2004 Operating Templates PDF

Approved July 18, 2002
Compliance Templates P1 T1
NERC Operating Standards
October 26, 2003
Reliability Principle 2
The frequency and voltage of interconnected bulk electric systems shall be
controlled within defined limits through the balancing of real and reactive
power supply and demand.
Section
Policy 1, Section A, Control Performance Standard
Brief Description
Control Performance Standard, Load and Generation Matching, and
Frequency Control
Applicable to:
Control Areas
Standard
CPS 1 and CPS 2 Control Performance Standards
Monitoring Responsibility
Regional Reliability Councils (RRCs)
Measuring Processes
Compliance with the CPS 1 standard shall be measured on a percentage
basis as set forth in the NERC Performance Standard Training Document.
Periodic Reporting
Control Areas must have achieved the minimum compliance level and
must send one completed copy of the CPS 1 and CPS 2 form NERC
Control Performance Standard Survey-All Interconnections each month to
the Regions as per established dates.
The Regional Reliability Council must submit a summary document

reporting compliance with CPS 1 and CPS 2 to NERC no later than the
20th day of the following month.
Periodic Compliance Monitoring

Compliance for CPS 1 and CPS 2 will be evaluated and penalties and
sanctions applied for each reporting period.
Page 1 7/18/02
Reporting Period
One calendar month
Full (100%) Compliance Requirements
The Control Area meets the CPS 1 and CPS 2 Control Performance
Standards, when CPS 1 is greater than or equal to100% and CPS 2 is
greater than or equal to 90% in a reporting period.
Levels of Non-Compliance
Non-compliance for CPS 1 and CPS 2 is evaluated separately and
penalties and sanctions are applied individually. Non-compliance for CPS
1 in a month, shall mean that the rolling twelve month average of CPS 1
ending in that month is less than 100%. Non-compliance for CPS 2 shall
mean that the monthly CPS 2 average is below 90%. Both CPS 1 and
CPS 2 are calculated and evaluated monthly.
CPS 1
Level 1: the Control Areas value of CPS 1 is less than 100% but greater
than or equal to 95%.
Level 4: the Control Areas value of CPS 1 is less than 85%.
CPS2
Level 4: the Control Areas value of CPS 2 is less than 75%.
Compliance Assessment Notes

Verification of compliance will be done through established periodic
monitoring processes.
Page 2 7/18/02
Penalties/sanctions
The dollar penalty/sanction calculated from the Compliance Enforcement
Table will be the larger of the fixed dollar amount or the calculated dollar
amount using the $/MW value times the larger of the most recent years
data:
(1) average annual hourly generation (MWh generated divided by

hours in year) or
(2) average annual hourly load (MWh consumed divided by hours
in year)
Reset Period
One calendar month without a violation
Data Retention
The data that supports the calculation of CPS 1 and CPS 2 are to be
retained in electronic form for at least a one-year period. If the CPS 1 and
CPS 2 data for a Control Area are undergoing a review to address a
question that has been raised regarding the data, the data are to be saved
beyond the normal retention period until the question is formally resolved.
CPS 1 DATA Description Retention Requirements

1 A constant derived from Retain the value of 1
the targeted frequency used in CPS 1
bound. This number is calculation.
the same for each
Control Area in the
interconnection.
ACEi The clock-minute Retain the 1-minute
average of ACE. average values of ACE
(525,600 values).
i The frequency bias of the Retain the value(s) of Bi
Control Area. used in the CPS 1
calculation.
FA The actual measured Retain the 1-minute
frequency. average frequency
values (525,600 values).
Fs Scheduled frequency for Retain the 1-minute
the Interconnection. average frequency
values (525,600 values).
Page 3 7/18/02
CPS 2 DATA Description Retention Requirements
V Number of incidents per Retain the values of V
hour in which the used in CPS 2
absolute value of ACE is calculation.
greater than L10.
10 A constant derived from Retain the value of 10
the frequency bound. It used in CPS 2
is the same for each calculation.
Control Area within an
Interconnection.
i The frequency bias of the Retain the value of Bi
Control Area. used in the CPS 2
calculation.
s The sum of frequency Retain the value of Bs
bias of the Control Areas used in the CPS 2
in the respective calculation. Retain the 1-
Interconnection. For minute minimum bias
systems with variable value (525,600 values).
bias, this is equal to the
sum of the minimum
frequency bias setting.
U Number of unavailable Retain the number of 10-
ten-minute periods per minute unavailable
hour used in calculating periods used in
CPS 2. calculating CPS 2 for the
reporting period.
Page 4 7/18/02
Approved July 18, 2002
NERC Operating Standard
October 26, 2003
The frequency and voltage of interconnected bulk electric systems shall be
controlled within defined limits through the balancing of real and reactive
power supply and demand.
Section
Policy 1, Section B, Disturbance Control Standard
Brief Description
Disturbance Control Standard
Applicable To
Control Areas that are not part of a Reserve Sharing Group and Reserve
Sharing Groups
Standard
ACE must be returned to zero or to its pre-disturbance level within the
Disturbance Recovery Period following the start of a Reportable
Disturbance.
Regional Reliability Councils (RRCs).
Measuring Processes
Compliance with the Disturbance Control Standard (DCS) shall be
measured on a percentage basis as set forth in the NERC Performance
Standard Training Document.
Periodic Reporting
Control Areas and/or Reserve Sharing Groups must return one completed
copy of DCS form NERC Control Performance Standard Survey-All
Interconnections each quarter to the Region as per set dates.
The Regional Reliability Council must submit a summary document

reporting compliance with DCS to NERC no later than the 20th day of the
month following the end of the quarter.
Periodic Compliance Monitoring

Compliance for DCS will be evaluated and penalties and sanctions applied
for each reporting period.
Page 1 26/10/03
Reporting Period
One calendar quarter

Control Area or Reserve Sharing Group returned the ACE to zero or to its
pre-disturbance level within the Disturbance Recovery Period, following
the start of all Reportable Disturbances. DCS is calculated quarterly and
compliance evaluated as the Average Percentage Recovery (APR) as
defined in the Performance Standard Training Document.
Level 1: value of APR is less than 100% but greater than or equal to 95%.
Level 4: value of APR is less than 85%.

