Standard EOP-001-2.1b — Emergency Operations Planning

1

A. Introduction

1. Title: Emergency Operations Planning

2. Number: EOP-001-2.1b

3. Purpose: Each Transmission Operator and Balancing Authority needs to develop, 

maintain, and implement a set of plans to mitigate operating emergencies. These plans need to 

be coordinated with other Transmission Operators and Balancing Authorities, and the 

Reliability Coordinator.

4. Applicability

4.1. Balancing Authorities.

4.2. Transmission Operators.

5. Proposed Effective Date: Twenty-four months after the first day of the first calendar quarter 

following applicable regulatory approval. In those jurisdictions where no regulatory approval 

is required, all requirements go into effect twenty-four months after Board of Trustees 

adoption. 

B. Requirements

R1. Balancing Authorities shall have operating agreements with adjacent Balancing Authorities 

that shall, at a minimum, contain provisions for emergency assistance, including provisions to 

obtain emergency assistance from remote Balancing Authorities.

R2. Each Transmission Operator and Balancing Authority shall:

R2.1. Develop, maintain, and implement a set of plans to mitigate operating emergencies for 

insufficient generating capacity.

R2.2. Develop, maintain, and implement a set of plans to mitigate operating emergencies on 

the transmission system.

R2.3. Develop, maintain, and implement a set of plans for load shedding.

R3. Each Transmission Operator and Balancing Authority shall have emergency plans that will 

enable it to mitigate operating emergencies. At a minimum, Transmission Operator and 

Balancing Authority emergency plans shall include:

R3.1. Communications protocols to be used during emergencies.

R3.2. A list of controlling actions to resolve the emergency. Load reduction, in sufficient 

quantity to resolve the emergency within NERC-established timelines, shall be one of 

the controlling actions.

R3.3. The tasks to be coordinated with and among adjacent Transmission Operators and 

Balancing Authorities.

R3.4. Staffing levels for the emergency.

R4. Each Transmission Operator and Balancing Authority shall include the applicable elements in 

Attachment 1-EOP-001 when developing an emergency plan.

R5. The Transmission Operator and Balancing Authority shall annually review and update each 

emergency plan. The Transmission Operator and Balancing Authority shall provide a copy of 

its updated emergency plans to its Reliability Coordinator and to neighboring Transmission 

Operators and Balancing Authorities. 
Standard EOP-001-2.1b — Emergency Operations Planning

2

R6. The Transmission Operator and Balancing Authority shall coordinate its emergency plans with 

other Transmission Operators and Balancing Authorities as appropriate. This coordination 

includes the following steps, as applicable:

R6.1. The Transmission Operator and Balancing Authority shall establish and maintain 

reliable communications between interconnected systems.

R6.2. The Transmission Operator and Balancing Authority shall arrange new interchange 

agreements to provide for emergency capacity or energy transfers if existing 

agreements cannot be used.

R6.3. The Transmission Operator and Balancing Authority shall coordinate transmission 

and generator maintenance schedules to maximize capacity or conserve the fuel in 

short supply. (This includes water for hydro generators.)

R6.4. The Transmission Operator and Balancing Authority shall arrange deliveries of 

electrical energy or fuel from remote systems through normal operating channels.

C. Measures

M1. The Transmission Operator and Balancing Authority shall have its emergency plans available 

for review by the Regional Reliability Organization at all times.

M2. The Transmission Operator and Balancing Authority shall have its two most recent annual selfassessments available for review by the Regional Reliability Organization at all times.

D. Compliance

1. Compliance Monitoring Process

1.1. Compliance Monitoring Responsibility

Regional Reliability Organization.

1.2. Compliance Monitoring Period and Reset Time Frame

The Regional Reliability Organization shall review and evaluate emergency plans every 

three years to ensure that the plans consider the applicable elements of Attachment 1-

EOP-001.

The Regional Reliability Organization may elect to request self-certification of the 

Transmission Operator and Balancing Authority in years that the full review is not done.

Reset: one calendar year.

1.3. Data Retention

Current plan available at all times.

1.4. Additional Compliance Information

Not specified.
Standard EOP-001-2.1b — Emergency Operations Planning

3

2. Violation Severity Levels: 

Requirement Lower Moderate High Severe

R1 The Balancing Authority 

failed to demonstrate the 

existence of the necessary 

operating agreements for less 

than 25% of the adjacent 

BAs. 

Or less than 25% of those 

agreements do not contain 

provisions for emergency 

assistance.

The Balancing Authority 

failed to demonstrate the 

existence of the necessary 

operating agreements for 25% 

to 50% of the adjacent BAs. 

