Summary - NERC

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					                                                                            Number of Reliability Standards
Year                                                          2007                  2008                      2009      2010   2011

Compliance Audit                                               39                    60                        49        56     39

Self-Certification                                             39                    60                        52        60     53

Periodic Data Submittals                                       --                    --                        12        13     14

Exception Reporting                                            --                    --                        14        19     13

Spot Check                                                     0                     0                         13        19     1

Subject to Compliance Violation Investigation                  --                    --                        94        95    102

Subject to Self-Reporting                                      --                    --                        94        95    102

Subject to Complaint                                           --                    --                        94        95    102




                                                2011 CMEP Reliability Standards Summary


                 Reliability
                                                       Self-Certification   Annual Program Audit
                 Standards                                                                            Spot Check (SC)
                                                          Annual (A)                (X)
              (FERC Approved)
BAL-001-0.1a
BAL-002-0
BAL-003-0.1b
BAL-004-0
BAL-005-0.1b
BAL-006-1.1
CIP-001-1                                                      A                     X
CIP-002-3, Effective 10/1/2010                                 A                     X
CIP-003-3, Effective 10/1/2010                                 A                     X
CIP-004-3, Effective 10/1/2010                                 A                     X
CIP-005-3, Effective 10/1/2010                                 A                     X
CIP-006-3c, Effective 10/1/2010                                A                     X
CIP-007-3, Effective 10/1/2010                                 A                     X
CIP-008-3, Effective 10/1/2010                                 A                     X
CIP-009-3, Effective 10/1/2010                                 A                     X
COM-001-1.1                                                    A                     X
COM-002-2                                                      A                     X
EOP-001-0
EOP-002-2.1                                                    A                     X
EOP-003-1                                                      A                     X
EOP-004-1
EOP-005-1                                                      A                     X
EOP-006-1                                                      A
EOP-008-0                                                      A                     X
EOP-009-0
FAC-001-0                                                      A
FAC-002-0
FAC-003-1                                                      A                     X
FAC-008-1                                                      A                     X
FAC-009-1                                                      A                     X
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
IRO-002-1                                                      A
IRO-003-2                                                      A
IRO-004-1                                                      A                     X
IRO-005-2                                                   A                             X
IRO-006-4.1
IRO-014-1
IRO-015-1
IRO-016-1
MOD-001-1 Effective 4/1/2011                                A                             X
MOD-004-1 Effective 4/1/2011                                A                             X
MOD-006-0.1 Retired 3/31/2011
MOD-007-0 Retired 3/31/2011
MOD-008-1 Effective 4/1/2011                                A                             X
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
MOD-029-1 Effective 4/1/2011                                A
MOD-030-2 Effective 4/1/2011                                A
NUC-001-2 Effective 4/1/2010                                A                                                          SC
PER-001-0.1                                                 A
PER-002-0                                                   A                             X
PER-003-0                                                   A
PER-004-1                                                   A                             X
PRC-001-1                                                   A                             X
PRC-004-1                                                   A                             X
PRC-005-1                                                   A                             X
PRC-007-0
PRC-008-0                                                   A                             X
PRC-009-0
PRC-010-0
PRC-011-0                                                   A                             X
PRC-015-0
PRC-016-0.1
PRC-017-0                                                   A                             X
PRC-018-1
PRC-021-1
PRC-022-1
PRC-023-1 Effective 7/1/2010                                A                             X
TOP-001-1                                                   A
TOP-002-2a                                                  A                             X
TOP-003-0
TOP-004-2                                                   A                             X
TOP-005-1.1
TOP-006-1                                                   A
TOP-007-0
TOP-008-1
TPL-001-0.1                                                 A
TPL-002-0a                                                  A                             X
TPL-003-0a Effective 4/23/2010                              A                             X
TPL-004-0
VAR-001-1                                                   A                             X
VAR-002-1.1b                                                A                             X



Note: The Reliability Standards listed for the above monitoring methods does not necessarily imply all requirements are included in the 2011 Reliability Standard
Actively Monitored list. Refer to the "Requirements Detail Tab" for specifics concerning each Reliability Standard monitoring details.
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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


                                                              RESOURCE AND DEMAND BALANCING


                                                              Each Balancing Authority shall operate
                                                              such that, on a rolling 12-month basis, the
BAL-001-0.1a                  R1.                             average of the clock-minute averages of
                                                                                                                  MEDIUM                   BA                                            M                                                                            x                  x
                                                              the Balancing Authority’s Area Control
                                                              Error (ACE) divided by 10B (B is the clock-
                                                              Each Balancing Authority shall operate
                                                              such that its average ACE for at least 90%
BAL-001-0.1a                  R2.                             of clock-ten-minute periods (6 non-
                                                                                                                  MEDIUM                   BA                                            M                                                                            x                  x
                                                              overlapping periods per hour) during a
                                                              Each Balancing is within specific
                                                              calendar month Authorityaprovidinglimit,
                                                              Overlap Regulation Service shall evaluate
BAL-001-0.1a                  R3.                             Requirement R1 (i.e., Control
                                                                                                                  LOWER                    BA                                                                                                                         x                  x
                                                              Performance Standard 1 or CPS1) and
                                                              Requirement R2 (i.e., Control
                                                              Any Balancing Authority receiving
                                                              Overlap Regulation Service shall not have
BAL-001-0.1a                  R4.                             its control performance evaluated (i.e.
                                                                                                                  LOWER                    BA                                                                                                                         x                  x
                                                              from a control performance perspective,
                                                              the Balancing Authority has shifted all
                                                              Each Balancing Authority shall have
                                                              access to and/or operate Contingency
BAL-002-0                     R1.                             Reserve to respond to Disturbances.
                                                                                                                    HIGH               BA, RSG                                           Q                                                        x         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                  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              RRO, RSG                                           Q                                                        x         x         x                  x
                                                              Contingency Reserve policies, including:

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


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

                                                              The permissible mix of Operating Reserve
                                                              - Spinning and Operating Reserve -
BAL-002-0                                    R2.3.
                                                              Supplemental that may be included in
                                                                                                                  LOWER               RRO, RSG                                           Q                                                                            x                  x
                                                              Contingency Reserve.

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


                                                              The limitations, if any, upon the amount of
BAL-002-0                                    R2.5.
                                                              interruptible load that may be included.
                                                                                                                  LOWER               RRO, RSG                                           Q                                                                            x                  x

                                                              The same portion of resource capacity
                                                              (e.g., reserves from jointly owned
BAL-002-0                                    R2.6.            generation) shall not be counted more
                                                                                                                  MEDIUM              RRO, RSG                                           Q                                                                            x                  x
                                                              than once as Contingency Reserve by
                                                              multiple Balancing Authorities.



                                                                                                                                                                                                                                                                              Page 3 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008          2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual        Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program       Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits        Audits
                                                                                                                                                                                    Annual (A)
                                                              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                  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                  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 Disturbance
                                                                                                                  MEDIUM               BA, RSG                                           Q                                                                            x                  x
                                                              Recovery Period for 100% of Reportable
                                                              Disturbances. The Disturbance Recovery
                                                              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 Disturbance Recovery Period
                                                              The default prior to the Disturbance, the
                                                              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
                                                              Each Reserve Sharing on analysis
                                                              Interconnection based Group shall
                                                              comply with the DCS. A Reserve Sharing
BAL-002-0                     R5.                             Group shall be considered in a
                                                                                                                  LOWER                   RSG                                            Q                                                                            x                  x
                                                              Reportable Disturbance condition
                                                              The Reserve Sharing Grouphas
                                                              whenever a group member reviews
                                                              group ACE (or equivalent) and                       No VRF
BAL-002-0                                    R5.1.            demonstrates compliance to the DCS. To             Assigned
                                                                                                                                          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
                                                                                                                                          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                                                                                                     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                                                                                                     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                                       x                   x                  x
                                                              Operating Committee.




                                                                                                                                                                                                                                                                              Page 4 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008          2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual        Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program       Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits        Audits
                                                                                                                                                                                    Annual (A)
                                                              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                                                                                                     x                   x                  x
                                                              than, the Balancing Authority’s Frequency
                                                              The Balancing Authority may usebe fixed
                                                              Response. Frequency Bias may a
                                                              Frequency Bias value which is based on a
BAL-003-0.1b                                 R2.1.            fixed, straight-line function of Tie Line
                                                                                                                  LOWER                    BA                                                                                                     x                   x                  x
                                                              deviation versus Frequency Deviation.
                                                              The Balancing Authority shall determine
                                                              The Balancing Authority may use a
                                                              variable (linear or non-linear) bias value,
BAL-003-0.1b                                 R2.2.            which is based on a variable function of
                                                                                                                  LOWER                    BA                                                                                                     x                   x                  x
                                                              Tie Line deviation to Frequency Deviation.
                                                              The Balancing Authority shall determine
                                                              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                                                                                                                         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                                                                                                                         x                  x
                                                              include their share of the governor droop
                                                              Balancingin their Frequency Bias Setting.
                                                              response Authorities that serve native
                                                              load shall have a monthly average
BAL-003-0.1b                  R5.                             Frequency Bias Setting that is at least 1%
                                                                                                                  MEDIUM                   BA                                                                                                     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                                                                                                     x                   x                  x
                                                              of its estimated maximum generation
                                                              A Balancing Authority that is0.1 Hz
                                                              level in the coming year per performing
                                                              Overlap Regulation Service shall increase
BAL-003-0.1b                  R6.                             its Frequency Bias Setting to match the
                                                                                                                  MEDIUM                   BA                                                                                                                         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
                                                              The Interconnection Time Monitor shall
                                                              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:




                                                                                                                                                                                                                                                                              Page 5 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              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
                                                              Frequency Deviation (i.e. 20% of
                                                              Any Reliability Coordinator in 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
                                                              Each Transmission Operator with Area.
                                                              boundaries of a Balancing Authority
                                                              transmission facilities operating in an
BAL-005-0.1b                                 R1.2.            Interconnection shall ensure that those
                                                                                                                  MEDIUM                  TOP                                                                                                                         x
                                                              transmission facilities are included within
                                                              Each Load-Serving Entity a Balancing
                                                              the metered boundaries ofwith 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.
                                                              Each Balancing Authority shall maintain
                                                              Regulating Reserve that can be controlled
BAL-005-0.1b                  R2.                             by AGC to meet the Control Performance
                                                                                                                    HIGH                   BA                                                                                                     x                   x
                                                              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 providing
                                                              A Balancing Authorityfrom becoming a
                                                              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
                                                              Thesupplying 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



                                                                                                                                                                                                                                                                              Page 6 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008          2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual        Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program       Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits        Audits
                                                                                                                                                                                    Annual (A)
                                                              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
                                                              The Balancing Authority shall This overall
                                                              failure of the primary source. include all
                                                              Interchange Schedules with Adjacent
BAL-005-0.1b                  R9.                             Balancing Authorities in the calculation of
                                                                                                                  LOWER                    BA                                                                                                                         x
                                                              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
                                                              The Balancing AuthorityInterchange all
                                                              may choose to omit the shall include
                                                              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 common primary metering
                                                              Balancing Authorities shall ensure the
                                                              power flow and ACE signals that are
BAL-005-0.1b                                 R12.2.           utilized for calculating Balancing
                                                                                                                  MEDIUM                   BA                                                                                                                         x
                                                              Authority performance or that are
                                                              transmitted for Regulation Service are not
                                                              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
                                                              The Balancing control equipment. The
                                                              accuracy of its 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 7 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008          2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual        Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program       Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits        Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Balancing Authority shall at least
                                                              annually check and calibrate its time error
BAL-005-0.1b                  R17.                            and frequency devices against a common
                                                                                                                  MEDIUM                   BA                                                                                                                         x
                                                              reference. The Balancing Authority shall
                                                              adhere to the minimum values for
                                                              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                                                                                                                         x
                                                              common megawatt-hour meters, with
                                                              Adjacent provided hourly to the control
                                                              readings Balancing Authority Areas shall
                                                              operate to a common Net Interchange
BAL-006-1.1                   R4.                             Schedule and Actual Net Interchange
                                                                                                                  LOWER                    BA                                            M                                                                            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 its         LOWER                    BA                                            M                                                                            x
                                                              Adjacent Balancing Authorities to:


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


                                                              The hourly integrated megawatt-hour
BAL-006-1.1                                  R4.1.2.
                                                              values of Net Actual Interchange.
                                                                                                                  LOWER                    BA                                            M                                                                            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                                            M                                                                            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
                                                              Adjacent Balancing Authorities that for
                                                              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                                                      X           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                                                      X           x         x         x                  x
                                                              Entity shall have procedures for the
                                                              communication of information concerning



                                                                                                                                                                                                                                                                              Page 8 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008          2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual        Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program       Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits        Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Reliability Coordinator, Balancing
                                                              Authority, Transmission Operator,                                  BA, GOP, LSE, RC,
CIP-001-1                     R3.                             Generator Operator, and Load-Serving
                                                                                                                  MEDIUM
                                                                                                                                       TOP
                                                                                                                                                                               A                                                      X           x         x         x                  x
                                                              Entity shall provide its operating
                                                              personnel with Coordinator, Balancing
                                                              Each Reliabilitysabotage response
                                                              Authority, Transmission Operator,                                  BA, GOP, LSE, RC,
CIP-001-1                     R4.                             Generator Operator, and Load-Serving
                                                                                                                  MEDIUM
                                                                                                                                       TOP
                                                                                                                                                                               A                                                      X           x         x         x                  x
                                                              Entity shall establish communications
                                                              contacts, as applicable, with local Federal
                                                              Critical Asset Identification Method — The                          BA, GO, GOP, IA,
CIP-002-3, Effective                                          Responsible Entity shall identify and                               LSE, RC, RE, TO,
10/1/2010
                     R1.                                      document a risk-based assessment
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              of this standard.
                                                                                                                                  BA, GO, GOP, IA,
                                                              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                                                      X           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                                                      X           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                                                      X           x
                                                              electrical path of transmission lines used
                                                              Systems system restoration.
                                                              for initial and facilities critical to                              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                                                      X           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                                                      X           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                                                      X           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                                                      X           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 developed                         LSE, RC, RE, TO,
10/1/2010
                     R3.                                      pursuant to Requirement R2, the
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              Responsible Entity shall develop a list of
                                                              associated Critical Cyber Assets



                                                                                                                                                                                                                                                                              Page 9 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                                                                                                  BA, GO, GOP, IA,
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                                                      X           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                                                      X           x
                                                              list of Critical Assets and the list of
                                                              Cyber Security Policy — The on
                                                              Critical Cyber Assets. Based 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 for
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                                  x
                                                              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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              actions to a named delegate or delegates.
                                                              These delegations shall be documented
                                                              The senior manager or delegate(s), shall                            BA, GO, GOP, IA,
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                                                      X           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
                                                              authorized by the senior manager or



                                                                                                                                                                                                                                                                              Page 10 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Exceptions 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).
                                                              Documented exceptions to the cyber                                  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.
                                                              Authorized exceptions to the cyber                                  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 be                          BA, GO, GOP, IA,
CIP-003-3, Effective                                          protected shall include, at a minimum and                           LSE, RC, RE, TO,
10/1/2010
                                            R4.1.             regardless of media type, operational
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                                  x
                                                              procedures, lists as required in Standard
                                                              CIP-002-3, network topology or similar
                                                              The Responsible Entity shall 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 to
                                                              results, Control — The Responsible Entity                           BA, GO, GOP, IA,
CIP-003-3, Effective                                          shall document and implement a program                              LSE, RC, RE, TO,
10/1/2010
                     R5.
                                                              for managing access to protected Critical
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              Cyber Asset information.
                                                              The Responsible Entity shall maintain a                             BA, GO, GOP, IA,
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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              of change control and configuration
                                                              management for adding, modifying,



                                                                                                                                                                                                                                                                              Page 11 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Awareness — 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 training
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                                  x
                                                              program for personnel having authorized
                                                              This program will ensure that allphysical
                                                              cyber or authorized unescorted                                      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 coveraccess 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                             BA, GO, GOP, IA,
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                                                      X           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                                                      X           x
                                                              Security Number verification in the U.S.)
                                                              and seven-year criminalshall update each
                                                              The Responsible Entity check. The                                   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 risk
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              assessment or for cause.
                                                              The Responsible Entity shall document                               BA, GO, GOP, IA,
CIP-004-3, Effective                                          the results of personnel risk assessments                           LSE, RC, RE, TO,
10/1/2010
                                            R3.3.             of its personnel having authorized cyber
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              or authorized unescorted physical access
                                                              to Critical Cyber Assets, and that shall
                                                              Access — The Responsible Entity                                     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                                                      X           x
                                                              unescorted physical access to Critical
                                                              Cyber Assets, including their specific



                                                                                                                                                                                                                                                                              Page 12 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                               Supporting                                                                                                                            Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                Requirement                  Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                               Number                                                                                                                              Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Responsible Entity shall review the                             BA, GO, GOP, IA,
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                                                      X           x
                                                              and update the list(s) within seven
                                                              The Responsible any change revoke such
                                                              calendar days of Entity shall of personnel                          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                                                      X           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                                                      X           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                                                      X           x
                                                              example, dial-up modems) terminating at
                                                              any device within the Electronic Security
                                                              For 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                                                      X           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                                                      X           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 pursuant
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              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                                                      X           x
                                                              the protective measures as a specified in
                                                              Standard CIP-003-3; Standard CIP-004-3
                                                              The Responsible Entity shall maintain                               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                                                      X           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                                                      X           x
                                                              and technical and procedural
                                                              mechanisms for control of electronic
                                                              These processes and mechanisms shall                                BA, GO, GOP, IA,
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                                                      X           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                                                      X           x
                                                              services required for operations and for
                                                              The Responsible Assets within the
                                                              monitoring CyberEntity 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                                                      X           x
                                                              Perimeter(s).
                                                              Where external interactive access into the                          BA, GO, GOP, IA,
CIP-005-3, Effective                                          Electronic Security Perimeter has been                              LSE, RC, RE, TO,
10/1/2010
                                            R2.4.             enabled, the Responsible Entity shall
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              implement strong procedural or technical
                                                              controls at the access points to ensure



                                                                                                                                                                                                                                                                              Page 13 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                                                                                                  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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              appropriate use banner on the user
                                                              screen upon all interactive access
                                                              Monitoring Electronic Access — The                                  BA, GO, GOP, IA,
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                                                      X           x
                                                              process(es) for monitoring and logging
                                                              For dial-up accessible Critical Electronic
                                                              access at access points to theCyber                                 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                                                      X           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                                                      X           x
                                                              unauthorized accesses. These alerts shall
                                                              provide for appropriate notification The
                                                              Cyber Vulnerability Assessment — to                                 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 electronic
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              access points to the Electronic Security
                                                              Perimeter(s) at least annually. The                                 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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              community strings;