Verification of compliance will be done through established periodic
monitoring processes.
Penalties/Sanctions
The dollar penalty/sanction calculated from the Compliance Enforcement
Table will be the larger of the fixed dollar amount or the calculated dollar
amount using the $/MW value times the larger of the most recent years
data:
(1) average annual hourly generation (MWh generated divided by

hours in year) or
(2) average annual hourly load (MWh consumed divided by hours in
year)
Reset Period
One calendar quarter without a violation.
Page 2 26/10/03
Data Retention
The data that supports the calculation of DCS is to be retained in

electronic form for at least a one-year period. If the DCS data for a
Reserve Sharing Group and Control Area are undergoing a review to
address a question that has been raised regarding the data, the data are
to be saved beyond the normal retention period until the question is
formally resolved.
DCS DATA Description Retention Requirements

MW loss The MW size of the Retain the value of MW
disturbance as measured loss used in DCS
at the beginning of the calculation.
loss.
ACEA The pre-disturbance Retain the value of ACEA
ACE. used in DCS calculation.
ACEM The maximum algebraic Retain the value of ACEM
value of ACE measured used in the DCS
within ten minutes calculation.
following the disturbance
event.
ACEm The minimum algebraic Retain the value of
value of ACE measured ACEm used in the DCS
within the recovery period calculation.
following the disturbance
event.
Date of incident The date the incident Retain the date.
occurred.
Time of incident The time of the incident Retain the time as
in hours, minutes, and precise as possible.
seconds.
Description of incident Describe the incident in Retain sufficient details to
sufficient details to define define the incident, i.e.
the incident. name and MW output of
unit that tripped. Cause
of incident.
Recovery Time Duration The duration of time of Retain the incident time
the incident in hours, as precise as possible.
minutes, and seconds to
have the ACE return to 0.
Page 3 26/10/03
October 26, 2003
Interconnected bulk electric systems shall be planned and operated in a coordinated
manner to perform reliably under normal and abnormal conditions as defined in the
NERC Standards.
Section Policy 2, Section A. Transmission Operations, Requirement 1 1.1 1.2

And Section B Requirement 1
Brief Description Transmission Operation/ Operating Security Procedures
Applicable to
Entities responsible for the reliability of the interconnected system (ERRIS)
Standard
ERRIS individually and jointly, shall develop, and maintain formal policies and
procedures to address the execution and coordination of activities that affect inter-
and intra-Regional transmission system security. The policies should address:
Equipment ratings
Monitoring and controlling voltage levels and real and reactive power
flows
Switching transmission elements
Planned outages of transmission elements
Development of Operating Security Limits
Responding to Operating Security Limit violations.
Regional Reliability Council (RRC)
Measurement
ERRIS policies and procedures address the execution and coordination of
activities that affect inter-and intra-Regional security, including:
equipment ratings;
monitoring and controlling voltage levels and real and reactive power
flows;
switching transmission elements;
planned outages of transmission elements;
Operating Security Limits
Response to Operating Security Limit violations.
Measuring Processes
Periodic Review
ERRIS will be selected for operational reviews at least every three years
Self-Certification
Each ERRIS will annually self-certify compliance to the measures as required by
its RRC.
Level 1 The ERRIS policies and procedures do not address one of the six
measurable items.
Level 2 - The ERRIS policies and procedures do not address two of the six
measurable items.
Level 3 - The ERRIS policies and procedures do not address three of the six
measurable items.
Level 4 - The ERRIS policies and procedures do not address more than three of
the six measurable items.

ERRIS review will verify that they did develop, and maintain formal currently
valid policies and procedures to provide transmission security as indicated.
This review will cover:
availability of the policies and procedures,
update procedures
The Operational review should include an assessment of policies and

procedures addressing the following:
equipment ratings;
monitoring and controlling voltage levels and real and reactive power
flows;
switching transmission elements;
planned outages of transmission elements;
development of Operating Security Limits,
Responding to Operating Security Limit violations.
Due to the changes that are occurring across the interconnections, it has become
difficult to identify various sectors within each entity. To facilitate the
development of the compliance program, the term ERRIS (Entities responsible
for the reliability of the interconnected system) is being used in the Compliance
Templates. An ERRIS can include, but is not limited to control areas, transmission
operators, generation operators, balancing authorities etc. In this way, the
applicability of each standard can be determined by the Regional Reliability
Councils to facilitate their particular organizational set up.
PENALTIES/SANCTIONS
The sanction will be the larger of the fixed dollar amount shown in the Enforcement
Table or the calculated dollar amount using the following sanction measures:
Miles of bulk transmission line in the ERRIS area operating at a nominal voltage
100kV and greater.
Maximum amount of installed generating capacity in the ERRIS, in whole MW,
during the most recent calendar year.
Average MW output of generation in the ERRIS in the most recent calendar year,
in whole MW, calculated as the MW hour generation output during the year,
divided by the number of hours in a year.
Peak load in the ERRIS, in the preceding year in whole MW.
Compliance Reset Period

One Calendar year
Data retention requirements

Documentation must be kept available
Multiplier: 1.0
Occurrence Period One Calendar year

October 26, 2003
Interconnected bulk electric systems shall be planned and operated in a coordinated
manner to perform reliably under normal and abnormal conditions as defined in the
NERC Standards.
Section Policy 2, Section A. Transmission Operations, Requirement 2, 2.1, 2.2

