
months (months 2-13).
Each Transmission Service Provider
shall prepare and keep current an
MOD-001-1a R3. Available Transfer Capability Pending TSP x A X
Implementation Document (ATCID) that
includes, at a minimum, the following
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 40 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Information describing how the selected
methodology (or methodologies) has
MOD-001-1a R3.1. been implemented, in such detail that, Pending TSP x A X
given the same information used by the
Transmission Service Provider, the
A description of the manner in which
MOD-001-1a R3.2. the Transmission Service Provider will Pending TSP x A X
account for counterflows including:
How confirmed Transmission
reservations, expected Interchange
MOD-001-1a R3.2.1. and internal counterflow are addressed Pending TSP x A X
in firm and non-firm ATC or
AFC calculations.
A rationale for that accounting specified
MOD-001-1a R3.2.2. Pending TSP x A X
in R3.2.
The identity of the Transmission
Operators and Transmission Service
MOD-001-1a R3.3. Providers from which the Transmission Pending TSP x A X
Service Provider receives data for use
The identity of the or AFC.
in calculating ATC Transmission
Service Providers and Transmission
MOD-001-1a R3.4. Operators to which it provides data for Pending TSP x A X
use in calculating transfer or Flowgate
capability.
A description of the allocation
processes listed below that are
MOD-001-1a R3.5. applicable to the Transmission Service Pending TSP x A X
Provider:
a) Processes used to allocate transfer
A description of how generation and
transmission outages are considered in
MOD-001-1a R3.6. Pending TSP x A X
transfer or Flowgate capability
calculations, including:
The criteria used to determine when an
MOD-001-1a R3.6.1. outage that is in effect part Pending TSP x A X
of a day impacts a daily calculation.
The criteria used to determine when an
outage that is in effect part
MOD-001-1a R3.6.2. Pending TSP x A X
of a month impacts a monthly
calculation.
How outages from other Transmission
Service Providers that can
MOD-001-1a R3.6.3. not be mapped to the Transmission Pending TSP x A X
model used to calculate transfer
or Flowgate capability are addressed.
The Transmission Service Provider
MOD-001-1a R4. shall notify the following entities before Pending TSP x A X
implementing a new or revised ATCID:
Each Planning Coordinator associated
MOD-001-1a R4.1. with the Transmission Service Pending TSP x A X
Provider’s area.
Each Reliability Coordinator associated
MOD-001-1a R4.2. with the Transmission Service Pending TSP x A X
Provider’s area.
Each Transmission Operator associated
MOD-001-1a R4.3. with the Transmission Service Pending TSP x A X
Provider’s area.
Each Planning Coordinator adjacent to
MOD-001-1a R4.4. the Transmission Service Provider’s Pending TSP x A X
area.
Each Reliability Coordinator adjacent to
MOD-001-1a R4.5. the Transmission Service Provider’s Pending TSP x A X
area
Each Transmission Service Provider
MOD-001-1a R4.6. whose area is adjacent to the Pending TSP x A X
Transmission Service Provider’s area.
The Transmission Service Provider
MOD-001-1a R5. shall make available the current ATCID Pending TSP x A X
to all of the entities specified in R4.
When calculating Total Transfer
Capability (TTC) or Total Flowgate
MOD-001-1a R6. Capability (TFC) the Transmission Pending TOP x A X
Operator shall use assumptions no
more limiting thanATC or used in the
When calculating those AFC the
Transmission Service Provider shall
MOD-001-1a R7. use assumptions no more limiting than Pending TSP x A X
those used in the planning of operations
for the corresponding time period
Each Transmission Service Provider
that calculates ATC shall recalculate
MOD-001-1a R8. ATC at a minimum on the following Pending TSP x A X
frequency, unless none of the
calculated values identified in the ATC
Hourly values, once per hour.
Transmission Service Providers are
MOD-001-1a R8.1. allowed up to 175 hours per calendar Pending TSP x A X
year during which calculations are not
required to be performed, despite a
MOD-001-1a R8.2. Daily values, once per day Pending TSP x A X
MOD-001-1a R8.3. Monthly values, once per week. Pending TSP x A X
Within thirty calendar days of receiving
a request by any Transmission Service
MOD-001-1a Provider, Planning Coordinator, Pending TSP x A X
R9.
Reliability Coordinator, or Transmission
Operator for data from the list below
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 41 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
MOD-001-1a R9.1. Transmission Service. Pending TSP x A X
If the Transmission Service Provider
uses the data requested in its
MOD-001-1a R9.1.1. transfer or Flowgate capability Pending TSP x A X
calculations, it shall make the data
If the available
used Transmission Service Provider
does not use the data requested
MOD-001-1a R9.1.2. in its transfer or Flowgate capability Pending TSP x A X
calculations, but maintains that
If the shall make that data Provider
data, itTransmission Serviceavailable
does not use the data requested in its
MOD-001-1a R9.1.3. transfer or Flowgate capability Pending TSP x A X
calculations, and does not maintain that
This it shall not be required to make
data, data shall be made available by the
Transmission Provider on the schedule
MOD-001-1a R9.2. specified by the requestor (but no more Pending TSP x A X
frequently than once per hour, unless
The Transmission by the Provider and
mutually agreed toServicerequester that
maintains CBM shall prepare and keep
MOD-004-1 R1. current a ―Capacity Benefit Margin Pending TSP x A X
Implementation Document‖ (CBMID) that
The process through which following
includes, at a minimum, the a Load-
Serving Entity within a Balancing
MOD-004-1 R1.1. Authority Area associated with the Pending TSP x A X
Transmission Service Provider, or the
Resource Planner associated with that
The procedure and assumptions for
establishing CBM for each Available
MOD-004-1 R1.2. Pending TSP x A X
Transfer Capability (ATC) Path or
Flowgate.
The procedure for a Load-Serving Entity
or Balancing Authority to use
MOD-004-1 R1.3. Transmission capacity set aside as Pending TSP x A X
CBM, including the manner in which the
Transmission Service Provider will
The Transmission Service Provider that
maintains CBM shall make available its
MOD-004-1 R2. current CBMID to the Transmission Pending TSP x A X
Operators, Transmission Service
Providers, Reliability Coordinators,
Each Load-Serving Entity determining
the need for Transmission capacity to
MOD-004-1 R3. be set aside as CBM for imports into a Pending LSE x A X
Balancing Authority Area shall
determine or more ofby: following to
Using one that need the
determine the GCIR:
MOD-004-1 R3.1. a) Loss of Load Expectation (LOLE) Pending LSE x A X
studies
b) Loss of Load Probability (LOLP)
Identifying expected import path(s) or
MOD-004-1 R3.2. Pending LSE x A X
source region(s).
Each Resource Planner determining the
need for Transmission capacity to be
MOD-004-1 R4. set aside as CBM for imports into a Pending RP x A X
Balancing Authority Area shall
determine or more ofby: following to
Using one that need the
determine the GCIR:
MOD-004-1 R4.1. a) Loss of Load Expectation (LOLE) Pending RP x A X
studies
b) Loss of Load Probability (LOLP)
Identifying expected import path(s) or
MOD-004-1 R4.2. Pending RP x A X
source region(s).
At least every 13 months, the
Transmission Service Provider that
MOD-004-1 R5. maintains CBM shall establish a CBM Pending TSP x A X
value for each ATC Path or Flowgate to
Reflect for ATC or Available of the
be usedconsideration of eachFlowgate
following if available:
MOD-004-1 R5.1. a) Any studies (as described in R3.1) Pending TSP x A X
performed by Load-Serving Entities for
Be allocated as Transmission Service
loads within thefollows:
MOD-004-1 R5.2. a) For Pending TSP x A X
ATC Paths, based on the expected
import paths or source regions provided
At least every 13 months, the
Transmission Planner shall establish a
MOD-004-1 R6. CBM value for each ATC Path or Pending TP x A X
Flowgate to be used in planning during
each of consideration of each of the
Reflect the full calendar years two
following if available:
MOD-004-1 R6.1. a) Any studies (as described in R3.1) Pending TP x A X
performed by Load-Serving Entities for
loads within thefollows:
Be allocated as Transmission Planner’s
a) For ATC Paths, based on the
MOD-004-1 R6.2. expected import paths or source Pending TP x A X
regions provided by Load-Serving
Less than Resource Planners
Entities or31 calendar days after the
establishment of CBM, the
MOD-004-1 R7. Transmission Service Provider that Pending TSP x A X
maintains CBM shall notify all the Load-
Serving Entities and Resource Planners
Less than 31 calendar days after the
establishment of CBM, the
MOD-004-1 R8. Transmission Planner shall notify all Pending TP x A X
the Load-Serving Entities and Resource
Planners that determined they had athat
The Transmission Service Provider
maintains CBM and the Transmission
MOD-004-1 R9. Planner shall each provide (subject to Pending TSP, TP x A X
confidentiality and security
requirements) copies of the applicable
Each of its associated Transmission
MOD-004-1 R9.1. Operators within 30 calendar days of Pending TSP, TP x A X
their making a request for the data.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 42 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
To any Transmission Service Provider,
Reliability Coordinator, Transmission
MOD-004-1 R9.2. Planner, Resource Planner, or Planning Pending TSP, TP x A X
Coordinator within 30 calendar days of
theirLoad-Serving Entity orthe data.
The making a request for Balancing
Authority shall request to import energy
MOD-004-1 R10. over firm Transfer Capability set aside Pending BA, LSE x A X
as CBM only when experiencing a
declared NERC Energy Emergency Alert
When reviewing an Arranged
Interchange using CBM, all Balancing
MOD-004-1 R11. Authorities and Transmission Service Pending BA, TSP x A X
Providers shall waive, within the
The Transmission operation, any Real-
bounds of reliable Service Provider that
maintains CBM shall approve, within the
MOD-004-1 R12. bounds of reliable operation, any Pending TSP x A X
Arranged Interchange using CBM that is
submitted by an ―energy deficient
MOD-004-1 R12.1. The CBM is available Pending TSP x A X
The EEA 2 is declared within the
MOD-004-1 R12.2. Balancing Authority Area of the ―energy Pending TSP x A X
deficient entity,‖ and
The Load of the ―energy deficient
MOD-004-1 R12.3. entity‖ is located within the Pending TSP x A X
Transmission Service Provider’s area.
Each Transmission Operator shall
prepare and keep current a TRM
MOD-008-1 R1. Pending TOP x A X
Implementation Document (TRMID) that
includes, as a minimum, the following
information:
Identification of (on each of its
respective ATC Paths or Flowgates)
MOD-008-1 R1.1. Pending TOP x A X
each of the following components of
uncertainty if used in establishing TRM,
and a description of how that
The description of the method used to
MOD-008-1 R1.2. allocate TRM across ATC Paths or Pending TOP x A X
Flowgates.
The identification of the TRM
MOD-008-1 R1.3. calculation used for the following time Pending TOP x A X
periods:
MOD-008-1 R1.3.1. Same day and real-time. Pending TOP x A X
MOD-008-1 R1.3.2. Day-ahead and pre-schedule. Pending TOP x A X
Beyond day-ahead and pre-schedule, up
MOD-008-1 R1.3.3. Pending TOP x A X
to thirteen months ahead.
Each Transmission Operator shall only
use the components of uncertainty from
MOD-008-1 R2. Pending TOP x A X
R1.1 to establish TRM, and shall not
include any of the components of
Capacity Benefit Margin (CBM).
Each Transmission Operator shall make
available its TRMID, and if requested,
MOD-008-1 R3. underlying documentation (if any) used Pending TOP x A X
to determine TRM, in the format used by
the Transmission Operator, to any of the
Each Transmission Operator that
maintains TRM shall establish TRM
MOD-008-1 R4. Pending TOP x A X
values in accordance with the TRMID at
least once every 13 months.
The Transmission Operator that
maintains TRM shall provide the TRM
MOD-008-1 R5. Pending TOP x A X
values to its Transmission Service
Provider(s) and Transmission
The Transmission than seven calendar
Planner(s) no moreOwners,
Transmission Planners, Generator
MOD-010-0 R1. Owners, and Resource Planners MEDIUM GO, RP, TO, TP
(specified in the data requirements and
reporting procedures of MOD-011-0_R1)
The Transmission Owners,
Transmission Planners, Generator
MOD-010-0 R2. Owners, and Resource Planners MEDIUM GO, RP, TO, TP A A
(specified in the data requirements and
reporting procedures of MOD-011-0_R1)
The Transmission Owners,
Transmission Planners, Generator
MOD-012-0 R1. Owners, and Resource Planners MEDIUM GO, RP, TO, TP
(specified in the data requirements and
reporting procedures of MOD-013-0_R1)
The Transmission Owners,
Transmission Planners, Generator
MOD-012-0 R2. Owners, and Resource Planners MEDIUM GO, RP, TO, TP A A
(specified in the data requirements and
reporting procedures ofand Regional
The Planning Authority MOD-013-0_R1)
Reliability Organization shall have
MOD-016-1.1 R1. documentation identifying the scope LOWER PA, PC, RRO
and details of the actual and forecast (a)
Demand data, (b) Net Energy for Load
The aggregated and dispersed data
submittal requirements shall ensure
MOD-016-1.1 R1.1. that consistent data is supplied for LOWER PA, PC, RRO
Reliability Standards TPL-005, TPL-006,
MOD-010, MOD-011, MOD-012, MOD-
The Regional Reliability Organization
shall distribute its documentation
MOD-016-1.1 R2. required in Requirement 1 and any LOWER RRO
changes to that documentation, to all
Planning Authorities that work within its
The Regional Reliability Organization
MOD-016-1.1 R2.1. shall make this distribution within 30 LOWER RRO
calendar days of approval.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 43 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Planning Authority shall distribute
its documentation required in R1 for
MOD-016-1.1 R3. reporting customer data and any LOWER PA, PC
changes to that documentation, to its
Transmission Planners and Load-
The Planning Authority shall make this
MOD-016-1.1 R3.1. distribution within 30 calendar days of LOWER PA, PC
approval.
The Load-Serving Entity, Planning
Authority and Resource Planner shall
MOD-017-0.1 R1. each provide the following information MEDIUM LSE, PA, PC, RP
annually on an aggregated Regional,
subregional, Power Pool, individual
Integrated hourly demands in
megawatts (MW) for the prior year.