                                                                                                                                                                                                                                                                              Page 14 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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                                                      X           x
                                                              assessment, and the execution status of
                                                              that action plan.
                                                              Documentation Review and Maintenance                                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 to
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              support compliance with the
                                                              The ResponsibleStandard CIP-005-3. that
                                                              requirements of Entity shall ensure                                 BA, GO, GOP, IA,
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                                                      X           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                                                      X           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                                                      X           x
                                                              incidents shall be kept in accordance with
                                                              the requirements of Standard CIP-008-3.
                                                              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                                                      X           x
                                                              security plan, approved by the senior
                                                              All Cyber or delegate(s) that shall
                                                              manager 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                                                      X           x
                                                              Where a completely enclosed (―six-wall‖)
                                                              border cannot be established, the points
                                                              Identification of all physical access                               BA, GO, GOP, IA,
CIP-006-3c,                                                   through each Physical Security Perimeter                            LSE, RC, RE, TO,
Effective 10/1/2010
                                             R1.2.
                                                              and measures to control entry at those
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              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                                                      X           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                                                      X           x
                                                              response to loss, and prohibition of
                                                              inappropriate use of physical access
                                                              Review of access authorization requests                             BA, GO, GOP, IA,
CIP-006-3c,                                                   and revocation of access authorization, in                          LSE, RC, RE, TO,
Effective 10/1/2010
                                             R1.5.
                                                              accordance with CIP-004-3 Requirement
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              R4.
                                                              A visitor control program for visitors                              BA, GO, GOP, IA,
CIP-006-3c,                                                   (personnel without authorized unescorted                            LSE, RC, RE, TO,
Effective 10/1/2010
                                             R1.6.
                                                              access to a Physical Security Perimeter),
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              containing at a minimum the following:
                                                              Logs (manual or automated) to document                              BA, GO, GOP, IA,
CIP-006-3c,                                                   the entry and exit of visitors, including the                       LSE, RC, RE, TO,
Effective 10/1/2010
                                             R1.6.1.
                                                              date and time, to and from Physical
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           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                                                      X           x




                                                                                                                                                                                                                                                                              Page 15 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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                                                      X           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                                                      X           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 Security
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              Perimeter(s), exclusive of hardware at the
                                                              Physical Security Perimeter access point                            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                                                      X           x

                                                              Be afforded the protective measures                                 BA, GO, GOP, IA,
CIP-006-3c,                                                   specified in Standard CIP-003-3; Standard                           LSE, RC, RE, TO,
Effective 10/1/2010
                                             R2.2.            CIP-004-3 Requirement R3; Standard CIP-
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              005-3 Requirements R2 and R3; Standard
                                                              Protection of Electronic R4 and R5;
                                                              CIP-006-3 RequirementsAccess 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                                                      X           x
                                                              Electronic Security Perimeter(s) shall
                                                              Physical Accessidentified — The
                                                              reside within an 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 procedural
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              controls to manage physical access at all
                                                              Monitoring Physical Physical Security
                                                              access points to the Access — 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                                                      X           x
                                                              controls for monitoring physical access
                                                              at all access points to the Physical
                                                              Logging Physical Access — Logging shall                             BA, GO, GOP, IA,
CIP-006-3c,                                                   record sufficient information to uniquely                           LSE, RC, RE, TO,
Effective 10/1/2010
                              R6.                             identify individuals and the time of access
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              twenty-four hours a day, seven days a
                                                              Access Log Retention — The shall
                                                              week. The Responsible EntityResponsible                             BA, GO, GOP, IA,
CIP-006-3c,                                                   Entity shall retain physical access logs                            LSE, RC, RE, TO,
Effective 10/1/2010
                              R7.                             for at least ninety calendar days. Logs
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              related to reportable incidents shall be
                                                              Maintenance and Testing — requirements
                                                              kept in accordance with the 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                                                      X           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                                                      X           x
                                                              longer than three years.

                                                                                                                                  BA, GO, GOP, IA,
                                                              Retention of testing and maintenance
CIP-006-3c,                                                                                                                       LSE, RC, RE, TO,
Effective 10/1/2010
                                             R8.2.            records for the cycle determined by the             Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              Responsible Entity in Requirement R8.1.

                                                                                                                                  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                                                      X           x
                                                              for a minimum of one calendar year.




                                                                                                                                                                                                                                                                              Page 16 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                               Supporting                                                                                                                            Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                Requirement                  Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                               Number                                                                                                                              Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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                                                      X           x
                                                              Assets within the Electronic Security
                                                              Perimeter do not Entity shall create,
                                                              The Responsible adversely affect existing                           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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              those ports and services required for
                                                              normal and emergency operations are                                 BA, GO, GOP, IA,
                                                              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                                                      X           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                                                      X           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                                                      X           x
                                                              Entity shall document compensating
                                                              Security Patch Management — risk
                                                              measure(s) applied to mitigate 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                                                      X           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                                                      X           x
                                                              thirty calendar days of availability of the
                                                              patches or upgrades.
                                                              The Responsible Entity shall document                               BA, GO, GOP, IA,
CIP-007-3, Effective                                          the implementation of security patches. In                          LSE, RC, RE, TO,
10/1/2010
                                            R3.2.             any case where the patch is not installed,
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              the Responsible Entity shall document
                                                              Malicious Software Prevention — to
                                                              compensating measure(s) appliedThe                                  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                                                      X           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                                                      X           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                                                      X           x
                                                              ―signatures.‖ The process must address
                                                              testing and installing the signatures.



                                                                                                                                                                                                                                                                              Page 17 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Account Management — The Responsible                                BA, GO, GOP, IA,
CIP-007-3, Effective                                          Entity shall establish, implement, and                              LSE, RC, RE, TO,
10/1/2010
                     R5.                                      document technical and procedural
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              controls that enforce access
                                                              authentication of, and accountability for,
                                                              The Responsible Entity shall ensure that                            BA, GO, GOP, IA,
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                                                      X           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                                                      X           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 that                             LSE, RC, RE, TO,
10/1/2010
                                            R5.1.2.           generate logs of sufficient detail to create
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              historical audit trails of individual user
                                                              account access activity for a minimum
                                                              The Responsible Entity shall review, at of                          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                                                      X           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                                                      X           x
                                                              shared, and other generic account
                                                              The policyincluding factory default
                                                              privileges 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                                                      X           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                                                      X           x
                                                              accounts.
                                                              Where such accounts must be shared,                                 BA, GO, GOP, IA,
CIP-007-3, Effective                                          the Responsible Entity shall have a policy                          LSE, RC, RE, TO,
10/1/2010
                                            R5.2.3.           for managing the use of such accounts
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              that limits access to only those with
                                                              authorization, an audit trail of the account                        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                                                      X           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                                                      X           x

                                                                                                                                  BA, GO, GOP, IA,
                                                              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                                                      X           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                                                      X           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                                                      X           x
                                                              Security Perimeter, as technically
                                                              feasible, implement automated tools or



                                                                                                                                                                                                                                                                              Page 18 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              The Responsible Entity shall review logs                            BA, GO, GOP, IA,
CIP-007-3, Effective                                          of system events related to cyber security                          LSE, RC, RE, TO,
10/1/2010
                                            R6.5.
                                                              and maintain records documenting
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              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                                                      X           x
                                                              and procedures for disposal or
                                                              redeployment of Cyber Assets within the
                                                              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                                                      X           x
                                                              unauthorized retrieval of sensitive cyber
                                                              Prior to or reliability data.
                                                              securityredeployment of such assets, the                            BA, GO, GOP, IA,
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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              assessment, and the execution status of
                                                              that action plan.



                                                                                                                                                                                                                                                                              Page 19 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                               Supporting                                                                                                                            Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                Requirement                  Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                               Number                                                                                                                              Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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                                                      X           x
                                                              in Standard CIP-007-3 at least annually.
                                                              Changes resulting from modifications to
                                                              Cyber Security Incident 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                                                      X           x
                                                              response plan and implement the plan in
                                                              response to Cyber Security Incidents. The                           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                                                      X           x
                                                              Incidents.
                                                              Response actions, including roles and                               BA, GO, GOP, IA,
CIP-008-3, Effective                                          responsibilities of Cyber Security Incident                         LSE, RC, RE, TO,
10/1/2010
                                            R1.2.             response teams, Cyber Security Incident
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              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                                                      X           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                                                      X           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                                                      X           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                                                      X           x
                                                              Incident response plan can range from a
                                                              Cyber drill, to a Incident Documentation —
                                                              paper 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                                                      X           x
                                                              Security Incidents reportable per
                                                              Requirement R1.1 for three calendar
                                                              Recovery Plans — 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 Assets.
                                                                                                                  Pending
                                                                                                                                  TOP, TSP, NERC
                                                                                                                                                                               A                                                      X           x
                                                              The recovery plan(s) shall address at a
                                                              minimum the following:
                                                              Specify the 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                                                      X           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                                                      X           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                                                      X           x
                                                              range from a paper drill, to a full
                                                              operational exercise, to recovery from an
                                                              Change Control — Recovery plan(s) shall                             BA, GO, GOP, IA,
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



                                                                                                                                                                                                                                                                              Page 20 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                   Text of Requirement                                                                                    Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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                                                      X           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                                                      X           x         x
                                                              reliable telecommunications facilities for
                                                              the exchange of Interconnection and

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

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

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

                                                              Each Reliability Coordinator,
                                                              Transmission Operator, and Balancing
COM-001-1.1                   R2.                             Authority shall manage, alarm, test and/or
                                                                                                                  MEDIUM             BA, RC, TOP                               A                                                      X                               x                   x
                                                              actively monitor vital telecommunications
                                                              facilities. Special attention shall be given
                                                              Each Reliability Coordinator,
                                                              Transmission Operator and Balancing
COM-001-1.1                   R3.                                                                                 LOWER              BA, RC, TOP                               A                                                      X
                                                              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                                                      X
                                                              Operator, and Balancing Authority shall
                                                              use English as the language for all
                                                              communications between and among
                                                              Each Reliability Coordinator,
                                                              Transmission Operator, and Balancing
COM-001-1.1                   R5.                             Authority shall have written operating
                                                                                                                  LOWER              BA, RC, TOP                               A                                                      X           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                                                      X           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                                                      X           x         x         x
                                                              links) with appropriate Reliability
                                                              Coordinators, Balancing Authorities, and



                                                                                                                                                                                                                                                                              Page 21 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Balancing Authority and
                                                              Transmission Operator shall notify its
COM-002-2                                    R1.1.            Reliability Coordinator, and all other
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           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                                                      X           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
                                                              The Transmission Operator shall have an
                                                              emergency load reduction plan for all
EOP-001-0                     R2.                             identified IROLs. The plan shall include
                                                                                                                  MEDIUM                  TOP                                  A                                                      X                     x         x                   x
                                                              the details on how the Transmission
                                                              Operator will implement load reduction in
                                                              Each Transmission Operator and
EOP-001-0                     R3.
                                                              Balancing Authority shall:
                                                                                                                  MEDIUM               BA, TOP                                 A                                                      X                     x         x                   x

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

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


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


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




                                                                                                                                                                                                                                                                              Page 22 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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


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

                                                              Each Transmission Operator and
                                                              Balancing Authority shall include the
EOP-001-0                     R5.                             applicable elements in Attachment 1-EOP-
                                                                                                                  MEDIUM               BA, TOP                                 A                                                      X                     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
                                                              Authority shall provide a copy of its
                                                              The Transmission Operator and
                                                              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. and
                                                              The Transmission Operator This
                                                              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 be
                                                              The Transmission Operator andused.
                                                              Balancing Authority shall coordinate
EOP-001-0                                    R7.3.            transmission and generator maintenance
                                                                                                                  MEDIUM               BA, TOP                                                                                                              x         x                   x
                                                              schedules to maximize capacity or
                                                              conserve the fuel in short supply. (This
                                                              The Transmission 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 area
                                                                                                                    HIGH                BA, RC                                 A                                                                  x         x         x
                                                              and shall exercise specific authority to
                                                              alleviate capacity and energy
                                                              emergencies.
                                                              Each Balancing Authority shall implement
                                                              its capacity and energy emergency plan,
EOP-002-2.1                   R2.                             when required and as appropriate, to
                                                                                                                    HIGH                   BA                                                                                                     x         x         x
                                                              reduce risks to the interconnected
                                                              system.
                                                              A Balancing Authority that is
                                                              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
                                                              A Balancing Coordinator and
                                                              its ReliabilityAuthority 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
                                                              actions. The Balancing Authority shall



                                                                                                                                                                                                                                                                              Page 23 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              If the Balancing Authority cannot 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.
                                                              Once the Balancing Authority has
                                                              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                                                      X           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                                                      X           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                                                      X           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                                                      X           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. Reliability Coordinator shall submit
                                                              The
                                                              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.

                                                                                                                                                                                                                                                                              Page 24 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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.
                                                              The Reliability Coordinator shall use EEA
                                                              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.
                                                              After taking all other remedial steps, 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 Transmission rather than risk an
                                                              shed customer loadOperator and
                                                              Balancing Authority shall establish plans
EOP-003-1                     R2.                             for automatic load shedding for
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           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                                                      X           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                                                      X           x         x         x                   x
                                                              load shedding scheme: frequency, rate of
                                                              A Transmission Operator level, rate of
                                                              frequency decay, voltage 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
                                                              After a Transmission shutdown.
                                                              generation, or systemOperator 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
                                                              generating units, tripping of shunt
                                                              Each Transmission Operator or Balancing
                                                              Authority shall have plans for operator-
EOP-003-1                     R8.                             controlled manual load shedding to
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              respond to real-time emergencies. The
                                                              Each RegionalOperator orOrganization
                                                              Transmission Reliability Balancing
                                                              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
                                                              A Reliability Coordinator, Balancing
                                                              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
                                                              The affected a preliminary written report
                                                              shall provide 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



                                                                                                                                                                                                                                                                              Page 25 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              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 consultation                       BA, GOP, LSE, RC,
EOP-004-1                                    R3.4.            with the Reliability Coordinator,
                                                                                                                  LOWER
                                                                                                                                       TOP                                                                                                                            x
                                                              Balancing Authority, Transmission
                                                              Operator, Generator Operator, or Load-
                                                              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 upon in a timely manner. If have
                                                              acted Transmission Operator shallany a
                                                              restoration plan to reestablish its electric
EOP-005-1                     R1.                             system in a stable and orderly manner in
                                                                                                                  MEDIUM                  TOP                                  A                                                      X           x         x         x                   x
                                                              the event of a partial or total shutdown of
                                                              its system, including necessary operating
                                                              Each Transmission Operator shall review
                                                              and update its restoration plan at least
EOP-005-1                     R2.                             annually and whenever it makes changes
                                                                                                                  MEDIUM                  TOP                                  A                                                      X           x         x         x                   x
                                                              in the power system network, and shall
                                                              Each Transmission found during
                                                              correct deficiencies Operator shallthe
                                                              develop restoration plans with a priority
EOP-005-1                     R3.
                                                              of restoring the integrity of the
                                                                                                                  MEDIUM                  TOP                                  A                                                      X           x         x         x                   x
                                                              Interconnection.
                                                              Each Transmission Operator shall
                                                              coordinate its restoration plans with the
EOP-005-1                     R4.                             Generator Owners and Balancing
                                                                                                                  MEDIUM                  TOP                                  A                                                      X           x         x         x                   x
                                                              Authorities within its area, its Reliability
                                                              Coordinator, and neighboringand
                                                              Each Transmission Operator
                                                              Balancing Authority shall periodically test
EOP-005-1                     R5.
                                                              its telecommunication facilities needed to
                                                                                                                  MEDIUM               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              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                                                      X           x         x         x                   x
                                                              implementation of the restoration plan.
                                                              Such Transmissioninclude simulated
                                                              Each training shall Operator and
                                                              Balancing Authority shall verify the
EOP-005-1                     R7.
                                                              restoration procedure by actual testing or
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           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                                                      X           x         x         x                   x
                                                              each blackstart generating unit and the
                                                              unit(s) to be started and shall provide this



                                                                                                                                                                                                                                                                              Page 26 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Operator shall
                                                              demonstrate, through simulation or
EOP-005-1                     R10.                            testing, that the blackstart generating
                                                                                                                  MEDIUM                  TOP                                  A                                                      X                     x         x                   x
                                                              units in its restoration plan can perform
                                                              their intended functions as required in the
                                                              The Transmission Operator shall perform
EOP-005-1                                    R10.1.           this simulation or testing at least once            MEDIUM                  TOP                                  A                                                      X                     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
                                                              The condition of the isolated area(s). and
                                                              and affected Transmission Operators
                                                              Balancing Authorities shall take the
EOP-005-1                                    R11.2.           necessary actions to restore Bulk Electric
                                                                                                                    HIGH               BA, TOP                                                                                                    x         x         x                   x
                                                              System frequency to normal, including
                                                              adjusting generation, placing additional
                                                              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 fragments
                                                              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 lines
EOP-005-1                                    R11.5.2.         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 27 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Reliability Coordinator shall have 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 once
EOP-006-1                     R6.                             an operating emergency has been
                                                                                                                  MEDIUM                   RC                                                                                                                         x                   x
                                                              mitigated in accordance with its
                                                              restoration plan.
                                                              Each Reliability Coordinator,
                                                              Transmission Operator and Balancing
EOP-008-0                     R1.                             Authority shall have a plan to continue
                                                                                                                    HIGH             BA, RC, TOP                               A                                                      X           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                                                      X           x         x         x                   x
                                                              primary control facility to be viable.

                                                              The plan shall include procedures and
                                                              responsibilities for providing basic tie line
EOP-008-0                                    R1.2.            control and procedures and for
                                                                                                                  MEDIUM             BA, RC, TOP                               A                                                      X           x         x         x                   x
                                                              maintaining the status of all inter-area
                                                              schedules, such that there is an hourly
                                                              The contingency plan must address
                                                              monitoring and control of critical
EOP-008-0                                    R1.3.            transmission facilities, generation
                                                                                                                  MEDIUM             BA, RC, TOP                               A                                                      X           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                                                      X           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                                                      X           x         x         x                   x
                                                              of the plan.
                                                              The plan shall include procedures and
                                                              responsibilities for providing annual
EOP-008-0                                    R1.6.            training to ensure that operating
                                                                                                                  MEDIUM             BA, RC, TOP                               A                                                      X           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                                                      X           x         x         x                   x

                                                              Interim provisions must be included if it is
                                                              expected to take more than one hour to
EOP-008-0                                    R1.8.
                                                              implement the contingency plan for loss
                                                                                                                  MEDIUM             BA, RC, TOP                               A                                                      X           x         x         x                   x
                                                              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



                                                                                                                                                                                                                                                                              Page 28 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Generator Owner or Generator
                                                              Operator shall provide documentation of
EOP-009-0                     R2.                             the test results of the startup and
                                                                                                                  LOWER                GO, GOP                                           A                                                                            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

                                                              The Transmission Owner’s facility
FAC-001-0                     R2.                             connection requirements shall address,              MEDIUM                    TO                                 A                                                                  x         x
                                                              but are not limited to, the following 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




                                                                                                                                                                                                                                                                              Page 29 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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


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


                                                              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
                                                              The Generator of these requirements
                                                              documentationOwner, Transmission
                                                              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
                                                              Evaluation of the reliability impact of the
FAC-002-0                                    R1.1.            new facilities and their connections on             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.