And Section B. Voltage and Reactive Control Requirement 3.2.2 Reactive
Restoration.
Brief Description Transmission Operation/ Operating Security Limit Violations
Applicable to
Standard
Following an Operating Security Limit (OSL) violation, the ERRIS should have
returned its transmission system to within Operating Security Limits as soon as
possible, within Regional or Sub Regional requirements but not longer than 30
minutes.
Measurement
The entity responsible for the reliability of the interconnected system returned its
transmission system to within Operating Security Limits as soon as possible but
not longer than 30 minutes.
Measuring Processes
Periodic Reporting
The ERRIS will be required to report monthly to the RRC any violation of
Operating Security Limits on an appropriate number of elements as selected by
each Regional Reliability Organization (RRC).
For each separate incident violating the OSL compliance standard, the level of the
violation shall be as set forth in the following table:
Limit exceeded Limit exceeded Limit exceeded Limit exceeded

for more than 30 for more than 35 for more than 40 for more than 45
minutes, up to minutes, up to 40 minutes, up to 45 minutes
35 minutes minutes minutes
Percentage by
violation of OSL
greater than 0%, Level 1 Level 2 Level 2 Level 3
up to and
including 5%
greater than 5%, Level 2 Level 2 Level 3 Level 3
up to and
including 10%
greater than Level 2 Level 3 Level 3 Level 4
10%, up to and
including 15%
15%, up to and
including 20%
20%, up to and
including 25%
greater than 25% Level 4 Level 4 Level 4 Level 4

The RRC will select an appropriate number of critical elements to be
monitored for the Compliance. The ERRIS responsible for each selected
element will report monthly on any violation of Operating Security Limits,
and the duration of any violations.
Each violation of this Standard shall be reported to the RRO and the NERC
Compliance Director within 72 hours using the NERC Preliminary
Disturbance Report Form as found in Appendix 5F, Reporting Requirements
for Major Electric System Emergencies.
DEFINITION: OPERATING SECURITY LIMIT. The value of a system operating

parameter (e.g. total power transfer across an interface) that satisfies the most
limiting of prescribed pre- and post-contingency operating criteria as determined
by equipment loading capability and acceptable stability and voltage conditions.
PENALTIES/SANCTIONS
100kV and greater.

One Calendar year

Three months
Multiplier: 3.0
Occurrence Period Per event

October 26, 2003

Information necessary for the planning and operation of interconnected bulk
electric systems shall be made available to those entities responsible for planning
and operating the systems reliably.
Section Policy 4, Section A. Requirements 2, 5, 6

Policy 4, Section B, Requirement 5
Brief Description System Coordination/Transmission System Monitoring
Applicable to
Standard
The ERRIS must have provided adequate facilities for the system operators to
monitor the following equipment, under normal and emergency situations:
Transmission line status
MW and MVAR flows
Voltage
LTC settings and
Status of rotating and static reactive resources and
System frequency
The monitoring equipment must be designed to alert system operators of limit

violations and the need for corrective action.
Each ERRIS shall provide to other ERRIS, the Electric Security Data that they
require for operational security assessments and coordinating operations
Measurement
Each Operating Authority meets 100% compliance when they demonstrate that
they have:
Facilities for the system operators to monitor transmission line status,
MW and MVAR flows, voltage, LTC settings and status of rotating and
static reactive resources and system frequency, in a timely manner, under
normal and emergency situations.
Monitoring equipment to alert system operators of limit violations and the

need for corrective action.
Equipment and processes used to share critical Bulk Electrical System

(BES) reliability data with system operators in other ERRIS
Measuring Processes
Periodic Review
ERRIS will be selected for operational reviews at least every three years
Self-Certification
its RRC.
LEVEL 1- N/A
LEVEL 2 - The EERIS meets two of the above requirements of the template.
LEVEL 3 The EERIS meets one of the above requirements of the template.
LEVEL 4 The EERIS meets none of the above requirements of the template.

3-year Review
ERRIS will demonstrate that the system operators have adequate facilities and
processes to meet 100% compliance requirements.
As part of the Periodic Review, a questionnaire will be sent to adjacent ERRIS to
verify that the ERRIS being reviewed adequately shares critical BES reliability
data with them.
Penalties/sanctions
Miles of bulk transmission line in the ERRISs area operating at a nominal voltage
100kV and greater.
Average MW output of generation in the ERRIS in the most recent calendar year, in
whole MW, calculated as the MWhour generation output during the year, divided by
the number of hours in a year.

One year without a violation from the time of the violation

N/A
Multiplier: 1.0
Occurrence Period One calendar year

Compliance Templates P 4 T2
October 26, 2003

The security of the interconnected bulk electric systems shall be assessed,
monitored, and maintained on a wide-area basis.
Section Policy 4, Section B Requirements 3, 3.1
Brief Description System Coordination/Operational Security Information
Applicable to
ERRIS - Entities Responsible for the reliability of the interconnected system.
Standard
Each (ERRIS) shall provide its Reliability Coordinator (s) with operating data that
the Reliability Coordinator requires to monitor system conditions within the RC
area. The RC will identify the data requirements from the list in Policy 4,
Appendix 4B. The RC will identify any additional operating information
requirements, relating to operation of the bulk power system and also, which data
must be provided electronically.
Measurement
The ERRIS meets 100% compliance when they provide the Reliability
Coordinator with the information required, within the time intervals specified
therein, and in a format agreed upon by the Reliability Coordinator.
Measuring Processes
Periodic Review
Entities will be selected for operational reviews at least every three years
Self Certification
Each entity will annually self-certify compliance to the measures as required by
its RRC.
LEVEL 1- The ERRIS is providing the Reliability Coordinator with the data
required, in specified time intervals and format, but there are problems with
consistency of delivery identified in the measuring process that need remedy (e.g.,
the data is not supplied consistently due to equipment malfunctions, or scaling is
incorrect).
LEVEL 2 - N/A
LEVEL 3 - N/A
LEVEL 4 - The ERRIS is not providing the Reliability Coordinator with data
having the specified content, or time interval reporting, or format. The
information missing is included in the RCs list of data.
Compliance Assessment Notes:

Each Reliability Coordinator will prepare a list of data requirements, formats, and
time intervals for reporting.
difficult to identify various sectors within each entity. To facilitate the development
of the compliance program, the term ERRIS (Entities responsible for the reliability
of the interconnected system) is being used in the Compliance Templates. An ERRIS
can include, but is not limited to control areas, transmission operators, generation
operators, balancing authorities etc. In this way, the applicability of each standard
can be determined by the Regional Reliability Councils to facilitate their particular
organizational set up.
Penalties/sanctions
The sanction will be the larger of the fixed dollar amount shown in the
Enforcement Table or the calculated dollar amount using the following sanction
measures:
Miles of bulk transmission line in the ERRISs area operating at a nominal

voltage 100kV and greater.
in whole MW, calculated as the MWhour generation output during the year,


N/A
Multiplier: 1.0

October 26, 2003

Section Policy 4, Section B Requirements 4 4.1
Brief Description System Coordination/Operational Security Information/ISN
Applicable to
Reliability Coordinators
Standard
Upon request, Reliability Coordinators must exchange Security Data that is
necessary to allow other Reliability Coordinators to perform their operational
security assessments and coordinate their reliable operations.
Measurement
The Reliability Coordinator meets 100% compliance when they provide the other
Reliability Coordinators with the information required, within the time intervals
specified therein, and in a format agreed to.
In the Eastern Interconnection the data exchange shall be via the Interregional
Security Network, ISN. In ERCOT and WSCC, arrangements should be specified
between Reliability Coordinators in the respective regions (and with the Eastern
Interconnect).
Measuring Processes
Periodic Review
Self Certification
its RRC.
LEVEL 1 - The RC is providing other Reliability Coordinators with the data
required, in specified time intervals and format, but there are problems with
consistency of delivery identified in the measuring process that need remedy (e.g.,
the data is not supplied consistently due to equipment malfunctions, or scaling is
incorrect).
LEVEL 2 - N/A
LEVEL 3 N/A
LEVEL 4 - The RC is not providing other Reliability Coordinators with data
having the specified content, or time interval reporting, or format. The
information missing is included in the RCs list of data.

The RC needs to provide list of expected data to be provided.
Questionnaires should be sent to adjacent Reliability Coordinators by RRC for

their input on the performance of the Reliability Coordinator in review.
Penalties/sanctions
The total circuit miles of transmission above 100kV of the territory administered by
the Reliability Coordinator.
The average annual generation in MW of the territory administered by the Reliability
Coordinator or
The average annual load in MW of the territory administered by the Reliability
Coordinator

Data retention requirements N/A
Multiplier: 1.0

October 26, 2003

Plans for emergency operation and system restoration of interconnected bulk
electric systems shall be developed, coordinated, maintained and implemented.
Section Policy 5, Section A, Requirement 1

Emergency Operations/Coordination with other systems
Emergency Operations/A set of Capacity and Energy Emergency
plans consistent with NERC Operating Policies shall be developed,
maintained, and implemented
Brief Description Emergency Operations/Implementation of Capacity and Energy

Emergency plans and coordination with other systems
Applicable to
Standard
1. The ERRIS must implement their Capacity and Energy Emergency plans,
when required and as appropriate, to reduce risks to the interconnected system
2. The ERRIS must communicate its current and future system conditions to
neighboring ERRIS and their Reliability Coordinator if they are experiencing
an operating emergency.
Regional Reliability Councils (RRC)
Measuring Process
Investigation
At the discretion of the RRC or NERC, an investigation may be initiated to
review the operation of an ERRIS during a period when their system was highly
stressed. This could occur as the result of contingencies, extreme difficulty in
meeting system loads, or any other situation deemed noteworthy. Notification of
an investigation must be made by the RRC to the ERRIS being investigated as
soon as possible, but no later than 60 days after the event.
Measurement 1 The ERRIS will be reviewed to determine if their Capacity and

Energy Emergency Plans were appropriately followed. (Appropriately, since for
a particular situation, not all of the steps may be effective or required)
Measurement 2- Evidence will be gathered to determine the level of

communication between the ERRIS and other ERRIS. An assessment will be
made by the investigator(s) as to whether the level and timing of communication
of system conditions and actions taken to relieve emergency conditions was
acceptable and in conformance with the Capacity and Energy Emergency Plans.
Investigation Time Frame

The Regional Reliability Council must complete the evaluation of levels of compliance
within 30 days of the start of the investigation or within a time frame as required by RRC
procedures.
Reporting Period
Each event

The ERRIS implemented their Capacity and Energy Emergency plans, when required and
as appropriate and communicated its system conditions to neighboring ERRIS and their
Reliability Authority as required.
Level 1 N/A
Level 2 N/A
Level 3 One or more of the actions of the Capacity and Energy Emergency
Plans were not implemented resulting in a prolonged abnormal system condition.
Level 4 One or more of the actions of the Capacity and Energy Emergency
Plans were not implemented resulting in a prolonged abnormal system condition
and there was a delay or gap in communications.

The intent of this measurement is to evaluate how well the entity followed its emergency
procedures during stressed operating times. Since highly stressed is not a NERC defined
term, for the sake of this template, the term means any occasion when the entity needed
to implement most of its emergency action steps. Furthermore, when emergency
procedures are implemented on consecutive days, the RRC need not initiate an
investigation of each day, but shall select one of those days.
A time frame of 30 days after the start of the investigation or within a time frame as
required by RRC procedures has been established to ensure that an ERRIS will have
closure to any investigation within a reasonable time.
Due to the changes that are occurring across the interconnections, it has become difficult
to identify various sectors within each entity. To facilitate the development of the
compliance program, the term ERRIS (Entities responsible for the reliability of the
interconnected system) is being used in the Compliance Templates. An ERRIS can
include, but is not limited to control areas, transmission operators, generation operators,
balancing authorities etc. In this way, the applicability of each template can be
determined by the Regional Reliability Councils to facilitate their particular
Penalties/sanctions
100kV and greater.