MOD-017-0.1 R1.1. MEDIUM LSE, PA, PC, RP
Monthly and annual peak hour actual
demands in MW and Net Energy for
MOD-017-0.1 R1.2. Load in gigawatthours (GWh) for the MEDIUM LSE, PA, PC, RP
prior year.
Monthly peak hour forecast demands in
MW and Net Energy for Load in GWh for
MOD-017-0.1 R1.3. the next two years. MEDIUM LSE, PA, PC, RP
Annual Peak hour forecast demands
(summer and winter) in MW and annual
MOD-017-0.1 R1.4. Net Energy for load in GWh for at least MEDIUM LSE, PA, PC, RP
five years and up to ten years into the
future, as requested.
The Load-Serving Entity, Planning
Authority, Transmission Planner and LSE, PA, PC, RP,
MOD-018-0 R1. Resource Planner’s report of actual and MEDIUM
TP
forecast demand data (reported on
either an aggregated or dispersed
Indicate whether the demand data of
nonmember entities within an area or LSE, PA, PC, RP,
MOD-018-0 R1.1. MEDIUM
Regional Reliability Organization are TP
included, and
Address assumptions, methods, and the
manner in which uncertainties are LSE, PA, PC, RP,
MOD-018-0 R1.2. LOWER
treated in the forecasts of aggregated TP
peak demands and Net Energy for Load.
Items (MOD-018-0_R 1.1) and (MOD-018-
0_R 1.2) shall be addressed as LSE, PA, PC, RP,
MOD-018-0 R1.3. LOWER
described in the reporting procedures TP
developed for Standard MOD-016-1_R 1.
The Load-Serving Entity, Planning
Authority, Transmission Planner, and LSE, PA, PC, RP,
MOD-018-0 R2. Resource Planner shall each report data LOWER
TP
associated with Reliability Standard
MOD-018-0_R1 to Entity, Planning
The Load-Serving NERC, the Regional
Authority, Transmission Planner, and LSE, PA, PC, RP,
MOD-019-0.1 R1. Resource Planner shall each provide MEDIUM
TP
annually its forecasts of interruptible
demands and Direct Control Load
The Load-Serving Entity, Transmission
Planner, and Resource Planner shall
MOD-020-0 R1. each make known its amount of LOWER LSE, RP, TP
interruptible demands and Direct
Control Load Management (DCLM) to
The Load-Serving Entity, Transmission
Planner and Resource Planner’s
MOD-021-1 R1. forecasts shall each clearly document LOWER LSE, RP, TP
how the Demand and energy effects of
DSMLoad-Serving Entity,conservation,
The programs (such as Transmission
Planner and Resource Planner shall
MOD-021-1 R2. each include information detailing how LOWER LSE, RP, TP
Demand-Side Management measures
are addressed in the forecasts of its
The Load-Serving Entity, Transmission
Planner and Resource Planner shall
MOD-021-1 R3. each make documentation on the LOWER LSE, RP, TP
treatment of its DSM programs available
Each Transmission (within Provider
to NERC on request Service 30 calendar
shall include in its Available Transfer
MOD-028-1 R1. Capability Implementation Document Pending TSP x
(ATCID), at a minimum, the following
Information relative to how the selected
information describing its methodology
methodology has been implemented, in
MOD-028-1 R1.1. such detail that, given the same Pending TSP x
information used by the Transmission
Operator, the resultsmannerTTC
A description of the of the in which
the Transmission Operator will account
MOD-028-1 R1.2. Pending TSP x
for Interchange Schedules in the
calculation of TTC.
Any contractual obligations for
MOD-028-1 R1.3. Pending TSP x
allocation of TTC.
A description of the manner in which
MOD-028-1 R1.4. Contingencies are identified for use in Pending TSP x
the TTC process.
The following information on how
source and sink for transmission
MOD-028-1 R1.5. Pending TSP x
service is accounted for in ATC
calculations including:
Define if the source used for Available
Transfer Capability (ATC)
MOD-028-1 R1.5.1. calculations is obtained from the source Pending TSP x
field or the Point of Receipt
Define if the sink transmission
(POR) field of the used for ATC
calculations is obtained from the sink
MOD-028-1 R1.5.2. field or the Point of Delivery (POD) field Pending TSP x
of the transmission
reservation
The source/sink or POR/POD
MOD-028-1 R1.5.3. Pending TSP x
identification and mapping to the model
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 44 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
If the Transmission Service Provider’s
ATC calculation process
MOD-028-1 R1.5.4. involves a grouping of generation, the Pending TSP x
ATCID must identify how
When calculating TTC for ATC the
these generators participate in Paths,
the Transmission Operator shall use a
MOD-028-1 R2. Pending TOP x
Transmission model that contains all of
the following:
Modeling data and topology of its
Reliability Coordinator’s area of
MOD-028-1 R2.1. responsibility. Equivalent Pending TOP x
representation of radial lines and
facilities data and below is (or
Modeling 161 kV or topology allowed.
equivalent representation) for
MOD-028-1 R2.2. Pending TOP x
immediately adjacent and beyond
Reliability Coordination areas.
Facility Ratings specified by the
MOD-028-1 R2.3. Generator Owners and Transmission Pending TOP x
Owners.
When calculating TTCs for ATC Paths,
the Transmission Operator shall include
MOD-028-1 R3. the following data for the Transmission Pending TOP x
Service Provider’s area. The
Transmission Operator shall also
For on-peak and off-peak intra-day and
next-day TTCs, use the following (as
MOD-028-1 R3.1. Pending TOP x
well as any other values and additional
parameters as specified in the ATCID):
Expected generation and Transmission
outages, additions, and
MOD-028-1 R3.1.1. Pending TOP x
retirements, included as specified in the
ATCID.
Load forecast for the applicable period
MOD-028-1 R3.1.2. Pending TOP x
being calculated.
Unit commitment and dispatch order, to
include all designated
MOD-028-1 R3.1.3. network resources and other resources Pending TOP x
that are committed or have the
legal obligation to run, (within or out of
For days two through 31 TTCs and for
months two through 13 TTCs, use the
MOD-028-1 R3.2. following (as well as any other values Pending TOP x
and internal parameters as specified in
the ATCID):
Expected generation and Transmission
outages, additions, and
MOD-028-1 R3.2.1. Pending TOP x
Retirements, included as specified in
the ATCID.
Daily load forecast for the days two
through 31 TTCs being
MOD-028-1 R3.2.2. calculated and monthly forecast for Pending TOP x
months two through 13 months
TTCs being calculated.
Unit commitment and dispatch order, to
include all designated
MOD-028-1 R3.2.3. network resources and other resources Pending TOP x
that are committed or have the
legal obligation to run, (within or out of
When calculating TTCs for ATC Paths,
MOD-028-1 R4. the Transmission Operator shall meet Pending TOP x
all of the following conditions:
Use all Contingencies meeting the
MOD-028-1 R4.1. Pending TOP x
criteria described in the ATCID.
Respect any contractual allocations of
MOD-028-1 R4.2. Pending TOP x
TTC.
Include, for each time period, the Firm
Transmission Service expected to be
MOD-028-1 R4.3. scheduled as specified in the ATCID Pending TOP x
(filtered to reduce or eliminate duplicate
impacts from transactions using
Each Transmission Operator shall
MOD-028-1 R5. establish TTC for each ATC Path as Pending TOP x
defined below:
At least once within the seven calendar
days prior to the specified period for
MOD-028-1 R5.1. Pending TOP x
TTCs used in hourly and daily ATC
calculations.
At least once per calendar month for
MOD-028-1 R5.2. Pending TOP x
TTCs used in monthly ATC calculations.
Within 24 hours of the unexpected
outage of a 500 kV or higher
MOD-028-1 R5.3. transmission Facility or a transformer Pending TOP x
with a low-side voltage of 200 kV or
higher for TTCs in effect during the
Each Transmission Operator shall
MOD-028-1 R6. establish TTC for each ATC Path using Pending TOP x
the following process:
Determine the incremental Transfer
Capability for each ATC Path by
MOD-028-1 R6.1. increasing generation and/or Pending TOP x
decreasing load within the source
Balancing Authority area and be
If the limit in step R6.1 can not
reached by adjusting any combination
MOD-028-1 R6.2. of load or generation, then set the Pending TOP x
incremental Transfer Capability by the
results of the case where the maximum
Use (as the TTC) the lesser of:
- The sum of the incremental Transfer
MOD-028-1 R6.3. Capability and the impacts of Firm Pending TOP x
Transmission Services, as specified in
the Transmission Service
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 45 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
For ATC Paths whose capacity uses
jointly-owned or allocated Facilities,
MOD-028-1 R6.4. limit TTC for each Transmission Service Pending TOP x
Provider so the TTC does not exceed
each Transmission Service Provider’s
The Transmission Operator shall
provide the Transmission Service
MOD-028-1 R7. Provider of that ATC Path with the most Pending TOP x
current value for TTC for that ATC Path
no more than:
One calendar day after its determination
MOD-028-1 R7.1. for TTCs used in hourly and daily ATC Pending TOP x
calculations.
Seven calendar days after its
MOD-028-1 R7.2. determination for TTCs used in monthly Pending TOP x
ATC calculations.
When calculating Existing
Transmission Commitments (ETCs) for
MOD-028-1 R8. firm commitments (ETCF) for all time Pending TSP x
periods for an ATC Path the
Transmission Service Provider shall
When calculating ETC for non-firm
commitments (ETCNF) for all time
MOD-028-1 R9. periods for an ATC Path the Pending TSP x
Transmission Service Provider shall
use the following algorithm: an ATC
When calculating firm ATC for
Path for a specified period, the
MOD-028-1 R10. Transmission Service Provider shall Pending TSP x
utilize the following algorithm:
ATCF ATC for
When calculating non-firm = TTC – a
ATC Path for a specified period, the
MOD-028-1 R11. Transmission Service Provider shall Pending TSP x
use the following algorithm:
ATCNF = TTC –
When calculating TTCs for ATC Paths,
the Transmission Operator shall use a
MOD-029-1a R1. Pending TOP x
Transmission model which satisfies the
following requirements:
The model utilizes data and
assumptions consistent with the time
MOD-029-1a R1.1. Pending TOP x
period being studied and that meets the
following criteria:
MOD-029-1a R1.1.1. Includes at least: Pending TOP x
The Transmission Operator area.
MOD-029-1a R1.1.1.1. Equivalent representation of radial lines Pending TOP x
and facilities 161kV or below is allowed.
All Transmission Operator areas
contiguous with its own Transmission
MOD-029-1a R1.1.1.2. Pending TOP x
Operator area. (Equivalent
representation is allowed.)
Any other Transmission Operator area
linked to the Transmission Operator’s
MOD-029-1a R1.1.1.3. Pending TOP x
area by joint operating agreement.
(Equivalent representation is allowed.
Models all system Elements as in-
MOD-029-1a R1.1.2. service for the assumed initial Pending TOP x
conditions.
Models all generation (may be either a
single generator or multiple
MOD-029-1a R1.1.3. generators) that is greater than 20 MVA Pending TOP x
at the point of interconnection in the
studied phase shifters in non-regulating
Models area.
mode, unless otherwise
MOD-029-1a R1.1.4. specified in the Available Transfer Pending TOP x
Capability Implementation
Document (ATCID).
Uses Load forecast by Balancing
MOD-029-1a R1.1.5. Pending TOP x
Authority.
Uses Transmission Facility additions
MOD-029-1a R1.1.6. Pending TOP x
and retirements.
Uses Generation Facility additions and
MOD-029-1a R1.1.7. Pending TOP x
retirements.
Uses Special Protection System (SPS)
models where currently
MOD-029-1a R1.1.8. existing or projected for implementation Pending TOP x
within the studied time
horizon.series compensation for each
Models
line at the expected operating
MOD-029-1a R1.1.9. Pending TOP x
level unless specified otherwise in the
ATCID.
Includes any other modeling
MOD-029-1a R1.1.10. requirements or criteria specified in Pending TOP x
the ATCID.
Uses Facility Ratings as provided by the
MOD-029-1a R1.2. Transmission Owner and Generator Pending TOP x
Owner
The Transmission Operator shall use
MOD-029-1a R2. Pending TOP x
the following process to determine TTC:
Except where otherwise specified
within MOD-029-1, adjust base case
MOD-029-1a R2.1. generation and Load levels within the Pending TOP x
updated power flow model to determine
the TTC (maximum flow or reliability
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 46 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
When modeling normal conditions, all
Transmission Elements will
MOD-029-1a R2.1.1. Pending TOP x
be modeled at or below 100% of their
continuous rating.
When modeling contingencies the
system shall demonstrate transient,
MOD-029-1a R2.1.2. dynamic and voltage stability, with no Pending TOP x
Transmission Element modeled above
its Emergency Rating.
MOD-029-1a R2.1.3. Uncontrolled separation shall not occur. Pending TOP x
Where it is impossible to actually
simulate a reliability-limited flow in a
MOD-029-1a R2.2. direction counter to prevailing flows (on Pending TOP x
an alternating current Transmission
For an ATC Path for the non-prevailing
line), set the TTCwhose capacity is
limited by contract, set TTC on the ATC
MOD-029-1a R2.3. Path at the lesser of the maximum Pending TOP x
allowable contract capacity or the
reliability limit as determined by R2.1.
For an ATC Path whose TTC varies due
to simultaneous interaction with one or
MOD-029-1a R2.4. more other paths, develop a nomogram Pending TOP x
describing the interaction of the paths
and the resulting TTC under shall
The Transmission Operator specified
identify when the TTC for the ATC Path
MOD-029-1a R2.5. being studied has an adverse impact on Pending TOP x
the TTC value of any existing path. Do
this by modeling the flow on
Where multiple ownership ofthe path
Transmission rights exists on an ATC
MOD-029-1a R2.6. Path, Pending TOP x
allocate TTC of that ATC Path in
accordance with the contractual
For ATC Paths whose path rating,
adjusted for seasonal variance, was
MOD-029-1a R2.7. established, known and used in Pending TOP x
operation since January 1, 1994, and no
Create has been takenthat describes the
action a study report to have the path
steps above that were undertaken (R2.1
MOD-029-1a R2.8. – R2.7), including the contingencies and Pending TOP x
assumptions used, when determining
the TTC and the results of the study.
