the IMFR, the BA shall direct any necessary actions to improve Frequency Response, which may include, but are not limited to, directing adjustment of Governor deadband and/or droop settings. Interconnection’s rolling-average combined Frequency Response performance was less than the IMFR. BAL-001-TRE-1 R6. Each GO shall set its Governor parameters as follows: [Please see the standard for more information] Any Governor parameter setting was > 10% and ≤ 20% outside setting range specified in R6. Any Governor parameter setting was > 20% and ≤ 30% outside setting range specified in R6. Any Governor parameter setting was > 30% and ≤ 40% outside setting range specified in R6. Any Governor parameter setting was > 40% outside setting range specified in R6, – OR – an electronic or digital Governor was set to step into the droop curve. BAL-001-TRE-1 R7. Each GO shall operate each generating unit/generating facility that is connected to the interconnected transmission system with the Governor in service and responsive to frequency when the generating unit/generating facility is online and released for dispatch, unless the GO has a valid reason for operating with the Governor not in service and the GOP has been notified that the Governor is not in service. N/A N/A N/A The GO operated with its Governor out of service and did not notify the GOP upon discovery of its Governor out of service. BAL-001-TRE-1 R8. Each GOP shall notify the BA as soon as practical but within 30 of the discovery of a status change (in service, out of service) of a Governor. The GOP notified the BA of a change in Governor status between 31 minutes and one hour after the GOP was notified of the discovery of the change. The GOP notified the BA of a change in Governor status more than 1 hour but within 4 hours after the GOP was notified of the discovery of the change. The GOP notified the BA of a change in Governor status more than 4 hours but within 24 hours after the GOP was notified of the discovery of the change. The GOP failed to notify the BA of a change in Governor status within 24 hours after the GOP was notified of the discovery of the change.
BAL-001-TRE-1 R9. Each GO shall meet a minimum rolling average initial Primary Frequency Response performance of 0.75 on each generating unit/generating facility, based on participation in at least eight FMEs. [Please see the standard for more information] A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.75 and ≥ 0.65. A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.65 and ≥ 0.55. A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.55 and ≥ 0.45. A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.45. BAL-001-TRE-1 R10. Each GO shall meet a minimum rolling average sustained Primary Frequency Response performance of 0.75 on each generating unit/generating facility, based on participation in at least eight FMEs. [Please see the standard for more information] A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.75 and ≥ 0.65. A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.65 and ≥ 0.55. A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.55 and ≥ 0.45. A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.45. BAL-002-1 R1. Each Balancing Authority shall have access to and/or operate Contingency Reserve to respond to Disturbances. Contingency Reserve may be supplied from generation, controllable load resources, or coordinated adjustments to Interchange Schedules. N/A N/A N/A The Balancing Authority does not have access to and/or operate Contingency Reserve to respond to Disturbances. BAL-002-1 R1.1. A Balancing Authority may elect to fulfill its Contingency Reserve obligations by participating as a member of a Reserve Sharing Group. In such cases, the Reserve Sharing Group shall have the same responsibilities and obligations as each Balancing Authority with respect to monitoring and meeting the requirements of Standard BAL-002. N/A N/A N/A The Balancing Authority has elected to fulfill its Contingency Reserve obligations by participating as a member of a Reserve Sharing Group and the Reserve Sharing Group has not provided the same responsibilities and obligations as required of the responsible entity with respect to monitoring
and meeting the requirements of Standard BAL-002. BAL-002-1 R2. Each Regional Reliability Organization, sub-Regional Reliability Organization or Reserve Sharing Group shall specify its Contingency Reserve policies, including: The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify 1 of the following The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify 2 or 3 of the following sub-requirements. The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify 4 or 5 of the following sub-requirements. The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify all 6 of the following BAL-002-1 R2.1. The minimum reserve requirement for the group. N/A N/A N/A The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify the minimum reserve requirement for the group. BAL-002-1 R2.2. Its allocation among members. N/A N/A N/A The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify the allocation of reserves among members. BAL-002-1 R2.3. The permissible mix of Operating Reserve – Spinning and Operating N/A N/A N/A The Regional Reliability Organization, Reliability requirements. requirements.