                                                                                                                                                                                                                                                                              Page 30 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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
                                                              Documentation that TPL-001-0.
                                                              Reliability Standard 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 TVMP
                                                                                                                    HIGH                    TO                                 A                                                      X           x         x         x                   x
                                                              shall include the Transmission Owner's
                                                              The TVMP practices, approved
                                                              objectives,shall define a schedule for and
                                                              the type (aerial, ground) of ROW
FAC-003-1                                    R1.1.            vegetation inspections. This schedule
                                                                                                                    HIGH                    TO                                 A                                                      X           x         x         x                   x
                                                              should be flexible enough to adjust for
                                                              changing conditions. The inspection
                                                              The Transmission Owner, in the TVMP,
                                                              shall identify and document clearances
FAC-003-1                                    R1.2.            between vegetation and any overhead,
                                                                                                                    HIGH                    TO                                 A                                                      X           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                                                      X           x         x         x                   x
                                                              achieved at the time of transmission
                                                              vegetation management work based upon
                                                              Clearance 2 — The Transmission Owner
                                                              shall determine and document specific
FAC-003-1                                    R1.2.2.          radial clearances to be maintained
                                                                                                                    HIGH                    TO                                 A                                                      X           x         x         x                   x
                                                              between vegetation and conductors
                                                              under all rated electrical operating
                                                              Where transmission system transient
                                                              overvoltage factors are not known,
FAC-003-1                                    R1.2.2.1.        clearances shall be derived from Table 5,
                                                                                                                    HIGH                    TO                                 A                                                      X           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                                                      X           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                                                      X           x         x         x                   x
                                                              training, as defined by the Transmission
                                                              Owner, to perform their duties.
                                                              Each Transmission Owner shall develop
                                                              mitigation measures to achieve sufficient
FAC-003-1                                    R1.4.            clearances for the protection of the
                                                                                                                    HIGH                    TO                                 A                                                      X           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                                                      X           x         x         x                   x
                                                              conditions that present an imminent
                                                              threat of a transmission line outage. This



                                                                                                                                                                                                                                                                              Page 31 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Owner shall create and
                                                              implement an annual plan for vegetation
FAC-003-1                     R2.                             management work to ensure the reliability
                                                                                                                    HIGH                    TO                                 A                                                      X           x         x         x                   x
                                                              of the system. The plan shall describe
                                                              Themethods used, Owner shall report
                                                              the Transmission such as manual
                                                              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
                                                              Owner to have been caused by
                                                              Multiple sustained outages on an
                                                              individual line, if caused by the same
FAC-003-1                                    R3.1.            vegetation, shall be reported as one
                                                                                                                  LOWER                     TO                                           Q                                                                            x                   x
                                                              outage regardless of the actual number of
                                                              outages within a 24-hour period.required
                                                              The Transmission Owner is not
                                                              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
                                                              The outage information provided by the
                                                              Transmission Owner to the RRO, or the
FAC-003-1                                    R3.3.            RRO’s designee, shall include at a
                                                                                                                  LOWER                     TO                                           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 by
FAC-003-1                                    R3.4.2.          vegetation falling into lines from inside           LOWER                     TO                                           Q                                                                            x                   x
                                                              the ROW.

                                                              Category 3 — Fall-ins: Outages caused by
FAC-003-1                                    R3.4.3.          vegetation falling into lines from outside          LOWER                     TO                                           Q                                                                            x                   x
                                                              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 well
                                                              as any actions taken by the RRO as a
                                                              The Transmission Owner and Generator
                                                              Owner shall each document its current
FAC-008-1                     R1.                             methodology used for developing Facility
                                                                                                                  LOWER                 GO, TO                                 A                                                      X           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                                                      X           x         x         x                   x
                                                              equipment that comprises that Facility.

                                                              The method by which the Rating (of major
FAC-008-1                                    R1.2.            BES equipment that comprises a Facility)            MEDIUM                GO, TO                                 A                                                      X           x         x         x                   x
                                                              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                                                      X           x         x         x                   x
                                                              relay protective devices, terminal
                                                              equipment, and series and shunt



                                                                                                                                                                                                                                                                              Page 32 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 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                                                      X           x         x         x                   x
                                                              Emergency Ratings.



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


                                                              Ratings provided by equipment
FAC-008-1                                    R1.3.1.
                                                              manufacturers.
                                                                                                                  MEDIUM                GO, TO                                 A                                                      X           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                                                      X           x         x         x                   x
                                                              ANSI or other standards).


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


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


FAC-008-1                                    R1.3.5.          Other assumptions.                                  LOWER                 GO, TO                                 A                                                      X           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                                                      X           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                                                      X           x         x         x                   x
                                                              Facilities that are consistent with the
                                                              associated Facility Ratings Methodology.
                                                              The Transmission Owner and Generator
                                                              Owner shall each provide Facility Ratings
FAC-009-1                     R2.                             for its solely and jointly owned Facilities
                                                                                                                  MEDIUM                GO, TO                                 A                                                      X           x         x         x                   x
                                                              that are existing Facilities, new Facilities,
                                                              The Planning to existing Facilities and re-
                                                              modifications Authority shall have a
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.




                                                                                                                                                                                                                                                                              Page 33 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              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
                                                              their thermal, voltage and stability limits.
                                                              Following the single Contingencies1
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

                                                              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 connected              MEDIUM                PA, PC
Effective 4/19/2010
                                                              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
                                                              Starting with system topology.
                                                              transmission all facilities in service and
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
                                                              R2.3.1 and R2.3.2, the interruption of be
                                                              Planned or 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 of contracted Firm (non-



                                                                                                                                                                                                                                                                              Page 34 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Planning Authority’s methodology for
FAC-010-2.1                                                   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
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 that
                              R4.                                                                                 LOWER                 PA, PC
Effective 4/19/2010                                           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
                                                              The Reliability Coordinator shall have 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: SOLs used
                                                              Be applicable for developing
FAC-011-2 Effective                                           in the operations horizon.
                                             R1.1.                                                                LOWER                    RC
4/29/2009




                                                                                                                                                                                                                                                                              Page 35 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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
                                                              Following the voltage and stability limits.
                                                              their thermal, single Contingencies
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

                                                              In determining the system’s response to a
FAC-011-2 Effective                                           single Contingency, the following shall be
                                            R2.3.             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 connected              MEDIUM                   RC
4/29/2009
                                                              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:



                                                                                                                                                                                                                                                                              Page 36 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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 other         MEDIUM                   RC
4/29/2009
                                                              Reliability Coordinator Areas that would
                                                              impact the Facility or Facilities under
                                                              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 associated                                 RC
4/29/2009                                                                                                        Assigned
                                                              multiple contingencies
                                                              Level of detail of system models used to
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 indicated
                                             R4.1.            it has a reliability-related need for the           LOWER                    RC
4/29/2009
                                                              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 37 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                      Violation Risk        Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                             Factor            Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Reliability Coordinator and Planning
                                                              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 andshall 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
                                                              SOLReliability Coordinator, Planning
                                                              The Methodology.
                                                              Authority and Transmission Planner shall
FAC-014-2                     R5.                             each provide its SOLs and IROLs to those              HIGH           PA, PC, RC, TP                              A                                                                  x         x
                                                              entities that have a reliability-related need
                                                              for Reliability and provide a written
                                                              Thethose limitsCoordinator shall 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 Coordinators
                                                              who indicate a reliability-related need for
                                                              Identification and status of the associated
FAC-014-2                                    R5.1.1.          Facility (or group of Facilities) that is (are)     MEDIUM                   RC                                  A                                                                  x         x
                                                              critical to the derivation of the IROL.


                                                              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 of
                                                              the Reliability Coordinator Area.



                                                                                                                                                                                                                                                                              Page 38 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Planning Authority shall provide 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
                                                              The Transmission Planner shall provide
                                                              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
                                                              Operators, and Transmission Service
                                                              The Planning Authority shall identify 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
                                                              facilities associated with these
                                                              If the Planning Authority does 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

                                                              The Load-Serving, Purchasing-Selling
INT-001-3                                                     Entity shall ensure that Arranged
                              R1.                                                                                 LOWER                   PSE                                                            ER
                                                              Interchange is submitted to the
                                                              Interchange Authority for:

INT-001-3                                                     All Dynamic Schedules at the expected
                                             R1.1.                                                                LOWER                   PSE                                                            ER
                                                              average MW profile for each hour.


                                                              The Sink Balancing Authority shall ensure
INT-001-3
                              R2.                             that Arranged Interchange is submitted to           LOWER                    BA                                                            ER
                                                              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 agree
INT-003-2                                    R1.1.
                                                              on Interchange as received from the
                                                                                                                  LOWER                    BA                                                            ER                                                           x
                                                              Interchange Authority, including:


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




                                                                                                                                                                                                                                                                              Page 39 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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


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
                                                              At such time as the reliability event allows
INT-004-2                                                     for the reloading of the transaction, the
                              R1.                                                                                 LOWER           BA, PSE, RC, TOP
                                                              entity that initiated the curtailment shall
                                                              release the limit on the Interchange
                                                              The Purchasing-Selling reloading the
                                                              Transaction tag to allowEntity responsible
INT-004-2                                                     for tagging a Dynamic Interchange
                              R2.                                                                                 LOWER                   PSE
                                                              Schedule shall ensure the tag is updated
                                                              for the next available scheduling hour and
                                                              future hours when any one of the
                                                              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 the tag by more than +or-is
                                                              The average energy profile in 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
                                                              A Reliability Coordinator or by more than
                                                              profile indicated on the tag Transmission
INT-004-2                                                     Operator determines the deviation,
                                             R2.3.                                                                LOWER                   PSE
                                                              regardless of magnitude, to be a reliability
                                                              concern and notifies the Purchasing-
                                                              Selling Entity of that determination and
                                                              Prior to the expiration of the time 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 Authorityreliability
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 to the expiration of the Interchange
                                                              shall distribute the Arranged reliability
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).


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).




                                                                                                                                                                                                                                                                              Page 40 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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
                                                              have adjacent Transmission Service
                                                              The Interchange Authority shall verify that
                                                              Arranged Interchange is balanced and
INT-007-1                     R1.                                                                                 LOWER                     IA
                                                              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




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.                                                              LOWER                     IA
                                                              megawatt profile to Balancing Authorities.


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




                                                                                                                                                                                                                                                                              Page 41 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              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
                                                              submitted with a start time no more than
                                                              For a modification to an existing
                                                              Interchange schedule that is directed by a
INT-010-1                     R2.                                                                                 LOWER                    RC
                                                              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
                                                              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                                                                                                                         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                                                                                                                 x       x                   x
                                                              by the NERC Operating Committee.
                                                              The Reliability Coordinator shall have
                                                              clear decision-making authority to act and
IRO-001-1.1                   R3.                             to direct actions to be taken by
                                                                                                                    HIGH                   RC                                                                                                     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                                                                                                             x           x                   x
                                                              which tasks are delegated. The Reliability
                                                              Coordinator shall verify that all delegated
                                                              The Reliability Coordinator shall list
                                                              within its reliability plan all entities to
IRO-001-1.1                   R5.
                                                              which the Reliability Coordinator has
                                                                                                                  LOWER                    RC                                                                                                             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                                                                                                             x           x                   x
                                                              operating personnel.
                                                              The Reliability Coordinator shall have
                                                              clear, comprehensive coordination
IRO-001-1.1                   R7.                             agreements with adjacent Reliability
                                                                                                                    HIGH                   RC                                                                                                     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                                                                                                  x           x       x                   x
                                                              Serving Entities, and Purchasing-Selling
                                                              Entities shall comply with Reliability in the
                                                              The Reliability Coordinator shall act
                                                              interests of reliability for the overall
IRO-001-1.1                   R9.                             Reliability Coordinator Area and the
                                                                                                                    HIGH                   RC                                                                                                     x           x       x                   x
                                                              Interconnection before the interests of
                                                              any other entity.



                                                                                                                                                                                                                                                                              Page 42 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                               Supporting                                                                                                                            Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                Requirement                  Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                               Number                                                                                                                              Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Reliability Coordinator shall have
                                                              adequate communications facilities
IRO-002-1                     R1.                             (voice and data links) to appropriate
                                                                                                                    HIGH                   RC                                                                                                     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
                                                              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
                                                              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                                                                                                     x         x
                                                              Operators and Balancing Authorities, and
                                                              Eachneighboring Reliability Coordinators,
                                                              with Reliability Coordinator shall have
                                                              detailed real-time monitoring capability of
IRO-002-1                     R5.                             its Reliability Coordinator Area and
                                                                                                                    HIGH                   RC                                  A                                                                  x         x
                                                              sufficient monitoring capability of its
                                                              surrounding Reliability Coordinator Areas
                                                              Each Reliability Coordinator shall monitor
                                                              Bulk Electric System elements
IRO-002-1                     R6.                             (generators, transmission lines, buses,
                                                                                                                    HIGH                   RC                                  A                                                                  x         x
                                                              transformers, breakers, etc.) that could
                                                              Each Reliability Coordinator shall haveits
                                                              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                                                                  x         x
                                                              analysis capabilities (thermal, stability,
                                                              and voltage), and wide-area overview
                                                              Each Reliability Coordinator shall
                                                              continuously monitor its Reliability
IRO-002-1                     R8.                             Coordinator Area. Each Reliability
                                                                                                                    HIGH                   RC                                  A                                                                  x         x
                                                              Coordinator shall have provisions for
                                                              backup facilities that shall be exercised if
                                                              Each Reliability Coordinator shall control
                                                              its Reliability Coordinator analysis tools,
IRO-002-1                     R9.                                                                                 MEDIUM                   RC                                  A
                                                              including approvals for planned
                                                              maintenance. Each Reliability
                                                              Coordinator shall have procedures in
                                                              Each Reliability Coordinator shall monitor
                                                              all Bulk Electric System facilities, which
IRO-003-2                     R1.                             may include sub-transmission
                                                                                                                    HIGH                   RC                                  A                                                                  x         x         x
                                                              information, within its Reliability
                                                              Coordinator Area and adjacent Reliability
                                                              Each Reliability Coordinator shall know
                                                              the current status of all critical facilities
IRO-003-2                     R2.                             whose failure, degradation or
                                                                                                                    HIGH                   RC                                  A                                                                  x         x         x
                                                              disconnection could result in an SOL or
                                                              IROL violation. Reliability Coordinators
                                                              Each Reliability Coordinator shall
                                                              conduct next-day reliability analyses for
IRO-004-1                     R1.                             its Reliability Coordinator Area to ensure
                                                                                                                    HIGH                   RC                                  A                         ER                           X           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                                                      X           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                                                      X           x         x         x                   x
                                                              develop action plans that may be
                                                              required, including reconfiguration of the



                                                                                                                                                                                                                                                                              Page 43 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Transmission Operator, Balancing
                                                              Authority, Transmission Owner,                                     BA, GO, GOP, LSE,
IRO-004-1                     R4.                             Generator Owner, Generator Operator,
                                                                                                                    HIGH
                                                                                                                                      TO, TOP
                                                                                                                                                                               A                         ER                           X           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                         ER                           X           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                                                      X           x         x         x                   x
                                                              Transmission Operators, Balancing
                                                              Each Transmission Operator, Service
                                                              Authorities and Transmission Balancing
                                                              Authority, and Transmission Service
IRO-004-1                     R7.                             Provider shall comply with the directives
                                                                                                                    HIGH            BA, TOP, TSP                               A                                                      X           x         x         x                   x
                                                              of its Reliability Coordinator based on the
                                                              next Reliability Coordinator same
                                                              Eachday assessments in the shall monitor
                                                              its Reliability Coordinator Area
IRO-005-2                     R1.                             parameters, including but not limited to
                                                                                                                    HIGH                   RC                                  A                                                      X           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                                                      X           x         x         x
                                                              Automatic Voltage Regulators and
                                                              Current Protection Systems) and system
                                                              Special pre-contingency element
                                                              conditions (voltage, thermal, or stability),
IRO-005-2                                    R1.2.            including any applicable mitigation plans
                                                                                                                    HIGH                   RC                                  A                                                      X           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                                                      X           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                                                      X           x         x         x

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

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

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

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

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




                                                                                                                                                                                                                                                                              Page 44 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

IRO-005-2                                    R1.10.                                                                 HIGH                   RC                                  A                                                      X           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                                                      X           x         x         x
                                                              Reliability Coordinator Area, and make
                                                              that Interchange Transaction information
                                                              As portions of the transmission system
                                                              approach or exceed SOLs or IROLs, the
IRO-005-2                     R3.                             Reliability Coordinator shall work with its
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              Transmission Operators and Balancing
                                                              Authorities to evaluate and assess any
                                                              Each Reliability Coordinator shall monitor
                                                              its Balancing Authorities’ parameters to
IRO-005-2                     R4.                             ensure that the required amount of
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              operating reserves is provided and
                                                              Each Reliability Coordinator shallControl
                                                              available as required to meet the identify
                                                              the cause of any potential or actual SOL
IRO-005-2                     R5.                             or IROL violations. The Reliability
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              Coordinator shall initiate the control
                                                              Each Reliability Coordinator shall relieve
                                                              action or emergency procedure toensure
                                                              its Transmission Operators and
IRO-005-2                     R6.                                                                                   HIGH                   RC                                  A                                                      X
                                                              Balancing Authorities are aware of Geo-
                                                              Magnetic Disturbance (GMD) forecast
                                                              The Reliability Coordinator shall in the
                                                              information and assist as needed
                                                              disseminate information within its
IRO-005-2                     R7.                             Reliability Coordinator Area, as required.
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x

                                                              Each Reliability Coordinator shall monitor
                                                              system frequency and its Balancing
IRO-005-2                     R8.                             Authorities’ performance and direct any
                                                                                                                    HIGH             BA, RC, TOP                               A                                                      X           x         x         x
                                                              necessary rebalancing to return to CPS
                                                              and Reliability Coordinator shall
                                                              The DCS compliance. The Transmission
                                                              coordinate with Transmission Operators,
IRO-005-2                     R9.                             Balancing Authorities, and Generator
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              Operators as needed to develop and
                                                              implement action plans to mitigate
                                                              As necessary, the Reliability Coordinator
                                                              shall assist the Balancing Authorities in
IRO-005-2                     R10.                            its Reliability Coordinator Area in
                                                                                                                    HIGH                    RC                                 A                                                      X           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                                                      X           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                                                      X           x         x         x
                                                              impact (e.g., could potentially affect
                                                              Each Reliability Coordinator shallSOL or
                                                              transmission flows resulting in a ensure
                                                              that all Transmission Operators,                                     BA, GOP, LSE,
IRO-005-2                     R13.                            Balancing Authorities, Generator                      HIGH
                                                                                                                                 PSE, RC, TOP, TSP
                                                                                                                                                                               A                                                      X           x         x         x
                                                              Operators, Transmission Service
                                                              Providers, Load-Serving Entities, and
                                                              Each Reliability Coordinator shall make
                                                              known to Transmission Service Providers
IRO-005-2                     R14.                            within its Reliability Coordinator Area,
                                                                                                                  MEDIUM               RC, TSP                                 A                                                      X           x                   x
                                                              SOLs or IROLs within its wide-area view.
                                                              The Transmission Service Providers shall