Each Transmission Operator shall
establish the TTC at the lesser of the
MOD-029-1a R3. Pending TOP x
value calculated in R2 or any System
Operating Limit (SOL) for that ATC Path.
Within seven calendar days of the
finalization of the study report, the
MOD-029-1a R4. Transmission Operator shall make Pending TOP x
available to the Transmission Service
When calculating ETC for the most
Provider of the ATC Path, firm Existing
Transmission Commitments (ETCF) for
MOD-029-1a R5. a specified period for an ATC Path, the Pending TSP x
Transmission Service Provider shall
use the algorithm below:
When calculating ETC for non-firm
Existing Transmission Commitments
MOD-029-1a R6. (ETCNF) for all time horizons for an ATC Pending TSP x
Path the Transmission Service Provider
shall use the followingATC for an ATC
When calculating firm algorithm:
Path for a specified period, the
MOD-029-1a R7. Transmission Service Provider shall Pending TSP x
use the following algorithm:
ATCF = TTC – ETCF – CBM – for an
When calculating non-firm ATC TRM +
ATC Path for a specified period, the
MOD-029-1a R8. Transmission Service Provider shall Pending TSP x
use the following algorithm:
ATCNF =
The Transmission Service ProviderTTC
shall include in its ―Available Transfer
MOD-030-2 R1. Pending TSP x
Capability Implementation Document‖
(ATCID):
The criteria used by the Transmission
Operator to identify sets of
MOD-030-2 R1.1. Transmission Facilities as Flowgates Pending TSP x
that are to be considered in Available
Flowgate Capability (AFC) on how
The following information calculations.
source and sink for transmission
MOD-030-2 R1.2. Pending TSP x
service is accounted for in AFC
calculations including:
Define if the source used for AFC
calculations is obtained from the source
MOD-030-2 R1.2.1. Pending TSP x
field or the Point of Receipt (POR) field
of the transmission reservation.
Define if the sink used for AFC
calculations is obtained from the sink
MOD-030-2 R1.2.2. Pending TSP x
field or the Point of Delivery (POD) field
of the transmission reservation.
The source/sink or POR/POD
MOD-030-2 R1.2.3. Pending TSP x
identification and mapping to the model.
If the Transmission Service Provider’s
AFC calculation process involves a
MOD-030-2 R1.2.4. grouping of generators, the ATCID must Pending TSP x
identify how these generators
participate in the group.
The Transmission Operator shall
MOD-030-2 R2. perform the following: [Violation Risk Pending TOP x
Factor:
Include Flowgates used in the AFC
MOD-030-2 R2.1. process based, at a minimum, on the Pending TOP x
following criteria:
Results of a first Contingency transfer
analysis for ATC Paths internal to a
MOD-030-2 R2.1.1. Transmission Operator’s system up to Pending TOP x
the path capability such that at a
minimum the first three limiting
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 47 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Use first Contingency criteria
consistent with those first Contingency
MOD-030-2 R2.1.1.1. criteria used in planning of operations Pending TOP x
for the applicable time periods,
including use of Special Protection
Only the most limiting element in a
MOD-030-2 R2.1.1.2. series configuration needs to Pending TOP x
be included as a Flowgate.
If any limiting element is kept within its
limit for its associated worst
MOD-030-2 R2.1.1.3. Contingency by operating within the Pending TOP x
limits of another Flowgate, then no new
Flowgate needs to be established for
Results of a first Contingency transfer
analysis from all adjacent Balancing
MOD-030-2 R2.1.2. Authority source and sink (as defined in Pending TOP x
the ATCID) combinations up to the path
Use first Contingency a minimum the
capability such that at criteria
consistent with those first Contingency
MOD-030-2 R2.1.2.1. criteria used in planning of operations Pending TOP x
for the applicable time periods,
including use of Special Protection
Only the most limiting element in a
MOD-030-2 R2.1.2.2. series configuration needs to be Pending TOP x
included as a Flowgate.
If any limiting element is kept within its
limit for its associated worst
MOD-030-2 R2.1.2.3. Contingency by operating within the Pending TOP x
limits of another Flowgate, then no new
Flowgate needs to be established
Any limiting Element/Contingency for
combination at least within its
MOD-030-2 R2.1.3. Reliability Coordinator’s Area that has Pending TOP x
been subjected to an
Interconnection-wide congestion
Any limiting Element/Contingency
combination within the Transmission
MOD-030-2 R2.1.4. model that has been requested to be Pending TOP x
included by any other Transmission
The coordination using the Flowgate
Service Provider of the limiting
Element/Contingency combination is
MOD-030-2 R2.1.4.1. not already addressed through a Pending TOP x
different methodology, and
- limiting Element/Contingency
TheAny generator within the
combination is included in the
MOD-030-2 R2.1.4.2. Pending TOP x
requesting Transmission Service
Provider’s methodology.
At a minimum, establish a list of
Flowgates by creating, modifying, or
MOD-030-2 R2.2. Pending TOP x
deleting Flowgate definitions at least
once per calendar year.
At a minimum, establish a list of
Flowgates by creating, modifying, or
MOD-030-2 R2.3. deleting Flowgates that have been Pending TOP x
requested as part of R2.1.4 within thirty
EstablishdaysTFC of each of the defined
calendar the from the request.
Flowgates as equal to: - For
MOD-030-2 R2.4. thermal limits, the System Operating Pending TOP x
Limit (SOL) of the Flowgate.
- For voltage or stability limits, the flow
At a minimum, establish the TFC once
MOD-030-2 R2.5. Pending TOP x
per calendar year.
If notified of a change in the Rating by
the Transmission Owner that would
MOD-030-2 R2.5.1. affect the TFC of a flowgate used in the Pending TOP x
AFC process, the TFC should be
updated within seven calendar days of
Provide the Transmission Service
MOD-030-2 R2.6. Provider with the TFCs within seven Pending TOP x
calendar days of their establishment.
The Transmission Operator shall make
available to the Transmission Service
MOD-030-2 R3. Provider a Transmission model to Pending TOP x
determine Available Flowgate
Capability (AFC) thatFacilitythe
Contains generation meets Ratings,
such as generation maximum and
MOD-030-2 R3.1. minimum output levels, specified by the Pending TOP x
Generator Owners of the Facilities
within the model.
Updated at least once per day for AFC
MOD-030-2 R3.2. calculations for intra-day, next day, and Pending TOP x
days two through 30.
Updated at least once per month for
MOD-030-2 R3.3. AFC calculations for months two Pending TOP x
through 13.
Contains modeling data and system
topology for the Facilities within its
MOD-030-2 R3.4. Reliability Coordinator’s Area. Pending TOP x
Equivalent representation of radial lines
and Facilities161kVdata and system
Contains modeling or below is allowed.
topology (or equivalent representation)
MOD-030-2 R3.5. Pending TOP x
for immediately adjacent and beyond
Reliability Coordination Areas.
When calculating AFCs, the
Transmission Service Provider shall
MOD-030-2 R4. represent the impact of Transmission Pending TSP x
Service as follows:
- If the source, as specified in the
When calculating AFCs, the
MOD-030-2 R5. Pending TSP x
Transmission Service Provider shall:
Use the models provided by the
MOD-030-2 R5.1. Pending TSP x
Transmission Operator.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 48 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Include in the transmission model
expected generation and Transmission
MOD-030-2 R5.2. outages, additions, and retirements Pending TSP x
within the scope of the model as
specified in the ATCID and in effect
For external Flowgates, identified in
R2.1.4, use the AFC provided by the
MOD-030-2 R5.3. Pending TSP x
Transmission Service Provider that
calculates AFC for that Flowgate.
When calculating the impact of ETC for
firm commitments (ETCFi) for all time
MOD-030-2 R6. periods for a Flowgate, the Pending TSP x
Transmission Service Provider shall
sumimpact of firm Network Integration
The the following:
Transmission Service, including the
MOD-030-2 R6.1. impacts of generation to load, in the Pending TSP x
model referenced in R5.2 for the
Transmission Service Provider’s area,
Load forecast for the time period being
MOD-030-2 R6.1.1. calculated, including Native Load and Pending TSP x
Network Service load
Unit commitment and Dispatch Order, to
include all designated network
MOD-030-2 R6.1.2. resources and other resources that are Pending TSP x
committed or have the legal obligation
The impact of any in the Transmission
to run as specifiedfirm Network
Integration Transmission Service,
MOD-030-2 R6.2. including the impacts of generation to Pending TSP x
load in the model referenced in R5.2 and
has a distribution factor equal to or
Load forecast for the time period being
MOD-030-2 R6.2.1. calculated, including Native Load and Pending TSP x
Network Service load
Unit commitment and Dispatch Order, to
include all designated network
MOD-030-2 R6.2.2. resources and other resources that are Pending TSP x
committed or have the legal obligation
to run as specified in the Transmission
The impact of all confirmed firm Point-
to-Point Transmission Service expected
MOD-030-2 R6.3. to be scheduled, including roll-over Pending TSP x
rights for Firm Transmission Service
The impact of the Transmission Service
contracts, for any confirmed firm Point-
to-Point Transmission Service expected
MOD-030-2 R6.4. to be scheduled, filtered to reduce or Pending TSP x
eliminate duplicate impacts from
transactions using Transmission
The impact of any Grandfathered firm
obligations expected to be scheduled or
MOD-030-2 R6.5. Pending TSP x
expected to flow for the Transmission
Service Provider’s area.
The impact of any Grandfathered firm
obligations expected to be scheduled or
MOD-030-2 R6.6. expected to flow that have a distribution Pending TSP x
factor equal to or greater than the
percentage3 used to curtail in the
The impact of other firm services
MOD-030-2 R6.7. determined by the Transmission Service Pending TSP x
Provider.
When calculating the impact of ETC for
non-firm commitments (ETCNFi) for all
MOD-030-2 R7. time periods for a Flowgate the Pending TSP x
Transmission Service Provider shall
sum:
The impact of all confirmed non-firm
Point-to-Point Transmission Service
MOD-030-2 R7.1. Pending TSP x
expected to be scheduled for the
Transmission Service Provider’s area.
The impact of any confirmed non-firm
Point-to-Point Transmission Service
MOD-030-2 R7.2. expected to be scheduled, filtered to Pending TSP x
reduce or eliminate duplicate impacts
fromimpact of any Grandfathered non-
The transactions using Transmission
firm obligations expected to be
MOD-030-2 R7.3. Pending TSP x
scheduled or expected to flow for the
Transmission Service Provider’s area.
The impact of any Grandfathered non-
firm obligations expected to be
MOD-030-2 R7.4. scheduled or expected to flow that have Pending TSP x
a distribution factor equal to or greater
The the
thanimpact of non-firm Network
Integration Transmission Service
MOD-030-2 R7.5. serving Load Pending TSP x
within the Transmission Service
Provider’s area (i.e., secondary service),
The impact of any non-firm Network
Integration Transmission Service
MOD-030-2 R7.6. (secondary Pending TSP x
service) with a distribution factor equal
to or greater than the percentage6 used
The impact of other non-firm services
MOD-030-2 R7.7. determined by the Transmission Service Pending TSP x
Provider.
When calculating firm AFC for a
Flowgate for a specified period, the
MOD-030-2 R8. Transmission Service Provider shall Pending TSP x
use the following algorithm (subject to
When calculating non-firm AFC in a
allocation processes described forthe
Flowgate for a specified period, the
MOD-030-2 R9. Transmission Service Provider shall Pending TSP x
use the following algorithm (subject to
allocation processes described in the
Each Transmission Service Provider
shall recalculate AFC, utilizing the
MOD-030-2 R10. updated models described in R3.2, R3.3, Pending TSP x
and R5, at a minimum on the following
frequency, AFC, once per hour.
For hourly unless none of the
Transmission Service Providers are
MOD-030-2 R10.1. allowed up to Pending TSP x
175 hours per calendar year during
which calculations are not required to be
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 49 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
MOD-030-2 R10.2. For daily AFC, once per day. Pending TSP x
MOD-030-2 R10.3. For monthly AFC, once per week Pending TSP x
When converting Flowgate AFCs to
ATCs for ATC Paths, the Transmission
MOD-030-2 R11. Service Provider shall convert those Pending TSP x
values based on the following
algorithm: ATC = min(P)
NUCLEAR
The Nuclear Plant Generator Operator LOWER
shall provide the proposed NPIRs in Nuclear GO and
NUC-001-2 R1. writing to the applicable Transmission x
Nuclear GOP
Entities and shall verify receipt
The Nuclear Plant Generator Operator MEDIUM Nuclear GOP and
and the applicable Transmission Transmission
NUC-001-2 R2. Entities shall have in effect one or more Entities that can x
Agreements[FN1] that include mutually include: BA, DP,
Per the Agreements document how
agreed to NPIRs and developed in the MEDIUM GO, GOP, LSE,
Transmission
accordance with this standard, the Entities that can
NUC-001-2 R3. applicable Transmission Entities shall include: BA, DP, x
incorporate the NPIRs into their GO, GOP, LSE,
Per the Agreements developed in system
planning analyses of the electric HIGH PA, PC, RC, TO,
Transmission
accordance with this standard, the Entities that can
NUC-001-2 R4. applicable Transmission Entities shall: include: BA, DP, x
GO, GOP, LSE,
Incorporate the NPIRs into their PA, PC, RC, TO,
Transmission
operating analyses of the electric Part of Main Entities that can
NUC-001-2 R4.1. system. include: BA, DP, x
Requirement
GO, GOP, LSE,
Operate the electric system to meet the PA, PC, RC, TO,
Transmission
NPIRs. Part of Main Entities that can
NUC-001-2 R4.2. include: BA, DP, x
Requirement
GO, GOP, LSE,
Inform the Nuclear Plant Generator PA, PC, RC, TO,
Transmission
Operator when the ability to assess the Part of Main Entities that can
NUC-001-2 R4.3. operation of the electric system include: BA, DP, x
Requirement
affecting NPIRs is lost. GO, GOP, LSE,
The Nuclear Plant Generator Operator HIGH PA, PC, RC, TO,
shall operate per the Agreements Nuclear GO and
NUC-001-2 R5. developed in accordance with this x
Nuclear GOP
standard.
