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2011_ERO_Actively_Monitored_Reliability_Standards_05Oct10

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					                                                                              Spot Check (SC)
                 Reliability
                                  Self-Certification   Annual Program Audit
                 Standards                                                    Regional Entity
                                     Annual (A)                (A)
              (FERC Approved)                                                  Specified (S)

BAL-001-0.1a
BAL-002-0
BAL-003-0.1b                                                                        SC
BAL-004-0
BAL-005-0.1b
BAL-006-1.1
CIP-001-1                                 A                    A
CIP-002-3, Effective 10/1/2010            A                    A
CIP-003-3, Effective 10/1/2010            A                    A
CIP-004-3, Effective 10/1/2010            A                    A
CIP-005-3, Effective 10/1/2010            A                    A
CIP-006-3c, Effective 10/1/2010           A                    A
CIP-007-3, Effective 10/1/2010            A                    A
CIP-008-3, Effective 10/1/2010            A                    A
CIP-009-3, Effective 10/1/2010            A                    A
COM-001-1.1                               A                    A
COM-002-2                                 A                    A
EOP-001-0                                 A                    A
EOP-002-2.1                               A                    A
EOP-003-1                                 A                    A
EOP-004-1
EOP-005-1                                 A                    A
EOP-006-1                                 A
EOP-008-0                                 A                    A
EOP-009-0
FAC-001-0                                 A
FAC-002-0
FAC-003-1                                 A                    A
FAC-008-1                                 A                    A
FAC-009-1                                 A                    A
FAC-010-2.1 Effective 4/19/2010
FAC-011-2 Effective 4/29/2009
FAC-013-1
FAC-014-2                                 A
INT-001-3
INT-003-2
INT-004-2
INT-005-3 Effective 7/1/2010
INT-006-3 Effective 7/1/2010
INT-007-1
INT-008-3 Effective 7/1/2010
INT-009-1
INT-010-1
IRO-001-1.1                                                                          S
IRO-002-1                       A       S
IRO-003-2                       A       S
IRO-004-1                       A   A   S
IRO-005-2                       A   A   S
IRO-006-4.1                             S
IRO-014-1                               S
IRO-015-1                               S
IRO-016-1                               S
MOD-001-1 Effective 4/1/2011    A   A
MOD-004-1 Effective 4/1/2011    A   A
MOD-006-0.1 Retired 3/31/2011
MOD-007-0 Retired 3/31/2011
MOD-008-1 Effective 4/1/2011    A   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-021-0.1
MOD-028-1 Effective 4/1/2011    A       S
MOD-029-1 Effective 4/1/2011    A       S
MOD-030-2 Effective 4/1/2011    A       S
NUC-001-2 Effective 4/1/2010    A       SC
PER-001-0.1                     A
PER-002-0                       A   A
PER-003-0                       A
PER-004-1                       A   A
PRC-001-1                       A   A
PRC-004-1                       A   A
PRC-005-1                       A   A
PRC-007-0
PRC-008-0                       A   A
PRC-009-0
PRC-010-0
PRC-011-0                       A   A
PRC-015-0
PRC-016-0.1
PRC-017-0                       A   A
PRC-018-1
PRC-021-1
PRC-022-1
PRC-023-1 Effective 7/1/2010    A   A
TOP-001-1                       A
TOP-002-2a                      A   A
TOP-003-0
TOP-004-2                       A   A
TOP-005-1.1
TOP-006-1                        A
TOP-007-0
TOP-008-1
TPL-001-0.1                      A
TPL-002-0.a                      A   A
TPL-003-0a Effective 4/23/2010   A   A
TPL-004-0
VAR-001-1                        A   A
VAR-002-1.1b                     A   A
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       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 averages
                                                                                                                MEDIUM                  BA                                                 M                                             x         x
                                                               of the Balancing Authority’s Area Control
                                                               Error (ACE) divided by 10B (B is the
                                                               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                                             x         x
                                                               overlapping periods per hour) during a
                                                               calendar month is within aprovidinglimit,
                                                               Each Balancing Authority specific
                                                               Overlap Regulation Service shall evaluate
BAL-001-0.1a                      R3.                          Requirement R1 (i.e., Control
                                                                                                                LOWER                   BA                                                 M                                             x         x
                                                               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                                                 M                                             x         x
                                                               (i.e. from a control performance
                                                               Each Balancing Balancing Authority
                                                               perspective, the Authority shall have has
                                                               access to and/or operate Contingency
BAL-002-0                         R1.                          Reserve to respond to Disturbances.
                                                                                                                  HIGH              BA, RSG                                                Q                                             x         x                             x
                                                               Contingency Reserve may be supplied
                                                               from generation, controllable load
                                                               A Balancing Authority may elect to fulfill
                                                               its Contingency Reserve obligations by
BAL-002-0                                       R1.1.          participating as a member of a Reserve
                                                                                                                  HIGH              BA, RSG                                                Q                                             x         x                             x
                                                               Sharing Group. In such cases, the
                                                               Reserve Sharing Group shall have the
                                                               Each Regional Reliability Organization,
                                                               sub-Regional Reliability Organization or
BAL-002-0                         R2.
                                                               Reserve Sharing Group shall specify its
                                                                                                                MEDIUM           BA, RRO, RSG                                              Q                                             x         x                             x
                                                               Contingency Reserve policies, including:

                                                               The minimum reserve requirement for the
BAL-002-0                                       R2.1.
                                                               group.
                                                                                                                 HIGH            BA, RRO, RSG                                              Q                                             x         x                             x


BAL-002-0                                       R2.2.          Its allocation among members.                    LOWER            BA, RRO, RSG                                              Q                                             x         x         x


                                                                                                                                                                                                                                                                 Page 4 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                     5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The permissible mix of Operating                                                                                        Annual (A)
                                                               Reserve - Spinning and Operating
BAL-002-0                                       R2.3.
                                                               Reserve - Supplemental that may be
                                                                                                                LOWER            BA, RRO, RSG                                              Q                                             x         x
                                                               included in Contingency Reserve.

                                                               The procedure for applying Contingency
BAL-002-0                                       R2.4.
                                                               Reserve in practice.
                                                                                                                LOWER            BA, RRO, RSG                                              Q                                             x         x

                                                               The limitations, if any, upon the amount
BAL-002-0                                       R2.5.          of interruptible load that may be                LOWER            BA, RRO, RSG                                              Q                                             x         x
                                                               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           BA, RRO, RSG                                              Q                                             x         x
                                                               than once as Contingency Reserve by
                                                               multiple Balancing Authorities.
                                                               Each Balancing Authority or Reserve
                                                               Sharing Group shall activate sufficient
BAL-002-0                         R3.
                                                               Contingency Reserve to comply with the
                                                                                                                  HIGH              BA, RSG                                                Q                                             x         x                             x
                                                               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                                                Q                                             x         x                             x
                                                               cover the most severe single
                                                               contingency. All Balancing Authorities
                                                               A Balancing Authority or Reserve Sharing
                                                               Group shall meet the Disturbance
BAL-002-0                         R4.                          Recovery Criterion within the
                                                                                                                MEDIUM              BA, RSG                                                Q                                             x         x
                                                               Disturbance Recovery Period for 100% of
                                                               Reportable Disturbances. The
                                                               A Balancing Authority shall return its
                                                               ACE to zero if its ACE just prior to the
BAL-002-0                                       R4.1.          Reportable Disturbance was positive or
                                                                                                                MEDIUM              BA, RSG                                                Q                                             x         x
                                                               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 may         Assigned
                                                                                                                                    BA, RSG                                                Q                                             x         x
                                                               be adjusted to better suit the needs of an
                                                               Interconnection based Group shall
                                                               Each Reserve Sharing on analysis
                                                               comply with the DCS. A Reserve Sharing
BAL-002-0                         R5.                          Group shall be considered in a
                                                                                                                LOWER               BA, RSG                                                Q                                             x         x         x
                                                               Reportable Disturbance condition
                                                               whenever a group member has
                                                                                                                                                                                                                                                                 Page 5 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                     5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009           2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual         Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program        Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits         Audits
                                                               The Reserve Sharing Group reviews                                                                                       Annual (A)
                                                               group ACE (or equivalent) and                     No VRF
BAL-002-0                                       R5.1.          demonstrates compliance to the DCS. To           Assigned
                                                                                                                                    BA, RSG                                                Q                                             x         x
                                                               be in compliance, the group ACE (or its
                                                               equivalent) must meet the Disturbance
                                                               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                 Assigned
                                                                                                                                    BA, RSG                                                Q                                             x         x
                                                               compliance, a member’s ACE (or its
                                                               A Balancingmust meet or Reserve Sharing
                                                               equivalent) Authority the Disturbance
                                                               Group shall fully restore its Contingency
BAL-002-0                         R6.                          Reserves within the Contingency Reserve
                                                                                                                MEDIUM              BA, RSG                                                Q                                             x         x
                                                               Restoration Period for its
                                                               Interconnection.
                                                               The Contingency Reserve Restoration
                                                                                                                 No VRF
BAL-002-0                                       R6.1.          Period begins at the end of the
                                                                                                                Assigned
                                                                                                                                    BA, RSG                                                Q                                             x         x
                                                               Disturbance Recovery Period.

                                                               The default Contingency Reserve
                                                               Restoration Period is 90 minutes. This            No VRF
BAL-002-0                                       R6.2.          period may be adjusted to better suit the        Assigned
                                                                                                                                    BA, RSG                                                Q                                             x         x
                                                               reliability targets of the Interconnection
                                                               Each Balancing Authority shall the NERC
                                                               based on analysis approved by review its
                                                               Frequency Bias Settings by January 1 of
BAL-003-0.1b                      R1.                          each year and recalculate its setting to
                                                                                                                 LOWER                  BA                                                                                 SC            x         x                            x
                                                               reflect any change in the Frequency
                                                               Response of the Balancing Authority
                                                               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                                                                                 SC            x         x                            x
                                                               any of the factors used to determine the
                                                               current bias value change.
                                                               Each Balancing Authority shall report its
                                                               Frequency Bias Setting, and method for
BAL-003-0.1b                                    R1.2.
                                                               determining that setting, to the NERC
                                                                                                                 LOWER                  BA                                                  A              ER              SC            x         x                            x
                                                               Operating Committee.
                                                               Each Balancing Authority shall establish
                                                               and maintain a Frequency Bias Setting
BAL-003-0.1b                      R2.                          that is as close as practical to, or greater
                                                                                                                MEDIUM                  BA                                                                                 SC            x         x                            x
                                                               than, the Balancing Authority’s
                                                               Frequency Response. Frequency a fixed
                                                               The Balancing Authority may use Bias
                                                               Frequency Bias value which is based on
BAL-003-0.1b                                    R2.1.          a fixed, straight-line function of Tie Line
                                                                                                                 LOWER                  BA                                                                                 SC            x         x                            x
                                                               deviation versus Frequency Deviation.
                                                               The Balancing Authority shall determine
                                                                                                                                                                                                                                                                Page 6 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                    5/1/2011
                                                                                                                           2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009           2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                   Violation Risk      Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual         Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                          Factor          Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program        Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits         Audits
                                                               The Balancing Authority may use a                                                                                       Annual (A)
                                                               variable (linear or non-linear) bias value,
BAL-003-0.1b                                    R2.2.          which is based on a variable function of
                                                                                                                   LOWER                BA                                                                                 SC            x         x                            x
                                                               Tie Line deviation to Frequency
                                                               Deviation. The Balancing Authority shall
                                                               Each Balancing Authority shall operate
                                                               its Automatic Generation Control (AGC)
                                                               on Tie Line Frequency Bias, unless such
BAL-003-0.1b                      R3.                          operation is adverse to system or                  MEDIUM                BA                                                                                               x         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 respective
                                                                                                                   LOWER                BA                                                                                               x         x
                                                               share of the unit governor droop
                                                               response in their respective Frequency
                                                               Fixed schedules for Jointly Owned Units
                                                               mandate that Balancing Authority (A) that
BAL-003-0.1b                                    R4.1.          contains the Jointly Owned Unit must
                                                                                                                   LOWER                BA                                                                                 SC            x         x
                                                               incorporate the respective share of the
                                                               The governor Authorities that have a
                                                               unit Balancingdroop response for any
                                                               fixed schedule (B and C) but do not
BAL-003-0.1b                                    R4.2.          contain the Jointly Owned Unit shall not
                                                                                                                   LOWER                BA                                                                                 SC            x         x
                                                               include their share of the governor droop
                                                               Balancing Authorities that serve Setting.
                                                               response in their Frequency Biasnative
                                                               load shall have a monthly average
BAL-003-0.1b                      R5.                          Frequency Bias Setting that is at least 1%
                                                                                                                  MEDIUM                BA                                                                                 SC            x         x                            x
                                                               of the Balancing Authority’s estimated
                                                               yearly peak demand per 0.1 Hz change.
                                                               Balancing Authorities that do not serve
                                                               native load shall have a monthly average
BAL-003-0.1b                                    R5.1.          Frequency Bias Setting that is at least 1%
                                                                                                                  MEDIUM                BA                                                                                 SC            x         x                            x
                                                               of its estimated maximum generation
                                                               level in the coming year per 0.1 Hz
                                                               A Balancing Authority that is performing
                                                               Overlap Regulation Service shall increase
BAL-003-0.1b                      R6.                          its Frequency Bias Setting to match the
                                                                                                                  MEDIUM                BA                                                                                 SC            x         x
                                                               frequency response of the entire area
                                                               Only acontrolled. Coordinator shall be
                                                               being Reliability A Balancing Authority
                                                               eligible to act as Interconnection Time
BAL-004-0                         R1.                          Monitor. A single Reliability Coordinator
                                                                                                                   LOWER                RC                                                                                                         x
                                                               in each Interconnection shall be
                                                               designated by the NERC Operating
                                                                                                                                                                                                                                                                Page 7 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                    5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009           2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual         Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program        Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits         Audits
                                                               The Interconnection Time Monitor shall                                                                                  Annual (A)
                                                               monitor Time Error and shall initiate or
BAL-004-0                         R2.                          terminate corrective action orders in
                                                                                                                LOWER                   RC                                                                                                         x
                                                               accordance with the NAESB Time Error
                                                               Correction Procedure.
                                                               Each Balancing Authority, when
                                                               requested, shall participate in a Time
BAL-004-0                         R3.
                                                               Error Correction by one of the following
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               methods:

                                                               The Balancing Authority shall offset its
BAL-004-0                                       R3.1.          frequency schedule by 0.02 Hertz, leaving        LOWER                   BA                                                                                                         x
                                                               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                                                                                                         x
                                                               contribution during a 0.02 Hertz
                                                               Any Reliability Coordinator in of
                                                               Frequency Deviation (i.e. 20% an the
                                                               Interconnection shall have the authority
BAL-004-0                         R4.                          to request the Interconnection Time
                                                                                                                LOWER                   RC                                                                                                         x
                                                               Monitor to terminate a Time Error
                                                               Balancing in progress, or have reliability
                                                               CorrectionAuthorities that a scheduled
                                                               concerns with the execution of a Time
BAL-004-0                                       R4.1.          Error Correction shall notify their
                                                                                                                LOWER                   BA                                                                 ER                                      x
                                                               Reliability Coordinator and request the
                                                               All generation,a Time Error Correction in
                                                               termination of transmission, and load
                                                               operating within an Interconnection must         No VRF
BAL-005-0.1b                      R1.                          be included within the metered                  Assigned
                                                                                                                                 GOP, LSE, TOP                                                                                                     x
                                                               boundaries of a Balancing Authority
                                                               Area.
                                                               Each Generator Operator with generation
                                                               facilities operating in an Interconnection
BAL-005-0.1b                                    R1.1.          shall ensure that those generation
                                                                                                                MEDIUM                 GOP                                                                                                         x
                                                               facilities are included within the metered
                                                               boundaries of a Balancing Authority
                                                               Each Transmission Operator with
                                                               transmission facilities operating in an
BAL-005-0.1b                                    R1.2.          Interconnection shall ensure that those
                                                                                                                MEDIUM                 TOP                                                                                                         x
                                                               transmission facilities are included within
                                                               the metered boundaries of a Balancing
                                                               Each Load-Serving Entity with load
                                                               operating in an Interconnection shall
BAL-005-0.1b                                    R1.3.          ensure that those loads are included
                                                                                                                MEDIUM                 LSE                                                                                                         x
                                                               within the metered boundaries of a
                                                               Balancing Authority Area.
                                                                                                                                                                                                                                                                Page 8 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                    5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009           2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual         Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program        Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits         Audits
                                                               Each Balancing Authority shall maintain                                                                                 Annual (A)
                                                               Regulating Reserve that can be
BAL-005-0.1b                      R2.                          controlled by AGC to meet the Control
                                                                                                                  HIGH                  BA                                                                                                         x                            x
                                                               Performance Standard.
                                                               A Balancing Authority providing
                                                               Regulation Service shall ensure that
BAL-005-0.1b                      R3.                          adequate metering, communications, and
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               control equipment are employed to
                                                               prevent such service from becoming a
                                                               A Balancing Authority providing
                                                               Regulation Service shall notify the Host
BAL-005-0.1b                      R4.                          Balancing Authority for whom it is
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               controlling if it is unable to provide the
                                                               service, as well as anyreceiving
                                                               A Balancing Authority Intermediate
                                                               Regulation Service shall ensure that
BAL-005-0.1b                      R5.                          backup plans are in place to provide
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               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                                                                                                         x
                                                               Frequency Bias obligation to determine
                                                               the Balancing Authority’s ACE. Single
                                                               The Balancing Authority shall operate
                                                               AGC continuously unless such operation
BAL-005-0.1b                      R7.                          adversely impacts the reliability of the
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               Interconnection. If AGC has become
                                                               inoperative, the Balancing Authority shall
                                                               The Balancing Authority shall ensure that
                                                               data acquisition for and calculation of
BAL-005-0.1b                      R8.                          ACE occur at least every six seconds.
                                                                                                                MEDIUM                  BA                                                                                                         x

                                                               Each Balancing Authority shall provide
                                                               redundant and independent frequency
BAL-005-0.1b                                    R8.1.          metering equipment that shall
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               automatically activate upon detection of
                                                               failure of the primary source. This
                                                               The Balancing Authority shall include all
                                                               Interchange Schedules with Adjacent
BAL-005-0.1b                      R9.                          Balancing Authorities in the calculation
                                                                                                                LOWER                   BA                                                                                                         x
                                                               of Net Scheduled Interchange for the ACE
                                                               equation. Authorities with a high voltage
                                                               Balancing
                                                               direct current (HVDC) link to another
BAL-005-0.1b                                    R9.1.          Balancing Authority connected
                                                                                                                LOWER                   BA                                                                                                         x
                                                               asynchronously to their Interconnection
                                                               may choose to omit the Interchange
                                                                                                                                                                                                                                                                Page 9 of 134
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                                                                                                                                                                                                                                                                    5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Balancing Authority shall include all                                                                               Annual (A)
                                                               Dynamic Schedules in the calculation of
BAL-005-0.1b                      R10.                         Net Scheduled Interchange for the ACE
                                                                                                                  HIGH                  BA                                                                                                         x                             x
                                                               equation.
                                                               Balancing Authorities shall include the
                                                               effect of ramp rates, which shall be
BAL-005-0.1b                      R11.                         identical and agreed to between affected
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               Balancing Authorities, in the Scheduled
                                                               Interchange values to calculate ACE.
                                                               Each Balancing Authority shall include all
                                                               Tie Line flows with Adjacent Balancing
BAL-005-0.1b                      R12.                         Authority Areas in the ACE calculation.
                                                                                                                MEDIUM                  BA                                                                                                         x

                                                               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                                                                                                         x
                                                               emanates from a common, agreed-upon
                                                               source using commonshall ensure the
                                                               Balancing Authorities primary metering
                                                               power flow and ACE signals that are
BAL-005-0.1b                                    R12.2.         utilized for calculating Balancing
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               Authority performance or that are
                                                               transmitted for Regulation Service are
                                                               Balancing Authorities shall install
                                                               common metering equipment where
BAL-005-0.1b                                    R12.3.         Dynamic Schedules or Pseudo-Ties are
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               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 time
                                                                                                                LOWER                   BA                                                                                                         x
                                                               synchronization to determine the
                                                               accuracy of its control equipment. The
                                                               The Balancing Authority shall provide its
                                                               operating personnel with sufficient
BAL-005-0.1b                      R14.                         instrumentation and data recording
                                                                                                                LOWER                   BA                                                                                                         x
                                                               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 these
                                                                                                                LOWER                   BA                                                                                                         x
                                                               supplies at the Balancing Authority’s
                                                               control center and other critical locations
                                                               The Balancing Authority shall sample
                                                               data at least at the same periodicity with
BAL-005-0.1b                      R16.                         which ACE is calculated. The Balancing
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               Authority shall flag missing or bad data
                                                               for operator display and archival
                                                                                                                                                                                                                                                                Page 10 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Each Balancing Authority shall at least                                                                                 Annual (A)
                                                               annually check and calibrate its time
BAL-005-0.1b                      R17.                         error and frequency devices against a
                                                                                                                MEDIUM                  BA                                                                                                         x
                                                               common reference. The Balancing
                                                               Authority shall adhere to the minimum
                                                               Each Balancing Authority shall calculate
BAL-006-1.1                       R1.                          and record hourly Inadvertent                    LOWER                   BA                                                                                                         x
                                                               Interchange.

                                                               Each Balancing Authority shall include all
                                                               AC tie lines that connect to its Adjacent
BAL-006-1.1                       R2.                          Balancing Authority Areas in its
                                                                                                                LOWER                   BA                                                                                                         x
                                                               Inadvertent Interchange account. The
                                                               Balancing Authority shall take into
                                                               Each Balancing Authority shall ensure all
                                                               of its Balancing Authority Area
BAL-006-1.1                       R3.                          interconnection points are equipped with
                                                                                                                LOWER                   BA                                                  S                                                      x
                                                               common megawatt-hour meters, with
                                                               readings provided hourly to the control
                                                               Adjacent Balancing Authority Areas shall
                                                               operate to a common Net Interchange
BAL-006-1.1                       R4.                          Schedule and Actual Net Interchange
                                                                                                                LOWER                   BA                                                  S                                                      x
                                                               value and shall record these hourly
                                                               quantities, with like values but opposite
                                                               Each Balancing Authority, by the end of
BAL-006-1.1                                     R4.1.          the next business day, shall agree with          LOWER                   BA                                                  S                                                      x
                                                               its Adjacent Balancing Authorities to:


                                                               The hourly values of Net Interchange
BAL-006-1.1                                     R4.1.1.
                                                               Schedule.
                                                                                                                LOWER                   BA                                                  S                                                      x


                                                               The hourly integrated megawatt-hour
BAL-006-1.1                                     R4.1.2.
                                                               values of Net Actual Interchange.
                                                                                                                LOWER                   BA                                                  S                                                      x

                                                               Each Balancing Authority shall use the
                                                               agreed-to daily and monthly accounting
BAL-006-1.1                                     R4.2.          data to compile its monthly accumulated
                                                                                                                LOWER                   BA                                                  S                                                      x
                                                               Inadvertent Interchange for the On-Peak
                                                               A Balancing hours of the month.
                                                               and Off-PeakAuthority shall make after-
                                                               the-fact corrections to the agreed-to daily
BAL-006-1.1                                     R4.3.          and monthly accounting data only as
                                                                                                                LOWER                   BA                                                                                                         x
                                                               needed to reflect actual operating
                                                               conditions (e.g. a meter being used for
                                                                                                                                                                                                                                                                Page 11 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Adjacent Balancing Authorities that                                                                                     Annual (A)
                                                               cannot mutually agree upon their
BAL-006-1.1                       R5.                          respective Net Actual Interchange or Net
                                                                                                                 LOWER                  BA                                                                 ER                                      x
                                                               Scheduled Interchange quantities by the
                                                               15th calendar day of the following month
                                                               CRITICAL INFRASTRUCTURE
                                                               PROTECTION

                                                               Each Reliability Coordinator, Balancing
                                                               Authority, Transmission Operator,                               BA, GOP, LSE, RC,
CIP-001-1                         R1.                          Generator Operator, and Load-Serving
                                                                                                                MEDIUM
                                                                                                                                     TOP
                                                                                                                                                            A               A                                                            x         x         x                    x
                                                               Entity shall have procedures for the
                                                               Each Reliability Coordinator, their
                                                               recognition of and for makingBalancing
                                                               Authority, Transmission Operator,                               BA, GOP, LSE, RC,
CIP-001-1                         R2.                          Generator Operator, and Load-Serving
                                                                                                                MEDIUM
                                                                                                                                     TOP
                                                                                                                                                            A               A                                                            x         x         x                    x
                                                               Entity shall have procedures for the
                                                               communication of information
                                                               Each Reliability Coordinator, Balancing
                                                               Authority, Transmission Operator,                               BA, GOP, LSE, RC,
CIP-001-1                         R3.                          Generator Operator, and Load-Serving
                                                                                                                MEDIUM
                                                                                                                                     TOP
                                                                                                                                                            A               A                                                            x         x         x                    x
                                                               Entity shall provide its operating
                                                               personnel with sabotage response
                                                               Each Reliability Coordinator, Balancing
                                                               Authority, Transmission Operator,                               BA, GOP, LSE, RC,
CIP-001-1                         R4.                          Generator Operator, and Load-Serving
                                                                                                                MEDIUM
                                                                                                                                     TOP
                                                                                                                                                            A               A                                                            x         x         x                    x
                                                               Entity shall establish communications
                                                               contacts, as applicable, with local
                                                               Critical Asset Identification Method —                           BA, GO, GOP, IA,
CIP-002-3, Effective                                           The Responsible Entity shall identify and                        LSE, RC, RE, TO,
10/1/2010
                     R1.                                       document a risk-based assessment
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                     x
                                                               methodology to use to identify its Critical
                                                               Assets.
                                                               The Responsible Entity shall maintain                            BA, GO, GOP, IA,
CIP-002-3, Effective                                           documentation describing its risk-based                          LSE, RC, RE, TO,
10/1/2010
                                                R1.1.
                                                               assessment methodology that includes
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                     x
                                                               procedures and evaluation criteria.
                                                                                                                                BA, GO, GOP, IA,
CIP-002-3, Effective                                           The risk-based assessment shall                                  LSE, RC, RE, TO,
10/1/2010
                                                R1.2.
                                                               consider the following assets:
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                     x

                                                               Control centers and backup control                               BA, GO, GOP, IA,
CIP-002-3, Effective                                           centers performing the functions of the                          LSE, RC, RE, TO,
10/1/2010
                                                R1.2.1.
                                                               entities listed in the Applicability section
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                     x
                                                               of this standard.


                                                                                                                                                                                                                                                                 Page 12 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                BA, GO, GOP, IA,                                       Annual (A)
                                                               Transmission substations that support
CIP-002-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.2.2.        the reliable operation of the Bulk Electric      Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               System.

                                                                                                                                BA, GO, GOP, IA,
                                                               Generation resources that support the
CIP-002-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.2.3.        reliable operation of the Bulk Electric          Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               System.

                                                               Systems and facilities critical to system                        BA, GO, GOP, IA,
CIP-002-3, Effective                                           restoration, including blackstart                                LSE, RC, RE, TO,
10/1/2010
                                                R1.2.4.        generators and substations in the
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               electrical path of transmission lines used
                                                               for initial and facilities critical to
                                                               Systems system restoration.                                      BA, GO, GOP, IA,
CIP-002-3, Effective                                           automatic load shedding under a                                  LSE, RC, RE, TO,
10/1/2010
                                                R1.2.5.
                                                               common control system capable of
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               shedding 300 MW or more.
                                                                                                                                BA, GO, GOP, IA,
                                                               Special Protection Systems that support
CIP-002-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.2.6.        the reliable operation of the Bulk Electric      Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               System.