Or 25 to 50% of those 

agreements do not contain 

provisions for emergency 

assistance.

The Balancing Authority 

failed to demonstrate the 

existence of the necessary 

operating agreements for 50% 

to 75% of the adjacent BAs. 

Or 50% to 75% of those 

agreements do not contain 

provisions for emergency 

assistance. 

The Balancing Authority

failed to demonstrate the 

existence of the necessary 

operating agreements for 75% 

or more of the adjacent BAs. 

Or more than 75% of those 

agreements do not contain 

provisions for emergency 

assistance.

R2 The Transmission Operator or 

Balancing Authority failed to 

comply with one (1) of the 

sub-components.

The Transmission Operator or 

Balancing Authority failed to 

comply with two (2) of the 

sub-components.

N/A The Transmission Operator or 

Balancing Authority has 

failed to comply with three 

(3) of the sub-components.

R2.1 The Transmission Operator or 

Balancing Authority’s 

emergency plans to mitigate 

insufficient generating 

capacity are missing minor 

details or minor 

program/procedural elements.

The Transmission Operator or 

Balancing Authority's has 

demonstrated the existence of 

emergency plans to mitigate 

insufficient generating 

capacity emergency plans but 

the plans are not maintained. 

The Transmission Operator or 

Balancing Authority's 

emergency plans to mitigate 

insufficient generating 

capacity emergency plans are 

neither maintained nor 

implemented.

The Transmission Operator or 

Balancing Authority has 

failed to develop emergency 

mitigation plans for 

insufficient generating 

capacity.

R2.2 The Transmission Operator or 

Balancing Authority’s plans 

to mitigate transmission 

system emergencies are 

missing minor details or 

minor program/procedural 

elements. 

The Transmission Operator or 

Balancing Authority's has 

demonstrated the existence of 

transmission system 

emergency plans but are not 

maintained. 

The Transmission Operator or 

Balancing Authority's 

transmission system 

emergency plans are neither

maintained nor implemented.

The Transmission Operator or 

Balancing Authority has 

failed to develop, maintain, 

and implement operating 

emergency mitigation plans 

for emergencies on the 

transmission system. 
Standard EOP-001-2.1b — Emergency Operations Planning

4

Requirement Lower Moderate High Severe

R2.3 The Transmission Operator or 

Balancing Authority’s load 

shedding plans are missing 

minor details or minor 

program/procedural elements.

The Transmission Operator or 

Balancing Authority's has 

demonstrated the existence of 

load shedding plans but are 

not maintained. 

The Transmission Operator or 

Balancing Authority's load 

shedding plans are partially 

compliant with the 

requirement but are neither

maintained nor implemented.

The Transmission Operator or 

Balancing Authority has 

failed to develop, maintain, 

and implement load shedding 

plans. 

R3 The Transmission Operator or 

Balancing Authority failed to 

comply with one (1) of the 

sub-components.

The Transmission Operator or 

Balancing Authority failed to 

comply with two (2) of the 

sub-components.

The Transmission Operator or 

Balancing Authority has 

failed to comply with three 

(3) of the sub-components.

The Transmission Operator or 

Balancing Authority has 

failed to comply with all four 

(4) of the sub-components.

R3.1 The Transmission Operator or 

Balancing Authority’s 

communication protocols 

included in the emergency 

plan are missing minor 

program/procedural elements. 

N/A N/A The Transmission Operator or 

Balancing Authority has 

failed to include 

communication protocols in 

its emergency plans to 

mitigate operating 

emergencies. 

R3.2 The Transmission Operator or 

Balancing Authority’s list of 

controlling actions has 

resulted in meeting the intent 

of the requirement but is 

missing minor 

program/procedural elements. 

N/A The Transmission Operator or 

Balancing Authority provided 

a list of controlling actions, 

however the actions fail to 

resolve the emergency within 

NERC-established timelines.

The Transmission Operator or 

Balancing Authority has 

failed to provide a list of 

controlling actions to resolve 

the emergency. 
Standard EOP-001-2.1b — Emergency Operations Planning

5

Requirement Lower Moderate High Severe

R3.3 The Transmission Operator or 

Balancing Authority has 

demonstrated coordination 

with Transmission Operators 

and Balancing Authorities but 

is missing minor 

program/procedural elements. 

N/A N/A The Transmission Operator or 

Balancing Authority has 

failed to demonstrate the 

tasks to be coordinated with 

adjacent Transmission 

Operator and Balancing 

Authorities as directed by the 

requirement. 

R3.4 The Transmission Operator or 

Balancing Authority’s 

emergency plan does not 

include staffing levels for the 

emergency

N/A N/A N/A

R4 The Transmission Operator 

and Balancing Authority’s

emergency plan has complied 

with 90% or more of the 

number of sub-components.