Per the Agreements developed in MEDIUM Nuclear GOP and
accordance with this standard, the Transmission
NUC-001-2 R6. applicable Transmission Entities and Entities that can x
the Nuclear Plant Generator Operator include: BA, DP,
shall coordinate outages and
Per the Agreements developed in HIGH GO, GOP, LSE,
accordance with this standard, the Nuclear GO and
NUC-001-2 R7. Nuclear Plant Generator Operator shall x
Nuclear GOP
inform the applicable Transmission
Per the of actual or developed in
EntitiesAgreements proposed changes HIGH Transmission
accordance with this standard, the Entities that can
NUC-001-2 R8. applicable Transmission Entities shall include: BA, DP, x
inform the Nuclear Plant Generator GO, GOP, LSE,
The Nuclear Plant or proposed changes
Operator of actual Generator Operator MEDIUM PA, PC, RC, and
Nuclear GOPTO,
and the applicable Transmission Transmission
NUC-001-2 R9. Entities shall include, as a minimum, Entities that can x
the following elements within the include: BA, DP,
agreement(s) identified in R2:
Administrative elements: GO, GOP, LSE,
Nuclear GOP and
Part of Main Transmission
NUC-001-2 R9.1. Entities that can x
Requirement
include: BA, DP,
Definitions of key terms used in the GO, GOP, LSE,
Nuclear GOP and
agreement. Part of Main Transmission
NUC-001-2 R9.1.1. Entities that can x
Requirement
include: BA, DP,
Names of the responsible entities, GO, GOP, LSE,
Nuclear GOP and
organizational relationships, and Part of Main Transmission
NUC-001-2 R9.1.2. responsibilities related to the NPIRs. Entities that can x
Requirement
include: BA, DP,
A requirement to review the GO, GOP, LSE,
Nuclear GOP and
agreement(s) at least every three years. Part of Main Transmission
NUC-001-2 R9.1.3. Entities that can x
Requirement
include: BA, DP,
A dispute resolution mechanism. GO, GOP, LSE,
Nuclear GOP and
Part of Main Transmission
NUC-001-2 R9.1.4. Entities that can x
Requirement
include: BA, DP,
Technical requirements and analysis: GO, GOP, LSE,
Nuclear GOP and
Part of Main Transmission
NUC-001-2 R9.2. Entities that can x
Requirement
include: BA, DP,
Identification of parameters, limits, GO, GOP, LSE,
Nuclear GOP and
configurations, and operating scenarios Part of Main Transmission
NUC-001-2 R9.2.1. included in the NPIRs and, as Entities that can x
Requirement
applicable, procedures for providing include: BA, DP,
any specific data not provided within
Identification of facilities, components, GO, GOP, LSE,
Nuclear GOP and
and configuration restrictions that are Part of Main Transmission
NUC-001-2 R9.2.2. essential for meeting the NPIRs. Entities that can x
Requirement
include: BA, DP,
Types of planning and operational GO, GOP, LSE,
Nuclear GOP and
analyses performed specifically to Part of Main Transmission
NUC-001-2 R9.2.3. support the NPIRs, including the Entities that can x
Requirement
frequency of studies and types of include: BA, DP,
Contingencies and scenarios required.
Operations and maintenance GO, GOP, LSE,
Nuclear GOP and
coordination: Part of Main Transmission
NUC-001-2 R9.3. Entities that can x
Requirement
include: BA, DP,
GO, GOP, LSE,
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 50 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Designation of ownership of electrical Nuclear GOP and
facilities at the interface between the Part of Main Transmission
NUC-001-2 R9.3.1. electric system and the nuclear plant Entities that can x
Requirement
and responsibilities for operational include: BA, DP,
Identification of any and maintenance
control coordinationmaintenance GO, GOP, LSE,
Nuclear GOP and
requirements for equipment not owned Part of Main Transmission
NUC-001-2 R9.3.2. or controlled by the Nuclear Plant Entities that can x
Requirement
Generator Operator that are necessary include: BA, DP,
to meet the NPIRs.
Coordination of testing, calibration and GO, GOP, LSE,
Nuclear GOP and
maintenance of on-site and off-site Part of Main Transmission
NUC-001-2 R9.3.3. power supply systems and related Entities that can x
Requirement
components. include: BA, DP,
Provisions to address mitigating GO, GOP, LSE,
Nuclear GOP and
actions needed to avoid violating NPIRs Part of Main Transmission
NUC-001-2 R9.3.4. and to address periods when Entities that can x
Requirement
responsible Transmission Entity loses include: BA, DP,
Provision to considering, within the
the ability for assess the capability of GO, GOP, LSE,
Nuclear GOP and
restoration process, the requirements Part of Main Transmission
NUC-001-2 R9.3.5. and urgency of a nuclear plant that has Entities that can x
Requirement
lost all off-site and on-site AC power. include: BA, DP,
Coordination of physical and cyber GO, GOP, LSE,
Nuclear GOP and
security protection of the Bulk Electric Part of Main Transmission
NUC-001-2 R9.3.6. System at the nuclear plant interface to Entities that can x
Requirement
ensure each asset is covered under at include: BA, DP,
least one entity’s plan.
Coordination of the NPIRs with GO, GOP, LSE,
Nuclear GOP and
transmission system Special Protection Part of Main Transmission
NUC-001-2 R9.3.7. Systems and underfrequency and Entities that can x
Requirement
undervoltage load shedding programs. include: BA, DP,
Communications and training: GO, GOP, LSE,
Nuclear GOP and
Part of Main Transmission
NUC-001-2 R9.4. Entities that can x
Requirement
include: BA, DP,
Provisions for communications between GO, GOP, LSE,
Nuclear GOP and
the Nuclear Plant Generator Operator Part of Main Transmission
NUC-001-2 R9.4.1. and Transmission Entities, including Entities that can x
Requirement
communications protocols, notification include: BA, DP,
time requirements, and definitions of
Provisions for coordination during an GO, GOP, LSE,
Nuclear GOP and
off-normal or emergency event affecting Part of Main Transmission
NUC-001-2 R9.4.2. the NPIRs, including the need to provide Entities that can x
Requirement
timely information explaining the event, include: BA, DP,
an estimate of when the system will be
Provisions for coordinating GO, GOP, LSE,
Nuclear GOP and
investigations of causes of unplanned Part of Main Transmission
NUC-001-2 R9.4.3. events affecting the NPIRs and Entities that can x
Requirement
developing solutions to minimize future include: BA, DP,
risk of such events.
Provisions for supplying information GO, GOP, LSE,
Nuclear GOP and
necessary to report to government Part of Main Transmission
NUC-001-2 R9.4.4. agencies, as related to NPIRs. Entities that can x
Requirement
include: BA, DP,
Provisions for personnel training, as GO, GOP, LSE,
Nuclear GOP and
related to NPIRs. Part of Main Transmission
NUC-001-2 R9.4.5. Entities that can x
Requirement
include: BA, DP,
GO, GOP, LSE,
PERSONNEL PERFORMANCE,
TRAINING AND QUALIFICATIONS
Each Transmission Operator and
Balancing Authority shall provide
PER-001-0.1 R1. operating personnel with the HIGH BA, TOP x
responsibility and authority to
Each Transmission actions and
implement real-timeOperatorto ensure
Balancing Authority shall be staffed
PER-002-0 R1. HIGH BA, TOP x A X
with adequately trained operating
personnel.
Each Transmission Operator and
Balancing Authority shall have a
PER-002-0 R2. HIGH BA, TOP x A X
training program for all operating
personnel that are in:
Positions that have the primary
responsibility, either directly or through
PER-002-0 R2.1. communications with others, for the HIGH BA, TOP x A X
real-time operation of the
interconnected Bulk Electric System.
Positions directly responsible for
PER-002-0 R2.2. HIGH BA, TOP x A X
complying with NERC standards.
For personnel identified in Requirement
R2, the Transmission Operator and
PER-002-0 R3. Balancing Authority shall provide a HIGH BA, TOP x A X
training program meeting the following
criteria: training program objectives
A set of
must be defined, based on NERC and
PER-002-0 R3.1. Regional Reliability Organization MEDIUM BA, TOP x A X
standards, entity operating procedures,
and applicable regulatory requirements.
The training program must include a
plan for the initial and continuing
PER-002-0 R3.2. training of Transmission Operator and MEDIUM BA, TOP x A X
Balancing Authority operating
personnel. That plan shall address
The training program must include
training time for all Transmission
PER-002-0 R3.3. Operator and Balancing Authority LOWER BA, TOP x A X
operating personnel to ensure their
operating proficiency.
Training staff must be identified, and
the staff must be competent in both
PER-002-0 R3.4. LOWER BA, TOP x A X
knowledge of system operations and
instructional capabilities.
For personnel identified in Requirement
PER-002-0 (retired R2, each Transmission Operator and
R4. Balancing Authority shall provide its HIGH BA, TOP A X
4/1/2011)
operating personnel at least five days
per year of training and drills using
Each Transmission Operator, Balancing
Authority, and Reliability Coordinator
PER-003-0 R1. shall staff all operating positions that HIGH BA, RC, TOP ER
meet both of the following criteria with
personnel that are NERC-certified for
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 51 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Positions that have the primary
responsibility, either directly or through
PER-003-0 R1.1. communications with others, for the HIGH BA, RC, TOP ER
real-time operation of the
interconnected Bulk Electric System.
Positions directly responsible for
PER-003-0 R1.2. HIGH BA, RC, TOP ER
complying with NERC standards.
Each Reliability Coordinator shall be
staffed with adequately trained and
PER-004-1 (retired
R1. NERC-certified Reliability Coordinator HIGH RC X
4/1/2011)
operators, 24 hours per day, seven days
per week.
All Reliability Coordinator operating
PER-004-1 (retired personnel shall each complete a
R2. minimum of five days per year of HIGH RC
4/1/2011)
training and drills using realistic
simulations of system emergencies, in
Reliability Coordinator operating
personnel shall have a comprehensive
PER-004-1 R3. understanding of the Reliability HIGH RC
Coordinator Area and interactions with
Reliability Coordinator Coordinator
neighboring Reliability operating
personnel shall have an extensive
PER-004-1 R4. understanding of the Balancing HIGH RC
Authorities, Transmission Operators,
and Generation Operators within
Reliability Coordinator operating the
PER-004-1 (retired personnel shall place particular
R5. attention on SOLs and IROLs and inter- HIGH RC
4/1/2011)
tie facility limits. The Reliability
Coordinator shall ensure protocols are
Each Reliability Coordinator shall be
staffed with adequately trained and
PER-004-2 R1. NERC-certified Reliability Coordinator Pending RC
operators, 24 hours per day, seven days
per week. Coordinator operating
Reliability
personnel shall place particular
PER-004-2 R2. attention on SOLs and IROLs and inter- Pending RC
tie facility limits. The Reliability
Coordinator shall ensure protocols are
Each Reliability Coordinator, Balancing
PER-005-1 Authority and Transmission Operator
R1. shall use a systematic approach to MEDIUM BA, RC, TOP
(effective 4/1/2013)
training to establish a training program
for the BES company-specificBalancing
Each Reliability Coordinator, reliability-
PER-005-1 Authority and Transmission Operator
R1.1. shall create a list of BES company- MEDIUM BA, RC, TOP
(effective 4/1/2013)
specific reliability-related tasks
Each Reliability System Operators.
performed by itsCoordinator, Balancing
PER-005-1 Authority and Transmission Operator
R1.1.1. shall update its list of BES company- MEDIUM BA, RC, TOP
(effective 4/1/2013)
specific reliability-related tasks
Each Reliability System Operators each
performed by itsCoordinator, Balancing
PER-005-1 Authority and Transmission Operator
R1.2. shall design and develop learning MEDIUM BA, RC, TOP
(effective 4/1/2013)
objectives and training materials based
Each Reliabilitycreated in R1.1.
on the task list Coordinator, Balancing
PER-005-1 Authority and Transmission Operator
R1.3. MEDIUM BA, RC, TOP
(effective 4/1/2013) shall deliver the training established in
R1.2.
Each Reliability Coordinator, Balancing
PER-005-1 Authority and Transmission Operator
R1.4. shall conduct an annual evaluation of MEDIUM BA, RC, TOP
(effective 4/1/2013)
the training program established in R1,
to identify any needed changes to the
Each Reliability Coordinator, Balancing
PER-005-1 Authority and Transmission Operator
R2. shall verify each of its System HIGH BA, RC, TOP
(effective 4/1/2013)
Operator’s capabilities to perform each
assigned task identified in R1.1 at least
Within six months of a modification of
PER-005-1 the BES company-specific reliability-
R2.1. related tasks, each Reliability HIGH BA, RC, TOP
(effective 4/1/2013)
Coordinator, Balancing Authority and
At least every Operator shall verify each
Transmission 12 months each
PER-005-1 Reliability Coordinator, Balancing
R3. Authority and Transmission Operator MEDIUM BA, RC, TOP x
(effective 4/1/2011)
shall provide each of its System
Operators with at least 32 hours of
Each Reliability Coordinator, Balancing
PER-005-1 Authority and Transmission Operator
R3.1 that has operational authority or control MEDIUM BA, RC, TOP
(effective 4/1/2014)
over Facilities with established IROLs
or has established operating guides or
PROTECTION AND CONTROL
Each Transmission Operator, Balancing
Authority, and Generator Operator shall
PRC-001-1 R1. be familiar with the purpose and HIGH BA, GOP, TOP x A X
limitations of protection system
schemes applied in its area.
Each Generator Operator and
Transmission Operator shall notify
PRC-001-1 R2. HIGH GOP, TOP x A X
reliability entities of relay or equipment
failures as follows:
If a protective relay or equipment failure
reduces system reliability, the
PRC-001-1 R2.1. Generator Operator shall notify its HIGH GOP x A X
Transmission Operator and Host
Balancing Authority. The Generator
If a protective relay or equipment failure
reduces system reliability, the
PRC-001-1 R2.2. Transmission Operator shall notify its HIGH TOP x A X
Reliability Coordinator and affected
A Generator Operator or and Balancing
Transmission Operators Transmission
Operator shall coordinate new No VRF
PRC-001-1 R3. GOP, TOP x A X
protective systems and changes as Assigned
follows.
