Standards Only) Texas RE (Regional Standards Only) WECC (Regional Standards Only) Compliance Monitoring and Enforcement The ERO Enterprise program for monitoring and enforcing compliance with Reliability Standards is implemented through its (CMEP) (§400 and Appendix 4C to the ROP), its (§500 to the ROP), its (Appendix 4B to the ROP), and its with the Regional Entities. If you are familiar, or involved, with this area, please answer items 15 through 37. Otherwise, please skip to the next section (Organization Registration and Certification). 15. The value of risk-based compliance and enforcement activities is well understood by the organization(s) I represent. ERO Enterprise 16. ERO Enterprise compliance activities are efficient and effective. ERO Enterprise 17. Regional Entity staff performing inherent risk assessments are competent in that area. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 18. Regional Entity staff performing audits and internal controls evaluations are competent in those areas. FRCC MRO NPCC RFC
SPP RE Texas RE WECC 23. The level of transparency for risk-based compliance and enforcement is appropriate, balancing efficiency and the confidentiality needs of the organization(s) I represent with the needs of industry as a whole to learn from others. NERC FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 24. The ERO Enterprise Program Alignment Process is an effective approach to raise issues of inconsistency across the ERO Enterprise. ERO Enterprise 25. The ERO Issues and Recommendations Tracking Spreadsheet is providing useful information to the organization(s) I represent. ERO Enterprise 26. The process for developing and submitting Implementation Guidance for ERO endorsement is well-defined and understood. ERO Enterprise 27. The organization(s) I represent uses the ERO Enterprise-Endorsed Implementation Guidance to achieve and demonstrate compliance. ERO Enterprise Compliance Monitoring
28. The audit process (including pre- and post-audit activities) for the most recent audit of the organization(s) I represent was organized, and followed established procedures. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 29. The audit report from the most recent audit of the organization(s) I represent identified clear, definitive, and actionable items to address. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 30. The implementation of spot checks was well-defined, organized, and followed established procedures. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 31. The self-reporting process is well defined, organized, and followed established procedures. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC FRCC
32. The self-certification process is well defined, organized, and followed established procedures. MRO NPCC RFC SERC SPP RE Texas RE WECC Compliance Enforcement 33. Communication of violations clearly and specifically describes the manner in which a requirement was violated. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 34. Communication of violations clearly and specifically describes the risk of possible violation, both actual and potential. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 35. The mitigation plan submission and approval process is efficient and effective. FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC FRCC
WECC 53. NERC and the Regional Entities develop and disseminate timely and useful information about system events and specific reliability risks affecting reliable operation of the BES. NERC FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 54. NERC effectively uses the Alert process as described in Rule of Procedure 810. NERC Training and Education To address requests from the industry for an increased level of compliance information as well as for enhanced CMEP transparency, many Regional Entities have committed more resources to training in order to engage in additional training, education and outreach activities. These increased activities have included additional workshops, newsletters to industry, and other direct communications. Much of the information covered by these increased outreach and communication activities takes the form of lessons learned. If you are familiar, or involved, with this area, please answer items 55. Otherwise, please skip to the next section (Situational Awareness and Infrastructure Security). 55. The ERO Enterprise provides effective training to registered entities on Reliability Standards. ERO Enterprise Situational Awareness and Infrastructure Security Pursuant to the (RDAs) and the , NERC and the Regional Entities collaborate to monitor present conditions on the BPS by gathering and assessing situation awareness information from registered entities. The Regional Entities also assist NERC in analyzing major events, off-normal occurrences, BPS performance, and BPS vulnerabilities. If you are familiar, or involved, with this area, please answer item 56. Otherwise, please skip to the next section (Annual Business Plan and Budget Development). 56. NERC serves as an effective leader and facilitator of the industry’s efforts to gain, maintain, and communicate awareness of conditions on the BPS. NERC Annual Business Plan and Budget Development NERC’s annual business plan and budgets and those of the Regional Entities provide an annual, detailed look at NERC’s and each Regional Entity’s current and planned activities by program area. If you are familiar, or involved, with this area, please answer items 57 and 58. Otherwise, please skip to the next section (Stakeholder Communication and Public Relations). 57. NERC and the Regional Entities provide reasonable opportunity for members and other stakeholders to provide input in the annual business plan and budgeting process. NERC FRCC MRO NPCC RFC SERC SPP RE Texas RE WECC 58. NERC and the Regional Entities provide sufficient information in support of its business plan and NERC FRCC MRO NPCC