                                                               Any additional assets that support the                           BA, GO, GOP, IA,
CIP-002-3, Effective                                           reliable operation of the Bulk Electric                          LSE, RC, RE, TO,
10/1/2010
                                                R1.2.7.        System that the Responsible Entity
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               deems appropriate to include in its
                                                               assessment.
                                                               Critical Asset Identification — The                              BA, GO, GOP, IA,
CIP-002-3, Effective                                           Responsible Entity shall develop a list of                       LSE, RC, RE, TO,
10/1/2010
                     R2.                                       its identified Critical Assets determined
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               through an annual application of the risk-
                                                               based assessment methodology required
                                                               Critical Cyber Asset Identification —                            BA, GO, GOP, IA,
CIP-002-3, Effective                                           Using the list of Critical Assets                                LSE, RC, RE, TO,
10/1/2010
                     R3.                                       developed pursuant to Requirement R2,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               the Responsible Entity shall develop a
                                                               list of associated Critical Cyber Assets                         BA, GO, GOP, IA,
                                                               The Cyber Asset uses a routable protocol
CIP-002-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R3.1.          to communicate outside the Electronic            Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Perimeter; or,

                                                                                                                                BA, GO, GOP, IA,
CIP-002-3, Effective                                           The Cyber Asset uses a routable protocol                         LSE, RC, RE, TO,
10/1/2010
                                                R3.2.
                                                               within a control center; or,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x


                                                                                                                                                                                                                                                                Page 13 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                BA, GO, GOP, IA,                                       Annual (A)
CIP-002-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R3.3.          The Cyber Asset is dial-up accessible            Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Annual Approval — The senior manager                             BA, GO, GOP, IA,
CIP-002-3, Effective                                           or delegate(s) shall approve annually the                        LSE, RC, RE, TO,
10/1/2010
                     R4.                                       risk-based assessment methodology, the
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               list of Critical Assets and the list of
                                                               Critical Cyber Assets. Based on
                                                               Cyber Security Policy — The Responsible                          BA, GO, GOP, IA,
CIP-003-3, Effective                                           Entity shall document and implement a                            LSE, RC, RE, TO,
10/1/2010
                     R1.                                       cyber security policy that represents
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               management’s commitment and ability to
                                                               secure its Critical Cyber Assets. The the
                                                               The cyber security policy addresses                              BA, GO, GOP, IA,
CIP-003-3, Effective                                           requirements in Standards CIP-002-3                              LSE, RC, RE, TO,
10/1/2010
                                                R1.1.
                                                               through CIP-009-3, including provision
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               for emergency situations.
                                                               The cyber security policy is readily                             BA, GO, GOP, IA,
CIP-003-3, Effective                                           available to all personnel who have                              LSE, RC, RE, TO,
10/1/2010
                                                R1.2.
                                                               access to, or are responsible for, Critical
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               Cyber Assets.
                                                                                                                                BA, GO, GOP, IA,
                                                               Annual review and approval of the cyber
CIP-003-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.3.          security policy by the senior manager            Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               assigned pursuant to R2.

                                                               Leadership — The Responsible Entity                              BA, GO, GOP, IA,
CIP-003-3, Effective                                           shall assign a single senior manager with                        LSE, RC, RE, TO,
10/1/2010
                     R2.                                       overall responsibility and authority for
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               leading and managing the entity’s
                                                               implementation of, and adherence to,                             BA, GO, GOP, IA,
CIP-003-3, Effective                                           The senior manager shall be identified by                        LSE, RC, RE, TO,
10/1/2010
                                                R2.1.
                                                               name, title, and date of designation.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
                                                               Changes to the senior manager must be
CIP-003-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R2.2.          documented within thirty calendar days           Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               of the effective date.

                                                               Where allowed by Standards CIP-002-3                             BA, GO, GOP, IA,
CIP-003-3, Effective                                           through CIP-009-3, the senior manager                            LSE, RC, RE, TO,
10/1/2010
                                                R2.3.          may delegate authority for specific
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               actions to a named delegate or
                                                               delegates. These delegations shall be
                                                                                                                                                                                                                                                                Page 14 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The senior manager or delegate(s), shall                         BA, GO, GOP, IA,                                       Annual (A)
CIP-003-3, Effective                                           authorize and document any exception                             LSE, RC, RE, TO,
10/1/2010
                                                R2.4.
                                                               from the requirements of the cyber
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               security policy.
                                                               Exceptions — Instances where the                                 BA, GO, GOP, IA,
CIP-003-3, Effective                                           Responsible Entity cannot conform to its                         LSE, RC, RE, TO,
10/1/2010
                     R3.                                       cyber security policy must be
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               documented as exceptions and
                                                               Exceptionsby the senior manager or
                                                               authorized to the Responsible Entity’s                           BA, GO, GOP, IA,
CIP-003-3, Effective                                           cyber security policy must be                                    LSE, RC, RE, TO,
10/1/2010
                                                R3.1.          documented within thirty days of being
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               approved by the senior manager or
                                                               delegate(s). exceptions to the cyber
                                                               Documented                                                       BA, GO, GOP, IA,
CIP-003-3, Effective                                           security policy must include an                                  LSE, RC, RE, TO,
10/1/2010
                                                R3.2.          explanation as to why the exception is
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               necessary and any compensating
                                                               measures. exceptions to the cyber
                                                               Authorized                                                       BA, GO, GOP, IA,
CIP-003-3, Effective                                           security policy must be reviewed and                             LSE, RC, RE, TO,
10/1/2010
                                                R3.3.          approved annually by the senior manager
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               or delegate(s) to ensure the exceptions
                                                               are still required and valid. Such review
                                                               Information Protection — The                                     BA, GO, GOP, IA,
CIP-003-3, Effective                                           Responsible Entity shall implement and                           LSE, RC, RE, TO,
10/1/2010
                     R4.                                       document a program to identify, classify,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               and protect information associated with
                                                               Critical Cyber Assets.
                                                               The Critical Cyber Asset information to                          BA, GO, GOP, IA,
CIP-003-3, Effective                                           be protected shall include, at a minimum                         LSE, RC, RE, TO,
10/1/2010
                                                R4.1.          and regardless of media type, operational
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               procedures, lists as required in Standard
                                                               The Responsible Entity shall or similar
                                                               CIP-002-3, network topology classify                             BA, GO, GOP, IA,
CIP-003-3, Effective                                           information to be protected under this                           LSE, RC, RE, TO,
10/1/2010
                                                R4.2.
                                                               program based on the sensitivity of the
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               Critical Cyber Asset information.
                                                               The Responsible Entity shall, at least                           BA, GO, GOP, IA,
CIP-003-3, Effective                                           annually, assess adherence to its Critical                       LSE, RC, RE, TO,
10/1/2010
                                                R4.3.          Cyber Asset information protection
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               program, document the assessment
                                                               Access and implement an action plan
                                                               results, Control — The Responsible to                            BA, GO, GOP, IA,
CIP-003-3, Effective                                           Entity shall document and implement a                            LSE, RC, RE, TO,
10/1/2010
                     R5.                                       program for managing access to
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               protected Critical Cyber Asset
                                                               information.
                                                                                                                                                                                                                                                                Page 15 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Responsible Entity shall maintain a                          BA, GO, GOP, IA,                                       Annual (A)
CIP-003-3, Effective                                           list of designated personnel who are                             LSE, RC, RE, TO,
10/1/2010
                                                R5.1.
                                                               responsible for authorizing logical or
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               physical access to protected information.
                                                                                                                                BA, GO, GOP, IA,
                                                               Personnel shall be identified by name,
CIP-003-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R5.1.1.        title, and the information for which they        Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               are responsible for authorizing access.

                                                               The list of personnel responsible for                            BA, GO, GOP, IA,
CIP-003-3, Effective                                           authorizing access to protected                                  LSE, RC, RE, TO,
10/1/2010
                                                R5.1.2.
                                                               information shall be verified at least
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               annually.
                                                               The Responsible Entity shall review at                           BA, GO, GOP, IA,
CIP-003-3, Effective                                           least annually the access privileges to                          LSE, RC, RE, TO,
10/1/2010
                                                R5.2.          protected information to confirm that
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               access privileges are correct and that
                                                               The correspond Entity shall assess and
                                                               theyResponsible with the Responsible                             BA, GO, GOP, IA,
CIP-003-3, Effective                                           document at least annually the processes                         LSE, RC, RE, TO,
10/1/2010
                                                R5.3.
                                                               for controlling access privileges to
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               protected information.
                                                               Change Control and Configuration                                 BA, GO, GOP, IA,
CIP-003-3, Effective                                           Management — The Responsible Entity                              LSE, RC, RE, TO,
10/1/2010
                     R6.                                       shall establish and document a process
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               of change control and configuration
                                                               Awareness —for adding, modifying,
                                                               management The Responsible Entity                                BA, GO, GOP, IA,
CIP-004-3, Effective                                           shall establish, document, implement,                            LSE, RC, RE, TO,
10/1/2010
                     R1.                                       and maintain a security awareness
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               program to ensure personnel having
                                                               Training — cyber or authorized
                                                               authorized The Responsible Entity shall                          BA, GO, GOP, IA,
CIP-004-3, Effective                                           establish, document, implement, and                              LSE, RC, RE, TO,
10/1/2010
                     R2.                                       maintain an annual cyber security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               training program for personnel having
                                                               authorized cyber or authorized
                                                               This program will ensure that all                                BA, GO, GOP, IA,
CIP-004-3, Effective                                           personnel having such access to Critical                         LSE, RC, RE, TO,
10/1/2010
                                                R2.1.          Cyber Assets, including contractors and
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               service vendors, are trained prior to their
                                                               Training shall such the policies, access
                                                               being granted cover access except in                             BA, GO, GOP, IA,
CIP-004-3, Effective                                           controls, and procedures as developed                            LSE, RC, RE, TO,
10/1/2010
                                                R2.2.          for the Critical Cyber Assets covered by
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               CIP-004-3, and include, at a minimum, the
                                                               following required items appropriate to
                                                                                                                                                                                                                                                                Page 16 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                BA, GO, GOP, IA,                                       Annual (A)
CIP-004-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R2.2.1.        The proper use of Critical Cyber Assets;         Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
CIP-004-3, Effective                                           Physical and electronic access controls                          LSE, RC, RE, TO,
10/1/2010
                                                R2.2.2.
                                                               to Critical Cyber Assets;
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
CIP-004-3, Effective                                           The proper handling of Critical Cyber                            LSE, RC, RE, TO,
10/1/2010
                                                R2.2.3.
                                                               Asset information; and,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x

                                                               Action plans and procedures to recover                           BA, GO, GOP, IA,
CIP-004-3, Effective                                           or re-establish Critical Cyber Assets and                        LSE, RC, RE, TO,
10/1/2010
                                                R2.2.4.
                                                               access thereto following a Cyber Security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               Incident.
                                                               The Responsible Entity shall maintain                            BA, GO, GOP, IA,
CIP-004-3, Effective                                           documentation that training is conducted                         LSE, RC, RE, TO,
10/1/2010
                                                R2.3.          at least annually, including the date the
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                    x
                                                               training was completed and attendance
                                                               records Risk Assessment —The
                                                               Personnel                                                        BA, GO, GOP, IA,
CIP-004-3, Effective                                           Responsible Entity shall have a                                  LSE, RC, RE, TO,
10/1/2010
                     R3.                                       documented personnel risk assessment
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               program, in accordance with federal,
                                                               The Responsible and local laws, and that
                                                               state, provincial, Entity shall ensure                           BA, GO, GOP, IA,
CIP-004-3, Effective                                           each assessment conducted include, at                            LSE, RC, RE, TO,
10/1/2010
                                                R3.1.          least, identity verification (e.g., Social
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Number verification in the U.S.)
                                                               and Responsible Entity check. The
                                                               The seven-year criminalshall update each                         BA, GO, GOP, IA,
CIP-004-3, Effective                                           personnel risk assessment at least every                         LSE, RC, RE, TO,
10/1/2010
                                                R3.2.
                                                               seven years after the initial personnel
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               risk assessment or for cause.
                                                               The Responsible Entity shall document                            BA, GO, GOP, IA,
CIP-004-3, Effective                                           the results of personnel risk                                    LSE, RC, RE, TO,
10/1/2010
                                                R3.3.          assessments of its personnel having
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               authorized cyber or authorized
                                                               Access — The Responsible to Critical
                                                               unescorted physical access Entity shall                          BA, GO, GOP, IA,
CIP-004-3, Effective                                           maintain list(s) of personnel with                               LSE, RC, RE, TO,
10/1/2010
                     R4.                                       authorized cyber or authorized
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               unescorted physical access to Critical
                                                               Cyber Assets, including their specific
                                                                                                                                                                                                                                                                Page 17 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Responsible Entity shall review the                          BA, GO, GOP, IA,                                       Annual (A)
CIP-004-3, Effective                                           list(s) of its personnel who have such                           LSE, RC, RE, TO,
10/1/2010
                                                R4.1.          access to Critical Cyber Assets quarterly,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and update the list(s) within seven
                                                               The Responsible any change revoke such
                                                               calendar days of Entity shall of                                 BA, GO, GOP, IA,
CIP-004-3, Effective                                           access to Critical Cyber Assets within 24                        LSE, RC, RE, TO,
10/1/2010
                                                R4.2.          hours for personnel terminated for cause
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and within seven calendar days for
                                                               Electronic who no longer requireThe
                                                               personnel Security Perimeter — such                              BA, GO, GOP, IA,
CIP-005-3, Effective                                           Responsible Entity shall ensure that                             LSE, RC, RE, TO,
10/1/2010
                     R1.                                       every Critical Cyber Asset resides within
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               an Electronic Security Perimeter. The
                                                               Responsible Entity shall identify and
                                                               Access points to the Electronic Security                         BA, GO, GOP, IA,
CIP-005-3, Effective                                           Perimeter(s) shall include any externally                        LSE, RC, RE, TO,
10/1/2010
                                                R1.1.          connected communication end point (for
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               example, dial-up modems) terminating at
                                                               For device within the Electronic Security
                                                               any a dial-up accessible Critical Cyber                          BA, GO, GOP, IA,
CIP-005-3, Effective                                           Asset that uses a non-routable protocol,                         LSE, RC, RE, TO,
10/1/2010
                                                R1.2.          the Responsible Entity shall define an
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Electronic Security Perimeter for that
                                                               Communication links the dial-up device.
                                                               single access point atconnecting discrete                        BA, GO, GOP, IA,
CIP-005-3, Effective                                           Electronic Security Perimeters shall not                         LSE, RC, RE, TO,
10/1/2010
                                                R1.3.          be considered part of the Electronic
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Perimeter. However, end points
                                                               Any non-critical Cyber Asset within athe
                                                               of these communication links within                              BA, GO, GOP, IA,
CIP-005-3, Effective                                           defined Electronic Security Perimeter                            LSE, RC, RE, TO,
10/1/2010
                                                R1.4.          shall be identified and protected
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               pursuant to the requirements of Standard
                                                               CIP-005-3.
                                                               Cyber Assets used in the access control                          BA, GO, GOP, IA,
CIP-005-3, Effective                                           and/or monitoring of the Electronic                              LSE, RC, RE, TO,
10/1/2010
                                                R1.5.          Security Perimeter(s) shall be afforded
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               the protective measures as a specified in
                                                               Standard CIP-003-3; Standardmaintain
                                                               The Responsible Entity shall CIP-004-3                           BA, GO, GOP, IA,
CIP-005-3, Effective                                           documentation of Electronic Security                             LSE, RC, RE, TO,
10/1/2010
                                                R1.6.          Perimeter(s), all interconnected Critical
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and non-critical Cyber Assets within the
                                                               Electronic Access Perimeter(s), all
                                                               Electronic SecurityControls — The                                BA, GO, GOP, IA,
CIP-005-3, Effective                                           Responsible Entity shall implement and                           LSE, RC, RE, TO,
10/1/2010
                     R2.                                       document the organizational processes
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and technical and procedural
                                                               mechanisms for control of electronic
                                                                                                                                                                                                                                                                Page 18 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               These processes and mechanisms shall                             BA, GO, GOP, IA,                                       Annual (A)
CIP-005-3, Effective                                           use an access control model that denies                          LSE, RC, RE, TO,
10/1/2010
                                                R2.1.
                                                               access by default, such that explicit
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               access permissions must be specified.
                                                               At all access points to the Electronic                           BA, GO, GOP, IA,
CIP-005-3, Effective                                           Security Perimeter(s), the Responsible                           LSE, RC, RE, TO,
10/1/2010
                                                R2.2.          Entity shall enable only ports and
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               services required for operations and for
                                                               monitoring Cyber Assets within the
                                                               The Responsible Entity shall implement                           BA, GO, GOP, IA,
CIP-005-3, Effective                                           and maintain a procedure for securing                            LSE, RC, RE, TO,
10/1/2010
                                                R2.3.
                                                               dial-up access to the Electronic Security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Perimeter(s).
                                                               Where external interactive access into                           BA, GO, GOP, IA,
CIP-005-3, Effective                                           the Electronic Security Perimeter has                            LSE, RC, RE, TO,
10/1/2010
                                                R2.4.          been enabled, the Responsible Entity
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               shall implement strong procedural or
                                                               technical controls at the access points to                       BA, GO, GOP, IA,
CIP-005-3, Effective                                           The required documentation shall, at                             LSE, RC, RE, TO,
10/1/2010
                                                R2.5.
                                                               least, identify and describe:
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
CIP-005-3, Effective                                           The processes for access request and                             LSE, RC, RE, TO,
10/1/2010
                                                R2.5.1.
                                                               authorization.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
CIP-005-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R2.5.2.        The authentication methods.                      Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
                                                               The review process for authorization
CIP-005-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R2.5.3.        rights, in accordance with Standard CIP-         Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               004-3 Requirement R4.

                                                                                                                                BA, GO, GOP, IA,
CIP-005-3, Effective                                           The controls used to secure dial-up                              LSE, RC, RE, TO,
10/1/2010
                                                R2.5.4.
                                                               accessible connections.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Appropriate Use Banner — Where                                   BA, GO, GOP, IA,
CIP-005-3, Effective                                           technically feasible, electronic access                          LSE, RC, RE, TO,
10/1/2010
                                                R2.6.          control devices shall display an
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               appropriate use banner on the user
                                                               screen upon all interactive access
                                                                                                                                                                                                                                                                Page 19 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                           2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                  Violation Risk       Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                         Factor           Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Monitoring Electronic Access — The                               BA, GO, GOP, IA,                                       Annual (A)
CIP-005-3, Effective                                           Responsible Entity shall implement and                           LSE, RC, RE, TO,
10/1/2010
                     R3.                                       document an electronic or manual
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               process(es) for monitoring and logging
                                                               access at access points to the Electronic
                                                               For dial-up accessible Critical Cyber                            BA, GO, GOP, IA,
CIP-005-3, Effective                                           Assets that use non-routable protocols,                          LSE, RC, RE, TO,
10/1/2010
                                                R3.1.          the Responsible Entity shall implement
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and document monitoring process(es) at
                                                               each access point to the dial-up device,
                                                               Where technically feasible, the security                         BA, GO, GOP, IA,
CIP-005-3, Effective                                           monitoring process(es) shall detect and                          LSE, RC, RE, TO,
10/1/2010
                                                R3.2.          alert for attempts at or actual
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               unauthorized accesses. These alerts
                                                               shall provide for appropriate notification
                                                               Cyber Vulnerability Assessment — The                             BA, GO, GOP, IA,
CIP-005-3, Effective                                           Responsible Entity shall perform a cyber                         LSE, RC, RE, TO,
10/1/2010
                     R4.                                       vulnerability assessment of the
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               electronic access points to the Electronic
                                                               Security Perimeter(s) at least annually.                         BA, GO, GOP, IA,
CIP-005-3, Effective                                           A document identifying the vulnerability                         LSE, RC, RE, TO,
10/1/2010
                                                R4.1.
                                                               assessment process;
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
                                                               A review to verify that only ports and
CIP-005-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R4.2.          services required for operations at these         Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               access points are enabled;

                                                                                                                                BA, GO, GOP, IA,
CIP-005-3, Effective                                           The discovery of all access points to the                        LSE, RC, RE, TO,
10/1/2010
                                                R4.3.
                                                               Electronic Security Perimeter;
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                                                                                                BA, GO, GOP, IA,
                                                               A review of controls for default accounts,
CIP-005-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R4.4.          passwords, and network management                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               community strings;

                                                               Documentation of the results of the                              BA, GO, GOP, IA,
CIP-005-3, Effective                                           assessment, the action plan to remediate                         LSE, RC, RE, TO,
10/1/2010
                                                R4.5.          or mitigate vulnerabilities identified in the
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               assessment, and the execution status of
                                                               that action plan.Review and Maintenance
                                                               Documentation                                                    BA, GO, GOP, IA,
CIP-005-3, Effective                                           — The Responsible Entity shall review,                           LSE, RC, RE, TO,
10/1/2010
                     R5.                                       update, and maintain all documentation
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               to support compliance with the
                                                               requirements of Standard CIP-005-3.
                                                                                                                                                                                                                                                                Page 20 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Responsible Entity shall ensure that                         BA, GO, GOP, IA,                                       Annual (A)
CIP-005-3, Effective                                           all documentation required by Standard                           LSE, RC, RE, TO,
10/1/2010
                                                R5.1.          CIP-005-3 reflect current configurations
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and processes and shall review the
                                                               documents and procedures referenced in
                                                               The Responsible Entity shall update the                          BA, GO, GOP, IA,
CIP-005-3, Effective                                           documentation to reflect the modification                        LSE, RC, RE, TO,
10/1/2010
                                                R5.2.
                                                               of the network or controls within ninety
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               calendar days of the change.
                                                               The Responsible Entity shall retain                              BA, GO, GOP, IA,
CIP-005-3, Effective                                           electronic access logs for at least ninety                       LSE, RC, RE, TO,
10/1/2010
                                                R5.3.          calendar days. Logs related to reportable
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               incidents shall be kept in accordance
                                                               with the requirements of Standard CIP-
                                                               Physical Security Plan — The                                     BA, GO, GOP, IA,
CIP-006-3c,                                                    Responsible Entity shall document,                               LSE, RC, RE, TO,
Effective 10/1/2010
                                  R1.                          implement, and maintain a physical
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               security plan, approved by the senior
                                                               manager or delegate(s) that shall
                                                               All Cyber Assets within an Electronic                            BA, GO, GOP, IA,
CIP-006-3c,                                                    Security Perimeter shall reside within an                        LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.1.          identified Physical Security Perimeter.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Where a completely enclosed (―six-wall‖)
                                                               border cannot be established, the
                                                               Identification of all physical access                            BA, GO, GOP, IA,
CIP-006-3c,                                                    points through each Physical Security                            LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.2.
                                                               Perimeter and measures to control entry
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               at those access points.
                                                                                                                                BA, GO, GOP, IA,
                                                               Processes, tools, and procedures to
CIP-006-3c,                                                                                                                     LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.3.          monitor physical access to the                   Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               perimeter(s).

                                                               Appropriate use of physical access                               BA, GO, GOP, IA,
CIP-006-3c,                                                    controls as described in Requirement R4                          LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.4.          including visitor pass management,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               response to loss, and prohibition of
                                                               Review of access of physical access
                                                               inappropriate use authorization requests                         BA, GO, GOP, IA,
CIP-006-3c,                                                    and revocation of access authorization,                          LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.5.
                                                               in accordance with CIP-004-3
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Requirement R4.
                                                               A visitor control program for visitors                           BA, GO, GOP, IA,
CIP-006-3c,                                                    (personnel without authorized                                    LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.6.          unescorted access to a Physical Security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Perimeter), containing at a minimum the
                                                               following:
                                                                                                                                                                                                                                                                Page 21 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Logs (manual or automated) to document                           BA, GO, GOP, IA,                                       Annual (A)
CIP-006-3c,                                                    the entry and exit of visitors, including                        LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.6.1
                                                               the date and time, to and from Physical
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Perimeters.
                                                                                                                                BA, GO, GOP, IA,
CIP-006-3c,                                                    Continuous escorted access of visitors                           LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.6.2
                                                               within the Physical Security Perimeter.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Update of the physical security plan                             BA, GO, GOP, IA,
CIP-006-3c,                                                    within thirty calendar days of the                               LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.7.          completion of any physical security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               system redesign or reconfiguration,
                                                               including, but not limited to, addition or                       BA, GO, GOP, IA,
CIP-006-3c,                                                    Annual review of the physical security                           LSE, RC, RE, TO,
Effective 10/1/2010
                                                R1.8.
                                                               plan.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Protection of Physical Access Control                            BA, GO, GOP, IA,
CIP-006-3c,                                                    Systems — Cyber Assets that authorize                            LSE, RC, RE, TO,
Effective 10/1/2010
                                  R2.                          and/or log access to the Physical
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Perimeter(s), exclusive of
                                                               hardware at the Physical Security                                BA, GO, GOP, IA,
CIP-006-3c,                                                    Be protected from unauthorized physical                          LSE, RC, RE, TO,
Effective 10/1/2010
                                                R2.1.
                                                               access.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Be afforded the protective measures                              BA, GO, GOP, IA,
CIP-006-3c,                                                    specified in Standard CIP-003-3;                                 LSE, RC, RE, TO,
Effective 10/1/2010
                                                R2.2.          Standard CIP-004-3 Requirement R3;
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Standard CIP-005-3 Requirements R2 and
                                                               Protection of Electronic Requirements R4
                                                               R3; Standard CIP-006-3 Access Control                            BA, GO, GOP, IA,
CIP-006-3c,                                                    Systems — Cyber Assets used in the                               LSE, RC, RE, TO,
Effective 10/1/2010
                                  R3.                          access control and/or monitoring of the
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Electronic Security Perimeter(s) shall
                                                               reside within an identified — The
                                                               Physical Access Controls Physical                                BA, GO, GOP, IA,
CIP-006-3c,                                                    Responsible Entity shall document and                            LSE, RC, RE, TO,
Effective 10/1/2010
                                  R4.                          implement the operational and
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               procedural controls to manage physical
                                                               Monitoring Physical points — The
                                                               access at all access Accessto the                                BA, GO, GOP, IA,
CIP-006-3c,                                                    Responsible Entity shall document and                            LSE, RC, RE, TO,
Effective 10/1/2010
                                  R5.                          implement the technical and procedural
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               controls for monitoring physical access
                                                               at all access points to the Physical
                                                                                                                                                                                                                                                                Page 22 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Logging Physical Access — Logging                                BA, GO, GOP, IA,                                       Annual (A)
CIP-006-3c,                                                    shall record sufficient information to                           LSE, RC, RE, TO,
Effective 10/1/2010
                                  R6.                          uniquely identify individuals and the time
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               of access twenty-four hours a day, seven
                                                               Accessweek. The Responsible Entity
                                                               days a Log Retention — The                                       BA, GO, GOP, IA,
CIP-006-3c,                                                    Responsible Entity shall retain physical                         LSE, RC, RE, TO,
Effective 10/1/2010
                                  R7.                          access logs for at least ninety calendar
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               days. Logs related to reportable
                                                               Maintenance and Testing accordance
                                                               incidents shall be kept in — The                                 BA, GO, GOP, IA,
CIP-006-3c,                                                    Responsible Entity shall implement a                             LSE, RC, RE, TO,
Effective 10/1/2010
                                  R8.                          maintenance and testing program to
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               ensure that all physical security systems
                                                               under Requirements R4, R5, and R6                                BA, GO, GOP, IA,
                                                               Testing and maintenance of all physical
CIP-006-3c,                                                                                                                     LSE, RC, RE, TO,
Effective 10/1/2010
                                                R8.1.          security mechanisms on a cycle no                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               longer than three years.

                                                                                                                                BA, GO, GOP, IA,
                                                               Retention of outage records regarding
CIP-006-3c,                                                                                                                     LSE, RC, RE, TO,
Effective 10/1/2010
                                                R8.3.          access controls, logging, and monitoring         Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               for a minimum of one calendar year.

                                                               Test Procedures — The Responsible                                BA, GO, GOP, IA,
CIP-007-3, Effective                                           Entity shall ensure that new Cyber Assets                        LSE, RC, RE, TO,
10/1/2010
                     R1.                                       and significant changes to existing Cyber
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Assets within the Electronic Security
                                                               The Responsible adversely affect existing
                                                               Perimeter do not Entity shall create,                            BA, GO, GOP, IA,
CIP-007-3, Effective                                           implement, and maintain cyber security                           LSE, RC, RE, TO,
10/1/2010
                                                R1.1.          test procedures in a manner that
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               minimizes adverse effects on the
                                                               production system or its operation.                              BA, GO, GOP, IA,
                                                               The Responsible Entity shall document
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.2.          that testing is performed in a manner that       Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               reflects the production environment.

                                                                                                                                BA, GO, GOP, IA,
CIP-007-3, Effective                                           The Responsible Entity shall document                            LSE, RC, RE, TO,
10/1/2010
                                                R1.3.
                                                               test results.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Ports and Services — The Responsible                             BA, GO, GOP, IA,
CIP-007-3, Effective                                           Entity shall establish, document and                             LSE, RC, RE, TO,
10/1/2010
                     R2.                                       implement a process to ensure that only
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               those ports and services required for
                                                               normal and emergency operations are
                                                                                                                                                                                                                                                                Page 23 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                BA, GO, GOP, IA,                                       Annual (A)
                                                               The Responsible Entity shall enable only
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R2.1.          those ports and services required for            Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               normal and emergency operations.