                                                                                                                                                                                                                                                                              Page 45 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Reliability Coordinator who
                                                              foresees a transmission problem (such as
IRO-005-2                     R15.                            an SOL or IROL violation, loss of reactive
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              reserves, etc.) within its Reliability
                                                              Coordinator Area shall issue an alert to all
                                                              Each Reliability Coordinator shall confirm
                                                              reliability assessment results and
IRO-005-2                     R16.                            determine the effects within its own and
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              adjacent Reliability Coordinator Areas.
                                                              The Reliability or SOL is exceeded, the
                                                              When an IROL Coordinator shall discuss
                                                              Reliability Coordinator shall evaluate the
IRO-005-2                     R17.                            local and wide-area impacts, both real-
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x
                                                              time and post-contingency, and
                                                              determine if the actions being taken are
                                                              A Reliability Coordinator experiencing a            MEDIUM
                                                              potential or actual SOL or IROL violation
IRO-006-4.1                   R1.                             within its Reliability Coordinator Area                                      RC                                                            ER                                       x         x         x
                                                              shall, with its authority and at its
                                                              discretion, select one or more procedures
                                                              The Interconnection-wide Transmission            Part of Main
                                                              Loading Relief (TLR) procedure for use in        Requirement
IRO-006-4.1                                  R1.1.            the Eastern Interconnection provided in                                      RC                                                                                                     x         x         x
                                                              Attachment 1-IRO-006-4. The TLR
                                                              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                                  R1.2.            Western Interconnection is WECC-IRO-                                         RC                                                                                                                         x
                                                              STD-006-0 provided at:
                                                              ftp://www.nerc.com/pub/sys/all_updl/stan
                                                              The Interconnection-wide transmission            Part of Main
                                                              loading relief procedure for use in ERCOT        Requirement
IRO-006-4.1                                  R1.3.            is provided as Section 7 of the ERCOT                                        RC                                                                                                                         x
                                                              Protocols, posted at:
                                                              http://www.ercot.com/mktrules/protocols/
                                                              The Reliability Coordinator shall only use          LOWER
                                                              local transmission loading relief or
IRO-006-4.1                   R2.                             congestion management procedures to                                          RC                                                            ER                                                           x
                                                              which the Transmission Operator
                                                              experiencing the potential or actual SOL
                                                              Each Reliability Coordinator with a relief          LOWER
                                                              obligation from an Interconnection-wide
IRO-006-4.1                   R3.                             procedure shall follow the curtailments as                                   RC                                                            ER                                       x         x         x
                                                              directed by the Interconnection-wide
                                                              procedure. A Reliability Coordinator
                                                              When Interconnection-wide procedures                MEDIUM
                                                              are implemented to curtail Interchange
IRO-006-4.1                   R4.                             Transactions that cross an                                                   RC                                                            ER                                       x         x         x
                                                              Interconnection boundary, each
                                                              During theCoordinator shall comply with
                                                              Reliability implementation of relief                MEDIUM
                                                              procedures, and up to the point that
IRO-006-4.1                   R5.                             emergency action is necessary,                                            RC, BA                                                           ER                                       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                                                                                                                         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                                                                                                                         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                                                                                                                         x                   x
                                                              Reliability Coordinators; the process to
                                                              follow in making those notifications; and



                                                                                                                                                                                                                                                                              Page 46 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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


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


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

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


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

                                                              Authority to act to prevent and mitigate
                                                              instances of causing Adverse Reliability
IRO-014-1                                    R1.1.6.
                                                              Impacts to other Reliability Coordinator
                                                                                                                  LOWER                    RC                                                                                                                         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                                                                                                                         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                                                                                                                         x                   x
                                                              indicated action(s).

                                                              Distributed to all Reliability Coordinators
IRO-014-1                                    R2.2.            that are required to take the indicated             LOWER                    RC                                                                                                                         x                   x
                                                              action(s).
                                                              A Reliability Coordinator’s Operating
                                                              Procedures, Processes, or Plans
IRO-014-1                     R3.                             developed to support a Reliability                  MEDIUM                   RC                                                                                                                         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                                                                                                                         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                                                                                                                         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                                                                                                                         x                   x
                                                              1 and Requirement 3 shall:


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


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




                                                                                                                                                                                                                                                                              Page 47 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              The Reliability Coordinator shall follow its
                                                              Operating Procedures, Processes, or
IRO-015-1                     R1.                             Plans for making notifications and                  MEDIUM                   RC                                                                                                                         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                                                                                                                         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                                                                                                                         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                                                                                                                         x                   x
                                                              least weekly.
                                                              The Reliability Coordinator shall provide
                                                              reliability-related information as
IRO-015-1                     R3.
                                                              requested by other Reliability
                                                                                                                  MEDIUM                   RC                                                                                                                         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                                                                                                                         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                                                                                                                         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                                                                                                                         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                                                                                                                         x                   x

                                                              If time does not permit, then each
                                                              Reliability Coordinator shall operate as
IRO-016-1                                    R1.2.2.
                                                              though the problem(s) exist(s) until the
                                                                                                                  MEDIUM                   RC                                                                                                                         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                                                                                                                         x                   x
                                                              implemented.
                                                              The Reliability Coordinator shall
                                                              document (via operator logs or other data
IRO-016-1                     R2.                             sources) its actions taken for either the           LOWER                    RC                                                                                                                         x                   x
                                                              event or for the disagreement on the
                                                              problem(s) or for both.

                                                              MODELING, DATA AND ANALYSIS




                                                                                                                                                                                                                                                                              Page 48 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Transmission Operator shall select
MOD-001-1                                                     one of the methodologies1 listed below
                              R1.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            for
                                                              calculating Available Transfer Capability
                                                              (ATC) or Available Flowgate Capability
                                                              Each Transmission Service Provider shall
MOD-001-1                                                     calculate ATC or AFC values as listed
                              R2.                                                                                 Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            below using the methodology or
                                                              methodologies selected by its
                                                              Transmission Operator(s):
MOD-001-1                                                     Hourly values for at least the next 48
                                             R2.1.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            hours.



MOD-001-1                                                     Daily values for at least the next 31
                                             R2.2.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            calendar days.



MOD-001-1                                                     Monthly values for at least the next 12
                                             R2.3.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            months (months 2-13).

                                                              Each Transmission Service Provider shall
MOD-001-1                                                     prepare and keep current an Available
                              R3.                                                                                 Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            Transfer Capability Implementation
                                                              Document (ATCID) that includes, at a
                                                              minimum, the following information:
                                                              Information describing how the selected
MOD-001-1                                                     methodology (or methodologies) has
                                             R3.1.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011
                                                              account for counterflows including:
                                                              How confirmed Transmission
MOD-001-1                                                     reservations, expected Interchange
                                             R3.2.1.                                                              Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            in R3.2.

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




                                                                                                                                                                                                                                                                              Page 49 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              The criteria used to determine when an
MOD-001-1
                                             R3.6.1.          outage that is in effect part                       Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              of a day impacts a daily calculation.

                                                              The criteria used to determine when an
MOD-001-1
                                             R3.6.2.          outage that is in effect part                       Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              of a month impacts a monthly calculation.
                                                              How outages from other Transmission
MOD-001-1                                                     Service Providers that can
                                             R3.6.3.                                                              Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011
                                                              implementing a new or revised ATCID:

                                                              Each Planning Coordinator associated
MOD-001-1
                                             R4.1.            with the Transmission Service                       Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              Provider’s area.

                                                              Each Reliability Coordinator associated
MOD-001-1
                                             R4.2.            with the Transmission Service Provider’s            Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              area.

                                                              Each Transmission Operator associated
MOD-001-1
                                             R4.3.            with the Transmission Service Provider’s            Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              area.


MOD-001-1                                                     Each Planning Coordinator adjacent to
                                             R4.4.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            the Transmission Service Provider’s area.



MOD-001-1                                                     Each Reliability Coordinator adjacent to
                                             R4.5.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            the Transmission Service Provider’s area


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

                                                              The Transmission Service Provider shall
MOD-001-1
                              R5.                             make available the current ATCID to all of          Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              the entities specified in R4.

                                                              When calculating Total Transfer
MOD-001-1                                                     Capability (TTC) or Total Flowgate
                              R6.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            Capability (TFC) the Transmission
                                                              Operator shall use assumptions no more
                                                              When calculating ATC orin thethe
                                                              limiting than those used AFC planning of
MOD-001-1                                                     Transmission Service Provider shall use
                              R7.                                                                                 Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            assumptions no more limiting than those
                                                              used in the planning of operations for the
                                                              Each Transmission period Provider
                                                              corresponding time Servicestudied, that
MOD-001-1                                                     calculates ATC shall recalculate ATC at a
                              R8.                                                                                 Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            minimum on the following frequency,
                                                              unless none of the calculated values
                                                              identified in the ATC equation have



                                                                                                                                                                                                                                                                              Page 50 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Hourly values, once per hour.
MOD-001-1                                                     Transmission Service Providers are
                                             R8.1.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011


MOD-001-1
                                             R8.3.            Monthly values, once per week.                      Pending                 TSP                                  A                                                      X
Auditable 6/1/2011

                                                              Within thirty calendar days of receiving a
MOD-001-1                                                     request by any Transmission Service
                                                                                                                  Pending                 TSP                                  A                                                      X
Auditable 6/1/2011            R9.                             Provider, Planning Coordinator, Reliability
                                                              Coordinator, or Transmission Operator
                                                              for data from the list below solely for use
MOD-001-1
                                             R9.1.            Transmission Service.                               Pending                 TSP                                  A                                                      X
Auditable 6/1/2011

                                                              If the Transmission Service Provider uses
MOD-001-1                                                     the data requested in its
                                             R9.1.1.                                                              Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            transfer or Flowgate capability
                                                              calculations, it shall make the data
                                                              used Transmission Service Provider does
                                                              If the available
MOD-001-1                                                     not use the data requested
                                             R9.1.2.                                                              Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            in its transfer or Flowgate capability
                                                              calculations, but maintains that
                                                               If the shall make that data available
                                                              data, itTransmission Service Provider
MOD-001-1                                                     does not use the data requested in its
                                             R9.1.3.                                                              Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            transfer or Flowgate capability
                                                              calculations, and does not maintain that
                                                              data, it shall not be required to make that
                                                              This data shall be made available by the
MOD-001-1                                                     Transmission Provider on the schedule
                                             R9.2.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            specified by the requestor (but no more
                                                              frequently than once per hour, unless
                                                              mutually agreed toServicerequester that
                                                              The Transmission by the Provider and
MOD-004-1                                                     maintains CBM shall prepare and keep
                              R1.                                                                                 Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            current a ―Capacity Benefit Margin
                                                              Implementation Document‖ (CBMID) that
                                                              The processathrough which a Load-
                                                              includes, at minimum, the following
MOD-004-1                                                     Serving Entity within a Balancing
                                             R1.1.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            current CBMID to the Transmission
                                                              Operators, Transmission Service
                                                              Providers, Reliability Coordinators,



                                                                                                                                                                                                                                                                              Page 51 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Load-Serving Entity determining the
MOD-004-1                                                     need for Transmission capacity to be set
                              R3.                                                                                 Pending                 LSE                                  A                                                      X
Auditable 6/1/2011                                            aside as CBM for imports into a
                                                              Balancing Authority Area shall determine
                                                              Using oneby: more of the following to
                                                              that need or
MOD-004-1                                                     determine the GCIR:
                                             R3.1.                                                                Pending                 LSE                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            source region(s).

                                                              Each Resource Planner determining the
MOD-004-1                                                     need for Transmission capacity to be set
                              R4.                                                                                 Pending                   RP                                 A                                                      X
Auditable 6/1/2011                                            aside as CBM for imports into a
                                                              Balancing Authority Area shall determine
                                                              Using oneby: more of the following to
                                                              that need or
MOD-004-1                                                     determine the GCIR:
                                             R4.1.                                                                Pending                   RP                                 A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            source region(s).

                                                              At least every 13 months, the
MOD-004-1                                                     Transmission Service Provider that
                              R5.                                                                                 Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            maintains CBM shall establish a CBM
                                                              value for each ATC Path or Flowgate to be
                                                              used for ATC or Available Flowgate
                                                              Reflect consideration of each of the
MOD-004-1                                                     following if available:
                                             R5.1.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            a) Any studies (as described in R3.1)
                                                              performed by Load-Serving Entities for
                                                              Be allocated thefollows:
                                                              loads within as Transmission Service
MOD-004-1                                                     a) For ATC Paths, based on the expected
                                             R5.2.                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            CBM value for each ATC Path or Flowgate
                                                              to be used in planning during each of the
                                                              Reflect consideration of each often
                                                              full calendar years two through the
MOD-004-1                                                     following if available:
                                             R6.1.                                                                Pending                   TP                                 A                                                      X
Auditable 6/1/2011                                            a) Any studies (as described in R3.1)
                                                              performed by Load-Serving Entities for
                                                              Be allocated as Transmission Planner’s
                                                              loads within thefollows:
MOD-004-1                                                     a) For ATC Paths, based on the expected
                                             R6.2.                                                                Pending                   TP                                 A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011                                            Planner shall notify all the Load-Serving
                                                              Entities and Resource Planners that
                                                              determined they had a need for CBM on



                                                                                                                                                                                                                                                                              Page 52 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Service Provider that
MOD-004-1                                                     maintains CBM and the Transmission
                              R9.                                                                                 Pending              TSP, TP                                 A                                                      X
Auditable 6/1/2011                                            Planner shall each provide (subject to
                                                              confidentiality and security requirements)
                                                              copies of the applicable supporting data,
                                                              Each of its associated Transmission
MOD-004-1
                                             R9.1.            Operators within 30 calendar days of their          Pending              TSP, TP                                 A                                                      X
Auditable 6/1/2011
                                                              making a request for the data.
                                                              To any Transmission Service Provider,
MOD-004-1                                                     Reliability Coordinator, Transmission
                                             R9.2.                                                                Pending              TSP, TP                                 A                                                      X
Auditable 6/1/2011                                            Planner, Resource Planner, or Planning
                                                              Coordinator within 30 calendar days of
                                                              The making a request for the data.
                                                              theirLoad-Serving Entity or Balancing
MOD-004-1                                                     Authority shall request to import energy
                              R10.                                                                                Pending              BA, LSE                                 A                                                      X
Auditable 6/1/2011                                            over firm Transfer Capability set aside as
                                                              CBM only when experiencing a declared
                                                              NERC Energy Emergency Alert (EEA) 2 or
                                                              When reviewing an Arranged Interchange
MOD-004-1                                                     using CBM, all Balancing Authorities and
                              R11.                                                                                Pending              BA, TSP                                 A                                                      X
Auditable 6/1/2011                                            Transmission Service Providers shall
                                                              waive, within the bounds of reliable
                                                              operation, any Real-time timing and that
                                                              The Transmission Service Provider
MOD-004-1                                                     maintains CBM shall approve, within the
                              R12.                                                                                Pending                 TSP                                  A                                                      X
Auditable 6/1/2011                                            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                                                      X
Auditable 6/1/2011


                                                              The EEA 2 is declared within the
MOD-004-1
                                             R12.2.           Balancing Authority Area of the ―energy             Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              deficient entity,‖ and

                                                              The Load of the ―energy deficient entity‖
MOD-004-1
                                             R12.3.           is located within the Transmission                  Pending                 TSP                                  A                                                      X
Auditable 6/1/2011
                                                              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
                                                              Require that CBM procedure shall include
                                                              reservation). The be used only after the
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 has shall only be used and
                                                              ManagementCBMbeen implemented, if the
MOD-006-0.1                                                   Load-Serving Entity calling for its use is
                                             R1.2.                                                                LOWER                    TSP
Retired 3/31/2011                                             experiencing a generation deficiency and
                                                              its Transmission Service Provider is also
                                                              experiencing Transmission Constraints
                                                              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.



                                                                                                                                                                                                                                                                              Page 53 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Transmission Service Provider that
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
                                                              TheLoad-Serving Entities’ Loads on shall
                                                              the Transmission Service Provider its
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                                                     prepare and keep current a TRM
                              R1.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            Implementation Document (TRMID) that
                                                              includes, as a minimum, the following
                                                              information:
                                                              Identification of (on each of its respective
MOD-008-1                                                     ATC Paths or Flowgates) each of the
                                             R1.1.                                                                Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            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
                                             R1.2.            allocate TRM across ATC Paths or                    Pending                 TOP                                  A                                                      X
Auditable 6/1/2011
                                                              Flowgates.


MOD-008-1                                                     The identification of the TRM calculation
                                             R1.3.                                                                Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            used for the following time periods:



MOD-008-1
                                             R1.3.1.          Same day and real-time.                             Pending                 TOP                                  A                                                      X
Auditable 6/1/2011



MOD-008-1
                                             R1.3.2.          Day-ahead and pre-schedule.                         Pending                 TOP                                  A                                                      X
Auditable 6/1/2011



MOD-008-1                                                     Beyond day-ahead and pre-schedule, up
                                             R1.3.3.                                                              Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            to thirteen months ahead.

                                                              Each Transmission Operator shall only
MOD-008-1                                                     use the components of uncertainty from
                              R2.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            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                                                     available its TRMID, and if requested,
                              R3.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            underlying documentation (if any) used to
                                                              determine TRM, in the format used by the
                                                              Transmission Operator, to any of the



                                                                                                                                                                                                                                                                              Page 54 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Transmission Operator that
MOD-008-1                                                     maintains TRM shall establish TRM
                              R4.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            values in accordance with the TRMID at
                                                              least once every 13 months.
                                                              The Transmission Operator that
MOD-008-1                                                     maintains TRM shall provide the TRM
                              R5.                                                                                 Pending                 TOP                                  A                                                      X
Auditable 6/1/2011                                            values to its Transmission Service
                                                              Provider(s) and Transmission Planner(s)
                                                              no more than seven calendar days after a
                                                              The Transmission Owners, Transmission
                                                              Planners, Generator Owners, and
MOD-010-0                     R1.                                                                                 MEDIUM           GO, RP, TO, TP
                                                              Resource Planners (specified in the data
                                                              requirements and reporting procedures of
                                                              MOD-011-0_R1) shall provide appropriate
                                                              The Transmission Owners, Transmission
                                                              Planners, Generator Owners, and
MOD-010-0                     R2.                                                                                 MEDIUM           GO, RP, TO, TP                                        A
                                                              Resource Planners (specified in the data
                                                              requirements and reporting procedures of
                                                              MOD-011-0_R1) shall provide this steady-
                                                              The Transmission Owners, Transmission
                                                              Planners, Generator Owners, and
MOD-012-0                     R1.                                                                                 MEDIUM           GO, RP, TO, TP
                                                              Resource Planners (specified in the data
                                                              requirements and reporting procedures of
                                                              MOD-013-0_R1) shall provide appropriate
                                                              The Transmission Owners, Transmission
                                                              Planners, Generator Owners, and
MOD-012-0                     R2.                                                                                 MEDIUM           GO, RP, TO, TP                                        A
                                                              Resource Planners (specified in the data
                                                              requirements and reporting procedures of
                                                              MOD-013-0_R1) shall provide appropriate
                                                              The Planning Authority and 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)
                                                              Demand data, (b) Net Energy for Load
                                                              The aggregated and dispersed 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 changes             LOWER                 PA, PC
                                                              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.