The ERRIS is required to maintain data for 60 days following a stress event
After an investigation is completed, the RRC is required to keep the report of the
investigation on file for two years.
Multiplier 1.0
Occurrence Period
One calendar year
October 26, 2003

Section
Brief Description
Emergency Operations/Preparation of Capacity and Energy Emergency Plans
Applicable to
Standard
Capacity and Energy Emergency plans consistent with NERC Operating Policies
shall be developed and maintained by each ERRIS to cope with operating
emergencies.
Measuring Processes
Review
The Regional Reliability Councils must review and evaluate emergency plans
every three years to ensure that as a minimum they address the essential
Functional Areas of a Capacity and Energy Emergency Plan listed below and to
ensure that procedures are included to guide the operators in the implementation
of the plan.
Self-Assessment
The RRC may elect to conduct yearly checks of the ERRIS that may take the form
of a self-certification document in years that the full review is not done.
Reporting Period
Each Calendar year

Capacity and Energy Emergency plans consistent with NERC Operating Policies
have been developed and are being maintained to cope with operating
emergencies.
Level 1 One of the applicable Functional Areas of a Capacity and Energy
Emergency Plan has not been addressed in the emergency plans.
Level 2 Two of the applicable Functional Areas of a Capacity and Energy

Emergency Plan have not been addressed in the emergency plans.
Level 3 Three of the applicable Functional Areas of a Capacity and Energy

Emergency Plan have not been addressed in the emergency plans.
Level 4 Four or more of the applicable Functional Areas of a Capacity and

Energy Emergency Plan have not been addressed in the emergency plans.

The following Functional Areas must be addressed in the Capacity and Energy
Emergency plans. (It should be noted that some of the items may not be applicable as the
responsibilities for the item may not rest with the entity being reviewed, and therefore,
they should not be penalized for not having that item in the plan.)
1. Coordinating functions. The functions to be coordinated with and among

neighboring systems. (The plan should include references to coordination of
actions among neighboring systems when the plans are implemented.)
2. Fuel supply. An adequate fuel supply and inventory plan which recognizes
reasonable delays or problems in the delivery or production of fuel, fuel switching
plans for units for which fuel supply shortages may occur, e.g., gas and light oil,
and a plan to optimize all generating sources to optimize the availability of the
fuel, if fuel is in short supply.
3. Environmental constraints. Plans to seek removal of environmental constraints
for generating units and plants.
4. System energy use. The reduction of the systems own energy use to a
minimum.
5. Public appeals. Appeals to the public through all media for voluntary load
reductions and energy conservation including educational messages on how to
accomplish such load reduction and conservation.
6. Load management. Implementation of load management and voltage
reductions.
7. Appeals to large customers. Appeals to large industrial and commercial
customers to reduce non-essential energy use and start any customer-owned
backup generation.
8. Interruptible and curtailable loads. Use of interruptible and curtailable
customer load to reduce capacity requirements or to conserve the fuel in short
supply.
9. Maximizing generator output and availability. The operation of all generating
sources to maximize output and availability. This should include plans to
winterize units and plants during extreme cold weather.
10. Notifying IPPs. Notification of co-generation and independent power producers
to maximize output and availability.
11. Load curtailment. A mandatory load curtailment plan to use as a last resort.
This plan should address the needs of critical loads essential to the health, safety,
and welfare of the community.
12. Notification of government agencies. Notification of appropriate government
agencies as the various steps of the emergency plan are implemented
13. Notification to ERRIS. Notification should be made to other ERRIS as the steps
of the emergency plan are implemented.
Penalties/sanctions
100kV and greater.

One calendar year
Due to the severity of the non-compliance, the RRC may decide to establish short-
term re-occurrence time frames

The ERRIS must have its Capacity and Energy Emergency Plans available for a
review by the RRC
The ERRIS must have the information from their last annual self-assessment
available
Multiplier: 1.0
Occurrence Period- One calendar year

October 26, 2003
Section Policy 6, Section D
Brief Description Emergency Operations/Preparation of Restoration Plans
Applicable to
The entities responsible for the reliability of the interconnected system (ERRIS)
Standard
Each ERRIS shall develop and periodically update a logical plan to reestablish its
electric system in a stable and orderly manner in the event of a partial or total shut
down of the system. (NERC Reference Document Electric System
Restoration)
Measuring Processes
Periodic Review
The Regional Reliability Councils must review and evaluate restoration plans
every three years to ensure that as a minimum they address the essential items
listed below.
1. Identification of the relationships and responsibilities of the personnel
necessary to the restoration.
2. The provision for reliable black-start resources including: resources for
startup power for generating units, sufficient fuel resources,
transmission resources, and communication resources and power
supplies.
3. Contingency plans for failed resources.
4. The necessary operating instructions and procedures for synchronizing
areas of the system that have become separated.
5. The necessary operating instructions and procedures to cover loss of
vital telecommunications systems.
6. The necessary operating instructions and procedures for restoring
loads, including identification of critical load requirements.
7. A set of procedures for periodic review and updating the restoration
plan (at least yearly) and provisions for simulating and, where
practical, actual testing and verification of the resources and
procedures (at least every three years).
8. Documentation that operating personnel have been trained in the
implementation of the plan and have participated in restoration
exercises.
Self-Assessment
The RRC may elect to conduct yearly checks of the ERRIS that may take the form
of a self-certification document in years that the full review is not done.
Reporting Period
Each Calendar year or every three years as appropriate
Full Compliance
The ERRIS has developed and periodically updates a logical plan to reestablish its
electric system in a stable and orderly manner in the event of a partial or total shut
down of the system. The plan addresses the essential items above under the
heading Periodic Review.
Level 1 The Restoration Plan has been developed, but does not include one of
the items 1 through 8 above.
Level 2 The Restoration Plan has been developed, but does not include two of
Level 3 The Restoration Plan has been developed but does not include three of
Level 4 There is no Restoration Plan in place, or the Restoration Plan does not
include 4 or more of the items 1 through 8 above.