Each Generator Operator shall
coordinate all new protective systems
PRC-001-1 R3.1. and all protective system changes with HIGH GOP x A X
its Transmission Operator and Host
Balancing Authority.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 52 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Each Transmission Operator shall
coordinate all new protective systems
PRC-001-1 R3.2. and all protective system changes with HIGH TOP x A X
neighboring Transmission Operators
and Balancing Authorities. shall
Each Transmission Operator
coordinate protection systems on major
PRC-001-1 R4. transmission lines and interconnections HIGH TOP x A X
with neighboring Generator Operators,
Transmission Operators, and Balancing
A Generator Operator or Transmission
Operator shall coordinate changes in
PRC-001-1 R5. generation, transmission, load or HIGH GOP, TOP x A X
operating conditions that could require
Each Generator Operator systems of
changes in the protection shall notify its
Transmission Operator in advance of
PRC-001-1 R5.1. changes in generation or operating HIGH GOP x A X
conditions that could require changes
in theTransmission Operator shall
Each Transmission Operator’s
notify neighboring Transmission
PRC-001-1 R5.2. Operators in advance of changes in HIGH TOP x A X
generation, transmission, load, or
operating conditions that could require
Each Transmission Operator and
Balancing Authority shall monitor the
PRC-001-1 R6. status of each Special Protection HIGH BA, TOP x A X
System in their area, and shall notify
affected Transmission Operators and
The Transmission Owner and any
Distribution Provider that owns a
transmission Protection System shall
each analyze its transmission
Protection System Misoperations and
PRC-004-1 (PRC- shall develop and implement a
R1. HIGH DP, TO x A X
004-2 R1 Eff. 4/1/12) Corrective Action Plan to avoid future
Misoperations of a similar nature
according to the Regional Reliability
Organization’s procedures developed
for Reliability Standard PRC-003
Requirement 1.
The Generator Owner shall analyze its
generator Protection System
Misoperations, and shall develop and
implement a Corrective Action Plan to
PRC-004-1 R2. HIGH GO x X
avoid future Misoperations of a similar
nature according to the Regional
Reliability Organization’s procedures
developed for PRC-003 R1.
The Transmission Owner, any
Distribution Provider that owns a
transmission Protection System, and
PRC-004-1 R3. the Generator Owner shall each provide LOWER DP, GO, TO x
to its Regional Reliability Organization,
documentation of its Misoperations
The Transmission OwnerAction Plans
analyses and Corrective and any
Distribution Provider that owns a
PRC-004-2 transmission Protection System shall
R1. each analyze its transmission HIGH DP, TO
effective 4/1/2012
Protection System Misoperations and
shall develop and implement a
Corrective Action Plan to avoid future
The Generator Owner shall analyze its
generator Protection System
PRC-004-2 Misoperations, and shall develop and
R2. implement a Corrective Action Plan to HIGH GO
effective 4/1/2013
avoid future Misoperations of a similar
nature according to the Regional
Entity’s procedures.
The Transmission Owner, any
Distribution Provider that owns a
PRC-004-2 transmission Protection System, and
R3. the Generator Owner shall each provide LOWER DP, GO, TO
effective 4/1/2014
to its Regional Entity, documentation of
its Misoperations analyses and
Each Transmission Owner and any to
Corrective Action Plans according
Distribution Provider that owns a
PRC-005-1 R1. transmission Protection System and HIGH DP, GO, TO x A X
each Generator Owner that owns a
generation Protection System shall have
Maintenance and testing intervals and
PRC-005-1 R1.1. HIGH DP, GO, TO x A X
their basis.
Summary of maintenance and testing
PRC-005-1 R1.2. HIGH DP, GO, TO x A X
procedures.
Each Transmission Owner and any
Distribution Provider that owns a
PRC-005-1 R2. transmission Protection System and LOWER DP, GO, TO x A X
each Generator Owner that owns a
generation Protection System shall
Evidence Protection System devices
PRC-005-1 R2.1. were maintained and tested within the HIGH DP, GO, TO x A X
defined intervals.
Date each Protection System device
PRC-005-1 R2.2. HIGH DP, GO, TO x A X
was last tested/maintained.
The Transmission Owner and
Distribution Provider with a UFLS
PRC-007-0 R1. program (as required by its Regional MEDIUM DP, TO
Reliability Organization) shall ensure
The its UFLS program is consistent with
that Transmission Owner, Transmission
Operator, Distribution Provider, and
Load-Serving Entity that owns or
operates a UFLS program (as required
PRC-007-0 R2. LOWER DP, LSE, TO, TOP A A
by its Regional Reliability Organization)
shall provide, and annually update, its
underfrequency data as necessary for
its Regional Reliability Organization to
maintain and update a UFLS program
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 53 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Transmission Owner and
Distribution Provider that owns a UFLS
PRC-007-0 R3. program (as required by its Regional LOWER DP, TO
Reliability Organization) shall provide
its documentation of that UFLS program
The Transmission Owner and
Distribution Provider with a UFLS
program (as required by its Regional
Reliability Organization) shall have a
UFLS equipment maintenance and
PRC-008-0 R1. testing program in place. This UFLS MEDIUM DP, TO x A X
equipment maintenance and testing
program shall include UFLS equipment
identification, the schedule for UFLS
equipment testing, and the schedule for
UFLS equipment maintenance.
The Transmission Owner and
Distribution Provider with a UFLS
PRC-008-0 R2. program (as required by its Regional MEDIUM DP, TO x A X
Reliability Organization) shall
implement its UFLS equipment
The Transmission Owner, Transmission
Operator, Load-Serving Entity, and
PRC-009-0 R1. Distribution Provider that owns or MEDIUM DP, LSE, TO, TOP
operates a UFLS program (as required
by its Regional Reliability Organization)
A description of the event including
PRC-009-0 R1.1. MEDIUM DP, LSE, TO, TOP
initiating conditions.
A review of the UFLS set points and
PRC-009-0 R1.2. MEDIUM DP, LSE, TO, TOP
tripping times.
PRC-009-0 R1.3. A simulation of the event. MEDIUM DP, LSE, TO, TOP
PRC-009-0 R1.4. A summary of the findings. MEDIUM DP, LSE, TO, TOP
The Transmission Owner, Transmission
Operator, Load-Serving Entity, and
PRC-009-0 R2. Distribution Provider that owns or LOWER DP, LSE, TO, TOP
operates a UFLS program (as required
by its Regional Reliability Organization)
The Load-Serving Entity, Transmission
Owner, Transmission Operator, and
PRC-010-0 R1. Distribution Provider that owns or MEDIUM DP, LSE, TO, TOP
operates a UVLS program shall
periodically (at least every five years or
This assessment shall include, but is
PRC-010-0 R1.1. MEDIUM DP, LSE, TO, TOP
not limited to:
Coordination of the UVLS programs with
other protection and control systems in
PRC-010-0 R1.1.1. MEDIUM DP, LSE, TO, TOP
the Region and with other Regional
Reliability Organizations, as appropriate.
Simulations that demonstrate that the
UVLS programs performance is
PRC-010-0 R1.1.2. consistent with Reliability Standards MEDIUM DP, LSE, TO, TOP
TPL-001-0, TPL-002-0, TPL-003-0 and
TPL-004-0.
A review of the voltage set points and
PRC-010-0 R1.1.3. MEDIUM DP, LSE, TO, TOP
timing.
The Load-Serving Entity, Transmission
Owner, Transmission Operator, and
PRC-010-0 R2. Distribution Provider that owns or LOWER DP, LSE, TO, TOP
operates a UVLS program shall provide
documentation of its current UVLS
The Transmission Owner and
Distribution Provider that owns a UVLS
PRC-011-0 R1. system shall have a UVLS equipment MEDIUM DP, TO x X
maintenance and testing program in
place. This program shall include:
The UVLS system identification which
PRC-011-0 R1.1. MEDIUM DP, TO x X
shall include but is not limited to:
PRC-011-0 R1.1.1. Relays. MEDIUM DP, TO x X
PRC-011-0 R1.1.2. Instrument transformers. MEDIUM DP, TO x X
Communications systems, where
PRC-011-0 R1.1.3. MEDIUM DP, TO x X
appropriate.
PRC-011-0 R1.1.4. Batteries. MEDIUM DP, TO x X
Documentation of maintenance and
PRC-011-0 R1.2. MEDIUM DP, TO x X
testing intervals and their basis.
PRC-011-0 R1.3. Summary of testing procedure. MEDIUM DP, TO x X
PRC-011-0 R1.4. Schedule for system testing. MEDIUM DP, TO x X
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 54 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
PRC-011-0 R1.5. Schedule for system maintenance. MEDIUM DP, TO x X
PRC-011-0 R1.6. Date last tested/maintained. MEDIUM DP, TO x X
The Transmission Owner and
Distribution Provider that owns a UVLS
system shall provide documentation of
its UVLS equipment maintenance and
PRC-011-0 R2. testing program and the implementation LOWER DP, TO x A
of that UVLS equipment maintenance
and testing program to its Regional
Reliability Organization and NERC on
request (within 30 calendar days).
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-015-0 R1. owns an SPS shall maintain a list of and MEDIUM DP, GO, TO
provide data for existing and proposed
SPSs as specified in Reliability
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-015-0 R2. owns an SPS shall have evidence it MEDIUM DP, GO, TO
reviewed new or functionally modified
SPSs in accordance with the Regional
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-015-0 R3. owns an SPS shall provide LOWER DP, GO, TO
documentation of SPS data and the
results of studies that show compliance
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-016-0.1 R1. owns an SPS shall analyze its SPS MEDIUM DP, GO, TO
operations and maintain a record of all
misoperations in accordance with the
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-016-0.1 R2. owns an SPS shall take corrective MEDIUM DP, GO, TO
actions to avoid future misoperations.
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-016-0.1 R3. owns an SPS shall provide LOWER DP, GO, TO ER
documentation of the misoperation
analyses and the corrective action
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-017-0 R1. owns an SPS shall have a system HIGH DP, GO, TO x X
maintenance and testing program(s) in
place. The program(s) shall include:
SPS identification shall include but is
PRC-017-0 R1.1. HIGH DP, GO, TO x X
not limited to:
PRC-017-0 R1.1.1. Relays. HIGH DP, GO, TO x X
PRC-017-0 R1.1.2. Instrument transformers. HIGH DP, GO, TO x X
Communications systems, where
PRC-017-0 R1.1.3. HIGH DP, GO, TO x X
appropriate.
PRC-017-0 R1.1.4. Batteries. HIGH DP, GO, TO x X
Documentation of maintenance and
PRC-017-0 R1.2. HIGH DP, GO, TO x X
testing intervals and their basis.
PRC-017-0 R1.3. Summary of testing procedure. HIGH DP, GO, TO x X
PRC-017-0 R1.4. Schedule for system testing. HIGH DP, GO, TO x X
PRC-017-0 R1.5. Schedule for system maintenance. HIGH DP, GO, TO x X
PRC-017-0 R1.6. Date last tested/maintained. MEDIUM DP, GO, TO x X
The Transmission Owner, Generator
Owner, and Distribution Provider that
PRC-017-0 R2. owns an SPS shall provide LOWER DP, GO, TO x A X
documentation of the program and its
implementation to the appropriate
Each Transmission Owner and
Generator Owner required to install
PRC-018-1 R1. DMEs by its Regional Reliability LOWER GO, TO
Organization (reliability standard PRC-
Internal Clocks in DME shall have DMEs
002 Requirements 1-3) devices shall be
synchronized to within 2 milliseconds
PRC-018-1 R1.1. LOWER GO, TO
or less of Universal Coordinated Time
scale (UTC)
Recorded data from each Disturbance
PRC-018-1 R1.2. shall be retrievable for ten calendar LOWER GO, TO
days..
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 55 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Transmission Owner and Generator
Owner shall each install DMEs in
PRC-018-1 R2. accordance with its Regional Reliability LOWER GO, TO
Organization’s installation requirements
(reliability standard PRC-002 Generator
The Transmission Owner and
Owner shall each maintain, and report
PRC-018-1 R3. to its Regional Reliability Organization LOWER GO, TO
on request, the following data on the
DMEs installed to meet that region’s
Type of DME (sequence of event
PRC-018-1 R3.1. recorder, fault recorder, or dynamic LOWER GO, TO
disturbance recorder).
PRC-018-1 R3.2. Make and model of equipment. LOWER GO, TO
PRC-018-1 R3.3. Installation location. LOWER GO, TO
PRC-018-1 R3.4. Operational status. LOWER GO, TO
PRC-018-1 R3.5. Date last tested. LOWER GO, TO
Monitored elements, such as
PRC-018-1 R3.6. LOWER GO, TO
transmission circuit, bus section, etc.
Monitored devices, such as circuit
PRC-018-1 R3.7. LOWER GO, TO
breaker, disconnect status, alarms, etc.
Monitored electrical quantities, such as
PRC-018-1 R3.8. LOWER GO, TO
voltage, current, etc.
The Transmission Owner and Generator
Owner shall each provide Disturbance
PRC-018-1 R4. data (recorded by DMEs) in accordance LOWER GO, TO
with its Regional Reliability
Organization’s requirements (reliability
The Transmission Owner and Generator
Owner shall each archive all data
PRC-018-1 R5. recorded by DMEs for Regional LOWER GO, TO
Reliability Organization-identified
events for at least three years.
Each Transmission Owner and
Generator Owner that is required by its
PRC-018-1 R6. Regional Reliability Organization to LOWER GO, TO
have DMEs shall have a maintenance
and testing program for those DMEs
Maintenance and testing intervals and
PRC-018-1 R6.1. LOWER GO, TO
their basis.
Summary of maintenance and testing
PRC-018-1 R6.2. LOWER GO, TO
procedures.
Each Transmission Owner and
Distribution Provider that owns a UVLS
PRC-021-1 R1. program to mitigate the risk of voltage LOWER DP, TO A A
collapse or voltage instability in the
BES shall annually update its UVLS data
Size and location of customer load, or
PRC-021-1 R1.1. percent of connected load, to be LOWER DP, TO A A
interrupted.