The Transmission Operator 

and Balancing Authority’s

emergency plan has complied 

with 70% to 90% of the 

number of sub-components.

The Transmission Operator 

and Balancing Authority’s

emergency plan has complied 

with between 50% to 70% of 

the number of subcomponents.

The Transmission Operator 

and Balancing Authority’s

emergency plan has complied 

with 50% or less of the 

number of sub-components

R5 The Transmission Operator 

and Balancing Authority is 

missing minor 

program/procedural elements. 

The Transmission Operator 

and Balancing Authority has 

failed to annually review one 

of it's emergency plans 

The Transmission Operator 

and Balancing Authority has 

failed to annually review two

of its emergency plans or 

communicate with one of it's 

neighboring Balancing 

Authorities.

The Transmission Operator 

and Balancing Authority has 

failed to annually review 

and/or communicate any 

emergency plans with its 

Reliability Coordinator, 

neighboring Transmission 

Operators or Balancing 

Authorities.

R6 The Transmission Operator 

and/or the Balancing 

Authority failed to comply 

with one (1) of the subcomponents.

The Transmission Operator 

and/or the Balancing 

Authority failed to comply 

with two (2) of the subcomponents.

The Transmission Operator 

and/or the Balancing 

Authority has failed to 

comply with three (3) of the 

sub-components.

The Transmission Operator 

and/or the Balancing 

Authority has failed to 

comply with four (4) or more 

of the sub-components.
Standard EOP-001-2.1b — Emergency Operations Planning

6

Requirement Lower Moderate High Severe

R6.1 The Transmission Operator or 

Balancing Authority has 

failed to establish and 

maintain reliable 

communication between 

interconnected systems.

N/A N/A N/A

R6.2 The Transmission Operator or 

Balancing Authority has 

failed to arrange new 

interchange agreements to 

provide for emergency 

capacity or energy transfers 

with required entities when 

existing agreements could not 

be used.

N/A N/A N/A

R6.3 The Transmission Operator or 

Balancing Authority has 

failed to coordinate 

transmission and generator 

maintenance schedules to 

maximize capacity or 

conserve fuel in short supply.

N/A N/A N/A

R6.4 The Transmission Operator or 

Balancing Authority has 

failed to arrange for 

deliveries of electrical energy 

or fuel from remote systems 

through normal operating 

channels.

N/A N/A N/A
Standard EOP-001-2.1b — Emergency Operations Planning

7

E. Regional Differences

None identified.

Version History

Version Date Action Change Tracking

0 February 8, 

2005

Adopted by the Board of Trustees New

0 April 1, 2005 Effective Date New

0 August 8, 2005 Removed “Proposed” from Effective Date Errata 

1 October 17, 

2008

Deleted R2 

Replaced Levels of Non-compliance with 

the February 28, 2008 BOT approved 

Violation Severity Levels

Corrected typographical errors in BOT 

approved version of VSLs

Revised

IROL Project

2 August 5, 2009 Removed R2.4 as redundant with EOP005-2 Requirement R1 for the 

Transmission Operator; the Balancing 

Authority does not need a restoration 

plan.

Revised 

Project 2006-03

2 August 5, 2009 Adopted by NERC Board of Trustees: 

August 5, 2009

Revised

2 March 17, 2011 FERC Order issued approving EOP001-2 (Clarification issued on July 13, 

2011)

Revised

2b November 4, 

2010

Adopted by NERC Board of Trustees Project 2008-09 -

Interpretation of 

Requirement R1

2b November 4, 

2010

Adopted by NERC Board of Trustees Project 2009-28 -

Interpretation of 

Requirement R2.2 

2b December 15, 

2011

FERC Order issued approving Interpretation 

of R1 and R2.2 (Order effective December 

15, 2011)

Project 2008-09 -

Interpretation of 

Requirement R1 and 

Project 2009-28 -

Interpretation of 

Requirement R2.2

2.1b March 8, 2012 Errata adopted by Standards Committee;

(changed title and references to Attachment 

1 to omit inclusion of version numbers and

corrected references in Appendix 1

Question 4 from “EOP-001-0” to “EOP001-2”)

Errata
Standard EOP-001-2.1b — Emergency Operations Planning

8

2.1b September 13, 

2012

FERC approved Errata
Standard EOP-001-2.1b — Emergency Operations Planning

9

Attachment 1-EOP-001

Elements for Consideration in Development of Emergency Plans

1. Fuel supply and inventory — An adequate fuel supply and inventory plan that recognizes reasonable 

delays or problems in the delivery or production of fuel.