The NERC publication entitled Electric System Restoration A Reference Document
is included in the NERC Operating Policies as an appendix. It describes in detail what
should be covered in a restoration plan.
Penalties/sanctions
- Maximum amount of installed generating capacity in the ERRIS, in whole MW

or, during the most recent calendar year.
- Miles of bulk transmission line in the ERRIS area operating at a nominal
voltage100kV and greater.
- Average MW output of generation in the ERRIS in the most recent calendar year,
- Peak load in the ERRIS, in the preceding year in whole MW.
-
One calendar year

The ERRIS must have its Restoration Plans available for a review
The ERRIS must have the information from their last annual self-assessment
available
Multiplier: 1.0
Occurrence Period- One calendar year

October 26, 2003

Personnel responsible for planning and operating interconnected bulk electric
systems shall be trained, qualified, and have the responsibility and authority to
implement actions.
Section Policy 8, Section A
Brief Description Operating Personnel and Training/Responsibility and Authority
Applicable to
Standard
The SYSTEM OPERATOR must have the responsibility and authority to implement
real-time actions that ensure the stable and reliable operation of the BULK
ELECTRIC SYSTEM.
Measurement
The SYSTEM OPERATOR shall have the responsibility and authority to implement
real-time actions that ensure the stable and reliable operation of the BULK
ELECTRIC SYSTEM. (SEE COMPLIANCE ASSESSMENT NOTES CHECKLIST)
Measuring Processes
3-Year Review
A review will be conducted every three years. The job description that identifies
the SYSTEM OPERATORS authorities and responsibilities will be reviewed, as will
the written operating procedures or other documents delineating the authority of a
SYSTEM OPERATOR to take actions necessary to maintain the reliability of the
Bulk Electric System during normal and emergency conditions.
Items to be measured
- Availability of a clearly written job description that identifies the
System Operator's authorities and responsibilities
- Written operating procedures delineating the authority of a
System Operator and the actions a System Operator implements in
response to system contingencies.
- The demonstrated ability of the System Operator to take
necessary actions to maintain reliability during normal and
emergency conditions.
Self-certification
The RRC will deliver a self-certification form based on the Check List in the
Compliance Assessment Notes below, to the ERRIS as part of the self-
certification of compliance process.
Level 1 The ERRIS meets four of the five items in the Checklist (Items 1-5).
Level 2 The ERRIS meets three of the five items in the Checklist (Items 1-5).
Level 3 The ERRIS meets two of the five items in the Checklist (Items 1-5).
Level 4 The ERRIS meets one or less of the five items in the Checklist (Items 1-
5) or fails either interview described in #6 or #7 in the Checklist.
Checklist
1. A written job description exists which states in clear and unambiguous
language the responsibilities and authorities of a SYSTEM OPERATOR. The
job description also identifies SYSTEM PERSONNEL subject to the authority
of the SYSTEM OPERATOR.
2. Written job description states the SYSTEM OPERATORS responsibility to
comply with the NERC Operating Policies.
3. Written job description is readily accessible in the control room
environment to all SYSTEM OPERATORS.
4. Written operating procedures state that during normal operating
conditions, the SYSTEM OPERATOR has the authority to take or direct
timely and appropriate real-time actions without obtaining approval from
higher level personnel within the SYSTEM OPERATOR'S own OPERATING
AUTHORITY.
5. Written operating procedures state that during emergency conditions the
SYSTEM OPERATOR has the authority to take or direct timely and
appropriate real-time actions, up to and including shedding of firm load to
prevent or alleviate OPERATING SECURITY LIMIT violations. These actions
are performed without obtaining approval from higher level personnel
within the SYSTEM OPERATOR'S own OPERATING AUTHORITY.
OPTIONAL CHECKLIST ITEMS
ITEMS 6 AND/OR 7 MAY BE ADDED TO THE SELF-CERTIFICATION PROCESS AT THE
DISCRETION OF THE RRC.
6. Interviews with randomly selected SYSTEM OPERATORS confirm that they
have exercised their authority to implement actions during normal and
emergency conditions. These actions were performed without being
required to seek approval from higher level personnel within the SYSTEM
OPERATOR'S own OPERATING AUTHORITY.
7. Interviews with randomly selected SYSTEM PERSONNEL, whose actions are
directed by the SYSTEM OPERATOR acknowledge the responsibility and
authority of the SYSTEM OPERATOR.
Templates. An ERRIS can include, but is not limited to control areas,
transmission operators, generation operators, balancing authorities etc. In this
way, the applicability of each template can be determined by the Regional
Reliability Councils to facilitate their particular organizational set up.
PENALTIES/SANCTIONS
The dollar sanction is the fixed dollar amount shown on the enforcement table.

One calendar year
Data Retention Period

Continuous
Multiplier: 1.0
Occurrence Period One Calendar year

October 26, 2003

Personnel responsible for planning and operating interconnected bulk electric
systems shall be trained, qualified, and have the responsibility and authority to
implement actions.
Section Policy 8, Section C
Brief Description Operating Personnel and Training/ Operating Authorities shall staff
required operating positions with NERC-Certified System Operators.
Applicable to
Entity responsible for the reliability of the interconnected system (ERRIS)
Standard
As of January 1st, 2001, an ERRIS that maintains a control center(s) for the real-
time operation of the interconnected BULK ELECTRIC SYSTEM shall staff operating
positions that meet the following criteria with NERC-Certified SYSTEM
OPERATORS.
Positions that have the primary responsibility, either
directly or through communications with others, for the
real-time operation of the interconnected BULK ELECTRIC
SYSTEM, and positions that are directly responsible for
complying with NERC Operating Policies.
EXCEPTION While in training to become an NERC-Certified SYSTEM

OPERATOR, an uncertified individual may work only in a non-independent
position and must be under the direct authority of an NERC-Certified SYSTEM
OPERATOR.
Measurement
THE ERRIS has NERC-Certified SYSTEM OPERATOR(S) on shift in required
positions at all times, as per the requirements.
Exception: During a real-time operating emergency, the
time when control is transferred from a primary control
center to a backup control center shall not be included in
the calculation of non-compliance. This time shall be
limited to no more than four (4) hours.
Measuring Processes
3-Year Review
A review will be conducted every three years. On the job records should be
maintained for at least one rolling year, recording the staff on shift throughout
the year. The reviewer will ask to see this document to verify that the
measures were met for each month.
Self-Certification
Each RRC will prepare and deliver a Self-certification form to allow self-
certification of compliance to the measures.
Exception Reporting
Any violation of the standard must be reported to the RRC who will inform
the NERC Compliance Director, indicating the reason for the non-compliance
and the mitigation plans taken.
Level 1: The ERRIS did not meet the requirement for a total time greater than 0
hours and up to 12 hours during a one calendar month period for each required
position.
hours and up to 36 hours during a one calendar month period for each required
position.
hours and up to 72 hours during a one-month calendar period for each required
position.
hours during a one calendar month period for each required position.