Corresponding voltage set points and
PRC-021-1 R1.2. MEDIUM DP, TO A A
overall scheme clearing times.
PRC-021-1 R1.3. Time delay from initiation to trip signal. LOWER DP, TO A A
PRC-021-1 R1.4. Breaker operating times. LOWER DP, TO A A
Any other schemes that are part of or
impact the UVLS programs such as
PRC-021-1 R1.5. related generation protection, islanding LOWER DP, TO A A
schemes, automatic load restoration
schemes, UFLS andOwner and
Each Transmission Special Protection
Distribution Provider that owns a UVLS
PRC-021-1 R2. program shall provide its UVLS program LOWER DP, TO
data to the Regional Reliability
Each Transmission 30 calendar days
Organization within Operator, Load- of
Serving Entity, and Distribution Provider
PRC-022-1 R1. that operates a UVLS program to MEDIUM DP, LSE, TOP
mitigate the risk of voltage collapse or
voltage instability in the BES shall
A description of the event including
PRC-022-1 R1.1. LOWER DP, LSE, TOP
initiating conditions.
A review of the UVLS set points and
PRC-022-1 R1.2. MEDIUM DP, LSE, TOP
tripping times.
A simulation of the event, if deemed
appropriate by the Regional Reliability
PRC-022-1 R1.3. Organization. For most events, analysis LOWER DP, LSE, TOP
of sequence of events may be sufficient
and dynamic simulations may not be
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 56 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
PRC-022-1 R1.4. A summary of the findings. LOWER DP, LSE, TOP
For any Misoperation, a Corrective
PRC-022-1 R1.5. Action Plan to avoid future MEDIUM DP, LSE, TOP
Misoperations of a similar nature.
Each Transmission Operator, Load-
Serving Entity, and Distribution Provider
PRC-022-1 R2. that operates a UVLS program shall LOWER DP, LSE, TOP
provide documentation of its analysis of
UVLS program performance to its
Each Transmission Owner, Generator
Owner, and Distribution Provider shall
use any one of the following criteria
(R1.1 through R1.13) for any specific
circuit terminal to prevent its phase
protective relay settings from limiting
transmission system loadability while
PRC-023-1 R1. HIGH TO, GO, DP x A X
maintaining reliable protection of the
Bulk Electric System for all fault
conditions. Each Transmission Owner,
Generator Owner, and Distribution
Provider shall evaluate relay loadability
at 0.85 per unit voltage and a power
factor angle of 30 degrees:
Set transmission line relays so they do
not operate at or below 150% of the Part of Main
PRC-023-1 R1.1. highest seasonal Facility Rating of a TO, GO, DP x A X
Requirement
circuit, for the available defined loading
Set transmission line relays so they in
duration nearest 4 hours (expressed do
not operate at or below 115% of the Part of Main
PRC-023-1 R1.2. highest seasonal 15-minute Facility TO, GO, DP x A X
Requirement
Rating of a circuit (expressed in
amperes). (Whenline relays so they do
Set transmission a 15-minute rating
not operate at or below 115% of the Part of Main
PRC-023-1 R1.3. maximum theoretical power transfer TO, GO, DP x A X
Requirement
capability (using a 90-degree angle
between the sendingend and receiving-
An infinite source (zero source
impedance) with a 1.00 per unit bus Part of Main
PRC-023-1 R1.3.1. TO, GO, DP x A X
voltage Requirement
at each end of the line.
An impedance at each end of the line,
which reflects the actual system Part of Main
PRC-023-1 R1.3.2. TO, GO, DP x A X
source impedance with a 1.05 per unit Requirement
voltage behind each source impedance.
Set transmission line relays on series
compensated transmission lines so Part of Main
PRC-023-1 R1.4. they do not operate at or below the TO, GO, DP x A X
Requirement
maximum power transfer capability of
the line, determined as the greater of:
Set transmission line relays on weak
source systems so they do not operate Part of Main
PRC-023-1 R1.5. at or below 170% of the maximum end- TO, GO, DP x A X
Requirement
of-line three-phase fault magnitude
(expressed in amperes).
Set transmission line relays applied on
transmission lines connected to Part of Main
PRC-023-1 R1.6. generation stations remote to load so TO, GO, DP x A X
Requirement
they do not operate at or below 230% of
the aggregated generation nameplate
Set transmission line relays applied at
the load center terminal, remote from Part of Main
PRC-023-1 R1.7. generation stations, so they do not TO, GO, DP x A X
Requirement
operate at or below 115% of the
maximum currentline relays the load on
Set transmission flow from applied to
the bulk system-end of transmission Part of Main
PRC-023-1 R1.8. lines that serve load remote to the TO, GO, DP x A X
Requirement
system so they do not operate at or
below 115% of the maximum applied on
Set transmission line relays current
the load-end of transmission lines that Part of Main
PRC-023-1 R1.9. serve load remote to the bulk system so TO, GO, DP x A X
Requirement
they do not operate at or below 115% of
Set transformer fault flow from relays
the maximum current protection the load
and transmission line relays on Part of Main
PRC-023-1 R1.10. transmission lines terminated only with TO, GO, DP x A X
Requirement
a transformer so that they do not
operate at or below the greater of:
For transformer overload protection
relays that do not comply with R1.10 set Part of Main
PRC-023-1 R1.11. the TO, GO, DP x A X
Requirement
relays according to one of the following:
When the desired allow the transformer
- Set the relays totransmission line
capability is limited by the requirement Part of Main
PRC-023-1 R1.12. to TO, GO, DP x A X
Requirement
adequately protect the transmission
line, set the transmission line distance
Set the maximum torque angle (MTA) to
Part of Main
PRC-023-1 R1.12.1. 90 degrees or the highest supported by TO, GO, DP x A X
Requirement
the manufacturer.
Evaluate the relay loadability in
amperes at the relay trip point at 0.85 Part of Main
PRC-023-1 R1.12.2. per TO, GO, DP x A X
Requirement
unit voltage and a power factor angle of
30 degrees.
Include a relay setting component of
87% of the current calculated in R1.12.2 Part of Main
PRC-023-1 R1.12.3. TO, GO, DP x A X
in the Facility Rating determination for Requirement
the circuit.
Where other situations present
practical limitations on circuit Part of Main
PRC-023-1 R1.13. capability, set the phase protection TO, GO, DP x A X
Requirement
relays so they do not operate at or
below 115% of such limitations.
The Transmission Owner, Generator
Owner, or Distribution Provider that
PRC-023-1 R2. uses a circuit capability with the MEDIUM TO, GO, DP x
practical limitations described in R1.6,
R1.7, R1.8, R1.9, R1.12, or R1.13 shall
The Planning Coordinator shall
determine which of the facilities
PRC-023-1 R3. (transmission lines operated at 100 kV MEDIUM PA, PC x A
to 200 kV and transformers with low
voltage terminals connected at 100 kV
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 57 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Planning Coordinator shall have a
process to determine the facilities that Part of Main
PRC-023-1 R3.1. PA, PC x A
are critical to the reliability of the Bulk Requirement
Electric System.
This process shall consider input from
Part of Main
PRC-023-1 R3.1.1. adjoining Planning Coordinators and PA, PC x A
Requirement
affected Reliability Coordinators.
The Planning Coordinator shall maintain
a current list of facilities determined Part of Main
PRC-023-1 R3.2. PA, PC x A
according to the process described in Requirement
R3.1.
The Planning Coordinator shall provide
a list of facilities to its Reliability Part of Main
PRC-023-1 R3.3. Coordinators, Transmission Owners, PA, PC x A
Requirement
Generator Owners, and Distribution
Providers within 30 days of the
TRANSMISSION OPERATIONS
Each Transmission Operator shall have
the responsibility and clear decision-
making authority to take whatever
TOP-001-1 R1. actions are needed to ensure the HIGH TOP x
reliability of its area and shall exercise
specific authority to alleviate operating
emergencies.
Each Transmission Operator shall take
immediate actions to alleviate operating
TOP-001-1 R2. emergencies including curtailing HIGH TOP x
transmission service or energy
schedules, operating equipment (e.g.,
Each Transmission Operator, Balancing
Authority, and Generator Operator shall
comply with reliability directives issued
TOP-001-1 R3. by the Reliability Coordinator, and each HIGH BA, GOP, TOP x
Balancing Authority and Generator
Operator shall comply with reliability
directives issued by the Transmission
Each Distribution Provider and Load-
Serving Entity shall comply with all
TOP-001-1 R4. reliability directives issued by the HIGH DP, LSE x
Transmission Operator, including
shedding firm load, unless such actions
Each Transmission Operator shall
inform its Reliability Coordinator and
any other potentially affected
TOP-001-1 R5. Transmission Operators of real-time or HIGH TOP x
anticipated emergency conditions, and
take actions to avoid, when possible, or
mitigate the emergency.
Each Transmission Operator, Balancing
Authority, and Generator Operator shall
TOP-001-1 R6. render all available emergency HIGH BA, GOP, TOP x
assistance to others as requested,
provided that the requesting entity has
Each Transmission Operator and
Generator Operator shall not remove
TOP-001-1 R7. Bulk Electric System facilities from HIGH GOP, TOP x
service if removing those facilities
wouldgenerator outage, thesystems
For a burden neighboring Generator
Operator shall notify and coordinate
TOP-001-1 R7.1. with the Transmission Operator. The HIGH GOP, TOP x
Transmission Operator shall notify the
Reliability Coordinator and the
For a transmission facility, other
Transmission Operator shall notify and
TOP-001-1 R7.2. coordinate with its Reliability HIGH TOP x
Coordinator. The Transmission
Operator shall notifypermit affected
When time does not other such
notifications and coordination, or when
TOP-001-1 R7.3. immediate action is required to prevent HIGH GOP, TOP x
a hazard to the public, lengthy customer
servicea system emergency, theto
During interruption, or damage
Balancing Authority and Transmission
TOP-001-1 R8. Operator shall immediately take action HIGH BA, RC, TOP x
to restore the Real and Reactive Power
Balance. If the Balancing Authority or
Transmission Operator is unable to
Each Balancing Authority and
Transmission Operator shall maintain a
set of current plans that are designed to
evaluate options and set procedures for
reliable operation through a reasonable
future time period. In addition, each
TOP-002-2a R1. MEDIUM BA, TOP x
Balancing Authority and Transmission
Operator shall be responsible for using
available personnel and system
equipment to implement these plans to
ensure that interconnected system
reliability will be maintained.
Each Balancing Authority and
Transmission Operator shall ensure its
TOP-002-2a R2. operating personnel participate in the MEDIUM BA, TOP x
system planning and design study
processes, so that these studies
Each Load-Serving Entity and Generator
Operator shall coordinate (where
confidentiality agreements allow) its
current-day, next-day, and seasonal
operations with its Host Balancing
BA, GOP, LSE,
TOP-002-2a R3. Authority and Transmission Service MEDIUM x A X
TSP
Provider. Each Balancing Authority and
Transmission Service Provider shall
coordinate its current-day, next-day,
and seasonal operations with its
Transmission Operator.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 58 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Each Balancing Authority and
Transmission Operator shall coordinate
TOP-002-2a R4. (where confidentiality agreements MEDIUM BA, TOP x
allow) its current-day, next-day, and
seasonal planning and operations with
Each Balancing Authority and
Transmission Operator shall plan to
TOP-002-2a R5. meet scheduled system configuration, MEDIUM BA, TOP x
generation dispatch, interchange
scheduling and demand patterns.
Each Balancing Authority and
Transmission Operator shall plan to
meet unscheduled changes in system
configuration and generation dispatch
TOP-002-2a R6. (at a minimum N-1 Contingency MEDIUM BA, TOP x X
planning) in accordance with NERC,
Regional Reliability Organization,
subregional, and local reliability
requirements.
Each Balancing Authority shall plan to
meet capacity and energy reserve
TOP-002-2a R7. requirements, including the MEDIUM BA x
deliverability/capability for any single
Contingency.
Each Balancing Authority shall plan to
meet voltage and/or reactive limits,
TOP-002-2a R8. MEDIUM BA x
including the deliverability/capability
for any single contingency.
Each Balancing Authority shall plan to
TOP-002-2a R9. LOWER BA x
meet Interchange Schedules and Ramps.
Each Balancing Authority and
Transmission Operator shall plan to
TOP-002-2a R10. meet all System Operating Limits MEDIUM BA, TOP x
(SOLs) and Interconnection Reliability
Operating Limits (IROLs).
The Transmission Operator shall
perform seasonal, next-day, and current-
TOP-002-2a R11. day Bulk Electric System studies to MEDIUM TOP x A X
determine SOLs. Neighboring
Transmission Operators shall utilize
The Transmission Service Provider
shall include known SOLs or IROLs
TOP-002-2a R12. within its area and neighboring areas in MEDIUM TSP x
the determination of transfer
capabilities, inof the Balancing filed
At the request accordance with
Authority or Transmission Operator, a
TOP-002-2a R13. Generator Operator shall perform MEDIUM GOP x
generating real and reactive capability
verification that shallshall, without any
Generator Operators include, among
intentional time delay, notify their
TOP-002-2a R14. Balancing Authority and Transmission MEDIUM GOP x
Operator of changes in capabilities and
characteristics including but not limited
Changes in real output capabilities.
TOP-002-2a R14.1. MEDIUM GOP x
(Effective August 1, 2007)
Automatic Voltage Regulator status and
TOP-002-2a R14.2. LOWER GOP x
mode setting. (Retired August 1, 2007)
Generation Operators shall, at the
request of the Balancing Authority or
TOP-002-2a R15. Transmission Operator, provide a LOWER GOP x
forecast of expected real power output
to assist in operations planning (e.g., a
Subject to standards of conduct and
confidentiality agreements,
TOP-002-2a R16. Transmission Operators shall, without MEDIUM TOP x
any intentional time delay, notify their
Reliability Coordinator and Balancing
TOP-002-2a R16.1. Changes in transmission facility status. HIGH TOP x
TOP-002-2a R16.2. Changes in transmission facility rating. HIGH TOP x
Balancing Authorities and Transmission
Operators shall, without any intentional
TOP-002-2a R17. time delay, communicate the HIGH BA, TOP x
information described in the
Neighboring Balancing above to their
requirements R1 to R16Authorities,
Transmission Operators, Generator BA, GOP, LSE,
TOP-002-2a R18. Operators, Transmission Service MEDIUM x A X
TOP, TSP
Providers, and Load-Serving Entities
shall use uniform line identifiers when
Each Balancing Authority and
Transmission Operator shall maintain
TOP-002-2a R19. accurate computer models utilized for MEDIUM BA, TOP x
analyzing and planning system
operations.