2. Fuel switching — Fuel switching plans for units for which fuel supply shortages may occur, e.g., gas 

and light oil.

3. Environmental constraints — Plans to seek removal of environmental constraints for generating units 

and plants.

4. System energy use — The reduction of the system’s 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, if appropriate.

7. Optimize fuel supply — The operation of all generating sources to optimize the availability.

8. Appeals to customers to use alternate fuels — In a fuel emergency, appeals to large industrial and 

commercial customers to reduce non-essential energy use and maximize the use of customer-owned 

generation that rely on fuels other than the one in short supply.

9. Interruptible and curtailable loads — Use of interruptible and curtailable customer load to reduce 

capacity requirements or to conserve the fuel in short supply.

10. 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.

11. Notifying IPPs — Notification of cogeneration and independent power producers to maximize output 

and availability.

12. Requests of government — Requests to appropriate government agencies to implement programs to 

achieve necessary energy reductions.

13. 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. 

Address firm load curtailment.

14. Notification of government agencies — Notification of appropriate government agencies as the 

various steps of the emergency plan are implemented.

15. Notifications to operating entities — Notifications to other operating entities as steps in emergency 

plan are implemented.
Standard EOP-001-2.1b — Emergency Operations Planning

10

Appendix 1

Requirement Number and Text of Requirement

R1. Balancing Authorities shall have operating agreements with adjacent Balancing Authorities 

that shall, at a minimum, contain provisions for emergency assistance, including provisions to obtain 

emergency assistance from remote Balancing Authorities.

Questions:

1. What is the definition of emergency assistance in the context of this standard? What scope and 

time horizons, if any, are considered necessary in this definition?

2. What was intended by using the adjective “adjacent” in Requirement 1? Does “adjacent 

Balancing Authorities” mean “All” or something else? Is there qualifying criteria to determine if 

a very small adjacent Balancing Authority area has enough capacity to offer emergency 

assistance?

3. What is the definition of the word “remote” as stated in the last phrase of Requirement 1? Does 

remote mean every Balancing Authority who’s area does not physically touch the Balancing 

Authority attempting to comply with this Requirement?

4. Would a Balancing Authority that participates in a Reserve Sharing Group Agreement, which 

meets the requirements of Reliability Standard BAL-002-0, Requirement 2, have to establish 

additional operating agreements to achieve compliance with Reliability Standard EOP-001-2, 

Requirement 1?

Responses:

1. In the context of this standard, emergency assistance is emergency energy. Emergency energy 

would normally be arranged for during the current operating day. The agreement should describe 

the conditions under which the emergency energy will be delivered to the responsible Balancing 

Authority. 

2. The intent is that all Balancing Authorities, interconnected by AC ties or DC (asynchronous) ties 

within the same Interconnection, have emergency energy assistance agreements with at least one 

Adjacent Balancing Authority and have sufficient emergency energy assistance agreements to 

mitigate reasonably anticipated energy emergencies. However, the standard does not require 

emergency energy assistance agreements with all Adjacent Balancing Authorities, nor does it 

preclude having an emergency assistance agreement across Interconnections. 

3. A remote Balancing Authority is a Balancing Authority other than an Adjacent Balancing 

Authority. A Balancing Authority is not required to have arrangements in place to obtain 

emergency energy assistance with any remote Balancing Authorities. A Balancing Authority’s 

agreement(s) with Adjacent Balancing Authorities does (do) not preclude the Adjacent Balancing 

Authority from purchasing emergency energy from remote Balancing Authorities.

4. A Reserve Sharing Group agreement that contains provisions for emergency assistance may be 

used to meet Requirement R1 of EOP-001-2.
Standard EOP-001-2.1b — Emergency Operations Planning

11

Appendix 2

Requirement Number and Text of Requirement

R2.2. Develop, maintain, and implement a set of plans to mitigate operating emergencies on the 

transmission system.

Questions:

Does the BA need to develop a plan to maintain a load-interchange-generation balance during 

operating emergencies and follow the directives of the TOP?

Questions:

The answer to both parts of the question is yes. The Balancing Authority is required by the standard 

to develop, maintain, and implement a plan. The plan must consider the relationships and 

coordination with the Transmission Operator for actions directly taken by the Balancing Authority. 

The Balancing Authority must take actions either as directed by the Transmission Operator or the 

Reliability Coordinator (reference TOP-001-1, Requirement R3), or as previously agreed to with the 

Transmission Operator or the Reliability Coordinator to mitigate transmission emergencies. As 

stated in Requirement R4, the emergency plan shall include the applicable elements in “Attachment 1 

–EOP-001.”