                                                              The Load-Serving Entity, Planning
                                                              Authority and Resource Planner shall
MOD-017-0.1                   R1.                             each provide the following information              MEDIUM           LSE, PA, PC, RP
                                                              annually on an aggregated Regional,
                                                              subregional, Power Pool, individual
                                                              Integrated hourly demands in megawatts
                                                              (MW) for the prior year.
MOD-017-0.1                                  R1.1.                                                                MEDIUM           LSE, PA, PC, RP




                                                                                                                                                                                                                                                                              Page 55 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              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
                                                              an aggregated or dispersed basis) shall:
                                                              Indicate whether the demand data of
                                                              nonmember entities within an area or                                LSE, PA, PC, RP,
MOD-018-0                                    R1.1.                                                                MEDIUM
                                                              Regional Reliability Organization are                                     TP
                                                              included, and
                                                              Address assumptions, methods, and the
                                                              manner in which uncertainties are 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 for                                 TP
                                                              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
                                                              The Load-Serving Entity, Planning
                                                              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                                                     include in its Available Transfer
                              R1.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Capability Implementation Document
                                                              (ATCID), at a minimum, the following
                                                              information relative to its methodology



                                                                                                                                                                                                                                                                              Page 56 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Information describing how the selected
MOD-028-1                                                     methodology has been implemented, in
                                             R1.1.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            such detail that, given the same
                                                              information used by the Transmission
                                                              Operator, the results of the TTC
                                                              A description of the manner in which the
MOD-028-1                                                     Transmission Operator will account for
                                             R1.2.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Interchange Schedules in the calculation
                                                              of TTC.

MOD-028-1                                                     Any contractual obligations for allocation
                                             R1.3.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            of TTC.


                                                              A description of the manner in which
MOD-028-1
                                             R1.4.            Contingencies are identified for use in the         Pending                 TSP                                  A
Auditable 6/1/2011
                                                              TTC process.

                                                              The following information on how source
MOD-028-1                                                     and sink for transmission service is
                                             R1.5.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            accounted for in ATC calculations
                                                              including:
                                                              Define if the source used for Available
MOD-028-1                                                     Transfer Capability (ATC)
                                             R1.5.1.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            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                                                     calculations is obtained from the sink
                                             R1.5.2.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            field or the Point of Delivery (POD) field of
                                                              the transmission
                                                              reservation
MOD-028-1                                                     The source/sink or POR/POD
                                             R1.5.3.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            identification and mapping to the model

                                                              If the Transmission Service Provider’s
MOD-028-1                                                     ATC calculation process
                                             R1.5.4.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            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                                                     Transmission Operator shall use a
                              R2.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            Transmission model that contains all of
                                                              the following:
                                                              Modeling data and topology of its
MOD-028-1                                                     Reliability Coordinator’s area of
                                             R2.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            responsibility. Equivalent representation
                                                              of radial lines and facilities 161 kV or
                                                              below is allowed. topology (or equivalent
                                                              Modeling data and
MOD-028-1                                                     representation) for immediately adjacent
                                             R2.2.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            and beyond Reliability Coordination
                                                              areas.

                                                              Facility Ratings specified by the
MOD-028-1
                                             R2.3.            Generator Owners and Transmission                   Pending                 TOP                                  A
Auditable 6/1/2011
                                                              Owners.

                                                              When calculating TTCs for ATC Paths, the
MOD-028-1                                                     Transmission Operator shall include the
                              R3.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            following data for the Transmission
                                                              Service Provider’s area. The
                                                              Transmission Operator shall also include



                                                                                                                                                                                                                                                                              Page 57 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              For on-peak and off-peak intra-day and
MOD-028-1                                                     next-day TTCs, use the following (as well
                                             R3.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            as any other values and additional
                                                              parameters as specified in the ATCID):
                                                              Expected generation and Transmission
MOD-028-1                                                     outages, additions, and
                                             R3.1.1.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            retirements, included as specified in the
                                                              ATCID.

MOD-028-1                                                     Load forecast for the applicable period
                                             R3.1.2.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            being calculated.

                                                              Unit commitment and dispatch order, to
MOD-028-1                                                     include all designated
                                             R3.1.3.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            network resources and other resources
                                                              that are committed or have the
                                                              For days two through 31 TTCsor out of
                                                              legal obligation to run, (within and for
MOD-028-1                                                     months two through 13 TTCs, use the
                                             R3.2.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            following (as well as any other values and
                                                              internal parameters as specified in the
                                                              ATCID): generation and Transmission
                                                              Expected
MOD-028-1                                                     outages, additions, and
                                             R3.2.1.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            Retirements, included as specified in the
                                                              ATCID.
                                                              Daily load forecast for the days two
MOD-028-1                                                     through 31 TTCs being
                                             R3.2.2.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            calculated and monthly forecast for
                                                              months two through 13 months
                                                              TTCs being calculated.
                                                              Unit commitment and dispatch order, to
MOD-028-1                                                     include all designated
                                             R3.2.3.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            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, the
MOD-028-1
                              R4.                             Transmission Operator shall meet all of             Pending                 TOP                                  A
Auditable 6/1/2011
                                                              the following conditions:


MOD-028-1                                                     Use all Contingencies meeting the criteria
                                             R4.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            described in the ATCID.



MOD-028-1                                                     Respect any contractual allocations of
                                             R4.2.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            TTC.

                                                              Include, for each time period, the Firm
MOD-028-1                                                     Transmission Service expected to be
                                             R4.3.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            scheduled as specified in the ATCID
                                                              (filtered to reduce or eliminate duplicate
                                                              impacts from transactions using
                                                              Each Transmission Operator shall
MOD-028-1
                              R5.                             establish TTC for each ATC Path as                  Pending                 TOP                                  A
Auditable 6/1/2011
                                                              defined below:

                                                              At least once within the seven calendar
MOD-028-1                                                     days prior to the specified period for
                                             R5.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            TTCs used in hourly and daily ATC
                                                              calculations.




                                                                                                                                                                                                                                                                              Page 58 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

MOD-028-1                                                     At least once per calendar month for
                                             R5.2.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            TTCs used in monthly ATC calculations.

                                                              Within 24 hours of the unexpected outage
MOD-028-1                                                     of a 500 kV or higher transmission Facility
                                             R5.3.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            or a transformer with a low-side voltage
                                                              of 200 kV or higher for TTCs in effect
                                                              during the anticipated duration of the
                                                              Each Transmission Operator shall
MOD-028-1
                              R6.                             establish TTC for each ATC Path using               Pending                 TOP                                  A
Auditable 6/1/2011
                                                              the following process:
                                                              Determine the incremental Transfer
MOD-028-1                                                     Capability for each ATC Path by
                                             R6.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            increasing generation and/or decreasing
                                                              load within the source Balancing
                                                              Authority in step R6.1 can not be reached
                                                              If the limitarea and decreasing generation
MOD-028-1                                                     by adjusting any combination of load or
                                             R6.2.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            generation, then set the incremental
                                                              Transfer Capability by the results of the
                                                              Use where the maximum adjustments
                                                              case(as the TTC) the lesser of:
MOD-028-1                                                     - The sum of the incremental Transfer
                                             R6.3.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            Capability and the impacts of Firm
                                                              Transmission Services, as specified in
                                                              For Transmission Service
                                                              the ATC Paths whose capacity uses
MOD-028-1                                                     jointly-owned or allocated Facilities, limit
                                             R6.4.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            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                                                     the Transmission Service Provider of that
                              R7.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            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
                                             R7.1.            for TTCs used in hourly and daily ATC               Pending                 TOP                                  A
Auditable 6/1/2011
                                                              calculations.

                                                              Seven calendar days after its
MOD-028-1
                                             R7.2.            determination for TTCs used in monthly              Pending                 TOP                                  A
Auditable 6/1/2011
                                                              ATC calculations.
                                                              When calculating Existing Transmission
MOD-028-1                                                     Commitments (ETCs) for firm
                              R8.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            commitments (ETCF) for all time periods
                                                              for an ATC Path the Transmission Service
                                                              When calculating the for non-firm
                                                              Provider shall useETC following
MOD-028-1                                                     commitments (ETCNF) for all time periods
                              R9.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            for an ATC Path the Transmission Service
                                                              Provider shall use the following
                                                              algorithm:
                                                              When calculating firm ATC for an ATC
MOD-028-1                                                     Path for a specified period, the
                              R10.                                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Service Provider shall
                                                              utilize the following algorithm:
                                                              When calculating non-firm – TRM a
                                                              ATCF = TTC – ETCF – CBMATC for + ATC
MOD-028-1                                                     Path for a specified period, the
                              R11.                                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Service Provider shall use
                                                              the following algorithm:
                                                              ATCNF = TTC – ETCF - ETCNF – CBMS –



                                                                                                                                                                                                                                                                              Page 59 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              When calculating TTCs for ATC Paths, the
MOD-029-1                                                     Transmission Operator shall use a
                              R1.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            Transmission model which satisfies the
                                                              following requirements:
                                                              The model utilizes data and assumptions
MOD-029-1                                                     consistent with the time period being
                                             R1.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            studied and that meets the following
                                                              criteria:

MOD-029-1
                                             R1.1.1.          Includes at least:                                  Pending                 TOP                                  A
Auditable 6/1/2011


                                                              The Transmission Operator area.
MOD-029-1
                                             R1.1.1.1.        Equivalent representation of radial lines           Pending                 TOP                                  A
Auditable 6/1/2011
                                                              and facilities 161kV or below is allowed.

                                                              All Transmission Operator areas
MOD-029-1                                                     contiguous with its own Transmission
                                             R1.1.1.2.                                                            Pending                 TOP                                  A
Auditable 6/1/2011                                            Operator area. (Equivalent representation
                                                              is allowed.)
                                                              Any other Transmission Operator area
MOD-029-1                                                     linked to the Transmission Operator’s
                                             R1.1.1.3.                                                            Pending                 TOP                                  A
Auditable 6/1/2011                                            area by joint operating agreement.
                                                              (Equivalent representation is allowed.

                                                              Models all system Elements as in-service
MOD-029-1
                                             R1.1.2.          for the assumed initial                             Pending                 TOP                                  A
Auditable 6/1/2011
                                                              conditions.
                                                              Models all generation (may be either a
MOD-029-1                                                     single generator or multiple
                                             R1.1.3.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            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                                                     mode, unless otherwise
                                             R1.1.4.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            specified in the Available Transfer
                                                              Capability Implementation
                                                              Document (ATCID).
MOD-029-1                                                     Uses Load forecast by Balancing
                                             R1.1.5.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            Authority.



MOD-029-1                                                     Uses Transmission Facility additions and
                                             R1.1.6.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            retirements.



MOD-029-1                                                     Uses Generation Facility additions and
                                             R1.1.7.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            retirements.

                                                              Uses Special Protection System (SPS)
MOD-029-1                                                     models where currently
                                             R1.1.8.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            existing or projected for implementation
                                                              within the studied time
                                                              horizon.series compensation for each line
                                                              Models
MOD-029-1                                                     at the expected operating
                                             R1.1.9.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            level unless specified otherwise in the
                                                              ATCID.




                                                                                                                                                                                                                                                                              Page 60 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              Includes any other modeling
MOD-029-1
                                             R1.1.10.         requirements or criteria specified in               Pending                 TOP                                  A
Auditable 6/1/2011
                                                              the ATCID.

                                                              Uses Facility Ratings as provided by the
MOD-029-1
                                             R1.2.            Transmission Owner and Generator                    Pending                 TOP                                  A
Auditable 6/1/2011
                                                              Owner


MOD-029-1                                                     The Transmission Operator shall use the
                              R2.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            following process to determine TTC:

                                                              Except where otherwise specified within
MOD-029-1                                                     MOD-029-1, adjust base case
                                             R2.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            generation and Load levels within the
                                                              updated power flow model to determine
                                                              the TTC (maximum flow or reliability limit)
                                                              When modeling normal conditions, all
MOD-029-1                                                     Transmission Elements will
                                             R2.1.1.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            be modeled at or below 100% of their
                                                              continuous rating.
                                                              When modeling contingencies the system
MOD-029-1                                                     shall demonstrate transient, dynamic and
                                             R2.1.2.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            voltage stability, with no Transmission
                                                              Element modeled above its Emergency
                                                              Rating.
MOD-029-1
                                             R2.1.3.          Uncontrolled separation shall not occur.            Pending                 TOP                                  A
Auditable 6/1/2011

                                                              Where it is impossible to actually
MOD-029-1                                                     simulate a reliability-limited flow in a
                                             R2.2.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            direction counter to prevailing flows (on
                                                              an alternating current Transmission line),
                                                              For the ATC Path whose capacity is
                                                              set an TTC for the non-prevailing
MOD-029-1                                                     limited by contract, set TTC on the ATC
                                             R2.3.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            Path at the lesser of the maximum
                                                              allowable contract capacity or the
                                                              For an ATC Path determined by R2.1.
                                                              reliability limit aswhose TTC varies due to
MOD-029-1                                                     simultaneous interaction with one or
                                             R2.4.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            more other paths, develop a nomogram
                                                              describing the interaction of the paths
                                                              The the resulting TTC under shall identify
                                                              and Transmission Operator specified
MOD-029-1                                                     when the TTC for the ATC Path
                                             R2.5.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            being studied has an adverse impact on
                                                              the TTC value of any existing path. Do
                                                              Where modeling the flow on
                                                              this by multiple ownership of the path
MOD-029-1                                                     Transmission rights exists on an ATC
                                             R2.6.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            Path,
                                                              allocate TTC of that ATC Path in
                                                              accordance with the contractual
                                                              For ATC Paths whose path rating,
MOD-029-1                                                     adjusted for seasonal variance, was
                                             R2.7.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            established, known and used in operation
                                                              since January 1, 1994, and no action has
                                                              been taken to have the path rated using a
                                                              Create a study report that describes the
MOD-029-1                                                     steps above that were undertaken (R2.1 –
                                             R2.8.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            R2.7), including the contingencies and
                                                              assumptions used, when determining the
                                                              TTC and the results of the study. Where



                                                                                                                                                                                                                                                                              Page 61 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Each Transmission Operator shall
MOD-029-1                                                     establish the TTC at the lesser of the
                              R3.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            value calculated in R2 or any System
                                                              Operating Limit (SOL) for that ATC Path.
                                                              Within seven calendar days of the
MOD-029-1                                                     finalization of the study report, the
                              R4.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            Transmission Operator shall make
                                                              available to the Transmission Service
                                                              Provider of the ATC Path, firm Existing
                                                              When calculating ETC for the most
MOD-029-1                                                     Transmission Commitments (ETCF) for a
                              R5.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            specified period for an ATC Path, the
                                                              Transmission Service Provider shall use
                                                              the algorithm below: for non-firm
                                                              When calculating ETC
MOD-029-1                                                     Existing Transmission Commitments
                              R6.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            (ETCNF) for all time horizons for an ATC
                                                              Path the Transmission Service Provider
                                                              Whenuse the followingATC for an ATC
                                                              shall calculating firm algorithm:
MOD-029-1                                                     Path for a specified period, the
                              R7.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Service Provider shall use
                                                              the following algorithm:
                                                              When calculating non-firm – TRM an
                                                              ATCF = TTC – ETCF – CBMATC for +
MOD-029-1                                                     ATC Path for a specified period, the
                              R8.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Service Provider shall use
                                                              the following algorithm:
                                                              ATCNF = TTC – ETCF – ETCNF – CBMS –
                                                              The Transmission Service Provider shall
MOD-030-2                                                     include in its ―Available Transfer
                              R1.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Capability Implementation Document‖
                                                              (ATCID):
                                                              The criteria used by the Transmission
MOD-030-2                                                     Operator to identify sets of Transmission
                                             R1.1.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Facilities as Flowgates that are to be
                                                              considered in Available Flowgate
                                                              Capability (AFC) calculations.
                                                              The following information on how source
MOD-030-2                                                     and sink for transmission service is
                                             R1.2.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            accounted for in AFC calculations
                                                              including:
                                                              Define if the source used for AFC
MOD-030-2                                                     calculations is obtained from the source
                                             R1.2.1.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            field or the Point of Receipt (POR) field of
                                                              the transmission reservation.
                                                              Define if the sink used for AFC
MOD-030-2                                                     calculations is obtained from the sink
                                             R1.2.2.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            field or the Point of Delivery (POD) field of
                                                              the transmission reservation.

MOD-030-2                                                     The source/sink or POR/POD
                                             R1.2.3.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            identification and mapping to the model.

                                                              If the Transmission Service Provider’s
MOD-030-2                                                     AFC calculation process involves a
                                             R1.2.4.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            grouping of generators, the ATCID must
                                                              identify how these generators
                                                              participate in the group.
MOD-030-2                                                     The Transmission Operator shall perform
                              R2.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            the following: [Violation Risk Factor:




                                                                                                                                                                                                                                                                              Page 62 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              Include Flowgates used in the AFC
MOD-030-2
                                            R2.1.             process based, at a minimum, on the                 Pending                 TOP                                  A
Auditable 6/1/2011
                                                              following criteria:

                                                              Results of a first Contingency transfer
MOD-030-2                                                     analysis for ATC Paths internal to a
                                            R2.1.1.                                                               Pending                 TOP                                  A
Auditable 6/1/2011                                            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                                                     with those first Contingency criteria used
                                            R2.1.1.1.                                                             Pending                 TOP                                  A
Auditable 6/1/2011                                            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
                                            R2.1.1.2.         configuration needs to                              Pending                 TOP                                  A
Auditable 6/1/2011
                                                              be included as a Flowgate.

                                                              If any limiting element is kept within its
MOD-030-2                                                     limit for its associated worst Contingency
                                            R2.1.1.3.                                                             Pending                 TOP                                  A
Auditable 6/1/2011                                            by operating within the limits of another
                                                              Flowgate, then no new Flowgate needs to
                                                              be established for such limiting elements
                                                              Results of a first Contingency transfer
MOD-030-2                                                     analysis from all adjacent Balancing
                                            R2.1.2.                                                               Pending                 TOP                                  A
Auditable 6/1/2011                                            Authority source and sink (as defined in
                                                              the ATCID) combinations up to the path
                                                              capability such that at a minimum the first
                                                              Use first Contingency criteria consistent
MOD-030-2                                                     with those first Contingency criteria used
                                            R2.1.2.1.                                                             Pending                 TOP                                  A
Auditable 6/1/2011                                            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
                                            R2.1.2.2.         configuration needs to be included as a             Pending                 TOP                                  A
Auditable 6/1/2011
                                                              Flowgate.
                                                              If any limiting element is kept within its
MOD-030-2                                                     limit for its associated worst Contingency
                                            R2.1.2.3.                                                             Pending                 TOP                                  A
Auditable 6/1/2011                                            by operating within the limits of another
                                                              Flowgate, then no new Flowgate needs to
                                                              be established for such limiting elements
                                                              Any limiting Element/Contingency
MOD-030-2                                                     combination at least within its
                                            R2.1.3.                                                               Pending                 TOP                                  A
Auditable 6/1/2011                                            Reliability Coordinator’s Area that has
                                                              been subjected to an
                                                              Interconnection-wide congestion
                                                              Any limiting Element/Contingency
MOD-030-2                                                     combination within the Transmission
                                            R2.1.4.                                                               Pending                 TOP                                  A
Auditable 6/1/2011                                            model that has been requested to be
                                                              included by any other Transmission
                                                              Service Provider using the Flowgate
                                                              The coordination of the limiting
MOD-030-2                                                     Element/Contingency combination is not
                                            R2.1.4.1.                                                             Pending                 TOP                                  A
Auditable 6/1/2011                                            already addressed through a different
                                                              methodology, and                 - Any
                                                              generator within the Transmission
                                                              The limiting Element/Contingency
MOD-030-2                                                     combination is included in the requesting
                                            R2.1.4.2.                                                             Pending                 TOP                                  A
Auditable 6/1/2011                                            Transmission Service Provider’s
                                                              methodology.
                                                              At a minimum, establish a list of
MOD-030-2                                                     Flowgates by creating, modifying, or
                                            R2.2.                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            deleting Flowgate definitions at least
                                                              once per calendar year.