                                                               The Responsible Entity shall disable                             BA, GO, GOP, IA,
CIP-007-3, Effective                                           other ports and services, including those                        LSE, RC, RE, TO,
10/1/2010
                                                R2.2.          used for testing purposes, prior to
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               production use of all Cyber Assets inside
                                                               the Electronic Security Perimeter(s).
                                                               In the case where unused ports and                               BA, GO, GOP, IA,
CIP-007-3, Effective                                           services cannot be disabled due to                               LSE, RC, RE, TO,
10/1/2010
                                                R2.3.          technical limitations, the Responsible
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Entity shall document compensating
                                                               measure(s) applied to mitigate risk
                                                               Security Patch Management — The                                  BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity, either separately or                         LSE, RC, RE, TO,
10/1/2010
                     R3.                                       as a component of the documented
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               configuration management process
                                                               specified in CIP-003-3 Requirement R6,
                                                               The Responsible Entity shall document                            BA, GO, GOP, IA,
CIP-007-3, Effective                                           the assessment of security patches and                           LSE, RC, RE, TO,
10/1/2010
                                                R3.1.          security upgrades for applicability within
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               thirty calendar days of availability of the
                                                               patches or upgrades. shall document
                                                               The Responsible Entity                                           BA, GO, GOP, IA,
CIP-007-3, Effective                                           the implementation of security patches.                          LSE, RC, RE, TO,
10/1/2010
                                                R3.2.          In any case where the patch is not
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               installed, the Responsible Entity shall
                                                               document compensating measure(s)
                                                               Malicious Software Prevention — The                              BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity shall use anti-virus                          LSE, RC, RE, TO,
10/1/2010
                     R4.                                       software and other malicious software
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               (―malware‖) prevention tools, where
                                                               The Responsible Entitydetect, prevent,
                                                               technically feasible, to shall document                          BA, GO, GOP, IA,
CIP-007-3, Effective                                           and implement anti-virus and malware                             LSE, RC, RE, TO,
10/1/2010
                                                R4.1.          prevention tools. In the case where anti-
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               virus software and malware prevention
                                                               tools are not installed, the Responsible
                                                               The Responsible Entity shall document                            BA, GO, GOP, IA,
CIP-007-3, Effective                                           and implement a process for the update                           LSE, RC, RE, TO,
10/1/2010
                                                R4.2.          of anti-virus and malware prevention
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               ―signatures.‖ The process must address
                                                               Account Management — signatures.
                                                               testing and installing the The                                   BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity shall establish,                              LSE, RC, RE, TO,
10/1/2010
                     R5.                                       implement, and document technical and
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               procedural controls that enforce access
                                                               authentication of, and accountability for,
                                                                                                                                                                                                                                                                Page 24 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Responsible Entity shall ensure that                         BA, GO, GOP, IA,                                       Annual (A)
CIP-007-3, Effective                                           individual and shared system accounts                            LSE, RC, RE, TO,
10/1/2010
                                                R5.1.          and authorized access permissions are
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               consistent with the concept of ―need to
                                                               know‖ with respect to work functions
                                                               The Responsible Entity shall ensure that                         BA, GO, GOP, IA,
CIP-007-3, Effective                                           user accounts are implemented as                                 LSE, RC, RE, TO,
10/1/2010
                                                R5.1.1.
                                                               approved by designated personnel. Refer
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               to Standard CIP-003-3 Requirement R5.
                                                               The Responsible Entity shall establish                           BA, GO, GOP, IA,
CIP-007-3, Effective                                           methods, processes, and procedures                               LSE, RC, RE, TO,
10/1/2010
                                                R5.1.2.        that generate logs of sufficient detail to
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               create historical audit trails of individual
                                                               The account access activity review, at
                                                               userResponsible Entity shall for a                               BA, GO, GOP, IA,
CIP-007-3, Effective                                           least annually, user accounts to verify                          LSE, RC, RE, TO,
10/1/2010
                                                R5.1.3.        access privileges are in accordance with
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Standard CIP-003-3 Requirement R5 and
                                                               Standard CIP-004-3 Requirement R4.
                                                               The Responsible Entity shall implement a                         BA, GO, GOP, IA,
CIP-007-3, Effective                                           policy to minimize and manage the scope                          LSE, RC, RE, TO,
10/1/2010
                                                R5.2.          and acceptable use of administrator,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               shared, and other generic account
                                                               privileges including factory default
                                                               The policy shall include the removal,                            BA, GO, GOP, IA,
CIP-007-3, Effective                                           disabling, or renaming of such accounts                          LSE, RC, RE, TO,
10/1/2010
                                                R5.2.1.        where possible. For such accounts that
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               must remain enabled, passwords shall be
                                                               changed prior to putting any system into                         BA, GO, GOP, IA,
                                                               The Responsible Entity shall identify
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R5.2.2.        those individuals with access to shared          Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               accounts.

                                                               Where such accounts must be shared,                              BA, GO, GOP, IA,
CIP-007-3, Effective                                           the Responsible Entity shall have a                              LSE, RC, RE, TO,
10/1/2010
                                                R5.2.3.        policy for managing the use of such
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               accounts that limits access to only those
                                                               with authorization, an audit trail of the                        BA, GO, GOP, IA,
                                                               At a minimum, the Responsible Entity
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R5.3.          shall require and use passwords, subject         Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               to the following, as technically feasible:

                                                                                                                                BA, GO, GOP, IA,
CIP-007-3, Effective                                           Each password shall be a minimum of six                          LSE, RC, RE, TO,
10/1/2010
                                                R5.3.1.
                                                               characters.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x


                                                                                                                                                                                                                                                                Page 25 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                BA, GO, GOP, IA,                                       Annual (A)
                                                               Each password shall consist of a
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R5.3.2.        combination of alpha, numeric, and               Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               ―special‖ characters.

                                                                                                                                BA, GO, GOP, IA,
                                                               Each password shall be changed at least
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R5.3.3.        annually, or more frequently based on            Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               risk.

                                                               Security Status Monitoring — The                                 BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity shall ensure that all                         LSE, RC, RE, TO,
10/1/2010
                     R6.                                       Cyber Assets within the Electronic
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Perimeter, as technically
                                                               feasible, implement automated tools or
                                                               The Responsible Entity shall implement                           BA, GO, GOP, IA,
CIP-007-3, Effective                                           and document the organizational                                  LSE, RC, RE, TO,
10/1/2010
                                                R6.1.          processes and technical and procedural
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               mechanisms for monitoring for security
                                                               events on all Cyber Assets within the                            BA, GO, GOP, IA,
                                                               The security monitoring controls shall
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R6.2.          issue automated or manual alerts for             Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               detected Cyber Security Incidents.

                                                               The Responsible Entity shall maintain                            BA, GO, GOP, IA,
CIP-007-3, Effective                                           logs of system events related to cyber                           LSE, RC, RE, TO,
10/1/2010
                                                R6.3.          security, where technically feasible, to
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               support incident response as required in
                                                               Standard CIP-008-3.                                              BA, GO, GOP, IA,
                                                               The Responsible Entity shall retain all
CIP-007-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R6.4.          logs specified in Requirement R6 for             Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               ninety calendar days.

                                                               The Responsible Entity shall review logs                         BA, GO, GOP, IA,
CIP-007-3, Effective                                           of system events related to cyber                                LSE, RC, RE, TO,
10/1/2010
                                                R6.5.
                                                               security and maintain records
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               documenting review of logs.
                                                               Disposal or Redeployment — The                                   BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity shall establish and                           LSE, RC, RE, TO,
10/1/2010
                     R7.                                       implement formal methods, processes,
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               and procedures for disposal or
                                                               redeployment of Cyber Assets withinthe
                                                               Prior to the disposal of such assets, the                        BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity shall destroy or erase                        LSE, RC, RE, TO,
10/1/2010
                                                R7.1.          the data storage media to prevent
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               unauthorized retrieval of sensitive cyber
                                                               security or reliability data.
                                                                                                                                                                                                                                                                Page 26 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                           2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                  Violation Risk       Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                         Factor           Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Prior to redeployment of such assets, the                        BA, GO, GOP, IA,                                       Annual (A)
CIP-007-3, Effective                                           Responsible Entity shall, at a minimum,                          LSE, RC, RE, TO,
10/1/2010
                                                R7.2.          erase the data storage media to prevent
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               unauthorized retrieval of sensitive cyber
                                                               security or reliability data.
                                                               The Responsible Entity shall maintain                            BA, GO, GOP, IA,
CIP-007-3, Effective                                           records that such assets were disposed                           LSE, RC, RE, TO,
10/1/2010
                                                R7.3.
                                                               of or redeployed in accordance with
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               documented procedures.
                                                               Cyber Vulnerability Assessment — The                             BA, GO, GOP, IA,
CIP-007-3, Effective                                           Responsible Entity shall perform a cyber                         LSE, RC, RE, TO,
10/1/2010
                     R8.                                       vulnerability assessment of all Cyber
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Assets within the Electronic Security
                                                               Perimeter at least annually. The                                 BA, GO, GOP, IA,
CIP-007-3, Effective                                           A document identifying the vulnerability                         LSE, RC, RE, TO,
10/1/2010
                                                R8.1.
                                                               assessment process;
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               A review to verify that only ports and                           BA, GO, GOP, IA,
CIP-007-3, Effective                                           services required for operation of the                           LSE, RC, RE, TO,
10/1/2010
                                                R8.2.
                                                               Cyber Assets within the Electronic
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Perimeter are enabled;
                                                                                                                                BA, GO, GOP, IA,
CIP-007-3, Effective                                           A review of controls for default accounts;                       LSE, RC, RE, TO,
10/1/2010
                                                R8.3.
                                                               and,
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Documentation of the results of the                              BA, GO, GOP, IA,
CIP-007-3, Effective                                           assessment, the action plan to remediate                         LSE, RC, RE, TO,
10/1/2010
                                                R8.4.          or mitigate vulnerabilities identified in the
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               assessment, and the execution status of
                                                               that action plan.
                                                               Documentation Review and Maintenance                             BA, GO, GOP, IA,
CIP-007-3, Effective                                           — The Responsible Entity shall review                            LSE, RC, RE, TO,
10/1/2010
                     R9.                                       and update the documentation specified
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               in Standard CIP-007-3 at least annually.
                                                               Cyber Security Incident modifications to
                                                               Changes resulting from Response Plan —                           BA, GO, GOP, IA,
CIP-008-3, Effective                                           The Responsible Entity shall develop and                         LSE, RC, RE, TO,
10/1/2010
                     R1.                                       maintain a Cyber Security Incident
                                                                                                                 Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               response plan and implement the plan in
                                                               response to Cyber Security Incidents.                            BA, GO, GOP, IA,
                                                               Procedures to characterize and classify
CIP-008-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.1.          events as reportable Cyber Security               Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Incidents.


                                                                                                                                                                                                                                                                Page 27 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Response actions, including roles and                            BA, GO, GOP, IA,                                       Annual (A)
CIP-008-3, Effective                                           responsibilities of Cyber Security                               LSE, RC, RE, TO,
10/1/2010
                                                R1.2.          Incident response teams, Cyber Security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Incident handling procedures, and
                                                               communication plans.
                                                               Process for reporting Cyber Security                             BA, GO, GOP, IA,
CIP-008-3, Effective                                           Incidents to the Electricity Sector                              LSE, RC, RE, TO,
10/1/2010
                                                R1.3.          Information Sharing and Analysis Center
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               (ES-ISAC). The Responsible Entity must
                                                               ensure that all reportable Cyber Security                        BA, GO, GOP, IA,
                                                               Process for updating the Cyber Security
CIP-008-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.4.          Incident response plan within thirty             Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               calendar days of any changes.

                                                                                                                                BA, GO, GOP, IA,
                                                               Process for ensuring that the Cyber
CIP-008-3, Effective                                                                                                            LSE, RC, RE, TO,
10/1/2010
                                                R1.5.          Security Incident response plan is               Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               reviewed at least annually.

                                                               Process for ensuring the Cyber Security                          BA, GO, GOP, IA,
CIP-008-3, Effective                                           Incident response plan is tested at least                        LSE, RC, RE, TO,
10/1/2010
                                                R1.6.          annually. A test of the Cyber Security
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Incident response plan can range from a
                                                               paper drill, to a Incident Documentation
                                                               Cyber Security full operational exercise,                        BA, GO, GOP, IA,
CIP-008-3, Effective                                           — The Responsible Entity shall keep                              LSE, RC, RE, TO,
10/1/2010
                     R2.                                       relevant documentation related to Cyber
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Security Incidents reportable per
                                                               Recovery Plans — for three calendar
                                                               Requirement R1.1 The Responsible                                 BA, GO, GOP, IA,
CIP-009-3, Effective                                           Entity shall create and annually review                          LSE, RC, RE, TO,
10/1/2010
                     R1.                                       recovery plan(s) for Critical Cyber
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               Assets. The recovery plan(s) shall
                                                               Specify thea minimum the following:
                                                               address at required actions in response                          BA, GO, GOP, IA,
CIP-009-3, Effective                                           to events or conditions of varying                               LSE, RC, RE, TO,
10/1/2010
                                                R1.1.
                                                               duration and severity that would activate
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               the recovery plan(s).
                                                                                                                                BA, GO, GOP, IA,
CIP-009-3, Effective                                           Define the roles and responsibilities of                         LSE, RC, RE, TO,
10/1/2010
                                                R1.2.
                                                               responders.
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x

                                                               Exercises — The recovery plan(s) shall                           BA, GO, GOP, IA,
CIP-009-3, Effective                                           be exercised at least annually. An                               LSE, RC, RE, TO,
10/1/2010
                     R2.                                       exercise of the recovery plan(s) can
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                    x
                                                               range from a paper drill, to a full
                                                               operational exercise, to recovery from an
                                                                                                                                                                                                                                                                Page 28 of 134
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                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement                 Text of Requirement                                                                                      Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Change Control — Recovery plan(s) shall                          BA, GO, GOP, IA,                                       Annual (A)
CIP-009-3, Effective                                           be updated to reflect any changes or                             LSE, RC, RE, TO,
10/1/2010
                     R3.                                       lessons learned as a result of an exercise
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                     x
                                                               or the recovery from an actual incident.
                                                               Updates shall be communicated to
                                                               Backup and Restore — The recovery                                BA, GO, GOP, IA,
CIP-009-3, Effective                                           plan(s) shall include processes and                              LSE, RC, RE, TO,
10/1/2010
                     R4.                                       procedures for the backup and storage of
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A               A                                                                                                     x
                                                               information required to successfully
                                                               Testing Critical Cyber Assets. For
                                                               restore Backup Media — Information                               BA, GO, GOP, IA,
CIP-009-3, Effective                                           essential to recovery that is stored on                          LSE, RC, RE, TO,
10/1/2010
                     R5.                                       backup media shall be tested at least
                                                                                                                Pending
                                                                                                                                TOP, TSP, NERC
                                                                                                                                                            A                                                                                                                     x
                                                               annually to ensure that the information is
                                                               available. Testing can be completed off

                                                               COMMUNICATIONS


                                                               Each Reliability Coordinator,
                                                               Transmission Operator, and Balancing
COM-001-1.1                       R1.                          Authority shall provide adequate and
                                                                                                                  HIGH            BA, RC, TOP               A               A                                                                                x                    x
                                                               reliable telecommunications facilities for
                                                               the exchange of Interconnection and

COM-001-1.1                                     R1.1.          Internally.                                        HIGH            BA, RC, TOP               A               A                                                                                x                    x

                                                               Between the Reliability Coordinator and
COM-001-1.1                                     R1.2.          its Transmission Operators and                     HIGH            BA, RC, TOP               A               A                                                                                x                    x
                                                               Balancing Authorities.

                                                               With other Reliability Coordinators,
                                                               Transmission Operators, and Balancing
COM-001-1.1                                     R1.3.
                                                               Authorities as necessary to maintain
                                                                                                                  HIGH            BA, RC, TOP               A               A                                                                                x                    x
                                                               reliability.

                                                               Where applicable, these facilities shall be
COM-001-1.1                                     R1.4.
                                                               redundant and diversely routed.
                                                                                                                  HIGH            BA, RC, TOP               A               A                                                                                x                    x

                                                               Each Reliability Coordinator,
                                                               Transmission Operator, and Balancing
COM-001-1.1                       R2.                          Authority shall manage, alarm, test
                                                                                                                MEDIUM            BA, RC, TOP               A               A                                                            x         x
                                                               and/or actively monitor vital
                                                               telecommunications facilities. Special
                                                                                                                                                                                                                                                                 Page 29 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Each Reliability Coordinator,                                                                                           Annual (A)
                                                               Transmission Operator and Balancing
COM-001-1.1                       R3.                                                                            LOWER            BA, RC, TOP               A               A
                                                               Authority shall provide a means to
                                                               coordinate telecommunications among
                                                               Unless agreed to otherwise, coordination
                                                               their respective areas. This each
                                                               Reliability Coordinator, Transmission
COM-001-1.1                       R4.                                                                           MEDIUM            BA, RC, TOP               A               A
                                                               Operator, and Balancing Authority shall
                                                               use English as the language for all
                                                               Each Reliability Coordinator, among
                                                               communications between and
                                                               Transmission Operator, and Balancing
COM-001-1.1                       R5.                          Authority shall have written operating
                                                                                                                 LOWER            BA, RC, TOP               A               A                                                            x         x                              x
                                                               instructions and procedures to enable
                                                               continued operation of the system during
                                                               Each NERCNet User Organization shall
COM-001-1.1                       R6.                          adhere to the requirements in Attachment          LOWER          NERC_Net Users              A               A                                                                                                     x
                                                               1-COM-001-0, ―NERCNet Security Policy.‖

                                                               Each Transmission Operator, Balancing
                                                               Authority, and Generator Operator shall
COM-002-2                         R1.                          have communications (voice and data
                                                                                                                  HIGH           BA, GOP, TOP               A               A                                                                      x         x                    x
                                                               links) with appropriate Reliability
                                                               Coordinators, Balancing Authorities, and
                                                               Each Balancing Authority and
                                                               Transmission Operator shall notify its
COM-002-2                                       R1.1.          Reliability Coordinator, and all other
                                                                                                                  HIGH               BA, TOP                A               A                                                                      x         x                    x
                                                               potentially affected Balancing Authorities
                                                               Each Reliability Coordinator, through
                                                               and Transmission Operators
                                                               Transmission Operator, and Balancing
COM-002-2                         R2.                          Authority shall issue directives in a clear,
                                                                                                                MEDIUM            BA, RC, TOP               A               A                                                                      x                              x
                                                               concise, and definitive manner; shall
                                                               ensure the recipient of the directive
                                                               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         x         x                    x
                                                               minimum, contain provisions for
                                                               emergency assistance, including have an
                                                               The Transmission Operator shall
                                                               emergency load reduction plan for all
EOP-001-0                         R2.                          identified IROLs. The plan shall include
                                                                                                                MEDIUM                 TOP                  A               A                                                            x         x         x
                                                               the details on how the Transmission
                                                               Operator will implement load reduction in
                                                                                                                                                                                                                                                                 Page 30 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                                                                                                                                                       Annual (A)
                                                               Each Transmission Operator and
EOP-001-0                         R3.
                                                               Balancing Authority shall:
                                                                                                                MEDIUM               BA, TOP                A               A                                                            x         x         x

                                                               Develop, maintain, and implement a set
                                                               of plans to mitigate operating
EOP-001-0                                       R3.1.
                                                               emergencies for insufficient generating
                                                                                                                MEDIUM               BA, TOP                A               A                                                            x         x         x
                                                               capacity.

                                                               Develop, maintain, and implement a set
EOP-001-0                                       R3.2.          of plans to mitigate operating                   MEDIUM               BA, TOP                A               A                                                            x         x         x
                                                               emergencies on the transmission system.


                                                               Develop, maintain, and implement a set
EOP-001-0                                       R3.3.
                                                               of plans for load shedding.
                                                                                                                MEDIUM               BA, TOP                A               A                                                            x         x         x


                                                               Develop, maintain, and implement a set
EOP-001-0                                       R3.4.
                                                               of plans for system restoration.
                                                                                                                MEDIUM               BA, TOP                A               A                                                            x         x         x

                                                               Each Transmission Operator and
                                                               Balancing Authority shall have
EOP-001-0                         R4.                          emergency plans that will enable it to
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               mitigate operating emergencies. At a
                                                               minimum, Transmission Operator and
                                                               Communications protocols to be used
EOP-001-0                                       R4.1.
                                                               during emergencies.
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x

                                                               A list of controlling actions to resolve the
                                                               emergency. Load reduction, in sufficient
EOP-001-0                                       R4.2.          quantity to resolve the emergency within
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               NERC-established timelines, shall be one
                                                               of the controlling actions.
                                                               The tasks to be coordinated with and
EOP-001-0                                       R4.3.          among adjacent Transmission Operators            MEDIUM               BA, TOP                                                                                             x         x         x
                                                               and Balancing Authorities.


EOP-001-0                                       R4.4.          Staffing levels for the emergency.               MEDIUM               BA, TOP                                                                                             x         x         x


                                                                                                                                                                                                                                                                 Page 31 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Each Transmission Operator and                                                                                          Annual (A)
                                                               Balancing Authority shall include the
EOP-001-0                         R5.                          applicable elements in Attachment 1-EOP-
                                                                                                                MEDIUM               BA, TOP                A               A                                                            x         x         x
                                                               001-0 when developing an emergency
                                                               plan.
                                                               The Transmission Operator and
                                                               Balancing Authority shall annually review
EOP-001-0                         R6.                          and update each emergency plan. The
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               Transmission Operator and Balancing
                                                               The Transmission Operator and its
                                                               Authority shall provide a copy of
                                                               Balancing Authority shall coordinate its
EOP-001-0                         R7.                          emergency plans with other
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               Transmission Operators and Balancing
                                                               Authorities as appropriate. This
                                                               The Transmission Operator and
                                                               Balancing Authority shall establish and
EOP-001-0                                       R7.1.
                                                               maintain reliable communications
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               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         x         x
                                                               emergency capacity or energy transfers if
                                                               existing agreements cannot andused.
                                                               The Transmission Operator be
                                                               Balancing Authority shall coordinate
EOP-001-0                                       R7.3.          transmission and generator maintenance
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               schedules to maximize capacity or
                                                               The Transmissionin short supply. (This
                                                               conserve the fuel Operator and
                                                               Balancing Authority shall arrange
EOP-001-0                                       R7.4.          deliveries of electrical energy or fuel from
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               remote systems through normal
                                                               operating channels.
                                                               Each Balancing Authority and Reliability
                                                               Coordinator shall have the responsibility
                                                               and clear decision-making authority to
                                                               take whatever actions are needed to
EOP-002-2.1                       R1.
                                                               ensure the reliability of its respective
                                                                                                                  HIGH               BA, RC                 A                                                                                      x         x                    x
                                                               area and shall exercise specific authority
                                                               to alleviate capacity and energy
                                                               emergencies.
                                                               Each Balancing Authority shall
                                                               implement its capacity and energy
EOP-002-2.1                       R2.                          emergency plan, when required and as
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x
                                                               appropriate, to reduce risks to the
                                                               interconnected system.
                                                                                                                                                                                                                                                                 Page 32 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               A Balancing Authority that is                                                                                           Annual (A)
                                                               experiencing an operating capacity or
EOP-002-2.1                       R3.                          energy emergency shall communicate its
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x
                                                               current and future system conditions to
                                                               its Reliability Coordinator and
                                                               A Balancing Authority anticipating an
                                                               operating capacity or energy emergency
EOP-002-2.1                       R4.                          shall perform all actions necessary
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x
                                                               including bringing on all available
                                                               generation, postponing equipment
                                                               A deficient Balancing Authority shall only
                                                               use the assistance provided by the
EOP-002-2.1                       R5.                          Interconnection’s frequency bias for the
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x
                                                               time needed to implement corrective
                                                               If the Balancing Authority cannot shall
                                                               actions. The Balancing Authority comply
                                                               with the Control Performance and
EOP-002-2.1                       R6.                          Disturbance Control Standards, then it
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x
                                                               shall immediately implement remedies to
                                                               do so. These remedies include, but are

EOP-002-2.1                                     R6.1.          Loading all available generating capacity.         HIGH                  BA                                                                                                         x         x                    x


EOP-002-2.1                                     R6.2.          Deploying all available operating reserve.         HIGH                  BA                                                                                                         x         x                    x


                                                               Interrupting interruptible load and
EOP-002-2.1                                     R6.3.
                                                               exports.
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x


                                                               Requesting emergency assistance from
EOP-002-2.1                                     R6.4.
                                                               other Balancing Authorities.
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x


                                                               Declaring an Energy Emergency through
EOP-002-2.1                                     R6.5.
                                                               its Reliability Coordinator; and
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x

                                                               Reducing load, through procedures such
                                                               as public appeals, voltage reductions,
EOP-002-2.1                                     R6.6.
                                                               curtailing interruptible loads and firm
                                                                                                                  HIGH                  BA                                                                                                         x         x                    x
                                                               loads.


                                                                                                                                                                                                                                                                 Page 33 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Once the Balancing Authority has                                                                                        Annual (A)
                                                               exhausted the steps listed in
                                                               Requirement 6, or if these steps cannot
EOP-002-2.1                       R7.
                                                               be completed in sufficient time to resolve
                                                                                                                  HIGH                  BA                  A               A                                                                      x         x                    x
                                                               the emergency condition, the Balancing
                                                               Authority shall:

                                                               Manually shed firm load without delay to
EOP-002-2.1                                     R7.1.
                                                               return its ACE to zero; and
                                                                                                                  HIGH                  BA                  A               A                                                                      x         x                    x

                                                               Request the Reliability Coordinator to
                                                               declare an Energy Emergency Alert in
EOP-002-2.1                                     R7.2.
                                                               accordance with Attachment 1-EOP-002-0
                                                                                                                  HIGH                  BA                  A               A                                                                      x         x                    x
                                                               ―Energy Emergency Alert Levels.‖
                                                               A Reliability Coordinator that has any
                                                               Balancing Authority within its Reliability
EOP-002-2.1                       R8.                          Coordinator area experiencing a potential          HIGH                  RC                  A               A                                                                      x         x                    x
                                                               or actual Energy Emergency shall initiate
                                                               an Energy Emergency Alert as detailed in
                                                               When a Transmission Service Provider
                                                               expects to elevate the transmission
EOP-002-2.1                       R9.                          service priority of an Interchange
                                                                                                                  HIGH               LSE, RC                                                                                                       x         x                    x
                                                               Transaction from Priority 6 (Network
                                                               The deficient Load-Serving Entity from
                                                               Integration Transmission Service shall
                                                               request its Reliability Coordinator to
EOP-002-2.1                                     R9.1.          initiate an Energy Emergency Alert in
                                                                                                                  HIGH                 LSE                                                                                                         x         x                    x
                                                               accordance with Attachment 1-EOP-002-
                                                               0.
                                                               The Reliability Coordinator shall submit
                                                               the report to NERC for posting on the
EOP-002-2.1                                     R9.2.          NERC Website, noting the expected total
                                                                                                                  HIGH                  RC                                                                 ER                                      x         x                    x
                                                               MW that may have its transmission
                                                               service priority changed.
                                                               The Reliability Coordinator shall use EEA
                                                               1 to forecast the change of the priority of
EOP-002-2.1                                     R9.3.          transmission service of an Interchange
                                                                                                                LOWER                   RC                                                                 ER                                      x
                                                               Transaction on the system from Priority 6
                                                               to Priority 7. Coordinator shall use EEA
                                                               The Reliability
                                                               2 to announce the change of the priority
EOP-002-2.1                                     R9.4.          of transmission service of an Interchange
                                                                                                                LOWER                   RC                                                                 ER                                      x
                                                               Transaction on the system from Priority 6
                                                               to Priority 7.