Generator Operators and Transmission
No VRF
TOP-003-1 R1. Operators shall provide planned outage GOP, TOP
Assigned
information.
Each Generator Operator shall provide
outage information daily to its
TOP-003-1 R1.1. Transmission Operator for scheduled MEDIUM GOP, TOP
generator outages planned for the next
day (any foreseen outage of ashall
Each Transmission Operator generator
provide outage information daily to
TOP-003-1 R1.2. affected Balancing Authorities and MEDIUM RC, TOP
Transmission Operators for scheduled
generator and bulk transmission
Such information shall be available by
1200 Central Standard Time for the
TOP-003-1 R1.3. Eastern Interconnection and 1200 MEDIUM GOP, TOP
Pacific Standard Time for the Western
Interconnection.
Each Transmission Operator, Balancing
Authority, and Generator Operator shall
TOP-003-1 R2. plan and coordinate scheduled outages MEDIUM BA, GOP, TOP
of system voltage regulating equipment,
such as automatic voltage regulators on
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 59 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Each Transmission Operator, Balancing
Authority, and Generator Operator shall
TOP-003-1 R3. plan and coordinate scheduled outages MEDIUM BA, GOP, TOP
of telemetering and control equipment
and associated communication
Each Reliability Coordinator shall
TOP-003-1 R4. resolve any scheduling of potential MEDIUM RC
reliability conflicts.
Each Transmission Operator shall
operate within the Interconnection
TOP-004-2 R1. Reliability Operating Limits (IROLs) and HIGH TOP x
System Operating Limits (SOLs).
Each Transmission Operator shall
operate so that instability, uncontrolled
TOP-004-2 R2. separation, or cascading outages will HIGH TOP x
not occur as a result of the most severe
single contingency. Operator shall
Each Transmission
operate to protect against instability,
TOP-004-2 R3. uncontrolled separation, or cascading HIGH TOP x
outages resulting from multiple
If a Transmission Operator Reliability
outages, as specified by itsenters an
unknown operating state (i.e. any state
TOP-004-2 R4. for which valid operating limits have not HIGH TOP x
been determined), it will be considered
to be in an emergency and shall restore
Each Transmission Operator shall make
every effort to remain connected to the
TOP-004-2 R5. Interconnection. If the Transmission HIGH TOP x
Operator determines that by remaining
interconnected, it is in imminent danger
Transmission Operators, individually
and jointly with other Transmission
Operators, shall develop, maintain, and
implement formal policies and
procedures to provide for transmission
TOP-004-2 R6. reliability. These policies and MEDIUM TOP x A X
procedures shall address the execution
and coordination of activities that
impact inter- and intra-Regional
reliability, including:
Monitoring and controlling voltage
levels and real and reactive power flows.
TOP-004-2 R6.1. MEDIUM TOP x A X
Switching transmission elements.
TOP-004-2 R6.2. MEDIUM TOP x A X
Planned outages of transmission
elements.
TOP-004-2 R6.3. MEDIUM TOP x A X
Responding to IROL and SOL violations.
TOP-004-2 R6.4. MEDIUM TOP x A X
As a condition of receiving data from
the Interregional Security Network (ISN),
TOP-005-2a R1. each ISN data recipient shall sign the Pending NERC_Net Users ER
NERC Confidentiality Agreement for
―Electric System Reliability Data.‖
Upon request, each Balancing Authority
and Transmission Operator shall
TOP-005-2a R2. provide to other Balancing Authorities Pending BA, TOP ER
and Transmission Operators with
Each Purchasing-Selling for operational
immediate responsibility Entity shall
provide information as requested by its
TOP-005-2a R3. Host Balancing Authorities and Pending PSE ER
Transmission Operators to enable them
to conduct operational reliability
Each Transmission Operator and
Balancing Authority shall know the
TOP-006-2 R1. status of all generation and MEDIUM BA, TOP
transmission resources available for
use.
Each Generator Operator shall inform
its Host Balancing Authority and the
TOP-006-2 R1.1. MEDIUM GOP
Transmission Operator of all generation
resources available for use.
Each Transmission Operator and
Balancing Authority shall inform the
TOP-006-2 R1.2. Reliability Coordinator and other MEDIUM BA, TOP
affected Balancing Authorities and
Transmission Operators of all
Each Reliability Coordinator,
Transmission Operator, and Balancing
TOP-006-2 R2. Authority shall monitor applicable HIGH BA, RC, TOP
transmission line status, real and
reactive power flows, voltage, load-tap-
Each Reliability Coordinator,
Transmission Operator, and Balancing
TOP-006-2 R3. Authority shall provide appropriate MEDIUM BA, RC, TOP
technical information concerning
protective relays to their operating
Each Transmission Operator, and
Balancing Authority shall have
TOP-006-2 R4. information, including weather MEDIUM BA, TOP
forecasts and past load patterns,
available to predict the system’s near-
Each Reliability Coordinator,
Transmission Operator, and Balancing
TOP-006-2 R5. Authority shall use monitoring MEDIUM BA, RC, TOP
equipment to bring to the attention of
operating personnel important
Each Balancing Authority and
Transmission Operator shall use
TOP-006-2 R6. sufficient metering of suitable range, HIGH BA, TOP
accuracy and sampling rate (if
applicable) to ensure accurate and
Each Reliability Coordinator,
Transmission Operator, and Balancing
TOP-006-2 R7. HIGH BA, RC, TOP
Authority shall monitor system
frequency.
A Transmission Operator shall inform
its Reliability Coordinator when an IROL
TOP-007-0 R1. or SOL has been exceeded and the HIGH TOP x ER
actions being taken to return the system
to within limits.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 60 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Following a Contingency or other event
that results in an IROL violation, the
TOP-007-0 R2. Transmission Operator shall return its HIGH TOP x ER
transmission system to within IROL as
soon as possible, but not longer than 30
A Transmission Operator shall take all
appropriate actions up to and including
TOP-007-0 R3. shedding firm load, or directing the HIGH TOP x
shedding of firm load, in order to
comply with Requirement R 2.
The Reliability Coordinator shall
evaluate actions taken to address an
TOP-007-0 R4. IROL or SOL violation and, if the actions HIGH RC x ER
taken are not appropriate or sufficient,
direct actions required to return the
The Transmission Operator
experiencing or contributing to an IROL
TOP-008-1 R1. or SOL violation shall take immediate HIGH TOP x
steps to relieve the condition, which
may include shedding firm load.
Each Transmission Operator shall
operate to prevent the likelihood that a
TOP-008-1 R2. disturbance, action, or inaction will HIGH TOP x
result in an IROL or SOL violation in its
The or another area of the
areaTransmission Operator shall
disconnect the affected facility if the
TOP-008-1 R3. overload on a transmission facility or HIGH TOP x
abnormal voltage or reactive condition
persists and equipment is endangered.
The Transmission Operator shall have
sufficient information and analysis
TOP-008-1 R4. tools to determine the cause(s) of SOL MEDIUM TOP x
violations. This analysis shall be
conducted in all operating timeframes.
TRANSMISSION PLANNING
The Planning Authority and
Transmission Planner shall each
demonstrate through a valid
TPL-001-0.1 R1. assessment that its portion of the HIGH PA, PC, TP
interconnected transmission system is
planned such that, with all transmission
facilities annually. and with normal
Be made in service
TPL-001-0.1 R1.1. MEDIUM PA, PC, TP
Be conducted for near-term (years one
through five) and longer-term (years six
TPL-001-0.1 R1.2. through ten) planning horizons. MEDIUM PA, PC, TP
Be supported by a current or past study
and/or system simulation testing that
TPL-001-0.1 R1.3. addresses each of the following MEDIUM PA, PC, TP
categories, showing system
performance following Category A of
Cover critical system conditions and
study years as deemed appropriate by
TPL-001-0.1 R1.3.1. the entity performing the study. MEDIUM PA, PC, TP
Be conducted annually unless changes
to system conditions do not warrant
TPL-001-0.1 R1.3.2. such analyses. MEDIUM PA, PC, TP
Be conducted beyond the five-year
horizon only as needed to address
TPL-001-0.1 R1.3.3. identified marginal conditions that may MEDIUM PA, PC, TP
have longer lead-time solutions.
Have established normal (pre-
contingency) operating procedures in
TPL-001-0.1 R1.3.4. place. MEDIUM PA, PC, TP
Have all projected firm transfers
modeled.
TPL-001-0.1 R1.3.5. MEDIUM PA, PC, TP
Be performed for selected demand
levels over the range of forecast system
TPL-001-0.1 R1.3.6. demands. MEDIUM PA, PC, TP
Demonstrate that system performance
meets Table 1 for Category A (no
TPL-001-0.1 R1.3.7. contingencies). MEDIUM PA, PC, TP
Include existing and planned facilities.
TPL-001-0.1 R1.3.8. MEDIUM PA, PC, TP
Include Reactive Power resources to
ensure that adequate reactive resources
TPL-001-0.1 R1.3.9. are available to meet system MEDIUM PA, PC, TP
performance.
Address any planned upgrades needed
to meet the performance requirements
TPL-001-0.1 R1.4. of Category A. MEDIUM PA, PC, TP
When system simulations indicate an
inability of the systems to respond as
TPL-001-0.1 R2. prescribed in Reliability Standard TPL- MEDIUM PA, PC, TP
001-0_R1, the Planning Authority and
Transmission Planner shall each:
Provide a written summary of its plans
to achieve the required system
TPL-001-0.1 R2.1. performance as described above MEDIUM PA, PC, TP
throughout the planning horizon.
Including a schedule for implementation.
TPL-001-0.1 R2.1.1. MEDIUM PA, PC, TP
Including a discussion of expected
required in-service dates of facilities.
TPL-001-0.1 R2.1.2. MEDIUM PA, PC, TP
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 61 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Consider lead times necessary to
implement plans.
TPL-001-0.1 R2.1.3. MEDIUM PA, PC, TP
Review, in subsequent annual
assessments, (where sufficient lead
TPL-001-0.1 R2.2. time exists), the continuing need for LOWER PA, PC, TP
identified system facilities. Detailed
implementation plans are not
The Planning Authority and needed.
Transmission Planner shall each
TPL-001-0.1 R3. document the results of these reliability LOWER PA, PC, TP A A
assessments and corrective plans and
shall annuallyAuthoritythese to its
The Planning provide and
Transmission Planner shall each
TPL-002-0a R1. demonstrate through a valid HIGH PA, PC, TP x X
assessment that its portion of the
interconnected transmission system is
TPL-002-0a R1.1. Be made annually. MEDIUM PA, PC, TP x X
Be conducted for near-term (years one
TPL-002-0a R1.2. through five) and longer-term (years six MEDIUM PA, PC, TP x X
through ten) planning horizons.
Be supported by a current or past study
and/or system simulation testing that
TPL-002-0a R1.3. addresses each of the following MEDIUM PA, PC, TP x X
categories, showing system
Be performedfollowing Category B of
performance and evaluated only for
those Category B contingencies that
TPL-002-0a R1.3.1. would produce the more severe System MEDIUM PA, PC, TP x X
results or impacts. The rationale for the
contingencies selected for evaluation
Include the effects of existing and
TPL-002-0a R1.3.10. planned protection systems, including MEDIUM PA, PC, TP x X
any backup or redundant systems.
Include the effects of existing and
TPL-002-0a R1.3.11. MEDIUM PA, PC, TP x X
planned control devices.
Include the planned (including
maintenance) outage of any bulk
TPL-002-0a R1.3.12. electric equipment (including protection MEDIUM PA, PC, TP x X
systems or their components) at those
demand levels for which planned
Cover critical system conditions and
TPL-002-0a R1.3.2. study years as deemed appropriate by MEDIUM PA, PC, TP x X
the responsible entity.
Be conducted annually unless changes
TPL-002-0a R1.3.3. to system conditions do not warrant MEDIUM PA, PC, TP x X
such analyses.
Be conducted beyond the five-year
horizon only as needed to address
TPL-002-0a R1.3.4. MEDIUM PA, PC, TP x X
identified marginal conditions that may
have longer lead-time solutions.
Have all projected firm transfers
TPL-002-0a R1.3.5. MEDIUM PA, PC, TP x X
modeled.
Be performed and evaluated for
TPL-002-0a R1.3.6. selected demand levels over the range MEDIUM PA, PC, TP x X
of forecast system Demands.
Demonstrate that system performance
TPL-002-0a R1.3.7. MEDIUM PA, PC, TP x X
meets Category B contingencies.
TPL-002-0a R1.3.8. Include existing and planned facilities. MEDIUM PA, PC, TP x X
Include Reactive Power resources to
ensure that adequate reactive resources
TPL-002-0a R1.3.9. MEDIUM PA, PC, TP x X
are available to meet system
performance.
Address any planned upgrades needed
TPL-002-0a R1.4. to meet the performance requirements MEDIUM PA, PC, TP x X
of Category B of Table I.
Consider all contingencies applicable to
TPL-002-0a R1.5. MEDIUM PA, PC, TP x X
Category B.
When System simulations indicate an
inability of the systems to respond as
TPL-002-0a R2. prescribed in Reliability Standard TPL- MEDIUM PA, PC, TP x X
002-0_R1, the Planning Authority and
Provide a written summary each:
Transmission Planner shallof its plans
to achieve the required system
TPL-002-0a R2.1. MEDIUM PA, PC, TP x X
performance as described above
throughout the planning horizon:
TPL-002-0a R2.1.1. Including a schedule for implementation. MEDIUM PA, PC, TP x X
Including a discussion of expected
TPL-002-0a R2.1.2. MEDIUM PA, PC, TP x X
required in-service dates of facilities.