                                                                                                                                                                                                                                                                              Page 63 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              At a minimum, establish a list of
MOD-030-2                                                     Flowgates by creating, modifying, or
                                             R2.3.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            deleting Flowgates that have been
                                                              requested as part of R2.1.4 within thirty
                                                              Establishdays from the request. defined
                                                              calendar the TFC of each of the
MOD-030-2                                                     Flowgates as equal to:               - For
                                             R2.4.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            thermal limits, the System Operating Limit
                                                              (SOL) of the Flowgate.
                                                              - For voltage or stability limits, the flow
MOD-030-2                                                     At a minimum, establish the TFC once per
                                             R2.5.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            calendar year.

                                                              If notified of a change in the Rating by the
MOD-030-2                                                     Transmission Owner that would affect the
                                             R2.5.1.                                                              Pending                 TOP                                  A
Auditable 6/1/2011                                            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
                                             R2.6.            Provider with the TFCs within seven                 Pending                 TOP                                  A
Auditable 6/1/2011
                                                              calendar days of their establishment.
                                                              The Transmission Operator shall make
MOD-030-2                                                     available to the Transmission Service
                              R3.                                                                                 Pending                 TOP                                  A
Auditable 6/1/2011                                            Provider a Transmission model to
                                                              determine Available Flowgate Capability
                                                              (AFC) that meets the following criteria:
                                                              Contains generation Facility Ratings,
MOD-030-2                                                     such as generation maximum and
                                             R3.1.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            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
                                             R3.2.            calculations for intra-day, next day, and           Pending                 TOP                                  A
Auditable 6/1/2011
                                                              days two through 30.


MOD-030-2                                                     Updated at least once per month for AFC
                                             R3.3.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            calculations for months two through 13.

                                                              Contains modeling data and system
MOD-030-2                                                     topology for the Facilities within its
                                             R3.4.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            Reliability Coordinator’s Area. Equivalent
                                                              representation of radial lines and
                                                              Facilities161kV or below is allowed.
                                                              Contains modeling data and system
MOD-030-2                                                     topology (or equivalent representation)
                                             R3.5.                                                                Pending                 TOP                                  A
Auditable 6/1/2011                                            for immediately adjacent and beyond
                                                              Reliability Coordination Areas.
                                                              When calculating AFCs, the Transmission
MOD-030-2                                                     Service Provider shall represent the
                              R4.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            impact of Transmission Service as
                                                              follows:                           - If the
                                                              source, as specified in the ATCID, has
MOD-030-2                                                     When calculating AFCs, the Transmission
                              R5.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Service Provider shall:


MOD-030-2                                                     Use the models provided by the
                                             R5.1.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Operator.




                                                                                                                                                                                                                                                                              Page 64 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Include in the transmission model
MOD-030-2                                                     expected generation and Transmission
                                             R5.2.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            outages, additions, and retirements within
                                                              the scope of the model as specified in the
                                                              ATCID and in effect during the applicable
                                                              For external Flowgates, identified in
MOD-030-2                                                     R2.1.4, use the AFC provided by the
                                             R5.3.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Service Provider that
                                                              calculates AFC for that Flowgate.
                                                              When calculating the impact of ETC for
MOD-030-2                                                     firm commitments (ETCFi) for all time
                              R6.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            periods for a Flowgate, the Transmission
                                                              Service Provider shall sum the following:
                                                              The impact of firm Network Integration
MOD-030-2                                                     Transmission Service, including the
                                             R6.1.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            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
                                             R6.1.1.          calculated, including Native Load and               Pending                 TSP                                  A
Auditable 6/1/2011
                                                              Network Service load
                                                              Unit commitment and Dispatch Order, to
MOD-030-2                                                     include all designated network resources
                                             R6.1.2.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            and other resources that are committed
                                                              or have the legal obligation to run as
                                                              specified in the Transmission Service
                                                              The impact of any firm Network
MOD-030-2                                                     Integration Transmission Service,
                                             R6.2.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            including the impacts of generation to
                                                              load in the model referenced in R5.2 and
                                                              has a distribution factor equal to or
                                                              Load forecast for the time period being
MOD-030-2
                                             R6.2.1.          calculated, including Native Load and               Pending                 TSP                                  A
Auditable 6/1/2011
                                                              Network Service load
                                                              Unit commitment and Dispatch Order, to
MOD-030-2                                                     include all designated network resources
                                             R6.2.2.                                                              Pending                 TSP                                  A
Auditable 6/1/2011                                            and other resources that are committed
                                                              or have the legal obligation to run as
                                                              The impact the Transmission Service
                                                              specified in of all confirmed firm Point-to-
MOD-030-2                                                     Point Transmission Service expected to
                                             R6.3.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            be scheduled, including roll-over rights
                                                              for Firm Transmission Service contracts,
                                                              Thethe Transmission Service firm Point-to-
                                                              for impact of any confirmed Provider’s
MOD-030-2                                                     Point Transmission Service expected to
                                             R6.4.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            be scheduled, filtered to reduce or
                                                              eliminate duplicate impacts from
                                                              The impact of any Transmission firm
                                                              transactions usingGrandfathered service
MOD-030-2                                                     obligations expected to be scheduled or
                                             R6.5.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            expected to flow for the Transmission
                                                              Service Provider’s area.
                                                              The impact of any Grandfathered firm
MOD-030-2                                                     obligations expected to be scheduled or
                                             R6.6.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            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
                                             R6.7.            determined by the Transmission Service              Pending                 TSP                                  A
Auditable 6/1/2011
                                                              Provider.




                                                                                                                                                                                                                                                                              Page 65 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              When calculating the impact of ETC for
MOD-030-2                                                     non-firm commitments (ETCNFi) for all
                              R7.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            time periods for a Flowgate the
                                                              Transmission Service Provider shall sum:
                                                              The impact of all confirmed non-firm
MOD-030-2                                                     Point-to-Point Transmission Service
                                             R7.1.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            expected to be scheduled for the
                                                              Transmission Service Provider’s area.
                                                              The impact of any confirmed non-firm
MOD-030-2                                                     Point-to-Point Transmission Service
                                             R7.2.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            expected to be scheduled, filtered to
                                                              reduce or eliminate duplicate impacts
                                                              fromimpact of any using Transmission
                                                              The transactions Grandfathered non-firm
MOD-030-2                                                     obligations expected to be scheduled or
                                             R7.3.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            expected to flow for the Transmission
                                                              Service Provider’s area.
                                                              The impact of any Grandfathered non-firm
MOD-030-2                                                     obligations expected to be scheduled or
                                             R7.4.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            expected to flow that have a distribution
                                                              factor equal to or greater than the
                                                              percentage5 used to curtail in the
                                                              The impact of non-firm Network
MOD-030-2                                                     Integration Transmission Service serving
                                             R7.5.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Load
                                                              within the Transmission Service
                                                              The impactarea (i.e., secondary service),
                                                              Provider’s of any non-firm Network
MOD-030-2                                                     Integration Transmission Service
                                             R7.6.                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            (secondary
                                                              service) with a distribution factor equal to
                                                              or greater than the percentage6 used to
                                                              The impact of other non-firm services
MOD-030-2
                                             R7.7.            determined by the Transmission Service              Pending                 TSP                                  A
Auditable 6/1/2011
                                                              Provider.
                                                              When calculating firm AFC for a Flowgate
MOD-030-2                                                     for a specified period, the Transmission
                              R8.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Service Provider shall use the following
                                                              algorithm (subject to allocation processes
                                                              described in the ATCID): [Violation a
                                                              When calculating non-firm AFC for Risk
MOD-030-2                                                     Flowgate for a specified period, the
                              R9.                                                                                 Pending                 TSP                                  A
Auditable 6/1/2011                                            Transmission Service Provider shall use
                                                              the following algorithm (subject to
                                                              allocation processes described in the
                                                              Each Transmission Service Provider shall
MOD-030-2                                                     recalculate AFC, utilizing the updated
                              R10.                                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            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                                                     Transmission Service Providers are
                                             R10.1.                                                               Pending                 TSP                                  A
Auditable 6/1/2011                                            allowed up to
                                                              175 hours per calendar year during which
                                                              calculations are not required to be
MOD-030-2
                                             R10.2.           For daily AFC, once per day.                        Pending                 TSP                                  A
Auditable 6/1/2011


MOD-030-2
                                             R10.3.           For monthly AFC, once per week                      Pending                 TSP                                  A
Auditable 6/1/2011




                                                                                                                                                                                                                                                                              Page 66 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              When converting Flowgate AFCs to ATCs
MOD-030-2                                                     for ATC Paths, the Transmission Service
                              R11.                                                                                Pending                 TSP                                  A
Auditable 6/1/2011                                            Provider shall convert those values based
                                                              on the following algorithm:
                                                              ATC = min(P)

                                                              NUCLEAR


                                                              The Nuclear Plant Generator Operator                LOWER
NUC-001-2 Effective                                           shall provide the proposed NPIRs in                                  Nuclear GO and
4/1/2010
                    R1.                                       writing to the applicable Transmission                                Nuclear GOP
                                                                                                                                                                               A                                        SC                        x
                                                              Entities and shall verify receipt
                                                              The Nuclear Plant Generator Operator                MEDIUM         Nuclear GOP and
NUC-001-2 Effective                                           and the applicable Transmission Entities                              Transmission
4/1/2010
                    R2.                                       shall have in effect one or more                                     Entities that can
                                                                                                                                                                               A                                        SC                        x
                                                              Agreements[FN1] that include mutually                               include: BA, DP,
                                                              agreed Agreements document how the
                                                              Per the to NPIRs anddeveloped in                    MEDIUM         GO, GOP, LSE, PA,
                                                                                                                                    Transmission
NUC-001-2 Effective                                           accordance with this standard, the                                   Entities that can
4/1/2010
                    R3.                                       applicable Transmission Entities shall                              include: BA, DP,                             A                                                                  x
                                                              incorporate the NPIRs into their planning                          GO, GOP, LSE, PA,
                                                              Per the Agreements developed and
                                                              analyses of the electric system in shall              HIGH         PC, RC, TO, TOP,
                                                                                                                                    Transmission
NUC-001-2 Effective                                           accordance with this standard, the                                   Entities that can
4/1/2010
                    R4.                                       applicable Transmission Entities shall:                             include: BA, DP,                             A                                                                  x
                                                                                                                                 GO, GOP, LSE, PA,
                                                              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
                                             R4.1.
                                                                                                               Requirement        include: BA, DP,                             A                                                                  x
                                                                                                                                 GO, GOP, LSE, PA,
                                                              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
                                             R4.2.
                                                                                                               Requirement        include: BA, DP,                             A                                                                  x
                                                                                                                                 GO, GOP, LSE, PA,
                                                              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
                                             R4.3.            operation of the electric system affecting       Requirement        include: BA, DP,                             A                                                                  x
                                                              NPIRs is lost.                                                     GO, GOP, LSE, PA,
                                                              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
                    R5.                                       developed in accordance with this                                     Nuclear GOP
                                                                                                                                                                               A                                                                  x
                                                              standard.
                                                              Per the Agreements developed in                     MEDIUM         Nuclear GOP and
NUC-001-2 Effective                                           accordance with this standard, the                                    Transmission
4/1/2010
                    R6.                                       applicable Transmission Entities and the                             Entities that can                           A                                                                  x
                                                              Nuclear Plant Generator Operator shall                              include: BA, DP,
                                                              coordinate outages and maintenance
                                                              Per the Agreements developed in                       HIGH         GO, GOP, LSE, PA,
NUC-001-2 Effective                                           accordance with this standard, the                                   Nuclear GO and
4/1/2010
                    R7.                                       Nuclear Plant Generator Operator shall                                Nuclear GOP
                                                                                                                                                                               A                                                                  x
                                                              inform the applicable Transmission
                                                              Entities of actual or developed in
                                                              Per the Agreements proposed changes to                HIGH            Transmission
NUC-001-2 Effective                                           accordance with this standard, the                                   Entities that can
4/1/2010
                    R8.                                       applicable Transmission Entities shall                              include: BA, DP,                             A                                                                  x
                                                              inform the Nuclear Plant Generator                                 GO, GOP, LSE, PA,
                                                              The Nuclear Plant or proposed changes
                                                              Operator of actual Generator Operator               MEDIUM         PC, RC, TO, TOP,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                           and the applicable Transmission Entities                              Transmission
4/1/2010
                    R9.                                       shall include, as a minimum, the following                           Entities that can                           A                                                                  x
                                                              elements within the agreement(s)                                    include: BA, DP,
                                                              identified in R2:                                                  GO, GOP, LSE, PA,



                                                                                                                                                                                                                                                                              Page 67 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                              Requirement                                                                      Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                Number                                                                             Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Administrative elements:                                           Nuclear GOP and
NUC-001-2 Effective                                                                                            Part of Main         Transmission
4/1/2010
                                            R9.1.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                            R9.1.1.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                            R9.1.2.           responsibilities related to the NPIRs.           Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                            R9.1.3.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              A dispute resolution mechanism.                                    GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                                                                            Part of Main         Transmission
4/1/2010
                                            R9.1.4.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              Technical requirements and analysis:                               GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                                                                            Part of Main         Transmission
4/1/2010
                                            R9.2.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                            R9.2.1.           included in the NPIRs and, as applicable,        Requirement         Entities that can                           A                                                                  x
                                                              procedures for providing any specific                               include: BA, DP,
                                                              data not provided within the agreement.
                                                              Identification of facilities, components,                          GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                           and configuration restrictions that are          Part of Main         Transmission
4/1/2010
                                            R9.2.2.           essential for meeting the NPIRs.                 Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                            R9.2.3.           support the NPIRs, including the                 Requirement         Entities that can                           A                                                                  x
                                                              frequency of studies and types of                                   include: BA, DP,
                                                              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
                                            R9.3.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              Designation of ownership of electrical                             GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                           facilities at the interface between the          Part of Main         Transmission
4/1/2010
                                            R9.3.1.           electric system and the nuclear plant and        Requirement         Entities that can                           A                                                                  x
                                                              responsibilities for operational control                            include: BA, DP,
                                                              coordination and maintenance of these
                                                              Identification of any maintenance                                  GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                           requirements for equipment not owned or          Part of Main         Transmission
4/1/2010
                                            R9.3.2.           controlled by the Nuclear Plant Generator        Requirement         Entities that can                           A                                                                  x
                                                              Operator that are necessary to meet the                             include: BA, DP,
                                                              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
                                            R9.3.3.           supply systems and related components.           Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                            R9.3.4.           address periods when responsible                 Requirement         Entities that can                           A                                                                  x
                                                              Transmission Entity loses the ability to                            include: BA, DP,
                                                              assess the capability of the electric                              GO, GOP, LSE, PA,



                                                                                                                                                                                                                                                                              Page 68 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Provision for considering, within the                              Nuclear GOP and
NUC-001-2 Effective                                           restoration process, the requirements            Part of Main         Transmission
4/1/2010
                                             R9.3.5.          and urgency of a nuclear plant that has          Requirement         Entities that can                           A                                                                  x
                                                              lost all off-site and on-site AC power.                             include: BA, DP,
                                                              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
                                             R9.3.6.          System at the nuclear plant interface to         Requirement         Entities that can                           A                                                                  x
                                                              ensure each asset is covered under at                               include: BA, DP,
                                                              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
                                             R9.3.7.          Systems and underfrequency and                   Requirement         Entities that can                           A                                                                  x
                                                              undervoltage load shedding programs.                                include: BA, DP,
                                                              Communications and training:                                       GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                                                                            Part of Main         Transmission
4/1/2010
                                             R9.4.
                                                                                                               Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                             R9.4.1.          Transmission Entities, including                 Requirement         Entities that can                           A                                                                  x
                                                              communications protocols, notification                              include: BA, DP,
                                                              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
                                             R9.4.2.          NPIRs, including the need to provide             Requirement         Entities that can                           A                                                                  x
                                                              timely information explaining the event,                            include: BA, DP,
                                                              an estimate of when the system will be
                                                              Provisions for coordinating investigations                         GO, GOP, LSE, PA,
                                                                                                                                 Nuclear GOP and
NUC-001-2 Effective                                           of causes of unplanned events affecting          Part of Main         Transmission
4/1/2010
                                             R9.4.3.          the NPIRs and developing solutions to            Requirement         Entities that can                           A                                                                  x
                                                              minimize future risk of such events.                                include: BA, DP,
                                                              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
                                             R9.4.4.          agencies, as related to NPIRs.                   Requirement         Entities that can                           A                                                                  x
                                                                                                                                  include: BA, DP,
                                                              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
                                             R9.4.5.
                                                                                                               Requirement         Entities that can                           A                                                                  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                                                      X           x         x         x                   x
                                                              adequately trained operating personnel.

                                                              Each Transmission Operator and
                                                              Balancing Authority shall have a training
PER-002-0                     R2.
                                                              program for all operating personnel that
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              are in:
                                                              Positions that have the primary
                                                              responsibility, either directly or through
PER-002-0                                    R2.1.            communications with others, for the real-
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              time operation of the interconnected Bulk
                                                              Electric System.