                                                                                                                                                                                                                                                                 Page 34 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                      RC - Reliability Coordinator

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,
                                                              TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                             TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                  Supporting                                                                                                                           Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                   Requirement               Text of Requirement                                                                                         Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                  Number                                                                                                                             Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                              After taking all other remedial steps, a                                                                                 Annual (A)
                                                              Transmission Operator or Balancing
EOP-003-1                         R1.                         Authority operating with insufficient
                                                                                                                  HIGH               BA, TOP                                                                                             x         x         x                    x
                                                              generation or transmission capacity shall
                                                              Each customer loadOperator and
                                                              shed Transmission rather than risk an
                                                              Balancing Authority shall establish plans
EOP-003-1                         R2.                         for automatic load shedding for
                                                                                                                  HIGH               BA, TOP                A               A                                                            x         x         x                    x
                                                              underfrequency or undervoltage
                                                              conditions.
                                                              Each Transmission Operator and
                                                              Balancing Authority shall coordinate load
EOP-003-1                         R3.                         shedding plans among other
                                                                                                                  HIGH               BA, TOP                A               A                                                            x         x         x                    x
                                                              interconnected Transmission Operators
                                                              and Balancing Authorities. Balancing
                                                              A Transmission Operator or
                                                              Authority shall consider one or more of
EOP-003-1                         R4.                         these factors in designing an automatic
                                                                                                                  HIGH               BA, TOP                A               A                                                            x         x         x                    x
                                                              load shedding scheme: frequency, rate of
                                                              frequency decay, voltage level, rate of
                                                              A Transmission Operator or Balancing
                                                              Authority shall implement load shedding
EOP-003-1                         R5.                         in steps established to minimize the risk
                                                                                                                  HIGH               BA, TOP                                                                                             x         x         x                    x
                                                              of further uncontrolled separation, loss
                                                              of generation, or system shutdown.
                                                              After a Transmission Operator or
                                                              Balancing Authority Area separates from
EOP-003-1                         R6.                         the Interconnection, if there is insufficient
                                                                                                                  HIGH               BA, TOP                                                                                             x         x         x                    x
                                                              generating capacity to restore system
                                                              frequency following automatic
                                                              The Transmission Operator and
                                                              Balancing Authority shall coordinate
EOP-003-1                         R7.                         automatic load shedding throughout their
                                                                                                                  HIGH               BA, TOP                                                                                             x         x         x                    x
                                                              areas with underfrequency isolation of
                                                              Each Transmission Operatorshunt
                                                              generating units, tripping of or
                                                              Balancing Authority shall have plans for
EOP-003-1                         R8.                         operator-controlled manual load
                                                                                                                  HIGH               BA, TOP                A               A                                                            x         x         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
                                                              disturbance reports.
                                                              A Reliability Coordinator, Balancing
                                                              Authority, Transmission Operator,                                BA, GOP, LSE, RC,
EOP-004-1                         R2.                         Generator Operator or Load-Serving
                                                                                                                MEDIUM
                                                                                                                                     TOP                                                                                                           x
                                                              Entity shall promptly analyze Bulk
                                                              Electric System disturbances on its
                                                                                                                                                                                                                                                                 Page 35 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               A Reliability Coordinator, Balancing                                                                                    Annual (A)
                                                               Authority, Transmission Operator,                               BA, GOP, LSE, RC,
EOP-004-1                         R3.                          Generator Operator or Load-Serving
                                                                                                                 LOWER
                                                                                                                                     TOP
                                                                                                                                                                                                           ER                                      x
                                                               Entity experiencing a reportable incident
                                                               shall provide a preliminary written report
                                                               The affected Reliability Coordinator,
                                                               Balancing Authority, Transmission                               BA, GOP, LSE, RC,
EOP-004-1                                       R3.1.          Operator, Generator Operator or Load-
                                                                                                                 LOWER
                                                                                                                                     TOP
                                                                                                                                                                                                           ER                                      x
                                                               Serving Entity shall submit within 24
                                                               hours of the disturbance or unusual
                                                               Applicable reporting forms are provided           No VRF        BA, GOP, LSE, RC,
EOP-004-1                                       R3.2.
                                                               in Attachments 022-1 and 022-2.                  Assigned             TOP                                                                                                           x

                                                               Under certain adverse conditions, e.g.,
                                                               severe weather, it may not be possible to                       BA, GOP, LSE, RC,
EOP-004-1                                       R3.3.          assess the damage caused by a
                                                                                                                 LOWER
                                                                                                                                     TOP
                                                                                                                                                                                                           ER                                      x
                                                               disturbance and issue a written
                                                               Interconnection Reliability Operating
                                                               If, in the judgment of the Regional
                                                               Reliability Organization, after                                 BA, GOP, LSE, RC,
EOP-004-1                                       R3.4.          consultation with the Reliability
                                                                                                                 LOWER
                                                                                                                                     TOP                                                                                                           x
                                                               Coordinator, Balancing Authority,
                                                               Transmission Operator, Generator
                                                               When a Bulk Electric System disturbance
                                                               occurs, the Regional Reliability
EOP-004-1                         R4.                          Organization shall make its
                                                                                                                 LOWER                 RRO                                                                 ER                                      x
                                                               representatives on the NERC Operating
                                                               Committee and Disturbance Analysis
                                                               The Regional Reliability Organization
                                                               shall track and review the status of all
EOP-004-1                         R5.                          final report recommendations at least
                                                                                                                 LOWER                 RRO                                                                 ER                                      x
                                                               twice each year to ensure they are being
                                                               Each Transmission Operator shallany a
                                                               acted upon in a timely manner. If have
                                                               restoration plan to reestablish its electric
EOP-005-1                         R1.                          system in a stable and orderly manner in
                                                                                                                MEDIUM                 TOP                  A               A                                                            x         x         x                    x
                                                               the event of a partial or total shutdown of
                                                               its system, including necessary review
                                                               Each Transmission Operator shall
                                                               and update its restoration plan at least
EOP-005-1                         R2.                          annually and whenever it makes changes
                                                                                                                MEDIUM                 TOP                  A               A                                                            x         x         x                    x
                                                               in the power system network, and shall
                                                               correct deficienciesOperator shallthe
                                                               Each Transmission found during
                                                               develop restoration plans with a priority
EOP-005-1                         R3.
                                                               of restoring the integrity of the
                                                                                                                MEDIUM                 TOP                  A               A                                                            x         x         x                    x
                                                               Interconnection.


                                                                                                                                                                                                                                                                 Page 36 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Each Transmission Operator shall                                                                                        Annual (A)
                                                               coordinate its restoration plans with the
EOP-005-1                         R4.                          Generator Owners and Balancing
                                                                                                                MEDIUM                 TOP                  A               A                                                            x         x         x                    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                A               A                                                            x         x         x                    x
                                                               needed to implement the restoration
                                                               plan.
                                                               Each Transmission Operator and
                                                               Balancing Authority shall train its
EOP-005-1                         R6.                          operating personnel in the
                                                                                                                  HIGH               BA, TOP                A               A                                                            x         x         x                    x
                                                               implementation of the restoration plan.
                                                               Each training shall Operator and
                                                               Such Transmissioninclude simulated
                                                               Balancing Authority shall verify the
EOP-005-1                         R7.
                                                               restoration procedure by actual testing or
                                                                                                                  HIGH               BA, TOP                A               A                                                            x         x         x                    x
                                                               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         x         x
                                                               units are sufficient to meet Regional
                                                               Reliability Organization restoration plan
                                                               The Transmission Operator shall
                                                               document the Cranking Paths, including
EOP-005-1                         R9.                          initial switching requirements, between
                                                                                                                MEDIUM                 TOP                  A               A                                                            x         x         x                    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                  A               A                                                            x         x         x
                                                               units in its restoration plan can perform
                                                               their intended functions as required in
                                                               The Transmission Operator shall perform
EOP-005-1                                       R10.1.         this simulation or testing at least once         MEDIUM                 TOP                  A               A                                                            x         x         x
                                                               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         x         x                    x
                                                               affected Transmission Operators and
                                                               The affected Transmission begin
                                                               Balancing Authorities shall Operators and
                                                               Balancing Authorities shall work in
EOP-005-1                                       R11.1.         conjunction with their Reliability
                                                                                                                MEDIUM               BA, TOP                                                                                             x         x         x
                                                               Coordinator(s) to determine the extent
                                                               and condition of the isolated area(s).
                                                                                                                                                                                                                                                                 Page 37 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The affected Transmission Operators and                                                                                 Annual (A)
                                                               Balancing Authorities shall take the
EOP-005-1                                       R11.2.         necessary actions to restore Bulk
                                                                                                                  HIGH               BA, TOP                                                                                             x         x         x                    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 review
                                                                                                                  HIGH                  BA                                                                                               x         x         x                    x
                                                               the Interchange Schedules between
                                                               those Balancing Authority Areas or
                                                               The affected Transmission Operators
EOP-005-1                                       R11.4.         shall give high priority to restoration of         HIGH                 TOP                                                                                               x         x         x                    x
                                                               off-site power to nuclear stations.

                                                               The affected Transmission Operators
                                                               may resynchronize the isolated area(s)
EOP-005-1                                       R11.5.
                                                               with the surrounding area(s) when the
                                                                                                                MEDIUM                 TOP                                                                                               x         x
                                                               following conditions are met:

                                                               Voltage, frequency, and phase angle
EOP-005-1                                       R11.5.1.
                                                               permit.
                                                                                                                  HIGH                 TOP                                                                                               x         x         x                    x

                                                               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         x         x                    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         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         x         x                    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                  A                                                                            x         x
                                                               Coordinator Area in accordance with
                                                               NERC and regional requirements.
                                                               The Reliability Coordinator shall monitor
EOP-006-1                         R2.                          restoration progress and coordinate any            HIGH                  RC                                                                                               x         x         x                    x
                                                               needed assistance.


                                                                                                                                                                                                                                                                 Page 38 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                  Violation Risk       Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                         Factor           Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The Reliability Coordinator shall have a                                                                                Annual (A)
                                                               Reliability Coordinator Area restoration
EOP-006-1                         R3.                          plan that provides coordination between
                                                                                                                 MEDIUM                 RC                  A                                                                            x         x
                                                               individual Transmission Operator
                                                               restoration plans and that ensures
                                                               The Reliability Coordinator shall serve as
                                                               the primary contact for disseminating
EOP-006-1                         R4.                          information regarding restoration to
                                                                                                                 MEDIUM                 RC                                                                                               x         x
                                                               neighboring Reliability Coordinators and
                                                               Transmission Operators or Balancing
                                                               Reliability Coordinators shall approve,
                                                               communicate, and coordinate the re-
EOP-006-1                         R5.                          synchronizing of major system islands or
                                                                                                                   HIGH                 RC                                                                                               x         x         x                    x
                                                               synchronizing points so as not to cause
                                                               a Burden on adjacent Transmission
                                                               The Reliability Coordinator shall take
                                                               actions to restore normal operations
EOP-006-1                         R6.                          once an operating emergency has been
                                                                                                                 MEDIUM                 RC                                                                                               x         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               A               A                                                            x         x         x                    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               A               A                                                            x         x         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               A               A                                                            x         x         x                    x
                                                               maintaining the status of all inter-area
                                                               schedules, such plan must address
                                                               The contingency that there is an hourly
                                                               monitoring and control of critical
EOP-008-0                                       R1.3.          transmission facilities, generation
                                                                                                                 MEDIUM           BA, RC, TOP               A               A                                                            x         x         x                    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.
                                                               voice communication capabilities with
                                                                                                                   HIGH           BA, RC, TOP               A               A                                                            x         x         x                    x
                                                               other areas.
                                                               The plan shall include procedures and
                                                               responsibilities for conducting periodic
EOP-008-0                                       R1.5.
                                                               tests, at least annually, to ensure viability
                                                                                                                 MEDIUM           BA, RC, TOP               A               A                                                            x         x         x                    x
                                                               of the plan.


                                                                                                                                                                                                                                                                 Page 39 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The plan shall include procedures and                                                                                   Annual (A)
                                                               responsibilities for providing annual
EOP-008-0                                       R1.6.          training to ensure that operating
                                                                                                                MEDIUM            BA, RC, TOP               A               A                                                            x         x         x                    x
                                                               personnel are able to implement the
                                                               contingency plans.
                                                               The plan shall be reviewed and updated
EOP-008-0                                       R1.7.
                                                               annually.
                                                                                                                MEDIUM            BA, RC, TOP               A               A                                                            x         x         x                    x

                                                               Interim provisions must be included if it
                                                               is expected to take more than one hour
EOP-008-0                                       R1.8.
                                                               to implement the contingency plan for
                                                                                                                MEDIUM            BA, RC, TOP               A               A                                                            x         x         x                    x
                                                               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                                                                                               x         x
                                                               blackstart generating unit identified in
                                                               the BCP as required in the Regional BCP
                                                               The Generator Owner or Generator
                                                               Operator shall provide documentation of
EOP-009-0                         R2.                          the test results of the startup and
                                                                                                                LOWER               GO, GOP                                                 S                                            x         x
                                                               operation of each blackstart generating
                                                               unit to the Regional Reliability
                                                               FACILITIES DESIGN, CONNECTIONS
                                                               AND MAINTENANCE

                                                               The Transmission Owner shall document,
                                                               maintain, and publish facility connection
FAC-001-0                         R1.                          requirements to ensure compliance with
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x
                                                               NERC Reliability Standards and
                                                               applicable Regional Reliability

FAC-001-0                                       R1.1.          Generation facilities,                           MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R1.2.          Transmission facilities, and                     MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R1.3.          End-user facilities                              MEDIUM                  TO                  A                                                                                                x                    x


                                                                                                                                                                                                                                                                 Page 40 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The Transmission Owner’s facility                                                                                       Annual (A)
                                                               connection requirements shall address,
FAC-001-0                         R2.
                                                               but are not limited to, the following
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x
                                                               items:
                                                               Provide a written summary of its plans to
                                                               achieve the required system performance
FAC-001-0                                       R2.1.
                                                               as described above throughout the
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x
                                                               planning horizon:

                                                               Procedures for coordinated joint studies
FAC-001-0                                       R2.1.1.        of new facilities and their impacts on the       MEDIUM                  TO                  A                                                                                                x                    x
                                                               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                  A                                                                                                x                    x
                                                               interconnected transmission systems) as
                                                               soon as feasible.
                                                               Voltage level and MW and MVAR capacity
FAC-001-0                                       R2.1.3.
                                                               or demand at point of connection.
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.4.        Breaker duty and surge protection.               MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.5.        System protection and coordination.              MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.6.        Metering and telecommunications.                 MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.7.        Grounding and safety issues.                     MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.8.        Insulation and insulation coordination.          MEDIUM                  TO                  A                                                                                                x                    x


                                                                                                                                                                                                                                                                 Page 41 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                                                                                                                                                       Annual (A)
                                                               Voltage, Reactive Power, and power
FAC-001-0                                       R2.1.9.
                                                               factor control.
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.10.       Power quality impacts.                           MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.11.       Equipment Ratings.                               MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.12.       Synchronizing of facilities.                     MEDIUM                  TO                  A                                                                                                x                    x


FAC-001-0                                       R2.1.13.       Maintenance coordination.                        MEDIUM                  TO                  A                                                                                                x                    x


                                                               Operational issues (abnormal frequency
FAC-001-0                                       R2.1.14.
                                                               and voltages).
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x


                                                               Inspection requirements for existing or
FAC-001-0                                       R2.1.15.
                                                               new facilities.
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x

                                                               Communications and procedures during
FAC-001-0                                       R2.1.16.       normal and emergency operating                   MEDIUM                  TO                  A                                                                                                x                    x
                                                               conditions.

                                                               The Transmission Owner shall maintain
                                                               and update its facility connection
FAC-001-0                         R3.                          requirements as required. The
                                                                                                                MEDIUM                  TO                  A                                                                                                x                    x
                                                               Transmission Owner shall make
                                                               documentationOwner, Transmission
                                                               The Generator of these requirements
                                                               Owner, Distribution Provider, and Load-
FAC-002-0                         R1.                                                                           MEDIUM          DP, GO, LSE, TO
                                                               Serving Entity seeking to integrate
                                                               generation facilities, transmission
                                                               facilities, and electricity end-user
                                                                                                                                                                                                                                                                 Page 42 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Evaluation of the reliability impact of the                                                                             Annual (A)
                                                               new facilities and their connections on
FAC-002-0                                       R1.1.                                                           MEDIUM          DP, GO, LSE, TO
                                                               the interconnected transmission
                                                               systems.
                                                               Ensurance of compliance with NERC
                                                               Reliability Standards and applicable
FAC-002-0                                       R1.2.                                                           MEDIUM          DP, GO, LSE, TO
                                                               Regional, subregional, Power Pool, and
                                                               individual system planning criteria and
                                                               facility connection requirements.
                                                               Evidence that the parties involved in the
                                                               assessment have coordinated and
FAC-002-0                                       R1.3.                                                           MEDIUM          DP, GO, LSE, TO
                                                               cooperated on the assessment of the
                                                               reliability impacts of new facilities on the
                                                               interconnected transmission systems.
                                                               Evidence that the assessment included
                                                               steady-state, short-circuit, and dynamics
FAC-002-0                                       R1.4.          studies as necessary to evaluate system
                                                                                                                MEDIUM          DP, GO, LSE, TO                                                                                                                                   x
                                                               performance in accordance with
                                                               Reliability Standard TPL-001-0.
                                                               Documentation that the assessment
                                                               included study assumptions, system
FAC-002-0                                       R1.5.          performance, alternatives considered,
                                                                                                                MEDIUM          DP, GO, LSE, TO                                                                                                                                   x
                                                               and jointly coordinated
                                                               recommendations.
                                                               The Planning Authority, Transmission
                                                               Planner, Generator Owner, Transmission                           DP, GO, LSE, PA,
FAC-002-0                         R2.                                                                            LOWER
                                                               Owner, Load-Serving Entity, and                                    PC, TO, TP
                                                               Distribution Provider shall each retain its
                                                               documentation (of its evaluation of the
                                                               The Transmission owner shall prepare,
                                                               and keep current, a formal transmission
FAC-003-1                         R1.                          vegetation management (TVM). The
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    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                  A               A                                                            x         x         x                    x
                                                               should be flexible enough to adjust for
                                                               changing conditions. The in the TVMP,
                                                               The Transmission Owner, inspection
                                                               shall identify and document clearances
FAC-003-1                                       R1.2.          between vegetation and any overhead,
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    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                  A               A                                                            x         x         x                    x
                                                               achieved at the time of transmission
                                                               vegetation management work based
                                                                                                                                                                                                                                                                 Page 43 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                        RC - Reliability Coordinator

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,
                                                                TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                               TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                    Supporting                                                                                                                         Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                     Requirement               Text of Requirement                                                                                       Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                    Number                                                                                                                           Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                                Clearance 2 — The Transmission Owner                                                                                   Annual (A)
                                                                shall determine and document specific
FAC-003-1                                       R1.2.2.         radial clearances to be maintained
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                between vegetation and conductors
                                                                Whereall rated electrical operating
                                                                under transmission system transient
                                                                overvoltage factors are not known,
FAC-003-1                                       R1.2.2.1.       clearances shall be derived from Table 5,
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                IEEE 516-2003, phase-to-ground
                                                                Where transmission systemaltitude
                                                                distances, with appropriate transient
                                                                overvoltage factors are known,
FAC-003-1                                       R1.2.2.2.       clearances shall be derived from Table 7,
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                IEEE 516-2003, phase-to-phase voltages,
                                                                with appropriate altitude correction
                                                                All personnel directly involved in the
                                                                design and implementation of the TVMP
FAC-003-1                                       R1.3.           shall hold appropriate qualifications and
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                training, as defined by the Transmission
                                                                Owner, to perform their duties. develop
                                                                Each Transmission Owner shall
                                                                mitigation measures to achieve sufficient
FAC-003-1                                       R1.4.           clearances for the protection of the
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                transmission facilities when it identifies
                                                                locations on the ROW where the establish
                                                                Each Transmission Owner shall
                                                                and document a process for the
FAC-003-1                                       R1.5.           immediate communication of vegetation
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                conditions that present an imminent
                                                                threat of a transmission line outage. This
                                                                The Transmission Owner shall create and
                                                                implement an annual plan for vegetation
FAC-003-1                         R2.                           management work to ensure the
                                                                                                                  HIGH                  TO                  A               A                                                            x         x         x                    x
                                                                reliability of the system. The plan shall
                                                                describe the methods used, such as
                                                                The Transmission Owner shall report
                                                                quarterly to its RRO, or the RRO’s
FAC-003-1                         R3.                           designee, sustained transmission line
                                                                                                                LOWER                   TO                                                  Q                                            x         x
                                                                outages determined by the Transmission
                                                                Multiple sustained outages by
                                                                Owner to have been causedon an
                                                                individual line, if caused by the same
FAC-003-1                                       R3.1.           vegetation, shall be reported as one
                                                                                                                LOWER                   TO                                                  Q                                            x         x
                                                                outage regardless of the actual number
                                                                of outages within a 24-hour period.
                                                                The Transmission Owner is not required
                                                                to report to the RRO, or the RRO’s
FAC-003-1                                       R3.2.           designee, certain sustained transmission
                                                                                                                LOWER                   TO                                                  Q                                            x         x
                                                                line outages caused by vegetation: (1)
                                                                Vegetation-related outages that result
                                                                                                                                                                                                                                                                 Page 44 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The outage information provided by the                                                                                  Annual (A)
                                                               Transmission Owner to the RRO, or the
FAC-003-1                                       R3.3.          RRO’s designee, shall include at a
                                                                                                                LOWER                   TO                                                  Q                                            x         x
                                                               minimum: the name of the circuit(s)
                                                               outaged, the date, time and duration of
                                                               An outage shall be categorized as one of
FAC-003-1                                       R3.4.
                                                               the following:
                                                                                                                LOWER                   TO                                                  Q                                            x         x

                                                               Category 1 — Grow-ins: Outages caused
                                                               by vegetation growing into lines from
FAC-003-1                                       R3.4.1.
                                                               vegetation inside and/or outside of the
                                                                                                                LOWER                   TO                                                  Q                                            x         x
                                                               ROW.

                                                               Category 2 — Fall-ins: Outages caused
FAC-003-1                                       R3.4.2.        by vegetation falling into lines from            LOWER                   TO                                                  Q                                            x         x
                                                               inside the ROW.

                                                               Category 3 — Fall-ins: Outages caused
FAC-003-1                                       R3.4.3.        by vegetation falling into lines from            LOWER                   TO                                                  Q                                            x         x
                                                               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                                                  Q                                            x         x
                                                               Requirement 3, quarterly to NERC, as
                                                               The Transmission Owner by the RRO as
                                                               well as any actions taken and Generator
                                                               Owner shall each document its current
FAC-008-1                         R1.                          methodology used for developing Facility
                                                                                                                LOWER                GO, TO                 A               A                                                            x         x         x                    x
                                                               Ratings (Facility Ratings Methodology) of
                                                               its solely and jointly owned Facilities.
                                                               A statement that a Facility Rating shall
                                                               equal the most limiting applicable
FAC-008-1                                       R1.1.
                                                               Equipment Rating of the individual
                                                                                                                MEDIUM               GO, TO                 A               A                                                            x         x         x                    x
                                                               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                 A               A                                                            x         x         x                    x
                                                               Facility) is determined.

                                                               The scope of equipment addressed shall
                                                               include, but not be limited to, generators,
FAC-008-1                                       R1.2.1.        transmission conductors, transformers,
                                                                                                                MEDIUM               GO, TO                 A               A                                                            x         x         x                    x
                                                               relay protective devices, terminal
                                                               equipment, and series and shunt
                                                                                                                                                                                                                                                                 Page 45 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                                                                                                                                                       Annual (A)
                                                               The scope of Ratings addressed shall
FAC-008-1                                       R1.2.2.        include, as a minimum, both Normal and           MEDIUM               GO, TO                 A               A                                                            x         x         x                    x
                                                               Emergency Ratings.


FAC-008-1                                       R1.3.          Consideration of the following:                  LOWER                GO, TO                 A               A                                                            x         x         x                    x


                                                               Ratings provided by equipment
FAC-008-1                                       R1.3.1.
                                                               manufacturers.
                                                                                                                MEDIUM               GO, TO                 A               A                                                            x         x         x                    x

                                                               Design criteria (e.g., including applicable
                                                               references to industry Rating practices
FAC-008-1                                       R1.3.2.
                                                               such as manufacturer’s warranty, IEEE,
                                                                                                                MEDIUM               GO, TO                 A               A                                                            x         x         x                    x
                                                               ANSI or other standards).


FAC-008-1                                       R1.3.3.        Ambient conditions.                              MEDIUM               GO, TO                 A               A                                                            x         x         x                    x


FAC-008-1                                       R1.3.4.        Operating limitations.                           MEDIUM               GO, TO                 A               A                                                            x         x         x                    x


FAC-008-1                                       R1.3.5.        Other assumptions.                               LOWER                GO, TO                 A               A                                                            x         x         x                    x

                                                               The Transmission Owner and Generator
                                                               Owner shall each make its Facility
FAC-008-1                         R2.                          Ratings Methodology available for
                                                                                                                LOWER                GO, TO                 A               A                                                            x         x         x                    x
                                                               inspection and technical review by those
                                                               Reliability Coordinators, Transmission
                                                               If a Reliability Coordinator, Transmission
                                                               Operator, Transmission Planner, or
FAC-008-1                         R3.                          Planning Authority provides written
                                                                                                                LOWER                GO, TO                                                                                              x         x         x                    x
                                                               comments on its technical review of a
                                                               The Transmission Owner Generator
                                                               Transmission Owner’s or and Generator
                                                               Owner shall each establish Facility
FAC-009-1                         R1.                          Ratings for its solely and jointly owned
                                                                                                                MEDIUM               GO, TO                 A               A                                                            x         x         x                    x
                                                               Facilities that are consistent with the
                                                               associated Facility Ratings Methodology.
                                                                                                                                                                                                                                                                 Page 46 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                  Violation Risk       Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                         Factor           Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The Transmission Owner and Generator                                                                                    Annual (A)
                                                               Owner shall each provide Facility Ratings
FAC-009-1                         R2.                          for its solely and jointly owned Facilities
                                                                                                                 MEDIUM              GO, TO                 A               A                                                            x         x         x                    x
                                                               that are existing Facilities, new Facilities,
                                                               The Planning Authority shall have aand re-
                                                               modifications to existing Facilities
FAC-010-2.1                                                    documented SOL Methodology for use in
                                  R1.                          developing SOLs within its Planning                LOWER              PA, PC
Effective 4/19/2010
                                                               Authority Area. This SOL Methodology
                                                               shall:
FAC-010-2.1                                                    Be applicable for developing SOLs used
                                                R1.1.                                                             LOWER              PA, PC
Effective 4/19/2010                                            in the planning horizon.


FAC-010-2.1                                                    State that SOLs shall not exceed
                                                R1.2.                                                             LOWER              PA, PC
Effective 4/19/2010                                            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
Effective 4/19/2010
                                                               IROLs.

                                                               The Planning Authority’s SOL
FAC-010-2.1                                                    Methodology shall include a requirement            No VRF
                                  R2.                                                                                                PA, PC
Effective 4/19/2010                                            that SOLs provide BES performance                 Assigned
                                                               consistent with the following:
                                                               In the pre-contingency state, the BES
FAC-010-2.1                                                    shall demonstrate transient, dynamic and
Effective 4/19/2010
                                                R2.1.          voltage stability; all Facilities shall be          HIGH              PA, PC                                                                                                                  x                    x
                                                               within their Facility Ratings and within
                                                               Following the voltageContingencies1
                                                               their thermal, single and stability limits.
FAC-010-2.1                                                    identified in Requirement 2.2.1 through
Effective 4/19/2010
                                                R2.2.          Requirement 2.2.3, the system shall                 HIGH              PA, PC                                                                                                                  x                    x
                                                               demonstrate transient, dynamic and
                                                               voltage stability; all Facilities shall be
                                                               Single line to ground or three-phase Fault
FAC-010-2.1                                                    (whichever is more severe), with Normal
Effective 4/19/2010
                                                R2.2.1.
                                                               Clearing, on any Faulted generator, line,
                                                                                                                 MEDIUM              PA, PC                                                                                                                  x                    x
                                                               transformer, or shunt device.

FAC-010-2.1                                                    Loss of any generator, line, transformer,
Effective 4/19/2010
                                                R2.2.2.
                                                               or shunt device without a Fault.
                                                                                                                 MEDIUM              PA, PC                                                                                                                  x                    x


                                                                                                                                                                                                                                                                 Page 47 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                                                                                                                                                       Annual (A)
                                                               Single pole block, with Normal Clearing,
FAC-010-2.1
Effective 4/19/2010
                                                R2.2.3.        in a monopolar or bipolar high voltage           MEDIUM               PA, PC                                                                                                                  x                    x
                                                               direct current system.