If an ERRIS is applying the exception rule that allows an uncertified individual
(in training), to work in a non-independent position under the direct authority of
an NERC-Certified SYSTEM OPERATOR, the reviewer should note the time span
that the exception has been applied to the individual, to ensure that the exception
rule is not being misused.
Templates. An ERRIS can include, but is not limited to control areas,
transmission operators, generation operators, balancing authorities etc. In this
way, the applicability of each template can be determined by the Regional
PENALTIES/SANCTIONS
The dollar sanction is the fixed dollar amount shown on the enforcement table.

One month without a violation
Data Retention Period

Present calendar year plus previous calendar year shift schedules
Multiplier: 1.0
Occurrence Period One calendar month

October 26, 2003

Section Policy 9 Section A, Requirements 1, 1.1, 1.2
Brief Description Reliability Coordinator Procedures/Next day Operations Planning
Applicable to
Standard
Each Reliability Coordinator shall ensure that next-day security analyses are
carried out to ensure the bulk power system can be operated in anticipated normal
and contingency conditions. Studies shall be conducted to highlight potential
interface and other operating limits including overloaded transmission lines and
transformers, voltage and stability limits, etc.
Measurement
The Reliability Coordinator is found to have conducted systems studies as
required by the standard.
Measuring Processes
Periodic Review
Self-Certification
Each Reliability Coordinator will annually, self-certify compliance to the
measures as required by its RRC.
Exception Reporting
Reliability Coordinators will report monthly, any days that System Studies were
not conducted as required to highlight potential interface and other operating
limits including overloaded transmission lines and transformers, voltage and
stability limits, etc. Reports will be sent to the NERC Compliance Director.
Level 1- System Studies were not conducted as required for one day in a calendar
month.
Level 2 System Studies were not conducted as required, for 2-3 days in a
calendar month.
Level 3 System Studies were not conducted as required, for 4-5 days in a
calendar month.
Level 4 System Studies were not conducted as required, for more than 5 days in
a calendar month.

Periodic Review and Investigation
.For a selected 30-day period, in the past three calendar months, Reliability
Coordinators will provide documentation showing that they conducted next-day
security analyses to ensure the bulk power system could be operated in anticipated
normal and contingency conditions. Also, that they identified potential interface
and other operating limits including overloaded transmission lines and
transformers, voltage and stability limits, etc.
Study case results and related documentation shall be available for this review for
3 months preceding the present month.
Regions will define days for which actual day-ahead studies are required.
Penalties/sanctions
The average annual generation of the territory administered by the Reliability
Coordinator
The average annual load of the territory administered by the Reliability Coordinator


3 preceding calendar months (documentation as described above, not study data)
Multiplier: 1
Occurrence Period One calendar month

October 26, 2003

Section Policy 9, Section C, Requirement 3, 3.2.2.1

Appendix C1, Section A, Requirement 5
Appendix C1, Section A, Requirement 4 4.3
Brief Description Reliability Coordinator Procedures/Implementing Transmission

system relief.
Applicable to
Standard
A Reliability Coordinator must take appropriate actions in accordance with
established policies, procedures, authority and expectations, to relieve
transmission loading when requested by another Reliability Coordinator including
notifying appropriate CONTROL AREAS to curtail INTERCHANGE TRANSACTIONS.
Measurement
The Reliability Coordinator took appropriate actions in accordance with established
policies, procedures, authority and expectations, to relieve transmission loading when
requested by another Reliability Coordinator.
Measuring Processes
Investigation
A complaint that an entity is not meeting the requirements of this measure may
trigger an investigation. Either the RRC or NERC Compliance Director will
initiate the investigation.
Level 1 N/A
Level 2 N/A
Level 3 N/A
Level 4 The Reliability Coordinator did not comply with the provisions of their
established procedures, including correct implementation of holds or curtailments
consistent with the procedures.

For the Eastern Interconnection, TLR Procedure notification documentation, Operator
logs of sink and neighbor control areas as well as related electronic communications
are subject to field review.
Any repeat violations will be considered as 2nd, 3rd occurrences etc. until the violator
has completed two months without violations.
See Appendix 9C1-Transmission Loading Relief Procedure for the Eastern
Interconnection. ERCOT and WSCC procedures are also documented in
Appendices to Policy 9.
Penalties/sanctions
Coordinator or
Coordinator

One month without a violation
Data retention requirements 90 days
Multiplier: 1.0

October 26, 2003
The security of the interconnected bulk electric systems shall be assessed, monitored, and
maintained on a wide-area basis.
Section
Policy 9, Section C, Requirement 4
Brief Description Reliability Coordinator Procedures/Current Day Operations-Authority to