                                                                                                                                                                                                                                                                              Page 69 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              Positions directly responsible for
PER-002-0                                    R2.2.
                                                              complying with NERC standards.
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           x         x         x                   x

                                                              For personnel identified in Requirement
                                                              R2, the Transmission Operator and
PER-002-0                     R3.                             Balancing Authority shall provide a
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              training program meeting the following
                                                              criteria:
                                                              A set of training program objectives must
                                                              be defined, based on NERC and Regional
PER-002-0                                    R3.1.            Reliability Organization standards, entity
                                                                                                                  MEDIUM               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              operating procedures, and applicable
                                                              regulatory requirements. These a plan
                                                              The training program must include
                                                              for the initial and continuing training of
PER-002-0                                    R3.2.            Transmission Operator and Balancing
                                                                                                                  MEDIUM               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              Authority operating personnel. That plan
                                                              shall address knowledge and
                                                              The training program must include
                                                              training time for all Transmission
PER-002-0                                    R3.3.            Operator and Balancing Authority
                                                                                                                  LOWER                BA, TOP                                 A                                                      X           x         x         x                   x
                                                              operating personnel to ensure their
                                                              operating proficiency. identified, and the
                                                              Training staff must be
                                                              staff must be competent in both
PER-002-0                                    R3.4.
                                                              knowledge of system operations and
                                                                                                                  LOWER                BA, TOP                                 A                                                      X           x         x         x                   x
                                                              instructional capabilities.
                                                              For personnel identified in Requirement
                                                              R2, each Transmission Operator and
PER-002-0                     R4.                             Balancing Authority shall provide its
                                                                                                                    HIGH               BA, TOP                                 A                                                      X           x         x         x                   x
                                                              operating personnel at least five days per
                                                              Each Transmission drills using realistic
                                                              year of training and Operator, Balancing
                                                              Authority, and Reliability Coordinator
PER-003-0                     R1.                             shall staff all operating positions that
                                                                                                                    HIGH             BA, RC, TOP                               A                         ER                                       x         x         x                   x
                                                              meet both of the following criteria with
                                                              Positions that have the primary for the
                                                              personnel that are NERC-certified
                                                              responsibility, either directly or through
PER-003-0                                    R1.1.            communications with others, for the real-
                                                                                                                    HIGH             BA, RC, TOP                               A                         ER                                       x         x         x                   x
                                                              time operation of the interconnected Bulk
                                                              Electric System.
                                                              Positions directly responsible for
PER-003-0                                    R1.2.
                                                              complying with NERC standards.
                                                                                                                    HIGH             BA, RC, TOP                               A                         ER                                       x         x         x                   x

                                                              Each Reliability Coordinator shall be
                                                              staffed with adequately trained and NERC-
PER-004-1                     R1.
                                                              certified Reliability Coordinator operators,
                                                                                                                    HIGH                   RC                                  A                                                      X           x         x         x                   x
                                                              24 hours per day, seven days per week.
                                                              All Reliability Coordinator operating
                                                              personnel shall each complete a
PER-004-1                     R2.                             minimum of five days per year of training
                                                                                                                    HIGH                   RC                                  A                                                                  x         x         x                   x
                                                              and drills using realistic simulations of
                                                              Reliability Coordinator operating to other
                                                              system emergencies, in addition
                                                              personnel shall have a comprehensive
PER-004-1                     R3.                             understanding of the Reliability
                                                                                                                    HIGH                   RC                                  A                                                                  x         x         x                   x
                                                              Coordinator Area and interactions with
                                                              Reliability Coordinator Coordinator
                                                              neighboring Reliability operating Areas.
                                                              personnel shall have an extensive
PER-004-1                     R4.                             understanding of the Balancing
                                                                                                                    HIGH                   RC                                  A                                                                  x         x         x                   x
                                                              Authorities, Transmission Operators, and
                                                              Generation Operators within the



                                                                                                                                                                                                                                                                              Page 70 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Reliability Coordinator operating
                                                              personnel shall place particular attention
PER-004-1                     R5.                             on SOLs and IROLs and inter-tie facility
                                                                                                                    HIGH                   RC                                  A                                                                  x         x         x                   x
                                                              limits. The Reliability Coordinator shall
                                                              ensure protocols are in place to allow

                                                              PROTECTION AND CONTROL


                                                              Each Transmission Operator, Balancing
                                                              Authority, and Generator Operator shall
PRC-001-1                     R1.                             be familiar with the purpose and                      HIGH            BA, GOP, TOP                               A                                                      X           x         x
                                                              limitations of protection system schemes
                                                              applied in its area.
                                                              Each Generator Operator and
                                                              Transmission Operator shall notify
PRC-001-1                     R2.
                                                              reliability entities of relay or equipment
                                                                                                                    HIGH              GOP, TOP                                 A                                                      X           x         x
                                                              failures as follows:
                                                              If a protective relay or equipment failure
                                                              reduces system reliability, the Generator
PRC-001-1                                    R2.1.            Operator shall notify its Transmission                HIGH                  GOP                                  A                                                      X           x         x
                                                              Operator and Host Balancing Authority.
                                                              If a Generator Operator shall take
                                                              Theprotective relay or equipment failure
                                                              reduces system reliability, the
PRC-001-1                                    R2.2.            Transmission Operator shall notify its                HIGH                  TOP                                  A                                                      X           x         x
                                                              Reliability Coordinator and affected
                                                              Transmission Operators and Balancing
                                                              A Generator Operator or Transmission
                                                                                                                  No VRF
PRC-001-1                     R3.                             Operator shall coordinate new protective
                                                                                                                 Assigned
                                                                                                                                      GOP, TOP                                 A                                                      X                     x
                                                              systems and changes as follows.
                                                              Each Generator Operator shall coordinate
                                                              all new protective systems and all
PRC-001-1                                    R3.1.            protective system changes with its                    HIGH                  GOP                                  A                                                      X           x         x
                                                              Transmission Operator and Host
                                                              Balancing Authority.
                                                              Each Transmission Operator shall
                                                              coordinate all new protective systems
PRC-001-1                                    R3.2.            and all protective system changes with                HIGH                  TOP                                  A                                                      X           x         x
                                                              neighboring Transmission Operators and
                                                              Balancing Authorities.
                                                              Each Transmission Operator shall
                                                              coordinate protection systems on major
PRC-001-1                     R4.                             transmission lines and interconnections               HIGH                  TOP                                  A                                                      X           x         x
                                                              with neighboring Generator Operators,
                                                              Transmission Operators, and Balancing
                                                              A Generator Operator or Transmission
                                                              Operator shall coordinate changes in
PRC-001-1                     R5.                             generation, transmission, load or                     HIGH              GOP, TOP                                 A                                                      X           x         x
                                                              operating conditions that could require
                                                              Each Generator Operator systems of
                                                              changes in the protection shall notify its
                                                              Transmission Operator in advance of
PRC-001-1                                    R5.1.            changes in generation or operating                    HIGH                  GOP                                  A                                                      X           x         x
                                                              conditions that could require changes in
                                                              Each Transmission Operator protection
                                                              the Transmission Operator’s shall notify
                                                              neighboring Transmission Operators in
PRC-001-1                                    R5.2.            advance of changes in generation,                     HIGH                  TOP                                  A                                                      X           x         x
                                                              transmission, load, or operating
                                                              Each Transmission Operator changes in
                                                              conditions that could require and
                                                              Balancing Authority shall monitor the
PRC-001-1                     R6.                             status of each Special Protection System              HIGH               BA, TOP                                 A                                                      X           x         x
                                                              in their area, and shall notify affected
                                                              Transmission Operators and Balancing



                                                                                                                                                                                                                                                                              Page 71 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Owner and any
                                                              Distribution Provider that owns a
PRC-004-1                     R1.                             transmission Protection System shall                  HIGH                DP, TO                                 A                                                      X           x         x         x                   x
                                                              each analyze its transmission Protection
                                                              System Misoperations and analyze its
                                                              The Generator Owner shall shall develop
                                                              generator Protection System
PRC-004-1                     R2.                             Misoperations, and shall develop and                  HIGH                   GO                                  A                                                      X           x         x         x                   x
                                                              implement a Corrective Action Plan to
                                                              The Transmission Owner, anya similar
                                                              avoid future Misoperations of
                                                              Distribution Provider that owns a
PRC-004-1                     R3.                             transmission Protection System, and the             LOWER              DP, GO, TO                                                                                                             x         x                   x
                                                              Generator Owner shall each provide to its
                                                              Each Transmission Organization,
                                                              Regional Reliability Owner and any
                                                              Distribution Provider that owns a
PRC-005-1                     R1.                             transmission Protection System and each               HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x
                                                              Generator Owner that owns a generation
                                                              Protection System shall have a Protection
                                                              Maintenance and testing intervals and
PRC-005-1                                    R1.1.
                                                              their basis.
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


                                                              Summary of maintenance and testing
PRC-005-1                                    R1.2.
                                                              procedures.
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x

                                                              Each Transmission Owner and any
                                                              Distribution Provider that owns a
PRC-005-1                     R2.                             transmission Protection System and each             LOWER              DP, GO, TO                                A                                                      X           x         x         x                   x
                                                              Generator Owner that owns a generation
                                                              Protection System shall provide
                                                              Evidence Protection System devices were
PRC-005-1                                    R2.1.            maintained and tested within the defined              HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x
                                                              intervals.


                                                              Date each Protection System device was
PRC-005-1                                    R2.2.
                                                              last tested/maintained.
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x

                                                              The Transmission Owner and Distribution
                                                              Provider with a UFLS program (as
PRC-007-0                     R1.                             required by its Regional Reliability                MEDIUM                DP, TO                                                                                                                        x                   x
                                                              Organization) shall ensure that its UFLS
                                                              program is consistent with its Regional
                                                              The Transmission Owner, Transmission
                                                              Operator, Distribution Provider, and Load-
                                                              Serving Entity that owns or operates a
                                                              UFLS program (as required by its
PRC-007-0                     R2.                             Regional Reliability Organization) shall            LOWER           DP, LSE, TO, TOP                                       A                                                                            x                   x
                                                              provide, and annually update, its
                                                              underfrequency data as necessary for its
                                                              Regional Reliability Organization to
                                                              maintain and update a UFLS program
                                                              The Transmission Owner and Distribution
                                                              Provider that owns a UFLS program (as
PRC-007-0                     R3.                             required by its Regional Reliability                LOWER                 DP, TO                                                                                                                        x                   x
                                                              Organization) shall provide its
                                                              The Transmission that UFLS program to
                                                              documentation of Owner and Distribution
                                                              Provider with a UFLS program (as
PRC-008-0                     R1.                             required by its Regional Reliability
                                                                                                                  MEDIUM                DP, TO                                 A                                                      X           x         x         x                   x
                                                              Organization) shall have a UFLS
                                                              equipment maintenance and testing




                                                                                                                                                                                                                                                                              Page 72 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Owner and Distribution
                                                              Provider with a UFLS program (as
PRC-008-0                     R2.                             required by its Regional Reliability
                                                                                                                  MEDIUM                DP, TO                                 A                                                      X           x         x         x                   x
                                                              Organization) shall implement its UFLS
                                                              equipment maintenance and testing
                                                              The Transmission Owner, Transmission
                                                              Operator, Load-Serving Entity, and
PRC-009-0                     R1.                             Distribution Provider that owns or                  MEDIUM          DP, LSE, TO, TOP
                                                              operates a UFLS program (as required by
                                                              its Regional Reliability Organization) shall
                                                              A description of the event including
PRC-009-0                                    R1.1.                                                                MEDIUM          DP, LSE, TO, TOP
                                                              initiating conditions.



                                                              A review of the UFLS set points and
PRC-009-0                                    R1.2.                                                                MEDIUM          DP, LSE, TO, TOP
                                                              tripping times.



PRC-009-0                                    R1.3.            A simulation of the event.                          MEDIUM          DP, LSE, TO, TOP




PRC-009-0                                    R1.4.            A summary of the findings.                          MEDIUM          DP, LSE, TO, TOP


                                                              The Transmission Owner, Transmission
                                                              Operator, Load-Serving Entity, and
PRC-009-0                     R2.                             Distribution Provider that owns or                  LOWER           DP, LSE, TO, TOP
                                                              operates a UFLS program (as required by
                                                              its Regional Reliability Organization) shall
                                                              The Load-Serving Entity, Transmission
                                                              Owner, Transmission Operator, and
PRC-010-0                     R1.                             Distribution Provider that owns or                  MEDIUM          DP, LSE, TO, TOP                                                                                                                    x                   x
                                                              operates a UVLS program shall
                                                              periodically (at least every five years or
                                                              This assessment shall include, but is not
PRC-010-0                                    R1.1.
                                                              limited to:
                                                                                                                  MEDIUM          DP, LSE, TO, TOP                                                                                                                    x                   x

                                                              Coordination of the UVLS programs with
                                                              other protection and control systems in
PRC-010-0                                    R1.1.1.
                                                              the Region and with other Regional
                                                                                                                  MEDIUM          DP, LSE, TO, TOP                                                                                                                    x                   x
                                                              Reliability Organizations, as appropriate.
                                                              Simulations that demonstrate that the
                                                              UVLS programs performance is
PRC-010-0                                    R1.1.2.          consistent with Reliability Standards TPL-          MEDIUM          DP, LSE, TO, TOP                                                                                                                    x                   x
                                                              001-0, TPL-002-0, TPL-003-0 and TPL-004-
                                                              0.
                                                              A review of the voltage set points and
PRC-010-0                                    R1.1.3.
                                                              timing.
                                                                                                                  MEDIUM          DP, LSE, TO, TOP                                                                                                                    x                   x

                                                              The Load-Serving Entity, Transmission
                                                              Owner, Transmission Operator, and
PRC-010-0                     R2.                             Distribution Provider that owns or                  LOWER           DP, LSE, TO, TOP                                                                                                                    x                   x
                                                              operates a UVLS program shall provide
                                                              documentation of its current UVLS
                                                              The Transmission Owner and Distribution
                                                              Provider that owns a UVLS system shall
PRC-011-0                     R1.                             have a UVLS equipment maintenance and               MEDIUM                DP, TO                                 A                                                      X                               x                   x
                                                              testing program in place. This program
                                                              shall include:



                                                                                                                                                                                                                                                                              Page 73 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              The UVLS system identification which
PRC-011-0                                    R1.1.
                                                              shall include but is not limited to:
                                                                                                                  MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.1.1.          Relays.                                             MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.1.2.          Instrument transformers.                            MEDIUM                DP, TO                                 A                                                      X                               x                   x


                                                              Communications systems, where
PRC-011-0                                    R1.1.3.
                                                              appropriate.
                                                                                                                  MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.1.4.          Batteries.                                          MEDIUM                DP, TO                                 A                                                      X                               x                   x


                                                              Documentation of maintenance and
PRC-011-0                                    R1.2.
                                                              testing intervals and their basis.
                                                                                                                  MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.3.            Summary of testing procedure.                       MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.4.            Schedule for system testing.                        MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.5.            Schedule for system maintenance.                    MEDIUM                DP, TO                                 A                                                      X                               x                   x


PRC-011-0                                    R1.6.            Date last tested/maintained.                        MEDIUM                DP, TO                                 A                                                      X                               x                   x

                                                              The Transmission Owner and Distribution
                                                              Provider that owns a UVLS system shall
PRC-011-0                     R2.                             provide documentation of its UVLS                   LOWER                 DP, TO
                                                              equipment maintenance and testing
                                                              program and the implementation of that
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-015-0                     R1.                             owns an SPS shall maintain a list of and            MEDIUM             DP, GO, TO
                                                              provide data for existing and proposed
                                                              The Transmission in Reliability Standard
                                                              SPSs as specified Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-015-0                     R2.                             owns an SPS shall have evidence it                  MEDIUM             DP, GO, TO
                                                              reviewed new or functionally modified
                                                              SPSs in accordance with the Regional
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-015-0                     R3.                             owns an SPS shall provide                           LOWER              DP, GO, TO
                                                              documentation of SPS data and the
                                                              results of studies that show compliance



                                                                                                                                                                                                                                                                              Page 74 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                 Text of Requirement                                                                                     Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-016-0.1                   R1.                             owns an SPS shall analyze its SPS
                                                                                                                  MEDIUM             DP, GO, TO                                                                                                                       x                   x
                                                              operations and maintain a record of all
                                                              misoperations in accordance with the
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-016-0.1                   R2.                             owns an SPS shall take corrective actions
                                                                                                                  MEDIUM             DP, GO, TO                                                                                                                       x                   x
                                                              to avoid future misoperations.
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-016-0.1                   R3.                             owns an SPS shall provide
                                                                                                                  LOWER              DP, GO, TO                                                          ER                                                           x                   x
                                                              documentation of the misoperation
                                                              analyses and the corrective action plans
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-017-0                     R1.                             owns an SPS shall have a system
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x
                                                              maintenance and testing program(s) in
                                                              place. The program(s) shall include:
                                                              SPS identification shall include but is not
PRC-017-0                                    R1.1.
                                                              limited to:
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.1.1.          Relays.                                               HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.1.2.          Instrument transformers.                              HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


                                                              Communications systems, where
PRC-017-0                                    R1.1.3.
                                                              appropriate.
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.1.4.          Batteries.                                            HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


                                                              Documentation of maintenance and
PRC-017-0                                    R1.2.
                                                              testing intervals and their basis.
                                                                                                                    HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.3.            Summary of testing procedure.                         HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.4.            Schedule for system testing.                          HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.5.            Schedule for system maintenance.                      HIGH             DP, GO, TO                                A                                                      X           x         x         x                   x


PRC-017-0                                    R1.6.            Date last tested/maintained.                        MEDIUM             DP, GO, TO                                A                                                      X                               x                   x




                                                                                                                                                                                                                                                                              Page 75 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Owner, Generator
                                                              Owner, and Distribution Provider that
PRC-017-0                     R2.                             owns an SPS shall provide
                                                                                                                  LOWER              DP, GO, TO                                A                                                      X                               x                   x
                                                              documentation of the program and its
                                                              implementation to the appropriate
                                                              Each Transmission Owner and Generator
                                                              Owner required to install DMEs by its
PRC-018-1                     R1.                                                                                 LOWER                 GO, TO
                                                              Regional Reliability Organization
                                                              (reliability standard PRC-002
                                                              Requirements 1-3) shall have DMEs
                                                              Internal Clocks in DME devices shall be
                                                              synchronized to within 2 milliseconds or
PRC-018-1                                    R1.1.                                                                LOWER                 GO, TO
                                                              less of Universal Coordinated Time scale
                                                              (UTC)

                                                              Recorded data from each Disturbance
PRC-018-1                                    R1.2.                                                                LOWER                 GO, TO
                                                              shall be retrievable for ten calendar days..

                                                              The Transmission Owner and Generator
                                                              Owner shall each install DMEs in
PRC-018-1                     R2.                                                                                 LOWER                 GO, TO
                                                              accordance with its Regional Reliability
                                                              Organization’s installation requirements
                                                              (reliability standard PRC-002 Generator
                                                              The Transmission Owner and
                                                              Owner shall each maintain, and report to
PRC-018-1                     R3.                                                                                 LOWER                 GO, TO
                                                              its Regional Reliability Organization on
                                                              request, the following data on the DMEs
                                                              installed to meet that region’s installation
                                                              Type of DME (sequence of event
PRC-018-1                                    R3.1.            recorder, fault recorder, or dynamic                LOWER                 GO, TO
                                                              disturbance recorder).


PRC-018-1                                    R3.2.            Make and model of equipment.                        LOWER                 GO, TO




PRC-018-1                                    R3.3.            Installation location.                              LOWER                 GO, TO




PRC-018-1                                    R3.4.            Operational status.                                 LOWER                 GO, TO




PRC-018-1                                    R3.5.            Date last tested.                                   LOWER                 GO, TO



                                                              Monitored elements, such as
PRC-018-1                                    R3.6.                                                                LOWER                 GO, TO
                                                              transmission circuit, bus section, etc.


                                                              Monitored devices, such as circuit
PRC-018-1                                    R3.7.                                                                LOWER                 GO, TO
                                                              breaker, disconnect status, alarms, etc.


                                                              Monitored electrical quantities, such as
PRC-018-1                                    R3.8.                                                                LOWER                 GO, TO
                                                              voltage, current, etc.




                                                                                                                                                                                                                                                                              Page 76 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Transmission Owner and Generator
                                                              Owner shall each provide Disturbance
PRC-018-1                     R4.                                                                                 LOWER                 GO, TO
                                                              data (recorded by DMEs) in accordance
                                                              with its Regional Reliability
                                                              Organization’s requirements (reliability
                                                              The Transmission Owner and Generator
                                                              Owner shall each archive all data
PRC-018-1                     R5.                                                                                 LOWER                 GO, TO
                                                              recorded by DMEs for Regional Reliability
                                                              Organization-identified events for at least
                                                              three years.
                                                              Each Transmission Owner and Generator
                                                              Owner that is required by its Regional
PRC-018-1                     R6.                                                                                 LOWER                 GO, TO
                                                              Reliability Organization to have DMEs
                                                              shall have a maintenance and testing
                                                              program for those DMEs that includes:
                                                              Maintenance and testing intervals and
PRC-018-1                                    R6.1.                                                                LOWER                 GO, TO
                                                              their basis.