                                                               Starting with all Facilities in service, the
FAC-010-2.1                                                    system’s response to a single
                                                R2.3.                                                           MEDIUM               PA, PC
Effective 4/19/2010                                            Contingency, may include any of the
                                                               following:
                                                               Planned or controlled interruption of
FAC-010-2.1                                                    electric supply to radial customers or
                                                R2.3.1.        some local network customers                     MEDIUM               PA, PC
Effective 4/19/2010
                                                               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
Effective 4/19/2010
                                                               actions.

                                                               To prepare for the next Contingency,
FAC-010-2.1                                                    system adjustments may be made,
                                                R2.4.          including changes to generation, uses of         MEDIUM               PA, PC
Effective 4/19/2010
                                                               the transmission system, and the
                                                               transmission all facilities in service and
                                                               Starting with system topology.
FAC-010-2.1                                                    following any of the multiple
                                                R2.5.          Contingencies identified in Reliability          MEDIUM               PA, PC
Effective 4/19/2010
                                                               Standard TPL-003 the system shall
                                                               demonstrate transient, dynamic and
                                                               In determining the system’s response to
FAC-010-2.1                                                    any of the multiple Contingencies,
                                                R2.6.          identified in Reliability Standard TPL-003,      MEDIUM               PA, PC
Effective 4/19/2010
                                                               in addition to the actions identified in
                                                               Planned or R2.3.2, the interruption of be
                                                               R2.3.1 and controlled following shall
FAC-010-2.1                                                    electric supply to customers (load
                                                R2.6.1.        shedding), the planned removal from              MEDIUM               PA, PC
Effective 4/19/2010
                                                               service of certain generators, and/or the
                                                               curtailment ofAuthority’s methodology
                                                               The Planning contracted Firm (non-
FAC-010-2.1                                                    for determining SOLs, shall include, as a
                                  R3.                          minimum, a description of the following,          LOWER               PA, PC
Effective 4/19/2010
                                                               along with any reliability margins applied
                                                               for each:
                                                               Study model (must include at least the
FAC-010-2.1                                                    entire Planning Authority Area as well as
                                                R3.1.          the critical modeling details from other          LOWER               PA, PC
Effective 4/19/2010
                                                               Planning Authority Areas that would
                                                               impact the Facility or Facilities under
                                                                                                                                                                                                                                                                 Page 48 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)
FAC-010-2.1
                                                R3.2.          Selection of applicable Contingencies.           LOWER                PA, PC
Effective 4/19/2010


FAC-010-2.1                                                    Level of detail of system models used to
                                                R3.3.                                                           LOWER                PA, PC
Effective 4/19/2010                                            determine SOLs.


FAC-010-2.1                                                    Allowed uses of Special Protection
                                                R3.4.                                                           MEDIUM               PA, PC
Effective 4/19/2010                                            Systems or Remedial Action Plans.


                                                               Anticipated transmission system
FAC-010-2.1
                                                R3.5.          configuration, generation dispatch and           LOWER                PA, PC
Effective 4/19/2010
                                                               Load level.

                                                               Criteria for determining when violating a
FAC-010-2.1                                                    SOL qualifies as an Interconnection
                                                R3.6.          Reliability Operating Limit (IROL) and           MEDIUM               PA, PC
Effective 4/19/2010
                                                               criteria for developing any associated
                                                               IROL Tv.
                                                               The Planning Authority shall issue its
FAC-010-2.1                                                    SOL Methodology, and any change to
                                  R4.                                                                           LOWER                PA, PC
Effective 4/19/2010                                            that methodology, to all of the following
                                                               prior to the effectiveness of the change:
                                                               Each adjacent Planning Authority and
FAC-010-2.1                                                    each Planning Authority that indicated it
                                                R4.1.                                                           LOWER                PA, PC
Effective 4/19/2010                                            has a reliability-related need for the
                                                               methodology.
                                                               Each Reliability Coordinator and
FAC-010-2.1                                                    Transmission Operator that operates any
                                                R4.2.                                                           LOWER                PA, PC
Effective 4/19/2010                                            portion of the Planning Authority’s
                                                               Planning Authority Area.

                                                               Each Transmission Planner that works in
FAC-010-2.1
                                                R4.3.          the Planning Authority’s Planning                LOWER                PA, PC
Effective 4/19/2010
                                                               Authority Area.

                                                               If a recipient of the SOL Methodology
FAC-010-2.1                                                    provides documented technical
                                  R5.                          comments on the methodology, the                 LOWER                PA, PC
Effective 4/19/2010
                                                               Reliability Coordinator shall provide a
                                                               documented response to that recipient
                                                                                                                                                                                                                                                                Page 49 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The Reliability Coordinator shall have a                                                                                Annual (A)
FAC-011-2 Effective                                            documented methodology for use in
                    R1.                                        developing SOLs (SOL Methodology)                LOWER                   RC
4/29/2009
                                                               within its Reliability Coordinator Area.
                                                               This SOL Methodology shall:
                                                               Be applicable for developing SOLs used
FAC-011-2 Effective                                            in the operations horizon.
                                                R1.1.                                                           LOWER                   RC
4/29/2009

                                                               State that SOLs shall not exceed
FAC-011-2 Effective                                            associated Facility Ratings.
                                                R1.2.                                                           LOWER                   RC
4/29/2009

                                                               Include a description of how to identify
FAC-011-2 Effective                                            the subset of SOLs that qualify as IROLs.
                                                R1.3.                                                           LOWER                   RC
4/29/2009

                                                               The Reliability Coordinator’s SOL
FAC-011-2 Effective                                            Methodology shall include a requirement          No VRF
                    R2.                                        that SOLs provide BES performance                                        RC
4/29/2009                                                                                                      Assigned
                                                               consistent with the following:
                                                               In the pre-contingency state, the BES
FAC-011-2 Effective                                            shall demonstrate transient, dynamic and
4/29/2009
                                                R2.1.          voltage stability; all Facilities shall be         HIGH                  RC                                                                                                                   x                    x
                                                               within their Facility Ratings and within
                                                               their thermal, single and stability limits.
                                                               Following the voltageContingencies
FAC-011-2 Effective                                            identified in Requirement 2.2.1 through
4/29/2009
                                                R2.2.          Requirement 2.2.3, the system shall                HIGH                  RC                                                                                                                   x                    x
                                                               demonstrate transient, dynamic and
                                                               voltage stability; all Facilities shall be
                                                               Single line to ground or 3-phase Fault
FAC-011-2 Effective                                            (whichever is more severe), with Normal
4/29/2009
                                                R2.2.1.        Clearing, on any Faulted generator, line,        MEDIUM                  RC                                                                                                                   x                    x
                                                               transformer, or shunt device.
                                                               Loss of any generator, line, transformer,
FAC-011-2 Effective                                            or shunt device without a Fault.
4/29/2009
                                                R2.2.2.                                                         MEDIUM                  RC                                                                                                                   x                    x

                                                               Single pole block, with Normal Clearing,
FAC-011-2 Effective                                            in a monopolar or bipolar high voltage
4/29/2009
                                                R2.2.3.        direct current system.                           MEDIUM                  RC                                                                                                                   x                    x


                                                                                                                                                                                                                                                                 Page 50 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                           2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                   Violation Risk      Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                          Factor          Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               In determining the system’s response to                                                                                 Annual (A)
FAC-011-2 Effective                                            a single Contingency, the following shall
                                                R2.3.          be acceptable:                                     MEDIUM                RC
4/29/2009

                                                               Planned or controlled interruption of
FAC-011-2 Effective                                            electric supply to radial customers or
                                                R2.3.1.        some local network customers                       MEDIUM                RC
4/29/2009
                                                               connected to or supplied by the Faulted
                                                               Facility or by the affected area.
                                                               Interruption of other network customers,
FAC-011-2 Effective                                            (a) only if the system has already been
                                                R2.3.2.        adjusted, or is being adjusted, following          MEDIUM                RC
4/29/2009
                                                               at least one prior outage, or (b) if the real-
                                                               time operating conditions are more
                                                               System reconfiguration through manual
FAC-011-2 Effective                                            or automatic control or protection
                                                R2.3.3.        actions.                                           MEDIUM                RC
4/29/2009

                                                               To prepare for the next Contingency,
FAC-011-2 Effective                                            system adjustments may be made,
                                                R2.4.          including changes to generation, uses of           MEDIUM                RC
4/29/2009
                                                               the transmission system, and the
                                                               transmission system topology.
                                                               The Reliability Coordinator’s
FAC-011-2 Effective                                            methodology for determining SOLs, shall
                    R3.                                        include, as a minimum, a description of            MEDIUM                RC
4/29/2009
                                                               the following, along with any reliability
                                                               margins applied for each:
                                                               Study model (must include at least the
FAC-011-2 Effective                                            entire Reliability Coordinator Area as well
                                                R3.1.          as the critical modeling details from              MEDIUM                RC
4/29/2009
                                                               other Reliability Coordinator Areas that
                                                               would impact the Facility or Facilities
                                                               Selection of applicable Contingencies
FAC-011-2 Effective
                                                R3.2.                                                             MEDIUM                RC
4/29/2009

                                                               A process for determining which of the
FAC-011-2 Effective                                            stability limits associated with the list of
                                                R3.3.          multiple contingencies (provided by the            MEDIUM                RC
4/29/2009
                                                               Planning Authority in accordance with
                                                               FAC-014 Requirement 6) are applicable
                                                               This process shall address the need to
FAC-011-2 Effective                                            modify these limits, to modify the list of          No VRF
                                                R3.3.1.        limits, and to modify the list of                                        RC
4/29/2009                                                                                                         Assigned
                                                               associated multiple contingencies


                                                                                                                                                                                                                                                                Page 51 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Level of detail of system models used to                                                                                Annual (A)
FAC-011-2 Effective                                            determine SOLs.
                                                R3.4.                                                           LOWER                   RC
4/29/2009

                                                               Allowed uses of Special Protection
FAC-011-2 Effective                                            Systems or Remedial Action Plans.
                                                R3.5.                                                           MEDIUM                  RC
4/29/2009

                                                               Anticipated transmission system
FAC-011-2 Effective                                            configuration, generation dispatch and
                                                R3.6.          Load level                                       MEDIUM                  RC
4/29/2009

                                                               Criteria for determining when violating a
FAC-011-2 Effective                                            SOL qualifies as an Interconnection
                                                R3.7.          Reliability Operating Limit (IROL) and           MEDIUM                  RC
4/29/2009
                                                               criteria for developing any associated
                                                               IROL Tv.
                                                               The Reliability Coordinator shall issue its
FAC-011-2 Effective                                            SOL Methodology and any changes to
                    R4.                                        that methodology, prior to the                   LOWER                   RC
4/29/2009
                                                               effectiveness of the Methodology or of a
                                                               change to the Methodology, to all of the
                                                               Each adjacent Reliability Coordinator and
FAC-011-2 Effective                                            each Reliability Coordinator that
                                                R4.1.          indicated it has a reliability-related need      LOWER                   RC
4/29/2009
                                                               for the methodology.
                                                               Each Planning Authority and
FAC-011-2 Effective                                            Transmission Planner that models any
                                                R4.2.          portion of the Reliability Coordinator’s         LOWER                   RC
4/29/2009
                                                               Reliability Coordinator Area.
                                                               Each Transmission Operator that
FAC-011-2 Effective                                            operates in the Reliability Coordinator
                                                R4.3.          Area.                                            LOWER                   RC
4/29/2009

                                                               If a recipient of the SOL Methodology
FAC-011-2 Effective                                            provides documented technical
                    R5.                                        comments on the methodology, the                 LOWER                   RC
4/29/2009
                                                               Reliability Coordinator shall provide a
                                                               documented response to that recipient
                                                               The Reliability Coordinator and Planning
                                                               Authority shall each establish a set of
FAC-013-1                         R1.                          inter-regional and intra-regional Transfer
                                                                                                                MEDIUM             PA, PC, RC                                                                                                      x
                                                               Capabilities that is consistent with its
                                                               current Transfer Capability Methodology.
                                                                                                                                                                                                                                                                Page 52 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               The Reliability Coordinator and Planning                                                                                Annual (A)
                                                               Authority shall each provide its inter-
FAC-013-1                         R2.                          regional and intra-regional Transfer
                                                                                                                MEDIUM             PA, PC, RC                                                                                                      x
                                                               Capabilities to those entities that have a
                                                               reliability-related need for such Transfer
                                                               The Reliability Coordinator shall provide
                                                               its Transfer Capabilities to its associated
FAC-013-1                                       R2.1.          Regional Reliability Organization(s), to its
                                                                                                                MEDIUM                  RC                                                                                                         x
                                                               adjacent Reliability Coordinators, and to
                                                               TheTransmission Operators, provide its
                                                               the Planning Authority shall
                                                               Transfer Capabilities to its associated
FAC-013-1                                       R2.2.          Reliability Coordinator(s) and Regional
                                                                                                                MEDIUM               PA, PC                                                                                                        x
                                                               Reliability Organization(s), and to the
                                                               The Reliability Coordinator Transmission
                                                               Transmission Planners and shall ensure
                                                               that SOLs, including Interconnection
FAC-014-2                         R1.                                                                           MEDIUM                  RC                  A
                                                               Reliability Operating Limits (IROLs), for
                                                               its Reliability Coordinator Area are
                                                               established and that the SOLs (including
                                                               The Transmission Operator shall
                                                               establish SOLs (as directed by its
FAC-014-2                         R2.                                                                           MEDIUM               RC, TOP                A
                                                               Reliability Coordinator) for its portion of
                                                               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                 A
                                                               Authority Area that are consistent with its
                                                               SOL Methodology.
                                                               The Transmission Planner shall establish
                                                               SOLs, including IROLs, for its
FAC-014-2                         R4.                                                                           MEDIUM             PA, PC, TP               A
                                                               Transmission Planning Area that are
                                                               consistent with its Planning Authority’s
                                                               SOL Methodology.
                                                               The Reliability Coordinator, Planning
                                                               Authority and Transmission Planner shall
FAC-014-2                         R5.                          each provide its SOLs and IROLs to                 HIGH           PA, PC, RC, TP             A                                                                                                x                    x
                                                               those entities that have a reliability-
                                                               The Reliability Coordinator shall provide
                                                               related need for those limits and provide
                                                               its SOLs (including the subset of SOLs
FAC-014-2                                       R5.1.          that are IROLs) to adjacent Reliability            HIGH                  RC                  A                                                                                                x                    x
                                                               Coordinators and Reliability
                                                               Identification who indicate the
                                                               Coordinators and status of a reliability-
                                                               associated Facility (or group of Facilities)
FAC-014-2                                       R5.1.1.
                                                               that is (are) critical to the derivation of
                                                                                                                MEDIUM                  RC                  A                                                                                                x                    x
                                                               the IROL.


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         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                                                                                                                                                       Annual (A)
                                                               The value of the IROL and its associated
FAC-014-2                                       R5.1.2.
                                                               Tv.
                                                                                                                MEDIUM                  RC                  A                                                                                                x                    x


FAC-014-2                                       R5.1.3.        The associated Contingency(ies).                 MEDIUM                  RC                  A                                                                                                x                    x

                                                               The type of limitation represented by the
FAC-014-2                                       R5.1.4.        IROL (e.g., voltage collapse, angular            MEDIUM                  RC                  A                                                                                                x                    x
                                                               stability).

                                                               The Transmission Operator shall provide
                                                               any SOLs it developed to its Reliability
FAC-014-2                                       R5.2.                                                           MEDIUM                 TOP                  A
                                                               Coordinator and to the Transmission
                                                               Service Providers that share its portion
                                                               The Planning Authority shall Area.
                                                               of the Reliability Coordinatorprovide its
                                                               SOLs (including the subset of SOLs that
FAC-014-2                                       R5.3.                                                           MEDIUM               PA, PC                 A
                                                               are IROLs) to adjacent Planning
                                                               Authorities, and to Transmission
                                                               Planners, Transmission Service provide
                                                               The Transmission Planner shall
                                                               its SOLs (including the subset of SOLs
FAC-014-2                                       R5.4.                                                           MEDIUM                  TP                  A
                                                               that are IROLs) to its Planning Authority,
                                                               Reliability Coordinators, Transmission
                                                               The Planning Authority shall Service
                                                               Operators, and Transmissionidentify the
                                                               subset of multiple contingencies (if any),
FAC-014-2                         R6.                                                                           MEDIUM               PA, PC
                                                               from Reliability Standard TPL-003 which
                                                               result in stability limits.
                                                               The Planning Authority shall provide this
                                                               list of multiple contingencies and the
FAC-014-2                                       R6.1.          associated stability limits to the               MEDIUM               PA, PC
                                                               Reliability Coordinators that monitor the
                                                               If the Planning Authority these
                                                               facilities associated withdoes not identify
                                                               any stability-related multiple
FAC-014-2                                       R6.2.                                                           MEDIUM               PA, PC
                                                               contingencies, the Planning Authority
                                                               shall so notify the Reliability Coordinator.

                                                               INTERCHANGE SCHEDULING AND
                                                               COORDINATION



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                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Load-Serving, Purchasing-Selling                                                                                    Annual (A)
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 Interchange
                                                R2.2.                                                           LOWER                   BA                                                                 ER
                                                               payback.

                                                               Each Receiving Balancing Authority shall
                                                               confirm Interchange Schedules with the
INT-003-2                         R1.                          Sending Balancing Authority prior to
                                                                                                                MEDIUM                  BA                                                                 ER                                      x
                                                               implementation in the Balancing
                                                               Authority’s ACE equation.
                                                               The Sending Balancing Authority and
                                                               Receiving Balancing Authority shall
INT-003-2                                       R1.1.
                                                               agree on Interchange as received from
                                                                                                                LOWER                   BA                                                                 ER                                      x
                                                               the Interchange Authority, including:


INT-003-2                                       R1.1.1.        Interchange Schedule start and end time.         LOWER                   BA                                                                 ER                                      x


INT-003-2                                       R1.1.2.        Energy profile.                                  LOWER                   BA                                                                 ER                                      x

                                                               If a high voltage direct current (HVDC) tie
                                                               is on the Scheduling Path, then the
INT-003-2                                       R1.2.          Sending Balancing Authorities and
                                                                                                                MEDIUM                  BA                                                                 ER                                      x
                                                               Receiving Balancing Authorities shall
                                                               coordinate the Interchange Schedule with
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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               At such time as the reliability event                                                                                   Annual (A)
INT-004-2                                                      allows for the reloading of the
                                  R1.                                                                            LOWER         BA, PSE, RC, TOP
                                                               transaction, the entity that initiated the
                                                               curtailment shall release the limit on the
                                                               The Purchasing-Selling Entity allow
                                                               Interchange Transaction tag to
INT-004-2                                                      responsible for tagging a Dynamic
                                  R2.                                                                            LOWER                 PSE
                                                               Interchange Schedule shall ensure the
                                                               tag is updated for the next available
                                                               scheduling hour and future hours when
                                                               The average energy profile in an hour is
INT-004-2                                                      greater than 250 MW and in that hour the
                                                R2.1.                                                            LOWER                 PSE
                                                               actual hourly integrated energy deviates
                                                               from the hourly average energy profile
                                                               indicated on energy profile inthan +or-is
                                                               The average the tag by more an hour
INT-004-2                                                      less than or equal to 250 MW and in that
                                                R2.2.                                                            LOWER                 PSE
                                                               hour the actual hourly integrated energy
                                                               deviates from the hourly average energy
                                                               profile indicated on the tag by more than
                                                               A Reliability Coordinator or Transmission
INT-004-2                                                      Operator determines the deviation,
                                                R2.3.                                                            LOWER                 PSE
                                                               regardless of magnitude, to be a
                                                               reliability concern and notifies the
                                                               Prior to the expiration of of time
                                                               Purchasing-Selling Entitythe that period
INT-005-3 Effective                                            defined in the Timing Table, Column A,
7/1/2010            R1.                                                                                         MEDIUM                  IA
                                                               the Interchange Authority shall distribute
                                                               the Arranged Interchange information for
                                                               reliability assessment to all or Reliability
                                                               When a Balancing Authority reliability
INT-005-3 Effective                                            Coordinator initiates a Curtailment to
7/1/2010                                        R1.1.                                                           MEDIUM                  IA
                                                               Confirmed or Implemented Interchange
                                                               for reliability, the Interchange Authority
                                                               Prior distribute the Arranged reliability
                                                               shall to the expiration of the Interchange
INT-006-3 Effective                                            assessment period defined in the Timing
7/1/2010            R1.                                                                                          LOWER               BA, TSP
                                                               Table, Column B, the Balancing Authority
                                                               and Transmission Service Provider shall
                                                               respond to a request from an Interchange
INT-006-3 Effective                                            Each involved Balancing Authority shall
7/1/2010                                        R1.1.          evaluate the Arranged Interchange with            LOWER                  BA
                                                               respect to:

INT-006-3 Effective
                                                               Energy profile (ability to support the
7/1/2010                                        R1.1.1.                                                          LOWER                  BA
                                                               magnitude of the Interchange).



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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)
INT-006-3 Effective
                                                               Ramp (ability of generation
7/1/2010                                        R1.1.2.                                                         LOWER                   BA
                                                               maneuverability to accommodate).


INT-006-3 Effective
                                                               Scheduling path (proper connectivity of
7/1/2010                                        R1.1.3.                                                         LOWER                   BA
                                                               Adjacent Balancing Authorities).

                                                               Each involved Transmission Service
INT-006-3 Effective                                            Provider shall confirm that the
7/1/2010                                        R1.2.                                                           LOWER                  TSP
                                                               transmission service arrangements
                                                               associated with the Arranged Interchange
                                                               The adjacent Transmission Service
                                                               haveInterchange Authority shall verify
                                                               that Arranged Interchange is balanced
INT-007-1                         R1.                                                                           LOWER                   IA
                                                               and valid prior to transitioning Arranged
                                                               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 the        LOWER                   IA
                                                               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



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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)

INT-007-1                                       R1.3.4.        Interchange duration.                            LOWER                   IA


                                                               Each Balancing Authority and
                                                               Transmission Service Provider that
INT-007-1                                       R1.4.                                                           LOWER                   IA
                                                               received the Arranged Interchange
                                                               information from the Interchange
                                                               Authority for reliability assessment has
                                                               Prior to the expiration of the time period
INT-008-3 Effective                                            defined in the Timing Table, Column C,
7/1/2010                          R1.                                                                           LOWER                   IA
                                                               the Interchange Authority shall distribute
                                                               to all Balancing Authorities (including
                                                               Balancing Authorities on both sides of a
INT-008-3 Effective                                            For Confirmed Interchange, the
7/1/2010                                        R1.1.          Interchange Authority shall also                 LOWER                   IA
                                                               communicate:

INT-008-3 Effective                                            Start and stop times, ramps, and
7/1/2010                                        R1.1.1.        megawatt profile to Balancing                    LOWER                   IA
                                                               Authorities.

INT-008-3 Effective                                            Necessary Interchange information to
7/1/2010                                        R1.1.2.        NERC-identified reliability analysis             LOWER                   IA
                                                               services.

                                                               The Balancing Authority shall implement
INT-009-1                         R1.                          Confirmed Interchange as received from           MEDIUM                  BA
                                                               the Interchange Authority.

                                                               The Balancing Authority that experiences
                                                               a loss of resources covered by an energy
INT-010-1                         R1.                                                                           LOWER                   BA
                                                               sharing agreement shall ensure that a
                                                               request for an Arranged Interchange is
                                                               For a modification to time no more than
                                                               submitted with a startan existing
                                                               Interchange schedule that is directed by
INT-010-1                         R2.                                                                           LOWER                   RC
                                                               a Reliability Coordinator for current or
                                                               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.                                                                           LOWER                   RC
                                                               current or imminent reliability-related
                                                               reasons, the Reliability Coordinator shall
                                                               direct a Balancing Authority to submit an
                                                                                                                                                                                                                                                                Page 58 of 134
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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                      RC - Reliability Coordinator

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,
                                                              TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                             TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009               2010
    Reliability                                  Supporting                                                                                                                           Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual             Annual
     Standard                                   Requirement               Text of Requirement                                                                                         Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program            Program
 (FERC Approved)                                  Number                                                                                                                             Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits             Audits
                                                                                                                                                                                       Annual (A)
                                                              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                                                                                  S            x         x
                                                              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                                                                                  S            x         x           x
                                                              by the NERC Operating Committee.

                                                              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                                                                                  S            x         x           x                    x
                                                              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 to
                                                                                                                MEDIUM                  RC                                                                                  S            x         x       x
                                                              which tasks are delegated. The
                                                              The Reliability Coordinator verify that all
                                                              Reliability Coordinator shallshall list
                                                              within its reliability plan all entities to
IRO-001-1.1                       R5.
                                                              which the Reliability Coordinator has
                                                                                                                LOWER                   RC                                                                                  S            x         x       x
                                                              delegated required tasks.
                                                              The Reliability Coordinator shall verify
                                                              that all delegated tasks are carried out by
IRO-001-1.1                       R6.
                                                              NERC-certified Reliability Coordinator
                                                                                                                MEDIUM                  RC                                                                                  S            x         x       x
                                                              operating personnel.
                                                              The Reliability Coordinator shall have
                                                              clear, comprehensive coordination
IRO-001-1.1                       R7.                         agreements with adjacent Reliability
                                                                                                                  HIGH                  RC                                                                                  S            x         x           x                    x
                                                              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
                                                                                                                                                                                                                            S            x         x           x                    x
                                                              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                                                                                  S            x         x           x                    x
                                                              Interconnection before the interests of
                                                              any other entity.
                                                                                                                                                                                                                                                                   Page 59 of 134
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                                                                                                                                                                                                                                                                         5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                      RC - Reliability Coordinator