Consider lead times necessary to
TPL-002-0a R2.1.3. MEDIUM PA, PC, TP x X
implement plans.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 62 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
Review, in subsequent annual
assessments, (where sufficient lead
TPL-002-0a R2.2. time exists), the continuing need for MEDIUM PA, PC, TP x X
identified system facilities. Detailed
implementation plans are not needed.
The Planning Authority and
Transmission Planner shall each
TPL-002-0a R3. document the results of its Reliability LOWER PA, PC, TP x A A
Assessments and corrective plans and
The Planning Authoritythe results to its
shall annually provide and
Transmission Planner shall each
TPL-003-0a R1. demonstrate through a valid HIGH PA, PC, TP x X
assessment that its portion of the
interconnected transmission systems is
TPL-003-0a R1.1. Be made annually. MEDIUM PA, PC, TP x X
Be conducted for near-term (years one
TPL-003-0a R1.2. through five) and longer-term (years six MEDIUM PA, PC, TP x X
through ten) planning horizons.
Be supported by a current or past study
and/or system simulation testing that
TPL-003-0a R1.3. addresses each of the following MEDIUM PA, PC, TP x X
categories, showing system
performance following Category C of
Be performed and evaluated only for
those Category C contingencies that
TPL-003-0a R1.3.1. would produce the more severe system MEDIUM PA, PC, TP x X
results or impacts. The rationale for the
contingencies selected for evaluation
Include the effects of existing and
TPL-003-0a R1.3.10. planned protection systems, including MEDIUM PA, PC, TP x X
any backup or redundant systems.
Include the effects of existing and
TPL-003-0a R1.3.11. MEDIUM PA, PC, TP x X
planned control devices.
Include the planned (including
maintenance) outage of any bulk
TPL-003-0a R1.3.12. electric equipment (including protection MEDIUM PA, PC, TP x X
systems or their components) at those
Demand levels for which planned
Cover critical system conditions and
TPL-003-0a R1.3.2. study years as deemed appropriate by MEDIUM PA, PC, TP x X
the responsible entity.
Be conducted annually unless changes
TPL-003-0a R1.3.3. to system conditions do not warrant MEDIUM PA, PC, TP x X
such analyses.
Be conducted beyond the five-year
horizon only as needed to address
TPL-003-0a R1.3.4. MEDIUM PA, PC, TP x X
identified marginal conditions that may
have longer lead-time solutions.
Have all projected firm transfers
TPL-003-0a R1.3.5. MEDIUM PA, PC, TP x X
modeled.
Be performed and evaluated for
TPL-003-0a R1.3.6. selected demand levels over the range MEDIUM PA, PC, TP x X
of forecast system demands.
Demonstrate that System performance
TPL-003-0a R1.3.7. meets Table 1 for Category C MEDIUM PA, PC, TP x X
contingencies.
TPL-003-0a R1.3.8. Include existing and planned facilities. MEDIUM PA, PC, TP x X
Include Reactive Power resources to
ensure that adequate reactive resources
TPL-003-0a R1.3.9. MEDIUM PA, PC, TP x X
are available to meet System
performance.
Address any planned upgrades needed
TPL-003-0a R1.4. to meet the performance requirements MEDIUM PA, PC, TP x X
of Category C.
Consider all contingencies applicable to
TPL-003-0a R1.5. MEDIUM PA, PC, TP x X
Category C.
When system simulations indicate an
inability of the systems to respond as
TPL-003-0a R2. prescribed in Reliability Standard TPL- MEDIUM PA, PC, TP x
003-0_R1, the Planning Authority and
Provide a written summary each:
Transmission Planner shallof its plans
to achieve the required system
TPL-003-0a R2.1. MEDIUM PA, PC, TP x
performance as described above
throughout the planning horizon:
TPL-003-0a R2.1.1. Including a schedule for implementation. MEDIUM PA, PC, TP x
Including a discussion of expected
TPL-003-0a R2.1.2. MEDIUM PA, PC, TP x
required in-service dates of facilities.
Consider lead times necessary to
TPL-003-0a R2.1.3. MEDIUM PA, PC, TP x
implement plans.
Review, in subsequent annual
assessments, (where sufficient lead
TPL-003-0a R2.2. time exists), the continuing need for MEDIUM PA, PC, TP x
identified system facilities. Detailed
implementation plans are not needed.
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 63 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Planning Authority and
Transmission Planner shall each
TPL-003-0a R3. document the results of these LOWER PA, PC, TP x A A
Reliability Assessments and corrective
plans and shall annually provide these
The Planning Authority and
Transmission Planner shall each
TPL-004-0 R1. demonstrate through a valid MEDIUM PA, PC, TP x
assessment that its portion of the
interconnected transmission system is
TPL-004-0 R1.1. Be made annually. MEDIUM PA, PC, TP x
Be conducted for near-term (years one
TPL-004-0 R1.2. MEDIUM PA, PC, TP x
through five).
Be supported by a current or past study
and/or system simulation testing that
TPL-004-0 R1.3. addresses each of the following MEDIUM PA, PC, TP x
categories, showing system
performance following Category D
Be performed and evaluated only for
those Category D contingencies that
TPL-004-0 R1.3.1. would produce the more severe system MEDIUM PA, PC, TP x
results or impacts. The rationale for the
contingencies selected for evaluation
Cover critical system conditions and
TPL-004-0 R1.3.2. study years as deemed appropriate by MEDIUM PA, PC, TP x
the responsible entity.
Be conducted annually unless changes
TPL-004-0 R1.3.3. to system conditions do not warrant MEDIUM PA, PC, TP x
such analyses.
Have all projected firm transfers
TPL-004-0 R1.3.4. MEDIUM PA, PC, TP x
modeled.
TPL-004-0 R1.3.5. Include existing and planned facilities. MEDIUM PA, PC, TP x
Include Reactive Power resources to
ensure that adequate reactive resources
TPL-004-0 R1.3.6. MEDIUM PA, PC, TP x
are available to meet system
performance.
Include the effects of existing and
TPL-004-0 R1.3.7. planned protection systems, including MEDIUM PA, PC, TP x
any backup or redundant systems.
Include the effects of existing and
TPL-004-0 R1.3.8. MEDIUM PA, PC, TP x
planned control devices.
Include the planned (including
maintenance) outage of any bulk
TPL-004-0 R1.3.9. electric equipment (including protection MEDIUM PA, PC, TP x
systems or their components) at those
demand levels for which planned
Consider all contingencies applicable to
TPL-004-0 R1.4. MEDIUM PA, PC, TP x
Category D.
The Planning Authority and
Transmission Planner shall each
TPL-004-0 R2. document the results of its reliability LOWER PA, PC, TP x A A
assessments and shall annually provide
the results to its entities’ respective
VOLTAGE AND REACTIVE
Each Transmission Operator,
individually and jointly with other
VAR-001-2 R1. Transmission Operators, shall ensure HIGH TOP x A X
that formal policies and procedures are
developed, maintained, and shall
Each Transmission Operator
acquire sufficient reactive resources –
VAR-001-2 R2. which may include, but is not limited to, HIGH TOP x A X
reactive generation scheduling;
transmission line and reactive resource
The Transmission Operator shall
specify criteria that exempts generators
VAR-001-2 R3. from compliance with the requirements LOWER TOP x A X
defined in Requirement 4, and
Requirement 6.1. Operator shall
Each Transmission
maintain a list of generators in its area
VAR-001-2 R3.1. LOWER TOP x A X
that are exempt from following a voltage
or Reactive Power schedule.
For each generator that is on this
exemption list, the Transmission
VAR-001-2 R3.2. LOWER TOP x A X
Operator shall notify the associated
Generator Owner.
Each Transmission Operator shall
specify a voltage or Reactive Power
VAR-001-2 R4. schedule at the interconnection MEDIUM TOP x A X
between the generator facility and the
Transmission Owner's facilitiesandbe
Each Purchasing-Selling Entity to
Load Serving Entity shall arrange for
VAR-001-2 R5. (self-provide or purchase) reactive HIGH LSE, PSE x
resources – which may include, but is
not limited to, reactive generationknow
The Transmission Operator shall
the status of all transmission Reactive
VAR-001-2 R6. Power resources, including the status MEDIUM TOP x A X
of voltage regulators and power system
stabilizers.
When notified of the loss of an
automatic voltage regulator control, the
VAR-001-2 R6.1. Transmission Operator shall direct the MEDIUM TOP x A X
Generator Operator to maintain or
change either its voltage schedule or its
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 64 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
The Transmission Operator shall be
able to operate or direct the operation
VAR-001-2 R7. HIGH TOP x
of devices necessary to regulate
transmission voltage and reactive flow.
Each Transmission Operator shall
operate or direct the operation of
VAR-001-2 R8. capacitive and inductive reactive HIGH TOP x
resources within its area – which may
include, but is not limited to, shall
Each Transmission Operator reactive
maintain reactive resources – which
VAR-001-2 R9. may include, but is not limited to, HIGH TOP x A X
reactive generation scheduling;
transmission line and reactive resource
Each Transmission Operator shall
disperse and locate the reactive
VAR-001-2 R9.1. resources so that the resources can be HIGH TOP x A X
applied effectively and quickly when
Contingencies occur.
Each Transmission Operator shall
correct IROL or SOL violations resulting
VAR-001-2 R10. from reactive resource deficiencies HIGH TOP x
(IROL violations must be corrected
After consultation and the Generator
within 30 minutes) with complete the
Owner regarding necessary step-up
VAR-001-2 R11. transformer tap changes, the LOWER TOP x
Transmission Operator shall provide
documentation to the Generator Owner
The Transmission Operator shall direct
corrective action, including load
VAR-001-2 R12. reduction, necessary to prevent voltage HIGH TOP x
collapse when reactive resources are
insufficient.
The Generator Operator shall operate
each generator connected to the
VAR-002-1.1b R1. interconnected transmission system in MEDIUM GOP x A X
the automatic voltage control mode
(automatic voltage regulator in service
Unless exempted by the Transmission
Operator, each Generator Operator shall
VAR-002-1.1b R2. maintain the generator voltage or MEDIUM GOP x A X
Reactive Power output (within
applicable Facility Ratings. [1] as
When a generator’s automatic voltage
regulator is out of service, the
VAR-002-1.1b R2.1. Generator Operator shall use an MEDIUM GOP x A X
alternative method to control the
generator voltage and reactive output
When directed to modify voltage, the to
Generator Operator shall comply or
VAR-002-1.1b R2.2. MEDIUM GOP x A X
provide an explanation of why the
schedule cannot be met.
Each Generator Operator shall notify its
associated Transmission Operator as
VAR-002-1.1b R3. MEDIUM GOP x A X
soon as practical, but within 30 minutes
of any of the following:
A status or capability change on any
generator Reactive Power resource,
VAR-002-1.1b R3.1. including the status of each automatic MEDIUM GOP x A X
voltage regulator and power system
A status or capability change on any of
stabilizer and the expected duration
other Reactive Power resources under
VAR-002-1.1b R3.2. the Generator Operator’s control and MEDIUM GOP x A X
the expected duration of the change in
status or capability. shall provide the
The Generator Owner
following to its associated
VAR-002-1.1b R4. Transmission Operator and LOWER GO x
Transmission Planner within 30
For generator of a request.
calendar days step-up transformers and
auxiliary transformers with primary
VAR-002-1.1b R4.1. LOWER GO x
voltages equal to or greater than the
generator terminal voltage:
VAR-002-1.1b R4.1.1. Tap settings. LOWER GO x
VAR-002-1.1b R4.1.2. Available fixed tap ranges. LOWER GO x
VAR-002-1.1b R4.1.3. Impedance data. LOWER GO x
The +/- voltage range with step-change
VAR-002-1.1b R4.1.4. LOWER GO x
in % for load-tap changing transformers.
After consultation with the
Transmission Operator regarding
VAR-002-1.1b R5. necessary step-up transformer tap MEDIUM GO x
changes, the Generator Owner shall
ensure that transformer tap positions
If the Generator Operator can’t comply
with the Transmission Operator’s
VAR-002-1.1b R5.1. specifications, the Generator Operator LOWER GOP x
shall notify the Transmission Operator
and shall provide the technical
2011
Total
2012 Totals 274 397 250 414 51 51 32 0 462
REGISTERED FUNCTION ABBREVIATIONS
BA - Balancing Authority RC - Reliability Coordinator
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 65 of 68
Periodic Data Periodic Data
Submittals: Submittals: 2011
Reliability Supporting 2012 Annual 2012 Annual 2012 Annual
Requirement Violation Risk Functions Self-Cert. Monthly (M), Monthly (M), Exception Spot Check Annual
Standard Requirement Text of Requirement Program Audit Program Audit Program Audit
Number Factor Monitored Annual (A) Reporting (ER) (SC) Program
(FERC Approved) Number - 1st Tier - 2nd Tier - 3rd Tier
Quarterly (Q), Quarterly (Q), Audit (X)
Annual (A) Annual (A)
DP - Distribution Provider RE - Regional Entity
GO - Generation Owner RP - Resource Planner
GOP - Generation Operator RSG - Reserve Sharing Group
IA - Interchange Authority TO - Transmission Owner
LSE - Load-Serving Entity TOP - Transmission Operator
PA/PC - Planning Authority,
Planning Coordinator TP - Transmission Planner
PSE - Purchasing-Selling Entities TSP - Transmission Service Provider
Requirements Detail fecfe126-96a9-47dd-b067-8271b4bbe6e9.xls Page 66 of 68
Revision History
Revision
Number Date Standard/Process
0 3/18/11 Development
1 5/12/11 Development
1.1 6/30/11 Production
2 7/12/11 Revision
2.1 8/11/11 Revision
2.2 8/19/11 Revision
Revision History
Description
Initial Draft
Incorporated feedback for CIPs and 693 Standards
Final review and approval.
Updated list of Reliability Standards subject to spot check
Updated in-effect version for 2012: CIP-005-3a, IRO-004-2, IRO-005-2a, IRO-006-5, IRO-006-EAST-1, and IRO-
006-WECC-1. Removed Reliability Standards: MOD-006-0.1 and MOD-007-0.
Updated in-effect version for 2012: BAL-006-2, CIP-001-2a, INT-003-3, IRO-005-3a, PER-004-1, PER-004-2, and