has allowed the same portion of resource capacity (e.g., reserves from jointly owned generation) to be counted more than once as Contingency Reserve by multiple Balancing Authorities. BAL-002-1 R3. Each Balancing Authority or Reserve Sharing Group shall activate sufficient Contingency Reserve to comply with the DCS. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 100% but greater than or equal to 95%. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 95% but greater than or equal to 90%. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 90% but greater than or equal to 85%. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 85%. BAL-002-1 R3.1. As a minimum, the Balancing Authority or Reserve Sharing Group shall carry at least enough Contingency Reserve to cover the most severe single contingency. All Balancing Authorities and Reserve Sharing Groups shall review, no less frequently than annually, their probable contingencies to determine their prospective most severe single contingencies. The Balancing Authority or Reserve Sharing Group failed to review their probable contingencies to determine their prospective most severe single contingencies annually. N/A N/A The Balancing Authority or Reserve Sharing Group failed to carry at least enough Contingency Reserve to cover the most severe single contingency. BAL-002-1 R4. A Balancing Authority or Reserve Sharing Group shall meet the Disturbance Recovery Criterion within the Disturbance Recovery Period for 100% of Reportable Disturbances. The Disturbance Recovery Criterion is: The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance Recovery Period for more than The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance Recovery Period for more than The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance Recovery Period for more than
BAL-002-1 R5.1. The Reserve Sharing Group reviews group ACE (or equivalent) and demonstrates compliance to the DCS. To be in compliance, the group ACE (or its equivalent) must meet the Disturbance Recovery Criterion after the schedule change(s) related to reserve sharing have been fully implemented, and within the Disturbance Recovery Period. N/A N/A N/A N/A BAL-002-1 R5.2. The Reserve Sharing Group reviews each member’s ACE in response to the activation of reserves. To be in compliance, a member’s ACE (or its equivalent) must meet the Disturbance Recovery Criterion after the schedule change(s) related to reserve sharing have been fully implemented, and within the Disturbance Recovery Period. N/A N/A N/A N/A BAL-002-1 R6. A Balancing Authority or Reserve Sharing Group shall fully restore its Contingency Reserves within the Contingency Reserve Restoration Period for its Interconnection. The Balancing Authority or Reserve Sharing Group restored less than 100% but greater than 90% of its contingency reserves during the Contingency Reserve Restoration Period. The Balancing Authority or Reserve Sharing Group restored less than or equal to 90% but greater than 80% of its contingency reserves during the Contingency Reserve Restoration Period. The Balancing Authority or Reserve Sharing Group restored less than or equal to 80% but greater than or equal to 70% of its Contingency Reserve during the Contingency Reserve Restoration Period. The Balancing Authority or Reserve Sharing Group restored less than 70% of its Contingency Reserves during the Contingency Reserve Restoration Period. BAL-002-1 R6.1. The Contingency Reserve Restoration Period begins at the end of the Disturbance Recovery Period. N/A N/A N/A N/A BAL-002-1 R6.2. The default Contingency Reserve Restoration Period is 90 minutes. N/A N/A N/A N/A
The Frequency Bias Setting shown on FRS Form 1 and FRS Form 2 for the entirety of the participating Balancing Authorities’ Areas. BAL-004-0 R1. Only a Reliability Coordinator shall be eligible to act as Interconnection Time Monitor. A single Reliability Coordinator in each Interconnection shall be designated by the NERC Operating Committee to serve as Interconnection Time Monitor. N/A N/A N/A The responsible entity has designated more than one interconnection time monitor for a single interconnection. BAL-004-0 R2. The Interconnection Time Monitor shall monitor Time Error and shall initiate or terminate corrective action orders in accordance with the NAESB Time Error Correction Procedure. N/A N/A N/A The responsible entity serving as the Interconnection Time Monitor failed to initiate or terminate corrective action orders in accordance with the NAESB Time Error Correction Procedure. BAL-004-0 R3. Each Balancing Authority, when requested, shall participate in a Time Error Correction by one of the following methods: The Balancing Authority participated in more than 75% and less than 100% of requested Time Error Corrections for the calendar year. The Balancing Authority participated in more than 50% and less than or equal to 75% of requested Time Error Corrections for the calendar year. The Balancing Authority participated in more than 25% and less than or equal to 50% of requested