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,
                                                              TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                             TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                  Supporting                                                                                                                           Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                   Requirement               Text of Requirement                                                                                         Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                  Number                                                                                                                             Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                              Each Reliability Coordinator shall have                                                                                  Annual (A)
                                                              adequate communications facilities
IRO-002-1                         R1.                         (voice and data links) to appropriate
                                                                                                                  HIGH                  RC                                                                                  S                                x                    x
                                                              entities within its Reliability Coordinator
                                                              Area. These communications facilities
                                                              Each Reliability Coordinator shall
                                                              determine the data requirements to
IRO-002-1                         R2.                                                                           MEDIUM                  RC                                                                                  S
                                                              support its reliability coordination tasks
                                                              and shall request such data from its
                                                              Transmission Operators, Balancing
                                                              Each Reliability Coordinator – or its
                                                              Transmission Operators and Balancing
IRO-002-1                         R3.                                                                           MEDIUM            BA, RC, TOP                                                                               S
                                                              Authorities – shall provide, or arrange
                                                              provisions for, data exchange to other
                                                              Reliability Coordinators or Transmission
                                                              Each Reliability Coordinator shall have
                                                              multi-directional communications
IRO-002-1                         R4.                         capabilities with its Transmission
                                                                                                                  HIGH                  RC                                                                                  S                                x                    x
                                                              Operators and Balancing Authorities, and
                                                              with neighboring Reliability shall have
                                                              Each Reliability Coordinator
                                                              detailed real-time monitoring capability
IRO-002-1                         R5.                         of its Reliability Coordinator Area and
                                                                                                                  HIGH                  RC                  A                                                               S                                x                    x
                                                              sufficient monitoring capability of its
                                                              surrounding Reliability Coordinator
                                                              Each Reliability Coordinator shall
                                                              monitor Bulk Electric System elements
IRO-002-1                         R6.                         (generators, transmission lines, buses,
                                                                                                                  HIGH                  RC                  A                                                               S                                x                    x
                                                              transformers, breakers, etc.) that could
                                                              Each Reliability Coordinator shall have its
                                                              result in SOL or IROL violations within
                                                              adequate analysis tools such as state
IRO-002-1                         R7.                         estimation, pre- and post-contingency
                                                                                                                  HIGH                  RC                  A                                                               S                                x                    x
                                                              analysis capabilities (thermal, stability,
                                                              Each Reliability Coordinatoroverview
                                                              and voltage), and wide-area shall
                                                              continuously monitor its Reliability
IRO-002-1                         R8.                         Coordinator Area. Each Reliability
                                                                                                                  HIGH                  RC                  A                                                               S                                x                    x
                                                              Coordinator shall have provisions for
                                                              backup facilitiesCoordinator shall control
                                                              Each Reliability that shall be exercised if
                                                              its Reliability Coordinator analysis tools,
IRO-002-1                         R9.                                                                           MEDIUM                  RC                  A                                                               S
                                                              including approvals for planned
                                                              maintenance. Each Reliability
                                                              Coordinator shall have procedures in
                                                              Each Reliability Coordinator shall
                                                              monitor all Bulk Electric System facilities,
IRO-003-2                         R1.                         which may include sub-transmission
                                                                                                                  HIGH                  RC                  A                                                               S                      x         x                    x
                                                              information, within its Reliability
                                                              Coordinator Area and adjacent Reliability
                                                                                                                                                                                                                                                                 Page 60 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                  Violation Risk       Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                         Factor           Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Each Reliability Coordinator shall know                                                                                 Annual (A)
                                                               the current status of all critical facilities
IRO-003-2                         R2.                          whose failure, degradation or
                                                                                                                   HIGH                 RC                  A                                                               S                      x         x                    x
                                                               disconnection could result in an SOL or
                                                               Each Reliability Reliability Coordinators
                                                               IROL violation. Coordinator shall
                                                               conduct next-day reliability analyses for
IRO-004-1                         R1.                          its Reliability Coordinator Area to ensure
                                                                                                                   HIGH                 RC                  A               A                              ER               S            x         x         x                    x
                                                               that the Bulk Electric System can be
                                                               operated reliably in anticipated normal
                                                               Each Reliability Coordinator shall pay
                                                               particular attention to parallel flows to
IRO-004-1                         R2.                          ensure one Reliability Coordinator Area
                                                                                                                   HIGH                 RC                  A               A                                               S            x         x         x                    x
                                                               does not place an unacceptable or undue
                                                               Burden on an adjacent Reliability in
                                                               Each Reliability Coordinator shall,
                                                               conjunction with its Transmission
IRO-004-1                         R3.                          Operators and Balancing Authorities,
                                                                                                                   HIGH                 RC                  A               A                                               S            x         x         x                    x
                                                               develop action plans that may be
                                                               required, including reconfiguration of the
                                                               Each Transmission Operator, Balancing
                                                               Authority, Transmission Owner,                                   BA, GO, GOP, LSE,
IRO-004-1                         R4.                          Generator Owner, Generator Operator,
                                                                                                                   HIGH
                                                                                                                                     TO, TOP
                                                                                                                                                            A               A                              ER               S            x         x         x                    x
                                                               and Load-Serving Entity in the Reliability
                                                               Coordinator Area shall provide
                                                               Each Reliability Coordinator shall share
                                                               the results of its system studies, when
IRO-004-1                         R5.                          conditions warrant or upon request, with
                                                                                                                   HIGH                 RC                  A               A                              ER               S            x         x         x                    x
                                                               other Reliability Coordinators and with
                                                               Transmission Operators, Balancing
                                                               If the results of these studies indicate
                                                               potential SOL or IROL violations, the
IRO-004-1                         R6.                          Reliability Coordinator shall direct its
                                                                                                                   HIGH                 RC                  A               A                                               S            x         x         x                    x
                                                               Transmission Operators, Balancing
                                                               Authorities and Transmission Service
                                                               Each Transmission Operator, Balancing
                                                               Authority, and Transmission Service
IRO-004-1                         R7.                          Provider shall comply with the directives
                                                                                                                   HIGH           BA, TOP, TSP              A               A                                               S            x         x         x                    x
                                                               of its Reliability Coordinator based on
                                                               Each Reliability Coordinator the same
                                                               the next day assessments in shall
                                                               monitor its Reliability Coordinator Area
IRO-005-2                         R1.                          parameters, including but not limited to
                                                                                                                   HIGH                 RC                  A               A                                               S                      x         x                    x
                                                               the following:
                                                               Current status of Bulk Electric System
                                                               elements (transmission or generation
IRO-005-2                                       R1.1.          including critical auxiliaries such as
                                                                                                                   HIGH                 RC                  A               A                                               S                      x         x                    x
                                                               Automatic Voltage Regulators and
                                                               Special Protection Systems) and system
                                                                                                                                                                                                                                                                 Page 61 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Current pre-contingency element                                                                                         Annual (A)
                                                               conditions (voltage, thermal, or stability),
IRO-005-2                                       R1.2.          including any applicable mitigation plans
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                               to alleviate SOL or IROL violations,
                                                               including the plan’s viability and scope.
                                                               Current post-contingency element
                                                               conditions (voltage, thermal, or stability),
IRO-005-2                                       R1.3.          including any applicable mitigation plans
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                               to alleviate SOL or IROL violations,
                                                               including the plan’s viability and scope.
                                                               System real and reactive reserves (actual
                                                               versus required).
IRO-005-2                                       R1.4.                                                             HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Capacity and energy adequacy
                                                               conditions.
IRO-005-2                                       R1.5.                                                             HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Current ACE for all its Balancing
                                                               Authorities.
IRO-005-2                                       R1.6.                                                             HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Current local or Transmission Loading
                                                               Relief procedures in effect.
IRO-005-2                                       R1.7.                                                             HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Planned generation dispatches.
IRO-005-2                                       R1.8.                                                             HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Planned transmission or generation
                                                               outages.
IRO-005-2                                       R1.9.                                                             HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Contingency events.
IRO-005-2                                       R1.10.                                                            HIGH                  RC                  A               A                                               S                      x         x                    x

                                                               Each Reliability Coordinator shall be
                                                               aware of all Interchange Transactions
IRO-005-2                         R2.                          that wheel through, source, or sink in its
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                               Reliability Coordinator Area, and make
                                                               that Interchange Transaction information
                                                                                                                                                                                                                                                                 Page 62 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                      RC - Reliability Coordinator

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,
                                                              TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                             TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                  Supporting                                                                                                                           Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                   Requirement               Text of Requirement                                                                                         Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                  Number                                                                                                                             Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                              As portions of the transmission system                                                                                   Annual (A)
                                                              approach or exceed SOLs or IROLs, the
IRO-005-2                         R3.                         Reliability Coordinator shall work with its
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                              Transmission Operators and Balancing
                                                              Authorities to evaluate and assess
                                                              Each Reliability Coordinator shall any
                                                              monitor its Balancing Authorities’
IRO-005-2                         R4.                         parameters to ensure that the required
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                              amount of operating reserves is provided
                                                              Each Reliability Coordinator meet the
                                                              and available as required to shall identify
                                                              the cause of any potential or actual SOL
IRO-005-2                         R5.                         or IROL violations. The Reliability
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                              Coordinator shall initiate the control
                                                              Each Reliability Coordinator shall relieve
                                                              action or emergency procedure to ensure
                                                              its Transmission Operators and
IRO-005-2                         R6.                                                                             HIGH                  RC                  A               A                                               S
                                                              Balancing Authorities are aware of Geo-
                                                              Magnetic Disturbance (GMD) forecast
                                                              information and assist as needed in the
                                                              The Reliability Coordinator shall
                                                              disseminate information within its
IRO-005-2                         R7.                         Reliability Coordinator Area, as required.
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x

                                                              Each Reliability Coordinator shall
                                                              monitor system frequency and its
IRO-005-2                         R8.                         Balancing Authorities’ performance and
                                                                                                                  HIGH            BA, RC, TOP               A               A                                               S                      x         x                    x
                                                              direct any necessary rebalancing to
                                                              The Reliabilityand DCS compliance. The
                                                              return to CPS Coordinator shall
                                                              coordinate with Transmission Operators,
IRO-005-2                         R9.                         Balancing Authorities, and Generator
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                              Operators as needed to develop and
                                                              As necessary, the plans to mitigate
                                                              implement action Reliability Coordinator
                                                              shall assist the Balancing Authorities in
IRO-005-2                         R10.                        its Reliability Coordinator Area in
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                              arranging for assistance from
                                                              neighboring Reliability Coordinator Areas
                                                              The Reliability Coordinator shall identify
                                                              sources of large Area Control Errors that
IRO-005-2                         R11.                        may be contributing to Frequency Error,
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                              Time Error, or Inadvertent Interchange
                                                              and shall discuss corrective actions with
                                                              Whenever a Special Protection System
                                                              that may have an inter-Balancing
IRO-005-2                         R12.                        Authority, or inter-Transmission Operator
                                                                                                                  HIGH               RC, TOP                A               A                                               S                      x         x                    x
                                                              impact (e.g., could potentially affect
                                                              transmission flows resulting in a SOL or
                                                                                                                                                                                                                                                                 Page 63 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                               Each Reliability Coordinator shall ensure                                                                               Annual (A)
                                                               that all Transmission Operators,                                  BA, GOP, LSE,
IRO-005-2                         R13.                         Balancing Authorities, Generator
                                                                                                                  HIGH
                                                                                                                               PSE, RC, TOP, TSP
                                                                                                                                                            A               A                                               S                      x         x                    x
                                                               Operators, Transmission Service
                                                               Providers, Load-Serving Entities, make
                                                               Each Reliability Coordinator shall and
                                                               known to Transmission Service Providers
IRO-005-2                         R14.                         within its Reliability Coordinator Area,
                                                                                                                MEDIUM               RC, TSP                A               A                                               S                      x                              x
                                                               SOLs or IROLs within its wide-area view.
                                                               The Transmission Service Providers shall
                                                               Each Reliability Coordinator who
                                                               foresees a transmission problem (such
IRO-005-2                         R15.                         as an SOL or IROL violation, loss of
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                               reactive reserves, etc.) within its
                                                               Reliability Coordinator Area shall issue
                                                               Each Reliability Coordinator shall
                                                               confirm reliability assessment results
IRO-005-2                         R16.                         and determine the effects within its own
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                               and adjacent Reliability Coordinator
                                                               When The Reliability is exceeded, the
                                                               Areas.an IROL or SOLCoordinator shall
                                                               Reliability Coordinator shall evaluate the
IRO-005-2                         R17.                         local and wide-area impacts, both real-
                                                                                                                  HIGH                  RC                  A               A                                               S                      x         x                    x
                                                               time and post-contingency, and
                                  R1.                          determine if the actions being taken are
                                                               A Reliability Coordinator experiencing a         MEDIUM
                                                               potential or actual SOL or IROL violation
IRO-006-4.1                                                    within its Reliability Coordinator Area                                  RC                                                                 ER               S                      x         x                    x
                                                               shall, with its authority and at its
                                                R1.1.          discretion, select one or more
                                                               The Interconnection-wide Transmission         Part of Main
                                                               Loading Relief (TLR) procedure for use in     Requirement
IRO-006-4.1                                                    the Eastern Interconnection provided in                                  RC                                                                                  S                      x         x                    x
                                                               Attachment 1-IRO-006-4. The TLR
                                                R1.2.          procedure alone is an inappropriate and
                                                               The Interconnection-wide transmission         Part of Main
                                                               loading relief procedure for use in the       Requirement
IRO-006-4.1                                                    Western Interconnection is WECC-IRO-                                     RC                                                                                  S                      x
                                                               STD-006-0 provided at:
                                                R1.3.          ftp://www.nerc.com/pub/sys/all_updl/stan
                                                               The Interconnection-wide transmission         Part of Main
                                                               loading relief procedure for use in           Requirement
IRO-006-4.1                                                    ERCOT is provided as Section 7 of the                                    RC                                                                                  S                      x
                                                               ERCOT Protocols, posted at:
                                  R2.                          http://www.ercot.com/mktrules/protocols/
                                                               The Reliability Coordinator shall only use       LOWER
                                                               local transmission loading relief or
IRO-006-4.1                                                    congestion management procedures to                                      RC                                                                 ER               S                      x
                                                               which the Transmission Operator
                                                               experiencing the potential or actual SOL
                                                                                                                                                                                                                                                                 Page 64 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                  R3.                          Each Reliability Coordinator with a relief       LOWER                                                                  Annual (A)
                                                               obligation from an Interconnection-wide
IRO-006-4.1                                                    procedure shall follow the curtailments                                  RC                                                                 ER               S                      x         x                    x
                                                               as directed by the Interconnection-wide
                                  R4.                          procedure. A Reliability Coordinator
                                                               When Interconnection-wide procedures             MEDIUM
                                                               are implemented to curtail Interchange
IRO-006-4.1                                                    Transactions that cross an                                               RC                                                                 ER               S                      x         x                    x
                                                               Interconnection boundary, each
                                  R5.                          During the Coordinator shall comply with
                                                               Reliability implementation of relief             MEDIUM
                                                               procedures, and up to the point that
IRO-006-4.1                                                    emergency action is necessary,                                        RC, BA                                                                ER               S                      x         x                    x
                                                               Reliability Coordinators and Balancing
                                                               Authorities shall comply with applicable
                                                               The Reliability Coordinator shall have
                                                               Operating Procedures, Processes, or
IRO-014-1                         R1.                          Plans in place for activities that require       MEDIUM                  RC                                                                                  S            x         x
                                                               notification, exchange of information or
                                                               coordination of actions with one or more
                                                               These Operating Procedures, Processes,
IRO-014-1                                       R1.1.          or Plans shall collectively address, as a        LOWER                   RC                                                                                  S            x         x
                                                               minimum, the following:

                                                               Communications and notifications,
                                                               including the conditions under which one
IRO-014-1                                       R1.1.1.        Reliability Coordinator notifies other           MEDIUM                  RC                                                                                  S            x         x
                                                               Reliability Coordinators; the process to
                                                               follow in making those notifications; and

IRO-014-1                                       R1.1.2.        Energy and capacity shortages.                   MEDIUM                  RC                                                                                  S            x         x


                                                               Planned or unplanned outage
IRO-014-1                                       R1.1.3.
                                                               information.
                                                                                                                MEDIUM                  RC                                                                                  S            x         x

                                                               Voltage control, including the
IRO-014-1                                       R1.1.4.        coordination of reactive resources for           MEDIUM                  RC                                                                                  S            x         x
                                                               voltage control.


                                                               Coordination of information exchange to
IRO-014-1                                       R1.1.5.
                                                               support reliability assessments.
                                                                                                                LOWER                   RC                                                                                  S            x         x


                                                                                                                                                                                                                                                                 Page 65 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                       5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Authority to act to prevent and mitigate                                                                                Annual (A)
                                                               instances of causing Adverse Reliability
IRO-014-1                                       R1.1.6.
                                                               Impacts to other Reliability Coordinator
                                                                                                                LOWER                   RC                                                                                  S            x         x
                                                               Areas.
                                                               Each Reliability Coordinator’s Operating
                                                               Procedure, Process, or Plan that requires
IRO-014-1                         R2.                          one or more other Reliability                    LOWER                   RC                                                                                  S            x         x
                                                               Coordinators to take action (e.g., make
                                                               notifications, exchange information, or
                                                               Agreed to by all the Reliability
IRO-014-1                                       R2.1.          Coordinators required to take the                LOWER                   RC                                                                                  S            x         x
                                                               indicated action(s).

                                                               Distributed to all Reliability Coordinators
IRO-014-1                                       R2.2.          that are required to take the indicated          LOWER                   RC                                                                                  S            x         x
                                                               action(s).

                                                               A Reliability Coordinator’s Operating
                                                               Procedures, Processes, or Plans
IRO-014-1                         R3.                          developed to support a Reliability               MEDIUM                  RC                                                                                  S            x         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                                                                                  S            x         x
                                                               Operating Procedure, Process, or Plan.

                                                               The agreed-upon actions from the
                                                               associated Reliability Coordinator-to-
IRO-014-1                                       R3.2.
                                                               Reliability Coordinator Operating
                                                                                                                LOWER                   RC                                                                                  S            x         x
                                                               Procedure, Process, or Plan.
                                                               Each of the Operating Procedures,
                                                               Processes, and Plans addressed in
IRO-014-1                         R4.
                                                               Reliability Standard IRO-014 Requirement
                                                                                                                LOWER                   RC                                                                                  S            x         x
                                                               1 and Requirement 3 shall:


IRO-014-1                                       R4.1.          Include version control number or date           LOWER                   RC                                                                                  S            x         x


IRO-014-1                                       R4.2.          Include a distribution list.                     LOWER                   RC                                                                                  S            x         x


                                                                                                                                                                                                                                                                Page 66 of 134
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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)
                                                               Be reviewed, at least once every three
IRO-014-1                                       R4.3.
                                                               years, and updated if needed.
                                                                                                                 LOWER                  RC                                                                                  S            x         x

                                                               The Reliability Coordinator shall follow
                                                               its Operating Procedures, Processes, or
IRO-015-1                         R1.                          Plans for making notifications and               MEDIUM                  RC                                                                                  S            x         x
                                                               exchanging reliability-related information
                                                               with other Reliability Coordinators.
                                                               The Reliability Coordinator shall make
                                                               notifications to other Reliability
IRO-015-1                                       R1.1.          Coordinators of conditions in its                MEDIUM                  RC                                                                                  S            x         x
                                                               Reliability Coordinator Area that may
                                                               impact other Reliability Coordinator
                                                               The Reliability Coordinator shall
                                                               participate in agreed upon conference
IRO-015-1                         R2.
                                                               calls and other communication forums
                                                                                                                 LOWER                  RC                                                                                  S            x         x
                                                               with adjacent Reliability Coordinators.
                                                               The frequency of these conference calls
                                                               shall be agreed upon by all involved
IRO-015-1                                       R2.1.
                                                               Reliability Coordinators and shall be at
                                                                                                                 LOWER                  RC                                                                                  S            x         x
                                                               least weekly.
                                                               The Reliability Coordinator shall provide
                                                               reliability-related information as
IRO-015-1                         R3.
                                                               requested by other Reliability
                                                                                                                MEDIUM                  RC                                                                                  S            x         x
                                                               Coordinators.
                                                               The Reliability Coordinator that identifies
                                                               a potential, expected, or actual problem
IRO-016-1                         R1.                          that requires the actions of one or more         MEDIUM                  RC                                                                                  S            x         x
                                                               other Reliability Coordinators shall
                                                               contact the other Reliability
                                                               If the involved Reliability Coordinators
                                                               agree on the problem and the actions to
IRO-016-1                                       R1.1.          take to prevent or mitigate the system           MEDIUM                  RC                                                                                  S            x         x
                                                               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                                                                                  S            x         x
                                                               the causes of the disagreement (bad
                                                               data, status, study results, tools, etc.).
                                                               If time permits, this re-evaluation shall be
IRO-016-1                                       R1.2.1.
                                                               done before taking corrective actions.
                                                                                                                MEDIUM                  RC                                                                                  S            x         x


                                                                                                                                                                                                                                                                Page 67 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               If time does not permit, then each                                                                                      Annual (A)
                                                               Reliability Coordinator shall operate as
IRO-016-1                                       R1.2.2.
                                                               though the problem(s) exist(s) until the
                                                                                                                MEDIUM                  RC                                                                                  S            x         x
                                                               conflicting system status is resolved.
                                                               If the involved Reliability Coordinators
                                                               cannot agree on the solution, the more
IRO-016-1                                       R1.3.
                                                               conservative solution shall be
                                                                                                                MEDIUM                  RC                                                                                  S            x         x
                                                               implemented.
                                                               The Reliability Coordinator shall
                                                               document (via operator logs or other
IRO-016-1                         R2.                          data sources) its actions taken for either       LOWER                   RC                                                                                  S            x         x
                                                               the event or for the disagreement on the
                                                               problem(s) or for both.

                                                               MODELING, DATA AND ANALYSIS


                                                               Each Transmission Operator shall select
MOD-001-1                                                      one of the methodologies1 listed below
                                  R1.                                                                           Pending                TOP                  A               A
Effective 4/1/2011                                             for
                                                               calculating Available Transfer Capability
                                                               (ATC)Transmission Service Provider
                                                               Each or Available Flowgate Capability
MOD-001-1                                                      shall calculate ATC or AFC values as
                                  R2.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             listed below using the methodology or
                                                               methodologies selected by its
                                                               Transmissin Operator(s):
MOD-001-1                                                      Hourly values for at least the next 48
                                                R2.1.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             hours.


MOD-001-1                                                      Daily values for at least the next 31
                                                R2.2.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             calendar days.


MOD-001-1                                                      Monthly values for at least the next 12
                                                R2.3.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             months (months 2-13).

                                                               Each Transmission Service Provider
MOD-001-1                                                      shall prepare and keep current an
                                  R3.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Available Transfer Capability
                                                               Implementation Document (ATCID) that
                                                               includes, at a minimum, the following
                                                                                                                                                                                                                                                                Page 68 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Information describing how the selected                                                                                 Annual (A)
MOD-001-1                                                      methodology (or methodologies) has
                                                R3.1.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             been implemented, in such detail that,
                                                               given the same information used by the
                                                               Transmission Service Provider, the
                                                               A description of the manner in which the
MOD-001-1
                                                R3.2.          Transmission Service Provider will               Pending                TSP                  A               A
Effective 4/1/2011
                                                               account for counterflows including:

                                                               How confirmed Transmission
MOD-001-1                                                      reservations, expected Interchange
                                                R3.2.1.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             and internal counterflow are addressed
                                                               in firm and non-firm ATC or
                                                               AFC calculations.
MOD-001-1                                                      A rationale for that accounting specified
                                                R3.2.2.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             in R3.2.

                                                               The identity of the Transmission
MOD-001-1                                                      Operators and Transmission Service
                                                R3.3.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Providers from which the Transmission
                                                               Service Provider receives data for use in
                                                               The identity of the AFC.
                                                               calculating ATC or Transmission Service
MOD-001-1                                                      Providers and Transmission
                                                R3.4.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Operators to which it provides data for
                                                               use in calculating transfer or Flowgate
                                                               capability.
                                                               A description of the allocation
MOD-001-1                                                      processes listed below that are
                                                R3.5.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             applicable to the Transmission Service
                                                               Provider:
                                                               A description of how generation and or
                                                               a) Processes used to allocate transfer
MOD-001-1                                                      transmission outages are considered in
                                                R3.6.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             transfer or Flowgate capability
                                                               calculations, including:

                                                               The criteria used to determine when an
MOD-001-1
                                                R3.6.1.        outage that is in effect part                    Pending                TSP                  A               A
Effective 4/1/2011
                                                               of a day impacts a daily calculation.

                                                               The criteria used to determine when an
MOD-001-1                                                      outage that is in effect part
                                                R3.6.2.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             of a month impacts a monthly
                                                               calculation.


                                                                                                                                                                                                                                                                Page 69 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               How outages from other Transmission                                                                                     Annual (A)
MOD-001-1                                                      Service Providers that can
                                                R3.6.3.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             not be mapped to the Transmission
                                                               model used to calculate transfer
                                                               or Flowgate capability are addressed.
                                                               The Transmission Service Provider shall
MOD-001-1
                                  R4.                          notify the following entities before             Pending                TSP                  A               A
Effective 4/1/2011
                                                               implementing a new or revised ATCID:

                                                               Each Planning Coordinator associated
MOD-001-1
                                                R4.1.          with the Transmission Service                    Pending                TSP                  A               A
Effective 4/1/2011
                                                               Provider’s area.

                                                               Each Reliability Coordinator associated
MOD-001-1
                                                R4.2.          with the Transmission Service Provider’s         Pending                TSP                  A               A
Effective 4/1/2011
                                                               area.

                                                               Each Transmission Operator associated
MOD-001-1
                                                R4.3.          with the Transmission Service Provider’s         Pending                TSP                  A               A
Effective 4/1/2011
                                                               area.

                                                               Each Planning Coordinator adjacent to
MOD-001-1
                                                R4.4.          the Transmission Service Provider’s              Pending                TSP                  A               A
Effective 4/1/2011
                                                               area.


MOD-001-1                                                      Each Reliability Coordinator adjacent to
                                                R4.5.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             the Transmission Service Provider’s area


                                                               Each Transmission Service Provider
MOD-001-1
                                                R4.6.          whose area is adjacent to the                    Pending                TSP                  A               A
Effective 4/1/2011
                                                               Transmission Service Provider’s area.

                                                               The Transmission Service Provider shall
MOD-001-1
                                  R5.                          make available the current ATCID to all          Pending                TSP                  A               A
Effective 4/1/2011
                                                               of the entities specified in R4.

                                                               When calculating Total Transfer
MOD-001-1                                                      Capability (TTC) or Total Flowgate
                                  R6.                                                                           Pending                TOP                  A               A
Effective 4/1/2011                                             Capability (TFC) the Transmission
                                                               Operator shall use assumptions no more
                                                               limiting than those used in the planning
                                                                                                                                                                                                                                                                Page 70 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               When calculating ATC or AFC the                                                                                         Annual (A)
MOD-001-1                                                      Transmission Service Provider shall use
                                  R7.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             assumptions no more limiting than those
                                                               used in the planning of operations for
                                                               Each Transmissiontime period studied,
                                                               the corresponding Service Provider that
MOD-001-1                                                      calculates ATC shall recalculate ATC at a
                                  R8.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             minimum on the following frequency,
                                                               unless none of the calculated values
                                                               Hourly values, once per hour. have
                                                               identified in the ATC equation
MOD-001-1                                                      Transmission Service Providers are
                                                R8.1.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             allowed up to 175 hours per calendar
                                                               year during which calculations are not
                                                               required to be performed, despite a
MOD-001-1
                                                R8.2.          Daily values, once per day                       Pending                TSP                  A               A
Effective 4/1/2011


MOD-001-1
                                                R8.3.          Monthly values, once per week.                   Pending                TSP                  A               A
Effective 4/1/2011

                                                               Within thirty calendar days of receiving a
MOD-001-1                                                      request by any Transmission Service
                                                                                                                Pending                TSP                  A               A
Effective 4/1/2011                R9.                          Provider, Planning Coordinator,
                                                               Reliability Coordinator, or Transmission
                                                               Operator for data from the list below
MOD-001-1
                                                R9.1.          Transmission Service.                            Pending                TSP                  A               A
Effective 4/1/2011

                                                               If the Transmission Service Provider
MOD-001-1                                                      uses the data requested in its
                                                R9.1.1.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             transfer or Flowgate capability
                                                               calculations, it shall make the data
                                                               used available
                                                               If the Transmission Service Provider
MOD-001-1                                                      does not use the data requested
                                                R9.1.2.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             in its transfer or Flowgate capability
                                                               calculations, but maintains that
                                                                If the shall make that data Provider
                                                               data, itTransmission Serviceavailable
MOD-001-1                                                      does not use the data requested in its
                                                R9.1.3.                                                         Pending                TSP                  A               A
Effective 4/1/2011                                             transfer or Flowgate capability
                                                               calculations, and does not maintain that
                                                               data, it shall not be required to make that
                                                                                                                                                                                                                                                                Page 71 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               This data shall be made available by the                                                                                Annual (A)
MOD-001-1                                                      Transmission Provider on the schedule
                                                R9.2.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             specified by the requestor (but no more
                                                               frequently than once per hour, unless
                                                               mutually agreed to by the Provider and
                                                               The Transmission Service requesterthat
MOD-004-1                                                      maintains CBM shall prepare and keep
                                  R1.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             current a “Capacity Benefit Margin
                                                               Implementation Document” (CBMID) that
                                                               includes, at minimum, the following
                                                               The processathrough which a Load-
MOD-004-1                                                      Serving Entity within a Balancing
                                                R1.1.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Authority Area associated with the
                                                               Transmission Service Provider, or the
                                                               Resource Planner associated with that
                                                               The procedure and assumptions for
MOD-004-1                                                      establishing CBM for each Available
                                                R1.2.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Transfer Capability (ATC) Path or
                                                               Flowgate.
                                                               The procedure for a Load-Serving Entity
MOD-004-1                                                      or Balancing Authority to use
                                                R1.3.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Transmission capacity set aside as CBM,
                                                               including the manner in which the
                                                               Transmission Service Provider will that
                                                               The Transmission Service Provider
MOD-004-1                                                      maintains CBM shall make available its
                                  R2.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             current CBMID to the Transmission
                                                               Operators, Transmission Service
                                                               Providers, Reliability Coordinators,
                                                               Each Load-Serving Entity determining
MOD-004-1                                                      the need for Transmission capacity to be
                                  R3.                                                                           Pending                LSE                  A               A
Effective 4/1/2011                                             set aside as CBM for imports into a
                                                               Balancing Authority Area shall
                                                               Using one that need by: following to
                                                               determine or more of the
MOD-004-1                                                      determine the GCIR:
                                                R3.1.                                                           Pending                LSE                  A               A
Effective 4/1/2011                                             a) Loss of Load Expectation (LOLE)
                                                               studies
                                                               b) Loss of Load Probability (LOLP)
MOD-004-1                                                      Identifying expected import path(s) or
                                                R3.2.                                                           Pending                LSE                  A               A
Effective 4/1/2011                                             source region(s).