                                                              Summary of maintenance and testing
PRC-018-1                                    R6.2.                                                                LOWER                 GO, TO
                                                              procedures.

                                                              Each Transmission Owner and
                                                              Distribution Provider that owns a UVLS
PRC-021-1                     R1.                             program to mitigate the risk of voltage
                                                                                                                  LOWER                 DP, TO                                           A                                                                            x                   x
                                                              collapse or voltage instability in the BES
                                                              shall annually update its UVLS data to
                                                              Size and location of customer load, or
PRC-021-1                                    R1.1.            percent of connected load, to be                    LOWER                 DP, TO                                           A                                                                            x                   x
                                                              interrupted.


                                                              Corresponding voltage set points and
PRC-021-1                                    R1.2.
                                                              overall scheme clearing times.
                                                                                                                  MEDIUM                DP, TO                                           A                                                                            x                   x


PRC-021-1                                    R1.3.            Time delay from initiation to trip signal.          LOWER                 DP, TO                                           A                                                                            x                   x


PRC-021-1                                    R1.4.            Breaker operating times.                            LOWER                 DP, TO                                           A                                                                            x                   x

                                                              Any other schemes that are part of or
                                                              impact the UVLS programs such as
PRC-021-1                                    R1.5.            related generation protection, islanding
                                                                                                                  LOWER                 DP, TO                                           A                                                                            x                   x
                                                              schemes, automatic load restoration
                                                              schemes, UFLS andOwner and
                                                              Each Transmission Special Protection
                                                              Distribution Provider that owns a UVLS
PRC-021-1                     R2.                                                                                 LOWER                 DP, TO
                                                              program shall provide its UVLS program
                                                              data to the Regional Reliability
                                                              Each Transmission Operator, Load- of a
                                                              Organization within 30 calendar days
                                                              Serving Entity, and Distribution Provider
PRC-022-1                     R1.                                                                                 MEDIUM            DP, LSE, TOP
                                                              that operates a UVLS program to mitigate
                                                              the risk of voltage collapse or voltage
                                                              instability in the BES shall analyze and
                                                              A description of the event including
PRC-022-1                                    R1.1.                                                                LOWER             DP, LSE, TOP
                                                              initiating conditions.




                                                                                                                                                                                                                                                                              Page 77 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              A review of the UVLS set points and
PRC-022-1                                    R1.2.                                                                MEDIUM            DP, LSE, TOP
                                                              tripping times.

                                                              A simulation of the event, if deemed
                                                              appropriate by the Regional Reliability
PRC-022-1                                    R1.3.                                                                LOWER             DP, LSE, TOP
                                                              Organization. For most events, analysis
                                                              of sequence of events may be sufficient
                                                              and dynamic simulations may not be

PRC-022-1                                    R1.4.            A summary of the findings.                          LOWER             DP, LSE, TOP



                                                              For any Misoperation, a Corrective Action
PRC-022-1                                    R1.5.            Plan to avoid future Misoperations of a             MEDIUM            DP, LSE, TOP
                                                              similar nature.

                                                              Each Transmission Operator, Load-
                                                              Serving Entity, and Distribution Provider
PRC-022-1                     R2.                                                                                 LOWER             DP, LSE, TOP
                                                              that operates a UVLS program shall
                                                              provide documentation of its analysis of
                                                              Each program performance to its
                                                              UVLSTransmission Owner, Generator
PRC-023-1 Effective                                           Owner, and Distribution Provider shall
                    R1.                                                                                             HIGH             TO, GO, DP                                A                                                      X
7/1/2010                                                      use any one of the following criteria (R1.1
                                                              through R1.13) for any specific circuit
                                                              terminal to prevent its phase protective
                                                              Set transmission line relays so they do
PRC-023-1 Effective                                           not operate at or below 150% of the              Part of Main
                                             R1.1.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      highest seasonal Facility Rating of a            Requirement
                                                              circuit, for the available defined loading
                                                              Set transmission line relays so they in
                                                              duration nearest 4 hours (expresseddo
PRC-023-1 Effective                                           not operate at or below 115% of the              Part of Main
                                             R1.2.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      highest seasonal 15-minute Facility              Requirement
                                                              Rating of a circuit (expressed in
                                                              amperes). (When a 15-minute rating has
                                                              Set transmission line relays so they do
PRC-023-1 Effective                                           not operate at or below 115% of the              Part of Main
                                             R1.3.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      maximum theoretical power transfer               Requirement
                                                              capability (using a 90-degree angle
                                                              between the sendingend and receiving-
                                                              An infinite source (zero source
PRC-023-1 Effective                                           impedance) with a 1.00 per unit bus              Part of Main
                                             R1.3.1.                                                                                 TO, GO, DP                                A                                                      X
7/1/2010                                                      voltage                                          Requirement
                                                              at each end of the line.
                                                              An impedance at each end of the line,
PRC-023-1 Effective                                           which reflects the actual system                 Part of Main
                                             R1.3.2.                                                                                 TO, GO, DP                                A                                                      X
7/1/2010                                                      source impedance with a 1.05 per unit            Requirement
                                                              voltage behind each source impedance.
                                                              Set transmission line relays on series
PRC-023-1 Effective                                           compensated transmission lines so they           Part of Main
                                             R1.4.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      do not operate at or below the maximum           Requirement
                                                              power transfer capability of the line,
                                                              determined as the greater of:
                                                              Set transmission line relays on weak
PRC-023-1 Effective                                           source systems so they do not operate at         Part of Main
                                             R1.5.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      or below 170% of the maximum end-of-             Requirement
                                                              line three-phase fault magnitude
                                                              (expressed in amperes).
                                                              Set transmission line relays applied on
PRC-023-1 Effective                                           transmission lines connected to                  Part of Main
                                             R1.6.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      generation stations remote to load so            Requirement
                                                              they do not operate at or below 230% of
                                                              the aggregated generation nameplate



                                                                                                                                                                                                                                                                              Page 78 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                 Supporting                                                                                                                          Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                  Requirement                Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                 Number                                                                                                                            Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              Set transmission line relays applied at the
PRC-023-1 Effective                                           load center terminal, remote from                Part of Main
                                             R1.7.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      generation stations, so they do not              Requirement
                                                              operate at or below 115% of the maximum
                                                              current flow from the relays the
                                                              Set transmission line load toapplied on
PRC-023-1 Effective                                           the bulk system-end of transmission lines        Part of Main
                                             R1.8.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      that serve load remote to the system so          Requirement
                                                              they do not operate at or below 115% of
                                                              the transmission line flow from the
                                                              Set maximum current relays applied on
PRC-023-1 Effective                                           the load-end of transmission lines that          Part of Main
                                             R1.9.                                                                                   TO, GO, DP                                A                                                      X
7/1/2010                                                      serve load remote to the bulk system so          Requirement
                                                              they do not operate at or below 115% of
                                                              Set transformer fault flow from relays
                                                              the maximum currentprotection the load
PRC-023-1 Effective                                           and transmission line relays on                  Part of Main
                                             R1.10.                                                                                  TO, GO, DP                                A                                                      X
7/1/2010                                                      transmission lines terminated only with a        Requirement
                                                              transformer so that they do not operate at
                                                              or below the greater of:
                                                              For transformer overload protection
PRC-023-1 Effective                                           relays that do not comply with R1.10 set         Part of Main
                                             R1.11.                                                                                  TO, GO, DP                                A                                                      X
7/1/2010                                                      the                                              Requirement
                                                              relays according to one of the following:
                                                              When the desired allow the transformer
                                                              - Set the relays totransmission line
PRC-023-1 Effective                                           capability is limited by the requirement to      Part of Main
                                             R1.12.                                                                                  TO, GO, DP                                A                                                      X
7/1/2010                                                      adequately protect the transmission line,        Requirement
                                                              set the transmission line distance relays
                                                              to a maximum of 125% of the apparent
                                                              Set the maximum torque angle (MTA) to
PRC-023-1 Effective                                                                                            Part of Main
                                             R1.12.1.         90 degrees or the highest supported by                                 TO, GO, DP                                A                                                      X
7/1/2010                                                                                                       Requirement
                                                              the manufacturer.

                                                              Evaluate the relay loadability in amperes
PRC-023-1 Effective                                           at the relay trip point at 0.85 per              Part of Main
                                             R1.12.2.                                                                                TO, GO, DP                                A                                                      X
7/1/2010                                                      unit voltage and a power factor angle of         Requirement
                                                              30 degrees.
                                                              Include a relay setting component of 87%
PRC-023-1 Effective                                           of the current calculated in R1.12.2 in the      Part of Main
                                             R1.12.3.                                                                                TO, GO, DP                                A                                                      X
7/1/2010                                                      Facility Rating determination for the            Requirement
                                                              circuit.
                                                              Where other situations present practical
PRC-023-1 Effective                                           limitations on circuit capability, set the       Part of Main
                                             R1.13.                                                                                  TO, GO, DP                                A                                                      X
7/1/2010                                                      phase protection relays so they do not           Requirement
                                                              operate at or below 115% of such
                                                              limitations.
                                                              The Transmission Owner, Generator
PRC-023-1 Effective                                           Owner, or Distribution Provider that uses
                    R2.                                                                                           MEDIUM             TO, GO, DP                                A
7/1/2010                                                      a circuit capability with the practical
                                                              limitations described in R1.6, R1.7, R1.8,
                                                              R1.9, R1.12, or R1.13 shall shallthe
                                                              The Planning Coordinator use determine
                                                              which of the facilities (transmission lines
PRC-023-1                     R3.                                                                                 MEDIUM                PA, PC
                                                              operated at 100 kV to 200 kV and
                                                              transformers with low voltage terminals
                                                              connected at Coordinator shall have
                                                              The Planning 100 kV to 200 kV) in its a
                                                              process to determine the facilities that         Part of Main
PRC-023-1                                    R3.1.            are                                                                       PA, PC
                                                                                                               Requirement
                                                              critical to the reliability of the Bulk
                                                              Electric System.
                                                              This process shall consider input from
                                                                                                               Part of Main
PRC-023-1                                    R3.1.1.          adjoining Planning Coordinators and                                       PA, PC
                                                                                                               Requirement
                                                              affected Reliability Coordinators.




                                                                                                                                                                                                                                                                              Page 79 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              The Planning Coordinator shall maintain a
                                                              current list of facilities determined            Part of Main
PRC-023-1                                    R3.2.                                                                                      PA, PC
                                                              according to the process described in            Requirement
                                                              R3.1.
                                                              The Planning Coordinator shall provide a
                                                              list of facilities to its Reliability            Part of Main
PRC-023-1                                    R3.3.            Coordinators, Transmission Owners,                                        PA, PC
                                                                                                               Requirement
                                                              Generator Owners, and Distribution
                                                              Providers within 30 days of the

                                                              TRANSMISSION OPERATIONS



                                                              Each Transmission Operator shall have
                                                              the responsibility and clear decision-
                                                              making authority to take whatever actions
TOP-001-1                     R1.
                                                              are needed to ensure the reliability of its
                                                                                                                    HIGH                  TOP                                  A                                                                  x         x
                                                              area and shall exercise specific authority
                                                              to alleviate operating emergencies.

                                                              Each Transmission Operator shall take
                                                              immediate actions to alleviate operating
TOP-001-1                     R2.                             emergencies including curtailing
                                                                                                                    HIGH                  TOP                                                                                                     x         x
                                                              transmission service or energy
                                                              schedules, operating equipment (e.g.,
                                                              Each Transmission Operator, Balancing
                                                              Authority, and Generator Operator shall
                                                              comply with reliability directives issued
TOP-001-1                     R3.                             by the Reliability Coordinator, and each              HIGH            BA, GOP, TOP                               A                                                                  x         x
                                                              Balancing Authority and Generator
                                                              Operator shall comply with reliability
                                                              directives issued by the Transmission
                                                              Each Distribution Provider and Load-
                                                              Serving Entity shall comply with all
TOP-001-1                     R4.                             reliability directives issued by the
                                                                                                                    HIGH               DP, LSE                                 A                                                                  x         x
                                                              Transmission Operator, including
                                                              shedding firm load, unless such actions

                                                              Each Transmission Operator shall inform
                                                              its Reliability Coordinator and any other
                                                              potentially affected Transmission
TOP-001-1                     R5.                             Operators of real-time or anticipated                 HIGH                  TOP                                  A                                                                  x         x
                                                              emergency conditions, and take actions
                                                              to avoid, when possible, or mitigate the
                                                              emergency.


                                                              Each Transmission Operator, Balancing
                                                              Authority, and Generator Operator shall
TOP-001-1                     R6.                             render all available emergency assistance
                                                                                                                    HIGH            BA, GOP, TOP                                                                                                  x         x
                                                              to others as requested, provided that the
                                                              requesting entity has implemented its
                                                              Each Transmission Operator and
                                                              Generator Operator shall not remove Bulk
TOP-001-1                     R7.                             Electric System facilities from service if
                                                                                                                    HIGH              GOP, TOP                                                                                                    x         x
                                                              removing those facilities would burden
                                                              neighboring systems unless:
                                                              For a generator outage, the Generator
                                                              Operator shall notify and coordinate with
TOP-001-1                                    R7.1.            the Transmission Operator. The
                                                                                                                    HIGH              GOP, TOP                                                                                                    x         x
                                                              Transmission Operator shall notify the
                                                              For a transmission facility, other
                                                              Reliability Coordinator and the affected
                                                              Transmission Operator shall notify and
TOP-001-1                                    R7.2.            coordinate with its Reliability
                                                                                                                    HIGH                  TOP                                                                                                     x         x
                                                              Coordinator. The Transmission Operator
                                                              shall notify other affected Transmission
                                                                                                                                                                                                                                                                              Page 80 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


                                                                                                                                                                                   Periodic Data
                                                                                                                                                                                                                                                  2010      2009      2008           2007
    Reliability                                Supporting                                                                                                                           Submittals:                                   2011 Annual
                               Requirement                                                                     Violation Risk         Functions                       Self-Cert.                      Exception      Spot Check                  Annual    Annual    Annual         Annual
     Standard                                 Requirement                 Text of Requirement                                                                                      Monthly (M),                                     Program
                                 Number                                                                            Factor             Monitored                       Annual (A)                    Reporting (ER)      (SC)                    Program   Program   Program        Program
 (FERC Approved)                                Number                                                                                                                             Quarterly (Q),                                   Audit (X)
                                                                                                                                                                                                                                                 Audits    Audits    Audits         Audits
                                                                                                                                                                                    Annual (A)
                                                              When time does not permit such
                                                              notifications and coordination, or when
TOP-001-1                                    R7.3.            immediate action is required to prevent a
                                                                                                                    HIGH              GOP, TOP                                                                                                    x         x
                                                              hazard to the public, lengthy customer
                                                              service interruption, or damage to
                                                              During a system emergency, the
                                                              Balancing Authority and Transmission
                                                              Operator shall immediately take action to
TOP-001-1                     R8.
                                                              restore the Real and Reactive Power
                                                                                                                    HIGH             BA, RC, TOP                               A                                                                  x         x
                                                              Balance. If the Balancing Authority or
                                                              Transmission Operator is unable to


                                                              Each Balancing Authority and
                                                              Transmission Operator shall maintain a
                                                              set of current plans that are designed to
                                                              evaluate options and set procedures for
                                                              reliable operation through a reasonable
                                                              future time period. In addition, each
TOP-002-2a                    R1.
                                                              Balancing Authority and Transmission
                                                                                                                  MEDIUM               BA, TOP                                 A                                                                  x         x         x
                                                              Operator shall be responsible for using
                                                              available personnel and system
                                                              equipment to implement these plans to
                                                              ensure that interconnected system
                                                              reliability will be maintained.


                                                              Each Balancing Authority and
                                                              Transmission Operator shall ensure its
TOP-002-2a                    R2.                             operating personnel participate in the
                                                                                                                  MEDIUM               BA, TOP                                                                                                    x                   x
                                                              system planning and design study
                                                              processes, so that these studies contain
                                                              Each Load-Serving Entity and Generator
                                                              Operator shall coordinate (where
TOP-002-2a                    R3.                             confidentiality agreements allow) its
                                                                                                                  MEDIUM         BA, GOP, LSE, TSP                             A                                                      X           x         x         x
                                                              current-day, next-day, and seasonal
                                                              operations with Authority and
                                                              Each Balancing its Host Balancing
                                                              Transmission Operator shall coordinate
TOP-002-2a                    R4.                             (where confidentiality agreements allow)
                                                                                                                  MEDIUM               BA, TOP                                                                                                    x         x         x
                                                              its current-day, next-day, and seasonal
                                                              planning and operations with neighboring
                                                              Each Balancing Authority and
                                                              Transmission Operator shall plan to meet
TOP-002-2a                    R5.                             scheduled system configuration,
                                                                                                                  MEDIUM               BA, TOP                                                                                                    x                   x
                                                              generation dispatch, interchange
                                                              scheduling and demand patterns.
                                                              Each Balancing Authority and
                                                              Transmission Operator shall plan to meet
                                                              unscheduled changes in system
                                                              configuration and generation dispatch (at
TOP-002-2a                    R6.
                                                              a minimum N-1 Contingency planning) in
                                                                                                                  MEDIUM               BA, TOP                                 A                                                      X           x                   x
                                                              accordance with NERC, Regional
                                                              Reliability Organization, subregional, and
                                                              local reliability requirements.

                                                              Each Balancing Authority shall plan to
                                                              meet capacity and energy reserve
TOP-002-2a                    R7.                             requirements, including the
                                                                                                                  MEDIUM                   BA                                                                                                                         x
                                                              deliverability/capability for any single
                                                              Contingency.
                                                              Each Balancing Authority shall plan to
                                                              meet voltage and/or reactive limits,
TOP-002-2a                    R8.
                                                              including the deliverability/capability for
                                                                                                                  MEDIUM                   BA                                                                                                                         x
                                                              any single contingency.


                                                                                                                                                                                                                                                                              Page 81 of 95
        Requirements Detail                                                                                                             288d65b5-6e27-45c1-98f8-73ad25278d8f.xls
                                                                                                                              2011 Compliance Monitoring and Enforcement Program Requirements Spreadsheet




Compliance is required with all regulatory authority approved Reliability Standards whether or not included in the subset of reliability standards and requirements designated to be audited in the NERC
implementation plan. All requirements are subject to a possible CVI, Self-Report, or Complaint.


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

                                                              Each Balancing Authority shall plan to
TOP-002-2a                    R9.
                                                              meet Interchange Schedules and Ramps.
                                                                                                                  LOWER                    BA                                                                                                               x         x

                                                              Each Balancing Authority and
                                                              Transmission Operator shall plan to meet
TOP-002-2a                    R10.                            all System Operating Limits (SOLs) and
                                                                                                                  MEDIUM               BA, TOP