Implement Emergency Procedures
Applicable to
Standard
Reliability Coordinators must have the authority to immediately direct Operating Entities
within their Security Area to re-dispatch generation, reconfigure transmission, or reduce
load to mitigate critical conditions until Interchange Transactions can be reduced utilizing a
transmission loading relief, or other transmission loading control procedures, to return the
system to a reliable state
Measuring Process
Periodic Review
The Regional Reliability Council must review Reliability Coordinator at least every three
years to ensure that the Reliability Authority has the authority to immediately direct
Operating Authorities within their Security Area to re-dispatch generation, reconfigure
transmission, or reduce load to mitigate critical conditions until Interchange Transactions
can be reduced utilizing a transmission loading relief procedure, or other transmission
loading control procedures, to return the system to a reliable state
An agreement is in place with the entities being directed, that give the RC the authority to
direct Operating Authorities within their Security Area to immediately re-dispatch
generation, reconfigure transmission, or reduce load to mitigate critical conditions and
return the system to a reliable state
Full Compliance
Reliability Coordinators have the authority to re-dispatch generation, reconfigure
transmission, or reduce load to mitigate critical conditions until Interchange Transactions
can be reduced utilizing a transmission loading relief procedure, or other transmission
loading control procedures, to return the system to a reliable state.
Level 1 N/A
Level 2 N/A
Level 3 Reliability Coordinators indicate that they have the authority as required; however
documentation does not support this claim.
Level 4 the Reliability Coordinators do not have the authority to re-dispatch generation,
reconfigure transmission, or reduce load to mitigate critical conditions until Interchange
Transactions can be reduced utilizing a transmission loading relief procedure, or other
procedures, to return the system to a reliable state.

Documentation must be provided which clearly demonstrates that the Reliability
Coordinators have been given the authority to re-dispatch generation, reconfigure
transmission, or reduce load by all of the Operating Authorities within its security area.
Due to the changes that are occurring across the interconnections, it has become difficult to
identify various sectors within each entity. To facilitate the development of the compliance
program, the term ERRIS (Entities responsible for the reliability of the interconnected
system) is being used in the Compliance Templates. An ERRIS can include, but is not
limited to control areas, transmission operators, generation operators, balancing authorities
etc. In this way, the applicability of each template can be determined by the Regional
Agreement
An agreement is a contract or other document delineating an arrangement that expresses
assent by two or more parties to the same object. This arrangement determines a course of
action to be followed by all parties involved in the situation. The key components of the
agreement must identify the ability, intent and authority of the parties. The requirement for
these agreements can be satisfied in a variety of ways, including but not limited to:
contracts, designation of authority documents, policies, procedures.
Penalties/Sanctions
The sanction will be the larger of the fixed dollar amount shown in the Enforcement Table
or the calculated dollar amount using the following sanction measures: (Times the
multiplier)
Coordinator or
Coordinator
The rated MVA of a generating unit.
Multiplier
1.0


Documentation must be available at all times.
Occurrence Period
One year from when the on-site review was completed or the self-certification was received.
October 26, 2003
Section Policy 9, Appendix B, Requirement 1.1
Brief Description Reliability Coordinator Procedures/Energy Emergency Alerts
Applicable to
Standard An Energy Emergency Alert may be initiated only by a RELIABILITY

COORDINATOR at:
1) The RELIABILITY COORDINATORS own decision
2) The request of a CONTROL AREA
3) The request of a LOAD SERVING ENTITY.
Note: The cost of available resources shall not be a consideration for initiating an alert.
Measurement
Reliability Coordinator initiated an Energy Emergency Alert, as per the
requirements.
Measuring Processes
Investigations
At the discretion of a Region or NERC, an investigation may be initiated to
review the operation of days when Control Areas were near to or experiencing the
interruption of firm load, to determine if an Energy Emergency Alert should have
been issued.
Levels of non-Compliance
Level 1 NA
Level 2 NA
Level 3 NA
Level 4 Emergency Alert not issued as required, (delete issued when not
required)
Penalties/sanctions
Coordinator or
Coordinator


N/A
Multiplier: 1.0

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Approved July 18, 2002

October 26, 2003

The Regional Reliability Council must submit a summary document

Periodic Compliance Monitoring

Full (100%) Compliance Requirements

Level 4: the Control Areas value of CPS 1 is less than 85%.

Level 4: the Control Areas value of CPS 2 is less than 75%.

Compliance Assessment Notes

(1) average annual hourly generation (MWh generated divided by

CPS 1 DATA Description Retention Requirements

October 26, 2003

The Regional Reliability Council must submit a summary document

Periodic Compliance Monitoring

Full (100%) Compliance Requirements

Level 4: value of APR is less than 85%.

Compliance Assessment Notes

(1) average annual hourly generation (MWh generated divided by

The data that supports the calculation of DCS is to be retained in

DCS DATA Description Retention Requirements

October 26, 2003

Section Policy 2, Section A. Transmission Operations, Requirement 1 1.1 1.2

Brief Description Transmission Operation/ Operating Security Procedures

Compliance Assessment Notes

The Operational review should include an assessment of policies and

Compliance Reset Period

Data retention requirements

Occurrence Period One Calendar year

October 26, 2003

Section Policy 2, Section A. Transmission Operations, Requirement 2, 2.1, 2.2

Brief Description Transmission Operation/ Operating Security Limit Violations

Limit exceeded Limit exceeded Limit exceeded Limit exceeded

Compliance Assessment Notes

DEFINITION: OPERATING SECURITY LIMIT. The value of a system operating

Compliance Reset Period

Data retention requirements

Occurrence Period Per event

October 26, 2003

Section Policy 4, Section A. Requirements 2, 5, 6

Brief Description System Coordination/Transmission System Monitoring

The monitoring equipment must be designed to alert system operators of limit

Monitoring equipment to alert system operators of limit violations and the

Equipment and processes used to share critical Bulk Electrical System

Compliance Assessment Notes

Compliance Reset Period

Data retention requirements

Occurrence Period One calendar year

October 26, 2003

Section Policy 4, Section B Requirements 3, 3.1

Brief Description System Coordination/Operational Security Information

Compliance Assessment Notes:

Miles of bulk transmission line in the ERRISs area operating at a nominal

Compliance Reset Period

Data retention requirements

Occurrence Period One calendar year

October 26, 2003

Section Policy 4, Section B Requirements 4 4.1

Brief Description System Coordination/Operational Security Information/ISN

Compliance Assessment Notes:

Questionnaires should be sent to adjacent Reliability Coordinators by RRC for

Compliance Reset Period

Data retention requirements N/A

Occurrence Period One calendar year

October 26, 2003