                                                               Each Resource Planner determining the
MOD-004-1                                                      need for Transmission capacity to be set
                                  R4.                                                                           Pending                 RP                  A               A
Effective 4/1/2011                                             aside as CBM for imports into a
                                                               Balancing Authority Area shall
                                                               determine that need by:
                                                                                                                                                                                                                                                                Page 72 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Using one or more of the following to                                                                                   Annual (A)
MOD-004-1                                                      determine the GCIR:
                                                R4.1.                                                           Pending                 RP                  A               A
Effective 4/1/2011                                             a) Loss of Load Expectation (LOLE)
                                                               studies
                                                               b) Loss of Load Probability (LOLP)
MOD-004-1                                                      Identifying expected import path(s) or
                                                R4.2.                                                           Pending                 RP                  A               A
Effective 4/1/2011                                             source region(s).

                                                               At least every 13 months, the
MOD-004-1                                                      Transmission Service Provider that
                                  R5.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             maintains CBM shall establish a CBM
                                                               value for each ATC Path or Flowgate to
                                                               Reflect for ATC or Available of the
                                                               be usedconsideration of eachFlowgate
MOD-004-1                                                      following if available:
                                                R5.1.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             a) Any studies (as described in R3.1)
                                                               performed by Load-Serving Entities for
                                                               loads within thefollows:
                                                               Be allocated as Transmission Service
MOD-004-1                                                      a) For ATC Paths, based on the
                                                R5.2.                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             expected import paths or source regions
                                                               provided by Load-Serving Entities or
                                                               Resource Planners
                                                               At least every 13 months, the
MOD-004-1                                                      Transmission Planner shall establish a
                                  R6.                                                                           Pending                 TP                  A               A
Effective 4/1/2011                                             CBM value for each ATC Path or
                                                               Flowgate to be used in planning during
                                                               each of the full calendar years two
                                                               Reflect consideration of each of the
MOD-004-1                                                      following if available:
                                                R6.1.                                                           Pending                 TP                  A               A
Effective 4/1/2011                                             a) Any studies (as described in R3.1)
                                                               performed by Load-Serving Entities for
                                                               Be allocated thefollows:
                                                               loads within as Transmission Planner’s
MOD-004-1                                                      a) For ATC Paths, based on the
                                                R6.2.                                                           Pending                 TP                  A               A
Effective 4/1/2011                                             expected import paths or source regions
                                                               provided by Load-Serving Entities or
                                                               Resource Planners
                                                               Less than 31 calendar days after the
MOD-004-1                                                      establishment of CBM, the Transmission
                                  R7.                                                                           Pending                TSP                  A               A
Effective 4/1/2011                                             Service Provider that maintains CBM
                                                               shall notify all the Load-Serving Entities
                                                               Less than 31 calendar days determined
                                                               and Resource Planners that after the
MOD-004-1                                                      establishment of CBM, the Transmission
                                  R8.                                                                           Pending                 TP                  A               A
Effective 4/1/2011                                             Planner shall notify all the Load-Serving
                                                               Entities and Resource Planners that
                                                               determined they had a need for CBM on
                                                                                                                                                                                                                                                                Page 73 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Transmission Service Provider that                                                                                  Annual (A)
MOD-004-1                                                      maintains CBM and the Transmission
                                  R9.                                                                           Pending              TSP, TP                A               A
Effective 4/1/2011                                             Planner shall each provide (subject to
                                                               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                A               A
Effective 4/1/2011
                                                               their making a request for the data.

                                                               To any Transmission Service Provider,
MOD-004-1                                                      Reliability Coordinator, Transmission
                                                R9.2.                                                           Pending              TSP, TP                A               A
Effective 4/1/2011                                             Planner, Resource Planner, or Planning
                                                               Coordinator within 30 calendar days of
                                                               theirLoad-Serving Entity or Balancing
                                                               The making a request for the data.
MOD-004-1                                                      Authority shall request to import energy
                                  R10.                                                                          Pending              BA, LSE                A               A
Effective 4/1/2011                                             over firm Transfer Capability set aside as
                                                               CBM only when experiencing a declared
                                                               When Energy Emergency Alert
                                                               NERC reviewing an Arranged (EEA) 2
MOD-004-1                                                      Interchange using CBM, all Balancing
                                  R11.                                                                          Pending              BA, TSP                A               A
Effective 4/1/2011                                             Authorities and Transmission Service
                                                               Providers shall waive, within the bounds
                                                               of reliable operation, any Real-time that
                                                               The Transmission Service Provider
MOD-004-1                                                      maintains CBM shall approve, within the
                                  R12.                                                                          Pending                TSP                  A               A
Effective 4/1/2011                                             bounds of reliable operation, any
                                                               Arranged Interchange using CBM that is
                                                               submitted by an “energy deficient
MOD-004-1
                                                R12.1.         The CBM is available                             Pending                TSP                  A               A
Effective 4/1/2011


                                                               The EEA 2 is declared within the
MOD-004-1
                                                R12.2.         Balancing Authority Area of the “energy          Pending                TSP                  A               A
Effective 4/1/2011
                                                               deficient entity,” and

                                                               The Load of the “energy deficient entity”
MOD-004-1
                                                R12.3.         is located within the Transmission               Pending                TSP                  A               A
Effective 4/1/2011
                                                               Service Provider’s area.

                                                               Each Transmission Service Provider shall
MOD-006-0.1                                                    document its procedure on the use of
                                  R1.                                                                           LOWER                  TSP
Retired 3/31/2011                                              Capacity Benefit Margin (CBM)
                                                               (scheduling of energy against a CBM
                                                               reservation). The procedure shall include
                                                                                                                                                                                                                                                                Page 74 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Require that CBM be used only after the                                                                                 Annual (A)
MOD-006-0.1                                                    following steps have been taken (as time
                                                R1.1.                                                           LOWER                  TSP
Retired 3/31/2011                                              permits): all non-firm sales have been
                                                               terminated, Direct-Control Load
                                                               Require that CBMbeen implemented, if
                                                               Management has shall only be used and
MOD-006-0.1                                                    the Load-Serving Entity calling for its use
                                                R1.2.                                                           LOWER                  TSP
Retired 3/31/2011                                              is experiencing a generation deficiency
                                                               and its Transmission Service Provider is
                                                               also experiencing Transmission
                                                               Describe the conditions under which
MOD-006-0.1
                                                R1.3.          CBM may be available as Non-Firm                 LOWER                  TSP
Retired 3/31/2011
                                                               Transmission Service.

                                                               Each Transmission Service Provider shall
MOD-006-0.1                                                    make its CBM use procedure available on
                                  R2.                                                                           LOWER                  TSP
Retired 3/31/2011                                              a web site accessible by the Regional
                                                               Reliability Organizations, NERC, and
                                                               transmission users.Service Provider that
                                                               Each Transmission
MOD-007-0 Retired                                              uses CBM shall report (to the Regional
                                  R1.                                                                           LOWER                  TSP
3/31/2011                                                      Reliability Organization, NERC and the
                                                               transmission users) the use of CBM by
                                                               The Transmission Service Provider its
                                                               the Load-Serving Entities’ Loads onshall
MOD-007-0 Retired                                              post the following three items within 15
                                  R2.                                                                           LOWER                  TSP
3/31/2011                                                      calendar days after the use of CBM for an
                                                               Energy Emergency. This posting shall be
                                                               on a web site accessible by the Regional
MOD-007-0 Retired
                                                R2.1.          Circumstances.                                   LOWER                  TSP
3/31/2011


MOD-007-0 Retired
                                                R2.2.          Duration.                                        LOWER                  TSP
3/31/2011


MOD-007-0 Retired
                                                R2.3.          Amount of CBM used.                              LOWER                  TSP
3/31/2011

                                                               Each Transmission Operator shall
MOD-008-1 Effective                                            prepare and keep current a TRM
                    R1.                                                                                         Pending                TOP                  A               A
4/1/2011                                                       Implementation Document (TRMID) that
                                                               includes, as a minimum, the following
                                                               information:
                                                                                                                                                                                                                                                                Page 75 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Identification of (on each of its respective                                                                            Annual (A)
MOD-008-1 Effective                                            ATC Paths or Flowgates) each of the
                                                R1.1.                                                           Pending                TOP                  A               A
4/1/2011                                                       following components of uncertainty if
                                                               used in establishing TRM, and a
                                                               description of how that component is
                                                               The description of the method used to
MOD-008-1 Effective
                                                R1.2.          allocate TRM across ATC Paths or                 Pending                TOP                  A               A
4/1/2011
                                                               Flowgates.


MOD-008-1 Effective                                            The identification of the TRM calculation
                                                R1.3.                                                           Pending                TOP                  A               A
4/1/2011                                                       used for the following time periods:


MOD-008-1 Effective
                                                R1.3.1.        Same day and real-time.                          Pending                TOP                  A               A
4/1/2011


MOD-008-1 Effective
                                                R1.3.2.        Day-ahead and pre-schedule.                      Pending                TOP                  A               A
4/1/2011


MOD-008-1 Effective                                            Beyond day-ahead and pre-schedule, up
                                                R1.3.3.                                                         Pending                TOP                  A               A
4/1/2011                                                       to thirteen months ahead.

                                                               Each Transmission Operator shall only
MOD-008-1 Effective                                            use the components of uncertainty from
                    R2.                                                                                         Pending                TOP                  A               A
4/1/2011                                                       R1.1 to establish TRM, and shall not
                                                               include any of the components of
                                                               Capacity Benefit Margin (CBM).
                                                               Each Transmission Operator shall make
MOD-008-1 Effective                                            available its TRMID, and if requested,
                    R3.                                                                                         Pending                TOP                  A               A
4/1/2011                                                       underlying documentation (if any) used
                                                               to determine TRM, in the format used by
                                                               the Transmission Operator, to any of the
                                                               Each Transmission Operator that
MOD-008-1 Effective                                            maintains TRM shall establish TRM
                    R4.                                                                                         Pending                TOP                  A               A
4/1/2011                                                       values in accordance with the TRMID at
                                                               least once every 13 months.
                                                               The Transmission Operator that
MOD-008-1 Effective                                            maintains TRM shall provide the TRM
                    R5.                                                                                         Pending                TOP                  A               A
4/1/2011                                                       values to its Transmission Service
                                                               Provider(s) and Transmission Planner(s)
                                                               no more than seven calendar days after a
                                                                                                                                                                                                                                                                Page 76 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Transmission Owners, Transmission                                                                                   Annual (A)
                                                               Planners, Generator Owners, and
MOD-010-0                         R1.                                                                           MEDIUM           GO, RP, TO, TP                                             S
                                                               Resource Planners (specified in the data
                                                               requirements and reporting procedures
                                                               of MOD-011-0_R1) shall provide
                                                               The Transmission Owners, Transmission
                                                               Planners, Generator Owners, and
MOD-010-0                         R2.                                                                           MEDIUM           GO, RP, TO, TP                                             S
                                                               Resource Planners (specified in the data
                                                               requirements and reporting procedures
                                                               of MOD-011-0_R1) shall provide this
                                                               The Transmission Owners, Transmission
                                                               Planners, Generator Owners, and
MOD-012-0                         R1.                                                                           MEDIUM           GO, RP, TO, TP                                             S
                                                               Resource Planners (specified in the data
                                                               requirements and reporting procedures
                                                               of MOD-013-0_R1) Owners, Transmission
                                                               The Transmission shall provide
                                                               Planners, Generator Owners, and
MOD-012-0                         R2.                                                                           MEDIUM           GO, RP, TO, TP                                             S
                                                               Resource Planners (specified in the data
                                                               requirements and reporting procedures
                                                               The Planning Authority provide
                                                               of MOD-013-0_R1) shalland Regional
                                                               Reliability Organization shall have
MOD-016-1.1                       R1.                          documentation identifying the scope and          LOWER             PA, PC, RRO
                                                               details of the actual and forecast (a)
                                                               The aggregated and Energy for Load
                                                               Demand data, (b) Netdispersed data
                                                               submittal requirements shall ensure that
MOD-016-1.1                                     R1.1.          consistent data is supplied for Reliability      LOWER             PA, PC, RRO
                                                               Standards TPL-005, TPL-006, MOD-010,
                                                               MOD-011, MOD-012, MOD-013, MOD-014,
                                                               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.

                                                               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-Serving
                                                               The Planning Authority shall make this
MOD-016-1.1                                     R3.1.          distribution within 30 calendar days of          LOWER                PA, PC
                                                               approval.


                                                                                                                                                                                                                                                                Page 77 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Load-Serving Entity, Planning                                                                                       Annual (A)
                                                               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 Load
MOD-017-0.1                                     R1.2.          in gigawatthours (GWh) for the prior year.       MEDIUM          LSE, PA, PC, RP


                                                               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
                                                               Indicate whether dispersed basis) shall:
                                                               an aggregated orthe 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 treated                        LSE, PA, PC, RP,
MOD-018-0                                       R1.2.                                                           LOWER
                                                               in the forecasts of aggregated peak                                    TP
                                                               demands and Net Energy for Load.
                                                               Items (MOD-018-0_R 1.1) and (MOD-018-
                                                               0_R 1.2) shall be addressed as described                         LSE, PA, PC, RP,
MOD-018-0                                       R1.3.                                                           LOWER
                                                               in the reporting procedures developed                                  TP
                                                               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 NERC, the Regional
                                                                                                                                                                                                                                                                Page 78 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The Load-Serving Entity, Planning                                                                                       Annual (A)
                                                               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 each
MOD-020-0                         R1.                          make known its amount of interruptible           LOWER              LSE, RP, TP
                                                               demands and Direct Control Load
                                                               Management (DCLM) to Transmission
                                                               The Load-Serving Entity, Transmission
                                                               Planner, and Resource Planner’s
MOD-021-0.1                       R1.                          forecasts shall each clearly document            LOWER              LSE, RP, TP
                                                               how the Demand and energy effects of
                                                               The programs (such as Transmission
                                                               DSMLoad-Serving Entity,conservation,
                                                               Planner, and Resource Planner shall each
MOD-021-0.1                       R2.                          include information detailing how                LOWER              LSE, RP, TP
                                                               Demand-Side Management measures are
                                                               addressed in the forecasts of its Peak
                                                               The Load-Serving Entity, Transmission
                                                               Planner, and Resource Planner shall each
MOD-021-0.1                       R3.                          make documentation on the treatment of           LOWER              LSE, RP, TP
                                                               its DSM programs available to NERC on
                                                               request (within 30 calendar days).
                                                               Each Transmission Service Provider shall
MOD-028-1 Effective                                            include in its Available Transfer
                    R1.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Capability Implementation Document
                                                               (ATCID), at a minimum, the following
                                                               information relative to how the selected
                                                               Information describingits methodology
MOD-028-1 Effective                                            methodology has been implemented, in
                                                R1.1.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       such detail that, given the same
                                                               information used by the Transmission
                                                               A description resultsmannerTTC
                                                               Operator, the of the of the in which the
MOD-028-1 Effective                                            Transmission Operator will account for
                                                R1.2.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       Interchange Schedules in the calculation
                                                               of TTC.

MOD-028-1 Effective                                            Any contractual obligations for allocation
                                                R1.3.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       of TTC.


                                                               A description of the manner in which
MOD-028-1 Effective
                                                R1.4.          Contingencies are identified for use in          Pending                TSP                  A                                                               S
4/1/2011
                                                               the TTC process.


                                                                                                                                                                                                                                                                Page 79 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The following information on how source                                                                                 Annual (A)
MOD-028-1 Effective                                            and sink for transmission service is
                                                R1.5.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       accounted for in ATC calculations
                                                               including:
                                                               Define if the source used for Available
MOD-028-1 Effective                                            Transfer Capability (ATC)
                                                R1.5.1.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       calculations is obtained from the source
                                                               field or the Point of Receipt
                                                               (POR) if the sink transmission
                                                               Define field of the used for ATC
MOD-028-1 Effective                                            calculations is obtained from the sink
                                                R1.5.2.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       field or the Point of Delivery (POD) field
                                                               of the transmission
                                                               reservation
MOD-028-1 Effective                                            The source/sink or POR/POD
                                                R1.5.3.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       identification and mapping to the model

                                                               If the Transmission Service Provider’s
MOD-028-1 Effective                                            ATC calculation process
                                                R1.5.4.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       involves a grouping of generation, the
                                                               ATCID must identify how
                                                               When calculating TTC for ATC the group.
                                                               these generators participate in Paths, the
MOD-028-1 Effective                                            Transmission Operator shall use a
                    R2.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       Transmission model that contains all of
                                                               the following:
                                                               Modeling data and topology of its
MOD-028-1 Effective                                            Reliability Coordinator’s area of
                                                R2.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       responsibility. Equivalent representation
                                                               of radial lines and facilities 161 kV or
                                                               below is data and
                                                               Modelingallowed. topology (or
MOD-028-1 Effective                                            equivalent representation) for
                                                R2.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       immediately adjacent and beyond
                                                               Reliability Coordination areas.

                                                               Facility Ratings specified by the
MOD-028-1 Effective
                                                R2.3.          Generator Owners and Transmission                Pending                TOP                  A                                                               S
4/1/2011
                                                               Owners.

                                                               When calculating TTCs for ATC Paths,
MOD-028-1 Effective                                            the Transmission Operator shall include
                    R3.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       the following data for the Transmission
                                                               Service Provider’s area. The
                                                               Transmission Operator shall also include
                                                                                                                                                                                                                                                                Page 80 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               For on-peak and off-peak intra-day and                                                                                  Annual (A)
MOD-028-1 Effective                                            next-day TTCs, use the following (as well
                                                R3.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       as any other values and additional
                                                               parameters as specified in the ATCID):
                                                               Expected generation and Transmission
MOD-028-1 Effective                                            outages, additions, and
                                                R3.1.1.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       retirements, included as specified in the
                                                               ATCID.

MOD-028-1 Effective                                            Load forecast for the applicable period
                                                R3.1.2.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       being calculated.

                                                               Unit commitment and dispatch order, to
MOD-028-1 Effective                                            include all designated
                                                R3.1.3.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       network resources and other resources
                                                               that are committed or have the
                                                               legal obligation to run, (within or out of
                                                               For days two through 31 TTCs and for
MOD-028-1 Effective                                            months two through 13 TTCs, use the
                                                R3.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       following (as well as any other values
                                                               and internal parameters as specified in
                                                               the ATCID):
                                                               Expected generation and Transmission
MOD-028-1 Effective                                            outages, additions, and
                                                R3.2.1.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       Retirements, included as specified in the
                                                               ATCID.
                                                               Daily load forecast for the days two
MOD-028-1 Effective                                            through 31 TTCs being
                                                R3.2.2.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       calculated and monthly forecast for
                                                               months two through 13 months
                                                               TTCs being calculated.
                                                               Unit commitment and dispatch order, to
MOD-028-1 Effective                                            include all designated
                                                R3.2.3.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       network resources and other resources
                                                               that are committed or have the
                                                               legal obligation to run, (within or out of
                                                               When calculating TTCs for ATC Paths,
MOD-028-1 Effective
                    R4.                                        the Transmission Operator shall meet all         Pending                TOP                  A                                                               S
4/1/2011
                                                               of the following conditions:


MOD-028-1 Effective                                            Use all Contingencies meeting the
                                                R4.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       criteria described in the ATCID.



                                                                                                                                                                                                                                                                Page 81 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)
MOD-028-1 Effective                                            Respect any contractual allocations of
                                                R4.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       TTC.

                                                               Include, for each time period, the Firm
MOD-028-1 Effective                                            Transmission Service expected to be
                                                R4.3.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       scheduled as specified in the ATCID
                                                               (filtered to reduce or eliminate duplicate
                                                               impacts from transactions using
                                                               Each Transmission Operator shall
MOD-028-1 Effective
                    R5.                                        establish TTC for each ATC Path as               Pending                TOP                  A                                                               S
4/1/2011
                                                               defined below:

                                                               At least once within the seven calendar
MOD-028-1 Effective                                            days prior to the specified period for
                                                R5.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       TTCs used in hourly and daily ATC
                                                               calculations.

MOD-028-1 Effective                                            At least once per calendar month for
                                                R5.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       TTCs used in monthly ATC calculations.

                                                               Within 24 hours of the unexpected
MOD-028-1 Effective                                            outage of a 500 kV or higher
                                                R5.3.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       transmission Facility or a transformer
                                                               with a low-side voltage of 200 kV or
                                                               higher for TTCs in effect during the
                                                               Each Transmission Operator shall
MOD-028-1 Effective
                    R6.                                        establish TTC for each ATC Path using            Pending                TOP                  A                                                               S
4/1/2011
                                                               the following process:

                                                               Determine the incremental Transfer
MOD-028-1 Effective                                            Capability for each ATC Path by
                                                R6.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       increasing generation and/or decreasing
                                                               load within the source Balancing
                                                               Authority area and decreasing generation
                                                               If the limit in step R6.1 can not be
MOD-028-1 Effective                                            reached by adjusting any combination of
                                                R6.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       load or generation, then set the
                                                               incremental Transfer Capability by the
                                                               results of the case where the maximum
                                                               Use (as the TTC) the lesser of:
MOD-028-1 Effective                                            - The sum of the incremental Transfer
                                                R6.3.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       Capability and the impacts of Firm
                                                               Transmission Services, as specified in
                                                               the Transmission Service
                                                                                                                                                                                                                                                                Page 82 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               For ATC Paths whose capacity uses                                                                                       Annual (A)
MOD-028-1 Effective                                            jointly-owned or allocated Facilities, limit
                                                R6.4.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       TTC for each Transmission Service
                                                               Provider so the TTC does not exceed
                                                               each Transmission Service Provider’s
                                                               The Transmission Operator shall provide
MOD-028-1 Effective                                            the Transmission Service Provider of that
                    R7.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       ATC Path with the most current value for
                                                               TTC for that ATC Path no more than:

                                                               One calendar day after its determination
MOD-028-1 Effective
                                                R7.1.          for TTCs used in hourly and daily ATC            Pending                TOP                  A                                                               S
4/1/2011
                                                               calculations.

                                                               Seven calendar days after its
MOD-028-1 Effective
                                                R7.2.          determination for TTCs used in monthly           Pending                TOP                  A                                                               S
4/1/2011
                                                               ATC calculations.

                                                               When calculating Existing Transmission
MOD-028-1 Effective                                            Commitments (ETCs) for firm
                    R8.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       commitments (ETCF) for all time periods
                                                               for an ATC Path the Transmission
                                                               When calculating ETC for the following
                                                               Service Provider shall usenon-firm
MOD-028-1 Effective                                            commitments (ETCNF) for all time
                    R9.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       periods for an ATC Path the
                                                               Transmission Service Provider shall use
                                                               the following algorithm:
                                                               When calculating firm ATC for an ATC
MOD-028-1 Effective                                            Path for a specified period, the
                    R10.                                                                                        Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider shall
                                                               utilize the following algorithm:
                                                               When = TTC – ETCF – CBMATC for + ATC
                                                               ATCF calculating non-firm – TRM a
MOD-028-1 Effective                                            Path for a specified period, the
                    R11.                                                                                        Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider shall use
                                                               the following algorithm:
                                                               When calculating TTCs for ATC CBMS
                                                               ATCNF = TTC – ETCF - ETCNF –Paths, –
MOD-029-1 Effective                                            the Transmission Operator shall use a
                    R1.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       Transmission model which satisfies the
                                                               following requirements:
                                                               The model utilizes data and assumptions
MOD-029-1 Effective                                            consistent with the time period being
                                                R1.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       studied and that meets the following
                                                               criteria:


                                                                                                                                                                                                                                                                Page 83 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                        RC - Reliability Coordinator

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,
                                                                TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                               TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                    Supporting                                                                                                                         Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                     Requirement               Text of Requirement                                                                                       Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                    Number                                                                                                                           Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)
MOD-029-1 Effective
                                                R1.1.1.         Includes at least:                              Pending                TOP                  A                                                               S
4/1/2011


                                                                The Transmission Operator area.
MOD-029-1 Effective
                                                R1.1.1.1.       Equivalent representation of radial lines       Pending                TOP                  A                                                               S
4/1/2011
                                                                and facilities 161kV or below is allowed.

                                                                All Transmission Operator areas
MOD-029-1 Effective                                             contiguous with its own Transmission
                                                R1.1.1.2.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        Operator area. (Equivalent representation
                                                                is allowed.)
                                                                Any other Transmission Operator area
MOD-029-1 Effective                                             linked to the Transmission Operator’s
                                                R1.1.1.3.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        area by joint operating agreement.
                                                                (Equivalent representation is allowed.

                                                                Models all system Elements as in-service
MOD-029-1 Effective
                                                R1.1.2.         for the assumed initial                         Pending                TOP                  A                                                               S
4/1/2011
                                                                conditions.

                                                                Models all generation (may be either a
MOD-029-1 Effective                                             single generator or multiple
                                                R1.1.3.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        generators) that is greater than 20 MVA at
                                                                the point of interconnection in the
                                                                studied area.
                                                                Models phase shifters in non-regulating
MOD-029-1 Effective                                             mode, unless otherwise
                                                R1.1.4.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        specified in the Available Transfer
                                                                Capability Implementation
                                                                Document (ATCID).
MOD-029-1 Effective                                             Uses Load forecast by Balancing
                                                R1.1.5.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        Authority.


MOD-029-1 Effective                                             Uses Transmission Facility additions and
                                                R1.1.6.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        retirements.


MOD-029-1 Effective                                             Uses Generation Facility additions and
                                                R1.1.7.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        retirements.



                                                                                                                                                                                                                                                                Page 84 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Uses Special Protection System (SPS)                                                                                    Annual (A)
MOD-029-1 Effective                                            models where currently
                                                R1.1.8.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       existing or projected for implementation
                                                               within the studied time
                                                               horizon.series compensation for each line
                                                               Models
MOD-029-1 Effective                                            at the expected operating
                                                R1.1.9.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       level unless specified otherwise in the
                                                               ATCID.

                                                               Includes any other modeling
MOD-029-1 Effective
                                                R1.1.10.       requirements or criteria specified in            Pending                TOP                  A                                                               S
4/1/2011
                                                               the ATCID.

                                                               Uses Facility Ratings as provided by the
MOD-029-1 Effective
                                                R1.2.          Transmission Owner and Generator                 Pending                TOP                  A                                                               S
4/1/2011
                                                               Owner


MOD-029-1 Effective                                            The Transmission Operator shall use the
                    R2.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       following process to determine TTC:

                                                               Except where otherwise specified within
MOD-029-1 Effective                                            MOD-029-1, adjust base case
                                                R2.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       generation and Load levels within the
                                                               updated power flow model to determine
                                                               When modeling normal or reliability
                                                               the TTC (maximum flowconditions, all
MOD-029-1 Effective                                            Transmission Elements will
                                                R2.1.1.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       be modeled at or below 100% of their
                                                               continuous rating.
                                                               When modeling contingencies the
MOD-029-1 Effective                                            system shall demonstrate transient,
                                                R2.1.2.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       dynamic and voltage stability, with no
                                                               Transmission Element modeled above its
                                                               Emergency Rating.
MOD-029-1 Effective
                                                R2.1.3.        Uncontrolled separation shall not occur.         Pending                TOP                  A                                                               S
4/1/2011

                                                               Where it is impossible to actually
MOD-029-1 Effective                                            simulate a reliability-limited flow in a
                                                R2.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       direction counter to prevailing flows (on
                                                               an alternating current Transmission line),
                                                               set the TTC for the non-prevailing
                                                                                                                                                                                                                                                                Page 85 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               For an ATC Path whose capacity is                                                                                       Annual (A)
MOD-029-1 Effective                                            limited by contract, set TTC on the ATC
                                                R2.3.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       Path at the lesser of the maximum
                                                               allowable contract capacity or the
                                                               reliability limit as determined by R2.1.
                                                               For an ATC Path whose TTC varies due
MOD-029-1 Effective                                            to simultaneous interaction with one or
                                                R2.4.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       more other paths, develop a nomogram
                                                               describing the interaction of the paths
                                                               The the resulting TTC undershall identify
                                                               and Transmission Operator specified
MOD-029-1 Effective                                            when the TTC for the ATC Path
                                                R2.5.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       being studied has an adverse impact on
                                                               the TTC value of any existing path. Do
                                                               Where modeling the flow of
                                                               this by multiple ownershipon the path
MOD-029-1 Effective                                            Transmission rights exists on an ATC
                                                R2.6.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       Path,
                                                               allocate TTC of that ATC Path in
                                                               accordance with the contractual
                                                               For ATC Paths whose path rating,
MOD-029-1 Effective                                            adjusted for seasonal variance, was
                                                R2.7.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       established, known and used in
                                                               operation since January 1, 1994, and no
                                                               action has been takenthathave the path
                                                               Create a study report to describes the
MOD-029-1 Effective                                            steps above that were undertaken (R2.1 –
                                                R2.8.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       R2.7), including the contingencies and
                                                               assumptions used, when determining the
                                                               TTC and the results Operator shall
                                                               Each Transmission of the study. Where
MOD-029-1 Effective                                            establish the TTC at the lesser of the
                    R3.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       value calculated in R2 or any System
                                                               Operating Limit (SOL) for that ATC Path.
                                                               Within seven calendar days of the
MOD-029-1 Effective                                            finalization of the study report, the
                    R4.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       Transmission Operator shall make
                                                               available to the Transmission Service
                                                               Provider of the ATC Path, the most
                                                               When calculating ETC for firm Existing
MOD-029-1 Effective                                            Transmission Commitments (ETCF) for a
                    R5.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       specified period for an ATC Path, the
                                                               Transmission Service Provider shall use
                                                               the algorithm below: for non-firm
                                                               When calculating ETC
MOD-029-1 Effective                                            Existing Transmission Commitments
                    R6.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       (ETCNF) for all time horizons for an ATC
                                                               Path the Transmission Service Provider
                                                               shall use the following algorithm:
                                                                                                                                                                                                                                                                Page 86 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               When calculating firm ATC for an ATC                                                                                    Annual (A)
MOD-029-1 Effective                                            Path for a specified period, the
                    R7.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider shall use
                                                               the following algorithm:
                                                               When = TTC – ETCF – CBMATC for +
                                                               ATCF calculating non-firm – TRM an
MOD-029-1 Effective                                            ATC Path for a specified period, the
                    R8.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider shall use
                                                               the following algorithm:
                                                               The Transmission Service Provider shall–
                                                               ATCNF = TTC – ETCF – ETCNF – CBMS
MOD-030-2 Effective                                            include in its ―Available Transfer
                    R1.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Capability Implementation Document‖
                                                               (ATCID):
                                                               The criteria used by the Transmission
MOD-030-2 Effective                                            Operator to identify sets of Transmission
                                                R1.1.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       Facilities as Flowgates that are to be
                                                               considered in Available Flowgate
                                                               Capability (AFC) calculations.how source
                                                               The following information on
MOD-030-2 Effective                                            and sink for transmission service is
                                                R1.2.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       accounted for in AFC calculations
                                                               including:
                                                               Define if the source used for AFC
MOD-030-2 Effective                                            calculations is obtained from the source
                                                R1.2.1.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       field or the Point of Receipt (POR) field of
                                                               the transmission reservation.
                                                               Define if the sink used for AFC
MOD-030-2 Effective                                            calculations is obtained from the sink
                                                R1.2.2.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       field or the Point of Delivery (POD) field
                                                               of the transmission reservation.

MOD-030-2 Effective                                            The source/sink or POR/POD
                                                R1.2.3.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       identification and mapping to the model.

                                                               If the Transmission Service Provider’s
MOD-030-2 Effective                                            AFC calculation process involves a
                                                R1.2.4.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       grouping of generators, the ATCID must
                                                               identify how these generators
                                                               participate in the group.
MOD-030-2 Effective                                            The Transmission Operator shall perform
                    R2.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                       the following: [Violation Risk Factor:



                                                                                                                                                                                                                                                                Page 87 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                        RC - Reliability Coordinator

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,
                                                                TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                               TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                    Supporting                                                                                                                         Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                     Requirement               Text of Requirement                                                                                       Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                    Number                                                                                                                           Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                                                                                                                                       Annual (A)
                                                                Include Flowgates used in the AFC
MOD-030-2 Effective
                                                R2.1.           process based, at a minimum, on the             Pending                TOP                  A                                                               S
4/1/2011
                                                                following criteria:

                                                                Results of a first Contingency transfer
MOD-030-2 Effective                                             analysis for ATC Paths internal to a
                                                R2.1.1.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        Transmission Operator’s system up to
                                                                the path capability such that at a
                                                                minimum the first three limiting Elements
                                                                Use first Contingency criteria consistent
MOD-030-2 Effective                                             with those first Contingency criteria used
                                                R2.1.1.1.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        in planning of operations for the
                                                                applicable time periods, including use of
                                                                Special Protection Systems.
                                                                Only the most limiting element in a series
MOD-030-2 Effective
                                                R2.1.1.2.       configuration needs to                          Pending                TOP                  A                                                               S
4/1/2011
                                                                be included as a Flowgate.

                                                                If any limiting element is kept within its
MOD-030-2 Effective                                             limit for its associated worst
                                                R2.1.1.3.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        Contingency by operating within the
                                                                limits of another Flowgate, then no new
                                                                Flowgate needs to be established for
                                                                Results of a first Contingency transfer
MOD-030-2 Effective                                             analysis from all adjacent Balancing
                                                R2.1.2.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        Authority source and sink (as defined in
                                                                the ATCID) combinations up to the path
                                                                capability such that at a minimum the
                                                                Use first Contingency criteria consistent
MOD-030-2 Effective                                             with those first Contingency criteria used
                                                R2.1.2.1.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        in planning of operations for the
                                                                applicable time periods, including use of
                                                                Special Protection Systems.
                                                                Only the most limiting element in a series
MOD-030-2 Effective
                                                R2.1.2.2.       configuration needs to be included as a         Pending                TOP                  A                                                               S
4/1/2011
                                                                Flowgate.

                                                                If any limiting element is kept within its
MOD-030-2 Effective                                             limit for its associated worst
                                                R2.1.2.3.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        Contingency by operating within the
                                                                limits of another Flowgate, then no new
                                                                Flowgate needs to be established for
                                                                Any limiting Element/Contingency
MOD-030-2 Effective                                             combination at least within its
                                                R2.1.3.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        Reliability Coordinator’s Area that has
                                                                been subjected to an
                                                                Interconnection-wide congestion
                                                                                                                                                                                                                                                                Page 88 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                        RC - Reliability Coordinator

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,
                                                                TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                               TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                    Supporting                                                                                                                         Submittals :                        (SC)
                                  Requirement                                                                 Violation Risk        Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                     Requirement               Text of Requirement                                                                                       Monthly (M)                    Regional Entity
                                    Number                                                                        Factor            Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                    Number                                                                                                                           Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                                Any limiting Element/Contingency                                                                                       Annual (A)
MOD-030-2 Effective                                             combination within the Transmission
                                                R2.1.4.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        model that has been requested to be
                                                                included by any other Transmission
                                                                Service Provider of the limiting
                                                                The coordinationusing the Flowgate
MOD-030-2 Effective                                             Element/Contingency combination is not
                                                R2.1.4.1.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        already addressed through a different
                                                                methodology, and                  - Any
                                                                generator within the Transmission
                                                                The limiting Element/Contingency
MOD-030-2 Effective                                             combination is included in the requesting
                                                R2.1.4.2.                                                       Pending                TOP                  A                                                               S
4/1/2011                                                        Transmission Service Provider’s
                                                                methodology.
                                                                At a minimum, establish a list of
MOD-030-2 Effective                                             Flowgates by creating, modifying, or
                                                R2.2.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                        deleting Flowgate definitions at least
                                                                once per calendar year.
                                                                At a minimum, establish a list of
MOD-030-2 Effective                                             Flowgates by creating, modifying, or
                                                R2.3.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                        deleting Flowgates that have been
                                                                requested as part of R2.1.4 within thirty
                                                                Establish the from the request.
                                                                calendar daysTFC of each of the defined
MOD-030-2 Effective                                             Flowgates as equal to:               - For
                                                R2.4.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                        thermal limits, the System Operating
                                                                Limit (SOL) of the Flowgate.
                                                                - For voltage or stability limits, the flow
MOD-030-2 Effective                                             At a minimum, establish the TFC once
                                                R2.5.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                        per calendar year.

                                                                If notified of a change in the Rating by
MOD-030-2 Effective                                             the Transmission Owner that would
                                                R2.5.1.                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        affect the TFC of a flowgate used in the
                                                                AFC process, the TFC should be updated
                                                                within seven calendar days of the
                                                                Provide the Transmission Service
MOD-030-2 Effective
                                                R2.6.           Provider with the TFCs within seven             Pending                TOP                  A                                                               S
4/1/2011
                                                                calendar days of their establishment.

                                                                The Transmission Operator shall make
MOD-030-2 Effective                                             available to the Transmission Service
                    R3.                                                                                         Pending                TOP                  A                                                               S
4/1/2011                                                        Provider a Transmission model to
                                                                determine Available Flowgate Capability
                                                                (AFC) that meets the following criteria:
                                                                                                                                                                                                                                                                Page 89 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               Contains generation Facility Ratings,                                                                                   Annual (A)
MOD-030-2 Effective                                            such as generation maximum and
                                                R3.1.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       minimum output levels, specified by the
                                                               Generator Owners of the Facilities within
                                                               the model.
                                                               Updated at least once per day for AFC
MOD-030-2 Effective
                                                R3.2.          calculations for intra-day, next day, and        Pending                TOP                  A                                                               S
4/1/2011
                                                               days two through 30.


MOD-030-2 Effective                                            Updated at least once per month for AFC
                                                R3.3.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       calculations for months two through 13.

                                                               Contains modeling data and system
MOD-030-2 Effective                                            topology for the Facilities within its
                                                R3.4.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       Reliability mCoordinator’s Area.
                                                               Equivalent representation of radial lines
                                                               Contains modeling or below is allowed.
                                                               and Facilities161kVdata and system
MOD-030-2 Effective                                            topology (or equivalent representation)
                                                R3.5.                                                           Pending                TOP                  A                                                               S
4/1/2011                                                       for immediately adjacent and beyond
                                                               Reliability Coordination Areas.
                                                               When calculating AFCs, the
MOD-030-2 Effective                                            Transmission Service Provider shall
                    R4.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       represent the impact of Transmission
                                                               Service as follows:
                                                               - If the source, as specified in the ATCID,
MOD-030-2 Effective                                            When calculating AFCs, the
                    R5.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider shall:


MOD-030-2 Effective                                            Use the models provided by the
                                                R5.1.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Operator.

                                                               Include in the transmission model
MOD-030-2 Effective                                            expected generation and Transmission
                                                R5.2.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       outages, additions, and retirements
                                                               within the scope of the model as
                                                               specified in the ATCID and in effect
                                                               For external Flowgates, identified in
MOD-030-2 Effective                                            R2.1.4, use the AFC provided by the
                                                R5.3.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider that
                                                               calculates AFC for that Flowgate.


                                                                                                                                                                                                                                                                Page 90 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               When calculating the impact of ETC for                                                                                  Annual (A)
MOD-030-2 Effective                                            firm commitments (ETCFi) for all time
                    R6.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       periods for a Flowgate, the Transmission
                                                               Service Provider shall sum the following:
                                                               The impact of firm Network Integration
MOD-030-2 Effective                                            Transmission Service, including the
                                                R6.1.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       impacts of generation to load, in the
                                                               model referenced in R5.2 for the
                                                               Transmission Service Provider’s area,
                                                               Load forecast for the time period being
MOD-030-2 Effective
                                                R6.1.1.        calculated, including Native Load                Pending                TSP                  A                                                               S
4/1/2011
                                                               and Network Service load

                                                               Unit commitment and Dispatch Order, to
MOD-030-2 Effective                                            include all designated network
                                                R6.1.2.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       resources and other resources that are
                                                               committed or have the legal obligation to
                                                               The impact of any the Network
                                                               run as specified infirm Transmission
MOD-030-2 Effective                                            Integration Transmission Service,
                                                R6.2.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       including the
                                                               impacts of generation to load in the
                                                               model referenced in R5.2 and has a
                                                               Load forecast for the time period being
MOD-030-2 Effective
                                                R6.2.1.        calculated, including Native Load                Pending                TSP                  A                                                               S
4/1/2011
                                                               and Network Service load

                                                               Unit commitment and Dispatch Order, to
MOD-030-2 Effective                                            include all designated network resources
                                                R6.2.2.                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       and other resources that are committed
                                                               or have the legal obligation to run as
                                                               specified in the Transmission Service
                                                               The impact of all confirmed firm Point-to-
MOD-030-2 Effective                                            Point Transmission Service expected to
                                                R6.3.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       be scheduled, including roll-over rights
                                                               for Firm Transmission Service contracts,
                                                               The impact of any confirmed Provider’s
                                                               for the Transmission Service firm Point-to-
MOD-030-2 Effective                                            Point Transmission Service expected to
                                                R6.4.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       be scheduled, filtered to reduce or
                                                               eliminate duplicate impacts from
                                                               The impact of any Transmission firm
                                                               transactions usingGrandfathered service
MOD-030-2 Effective                                            obligations expected to be scheduled or
                                                R6.5.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       expected to flow for the Transmission
                                                               Service Provider’s area.


                                                                                                                                                                                                                                                                Page 91 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               The impact of any Grandfathered firm                                                                                    Annual (A)
MOD-030-2 Effective                                            obligations expected to be scheduled or
                                                R6.6.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       expected to flow that have a distribution
                                                               factor equal to or greater than the
                                                               percentage3 used to curtail in the
                                                               The impact of other firm services
MOD-030-2 Effective
                                                R6.7.          determined by the Transmission Service           Pending                TSP                  A                                                               S
4/1/2011
                                                               Provider.

                                                               When calculating the impact of ETC for
MOD-030-2 Effective                                            non-firm commitments (ETCNFi) for all
                    R7.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       time periods for a Flowgate the
                                                               Transmission Service Provider shall sum:
                                                               The impact of all confirmed non-firm
MOD-030-2 Effective                                            Point-to-Point Transmission Service
                                                R7.1.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       expected to be scheduled for the
                                                               Transmission Service Provider’s area.
                                                               The impact of any confirmed non-firm
MOD-030-2 Effective                                            Point-to-Point Transmission Service
                                                R7.2.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       expected to be scheduled, filtered to
                                                               reduce or eliminate duplicate impacts
                                                               The transactions Grandfathered non-
                                                               fromimpact of any using Transmission
MOD-030-2 Effective                                            firm obligations expected to be
                                                R7.3.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       scheduled or expected to flow for the
                                                               Transmission Service Provider’s area.
                                                               The impact of any Grandfathered non-
MOD-030-2 Effective                                            firm obligations expected to be
                                                R7.4.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       scheduled or expected to flow that have
                                                               a distribution factor equal to or greater
                                                               than the
                                                               The impact of non-firm Network
MOD-030-2 Effective                                            Integration Transmission Service serving
                                                R7.5.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       Load
                                                               within the Transmission Service
                                                               Provider’s area (i.e., secondary service),
                                                               The impact of any non-firm Network
MOD-030-2 Effective                                            Integration Transmission Service
                                                R7.6.                                                           Pending                TSP                  A                                                               S
4/1/2011                                                       (secondary
                                                               service) with a distribution factor equal
                                                               to or greater than the percentage6 used
                                                               The impact of other non-firm services
MOD-030-2 Effective
                                                R7.7.          determined by the Transmission Service           Pending                TSP                  A                                                               S
4/1/2011
                                                               Provider.


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                                                                                                                          2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                               When calculating firm AFC for a Flowgate                                                                                Annual (A)
MOD-030-2 Effective                                            for a specified period, the Transmission
                    R8.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Service Provider shall use the following
                                                               algorithm (subject to allocation
                                                               processes described in the ATCID):
                                                               When calculating non-firm AFC for a
MOD-030-2 Effective                                            Flowgate for a specified period, the
                    R9.                                                                                         Pending                TSP                  A                                                               S
4/1/2011                                                       Transmission Service Provider shall use
                                                               the following algorithm (subject to
                                                               allocation processes described in the
                                                               Each Transmission Service Provider shall
MOD-030-2 Effective                                            recalculate AFC, utilizing the updated
                    R10.                                                                                        Pending                TSP                  A                                                               S
4/1/2011                                                       models described in R3.2, R3.3, and R5,
                                                               at a minimum on the following frequency,
                                                               unless none of the calculated values
                                                               For hourly AFC, once per hour.
MOD-030-2 Effective                                            Transmission Service Providers are
                                                R10.1.                                                          Pending                TSP                  A                                                               S
4/1/2011                                                       allowed up to
                                                               175 hours per calendar year during which
                                                               calculations are not required to be
MOD-030-2 Effective
                                                R10.2.         For daily AFC, once per day.                     Pending                TSP                  A                                                               S
4/1/2011


MOD-030-2 Effective
                                                R10.3.         For monthly AFC, once per week                   Pending                TSP                  A                                                               S
4/1/2011

                                                               When converting Flowgate AFCs to ATCs
MOD-030-2 Effective                                            for ATC Paths, the Transmission Service
                    R11.                                                                                        Pending                TSP                  A                                                               S
4/1/2011                                                       Provider shall convert those values
                                                               based on the following algorithm:
                                                               ATC = min(P)

                                                               NUCLEAR


                                  R1.                          The Nuclear Plant Generator Operator             LOWER
NUC-001-2 Effective                                            shall provide the proposed NPIRs in                              Nuclear GO and
4/1/2010                                                       writing to the applicable Transmission                            Nuclear GOP
                                                                                                                                                            A                                                              SC                                                    x
                                                               Entities and shall verify receipt
                                  R2.                          The Nuclear Plant Generator Operator             MEDIUM          Nuclear GOP and
NUC-001-2 Effective                                            and the applicable Transmission Entities                           Transmission
4/1/2010                                                       shall have in effect one or more                                  Entities that can
                                                                                                                                                            A                                                              SC                                                    x
                                                               Agreements[FN1] that include mutually                            include: BA, DP,
                                                               agreed to NPIRs and document how the                            GO, GOP, LSE, PA,
                                                                                                                                                                                                                                                                Page 93 of 134
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                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                  R3.                          Per the Agreements developed in                  MEDIUM            Transmission                                         Annual (A)
NUC-001-2 Effective                                            accordance with this standard, the                                Entities that can
4/1/2010                                                       applicable Transmission Entities shall                           include: BA, DP,            A                                                              SC                                                    x
                                                               incorporate the NPIRs into their planning                       GO, GOP, LSE, PA,
                                  R4.                          analyses of the electric system and
                                                               Per the Agreements developed in shall              HIGH         PC, RC, TO, TOP,
                                                                                                                                  Transmission
NUC-001-2 Effective                                            accordance with this standard, the                                Entities that can
4/1/2010                                                       applicable Transmission Entities shall:                          include: BA, DP,            A                                                              SC                                                    x
                                                                                                                               GO, GOP, LSE, PA,
                                                R4.1.          Incorporate the NPIRs into their operating                      PC, RC, TO, TOP,
                                                                                                                                  Transmission
NUC-001-2 Effective                                            analyses of the electric system.              Part of Main        Entities that can
4/1/2010                                                                                                     Requirement        include: BA, DP,            A                                                              SC                                                    x
                                                                                                                               GO, GOP, LSE, PA,
                                                R4.2.          Operate the electric system to meet the                         PC, RC, TO, TOP,
                                                                                                                                  Transmission
NUC-001-2 Effective                                            NPIRs.                                        Part of Main        Entities that can
4/1/2010                                                                                                     Requirement        include: BA, DP,            A                                                              SC                                                    x
                                                                                                                               GO, GOP, LSE, PA,
                                                R4.3.          Inform the Nuclear Plant Generator                              PC, RC, TO, TOP,
                                                                                                                                  Transmission
NUC-001-2 Effective                                            Operator when the ability to assess the       Part of Main        Entities that can
4/1/2010                                                       operation of the electric system affecting    Requirement        include: BA, DP,            A                                                              SC                                                    x
                                                               NPIRs is lost.                                                  GO, GOP, LSE, PA,
                                  R5.                          The Nuclear Plant Generator Operator               HIGH         PC, RC, TO, TOP,
NUC-001-2 Effective                                            shall operate per the Agreements                                 Nuclear GO and
4/1/2010                                                       developed in accordance with this                                 Nuclear GOP
                                                                                                                                                            A                                                              SC                                                    x
                                                               standard.
                                  R6.                          Per the Agreements developed in                  MEDIUM          Nuclear GOP and
NUC-001-2 Effective                                            accordance with this standard, the                                 Transmission
4/1/2010                                                       applicable Transmission Entities and the                          Entities that can          A                                                              SC                                                    x
                                                               Nuclear Plant Generator Operator shall                           include: BA, DP,
                                  R7.                          Per the Agreements and maintenance
                                                               coordinate outages developed in                    HIGH         GO, GOP, LSE, PA,
NUC-001-2 Effective                                            accordance with this standard, the                               Nuclear GO and
4/1/2010                                                       Nuclear Plant Generator Operator shall                            Nuclear GOP
                                                                                                                                                            A                                                              SC                                                    x
                                                               inform the applicable Transmission
                                  R8.                          Per the of actual or developed in
                                                               Entities Agreements proposed changes to            HIGH            Transmission
NUC-001-2 Effective                                            accordance with this standard, the                                Entities that can
4/1/2010                                                       applicable Transmission Entities shall                           include: BA, DP,            A                                                              SC                                                    x
                                                               inform the Nuclear Plant Generator                              GO, GOP, LSE, PA,
                                  R9.                          Operator of actual Generator Operator
                                                               The Nuclear Plant or proposed changes            MEDIUM         PC, RC, TO, TOP,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            and the applicable Transmission Entities                           Transmission
4/1/2010                                                       shall include, as a minimum, the                                  Entities that can          A                                                              SC                                                    x
                                                               following elements within the                                    include: BA, DP,
                                                               agreement(s) identified in R2:                                  GO, GOP, LSE, PA,
                                                                                                                                                                                                                                                                Page 94 of 134
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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                R9.1.          Administrative elements:                                         Nuclear GOP and                                        Annual (A)
NUC-001-2 Effective                                                                                          Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.1.1.        Definitions of key terms used in the                            GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            agreement.                                    Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.1.2.        Names of the responsible entities,                              GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            organizational relationships, and             Part of Main         Transmission
4/1/2010                                                       responsibilities related to the NPIRs.        Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.1.3.        A requirement to review the agreement(s)                        GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            at least every three years.                   Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.1.4.        A dispute resolution mechanism.                                 GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                                                                          Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.2.          Technical requirements and analysis:                            GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                                                                          Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.2.1.        Identification of parameters, limits,                           GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            configurations, and operating scenarios       Part of Main         Transmission
4/1/2010                                                       included in the NPIRs and, as applicable,     Requirement         Entities that can          A                                                              SC                                                    x
                                                               procedures for providing any specific                            include: BA, DP,
                                                R9.2.2.        data not provided within components,
                                                               Identification of facilities,the agreement.                     GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            and configuration restrictions that are       Part of Main         Transmission
4/1/2010                                                       essential for meeting the NPIRs.              Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.2.3.        Types of planning and operational                               GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            analyses performed specifically to            Part of Main         Transmission
4/1/2010                                                       support the NPIRs, including the              Requirement         Entities that can          A                                                              SC                                                    x
                                                               frequency of studies and types of                                include: BA, DP,
                                                R9.3.          Contingencies and scenarios required.
                                                               Operations and maintenance                                      GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            coordination:                                 Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                                                                                               GO, GOP, LSE, PA,
                                                                                                                                                                                                                                                                Page 95 of 134
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                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009            2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual          Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program         Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits          Audits
                                                R9.3.1.        Designation of ownership of electrical                           Nuclear GOP and                                        Annual (A)
NUC-001-2 Effective                                            facilities at the interface between the       Part of Main         Transmission
4/1/2010                                                       electric system and the nuclear plant and     Requirement         Entities that can          A                                                              SC                                                    x
                                                               responsibilities for operational control                         include: BA, DP,
                                                R9.3.2.        coordination of any maintenance
                                                               Identification and maintenance of these                         GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            requirements for equipment not owned or       Part of Main         Transmission
4/1/2010                                                       controlled by the Nuclear Plant Generator     Requirement         Entities that can          A                                                              SC                                                    x
                                                               Operator that are necessary to meet the                          include: BA, DP,
                                                R9.3.3.        NPIRs.
                                                               Coordination of testing, calibration and                        GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            maintenance of on-site and off-site power     Part of Main         Transmission
4/1/2010                                                       supply systems and related components.        Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.3.4.        Provisions to address mitigating actions                        GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            needed to avoid violating NPIRs and to        Part of Main         Transmission
4/1/2010                                                       address periods when responsible              Requirement         Entities that can          A                                                              SC                                                    x
                                                               Transmission Entity loses the ability to                         include: BA, DP,
                                                R9.3.5.        assess the capability of the electric
                                                               Provision for considering, within the                           GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            restoration process, the requirements         Part of Main         Transmission
4/1/2010                                                       and urgency of a nuclear plant that has       Requirement         Entities that can          A                                                              SC                                                    x
                                                               lost all off-site and on-site AC power.                          include: BA, DP,
                                                R9.3.6.        Coordination of physical and cyber                              GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            security protection of the Bulk Electric      Part of Main         Transmission
4/1/2010                                                       System at the nuclear plant interface to      Requirement         Entities that can          A                                                              SC                                                    x
                                                               ensure each asset is covered under at                            include: BA, DP,
                                                R9.3.7.        least one entity’s plan.
                                                               Coordination of the NPIRs with                                  GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            transmission system Special Protection        Part of Main         Transmission
4/1/2010                                                       Systems and underfrequency and                Requirement         Entities that can          A                                                              SC                                                    x
                                                               undervoltage load shedding programs.                             include: BA, DP,
                                                R9.4.          Communications and training:                                    GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                                                                          Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                    x
                                                                                                                                include: BA, DP,
                                                R9.4.1.        Provisions for communications between                           GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            the Nuclear Plant Generator Operator and      Part of Main         Transmission
4/1/2010                                                       Transmission Entities, including              Requirement         Entities that can          A                                                              SC                                                    x
                                                               communications protocols, notification                           include: BA, DP,
                                                R9.4.2.        time requirements, and definitions of off-
                                                               Provisions for coordination during an                           GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            normal or emergency event affecting the       Part of Main         Transmission
4/1/2010                                                       NPIRs, including the need to provide          Requirement         Entities that can          A                                                              SC                                                    x
                                                               timely information explaining the event,                         include: BA, DP,
                                                               an estimate of when the system will be                          GO, GOP, LSE, PA,
                                                                                                                                                                                                                                                                Page 96 of 134
            Requirements Detail
                                                                                                                                                                                                                                                                      5/1/2011
                                                                                                                         2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




         REGISTERED FUNCTION ABBREVIATIONS

BA - Balancing Authority                                       RC - Reliability Coordinator

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,
                                                               TP - Transmission Planner
Planning Coordinator

PSE - Purchasing-Selling Entities                              TSP - Transmission Service Provider



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.


                                                                                                                                                                         2011        Periodic Data                     Spot Check        2007      2008      2009             2010
    Reliability                                   Supporting                                                                                                                          Submittals :                        (SC)
                                  Requirement                                                                Violation Risk         Functions          Self-Cert.       Annual                          Exception                      Anniual    Annual    Annual           Annual
     Standard                                    Requirement               Text of Requirement                                                                                        Monthly (M)                    Regional Entity
                                    Number                                                                       Factor             Monitored          Annual (A)      Program                        Reporting (ER)                   Program   Program   Program          Program
 (FERC Approved)                                   Number                                                                                                                            Quarterly (Q)                    Specified (S)
                                                                                                                                                                       Audit (A)                                                        Audits    Audits    Audits           Audits
                                                R9.4.3.        Provisions for coordinating                                      Nuclear GOP and                                        Annual (A)
NUC-001-2 Effective                                            investigations of causes of unplanned         Part of Main         Transmission
4/1/2010                                                       events affecting the NPIRs and                Requirement         Entities that can          A                                                              SC                                                     x
                                                               developing solutions to minimize future                          include: BA, DP,
                                                R9.4.4.        risk of such events.
                                                               Provisions for supplying information                            GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            necessary to report to government             Part of Main         Transmission
4/1/2010                                                       agencies, as related to NPIRs.                Requirement         Entities that can          A                                                              SC                                                     x
                                                                                                                                include: BA, DP,
                                                R9.4.5.        Provisions for personnel training, as                           GO, GOP, LSE, PA,
                                                                                                                                Nuclear GOP and
NUC-001-2 Effective                                            related to NPIRs.                             Part of Main         Transmission
4/1/2010                                                                                                     Requirement         Entities that can          A                                                              SC                                                     x
                                                                                                                                include: BA, DP,
                                                                                                                               GO, GOP, LSE, PA,
                                                               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                A                                                                                                x                    x
                                                               responsibility and authority to implement
                                                               real-time actions to ensure the stable and
                                                               Each Transmission Operator and
PER-002-0                         R1.                          Balancing Authority shall be staffed with          HIGH               BA, TOP                A               A                                                            x         x         x                    x
                                                               adequately trained operating personnel.