Time Error Corrections for the calendar year. The Balancing Authority participated in less than or equal to 25% of requested Time Error Corrections for the calendar year. BAL-004-0 R3.1. The Balancing Authority shall offset its frequency schedule by 0.02 Hertz, leaving the Frequency Bias Setting normal; or The Balancing Authority failed to offset its frequency schedule by 0.02 Hertz and leave their Frequency Bias Setting normal for 0 to 25% of the time The Balancing Authority failed to offset its frequency schedule by 0.02 Hertz and leave their Frequency Bias Setting normal for 25 to 50% of the time error The Balancing Authority failed to offset its frequency schedule by 0.02 Hertz and leave their Frequency Bias Setting normal for 50 to 75% of the time error The Balancing Authority failed to offset its frequency schedule by 0.02 Hertz and leave their Frequency Bias Setting normal for 75% or more of the time error
the required calculations in less than or equal to two hours. calculations in less than or equal to four hours. calculations in less than or equal to six hours. R5. Each Balancing Authority shall be able to change its Automatic Generation Control operating mode between Flat Frequency (for blackout restoration); Flat Tie Line (for loss of frequency telemetry); Tie Line Bias; and Tie Line Bias plus Time Error Control (used in ATEC mode), to correspond to current operating conditions. N/A N/A N/A The Balancing Authority is not able to change its AGC operating mode between Flat Frequency (for blackout restoration; Flat Tie Line (for loss of frequency telemetry); Tie Line Bias; or Tie Line Bias plus Time Error control (used in ATEC mode). R6. Each Balancing Authority shall recalculate the PIIhourly and PIIaccum for the On-Peak and periods whenever adjustments are made to hourly Inadvertent Interchange or TE. N/A N/A N/A When making adjustments to hourly Inadvertent Interchange or TE, the Balancing Authority did not recalculate the PIIhourly and the PIIaccum for the and Off-Peak periods. R7. Each Balancing Authority shall make the same adjustment to the PIIaccum as it did for any month-end meter reading adjustments to Inadvertent Interchange. N/A N/A N/A When making any month-end meter reading adjustments to Inadvertent Interchange, the Balancing Authority did not make the same adjustment to the PIIaccum. 2 Peak Peak
R8. Each Balancing Authority shall payback Inadvertent Interchange using ATEC rather than bilateral and unilateral payback. N/A N/A N/A The Balancing Authority paid back Inadvertent Interchange using bilateral and unilateral payback rather than using ATEC. BAL-005-0.2b R1. All generation, transmission, and load operating within an Interconnection must be included within the metered boundaries of a Balancing Authority Area. N/A N/A N/A N/A BAL-005-0.2b R1.1. Each Generator Operator with generation facilities operating in an Interconnection shall ensure that those generation facilities are included within the metered boundaries of a Balancing Authority Area. N/A N/A N/A The Generator Operator with generation facilities operating in an Interconnection failed to ensure that those generation facilities were included within metered boundaries of a Balancing Authority Area. BAL-005-0.2b R1.2. Each Transmission Operator with transmission facilities operating in an Interconnection shall ensure that those transmission facilities are included within the metered boundaries of a Balancing Authority Area. N/A N/A N/A The Transmission Operator with transmission facilities operating in an Interconnection failed to ensure that those transmission facilities were included within metered boundaries of a Balancing Authority Area. BAL-005-0.2b R1.3. Each Load-Serving Entity with load operating in an Interconnection shall N/A N/A N/A The Load-Serving Entity with load 2
ensure that those loads are included within the metered boundaries of a Balancing Authority Area. operating in an Interconnection failed to ensure that those loads were included within metered boundaries of a Balancing Authority Area. BAL-005-0.2b R2. Each Balancing Authority shall maintain Regulating Reserve that can be controlled by AGC to meet the Control Performance Standard. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A The Balancing Authority failed to maintain Regulating Reserve that can be controlled by AGC to meet Control Performance Standard. BAL-005-0.2b R3. A Balancing Authority providing Regulation Service shall ensure that adequate metering, communications and control equipment are employed to prevent such service from becoming a Burden on the Interconnection or other Balancing Authority Areas. N/A N/A N/A The Balancing Authority providing Regulation Service failed to ensure adequate metering, communications, and control equipment was provided. BAL-005-0.2b R4. A Balancing Authority providing Regulation Service shall notify the Host Balancing Authority for whom it is controlling if it is unable to provide the service, as well as any Intermediate Balancing Authorities. N/A N/A N/A The Balancing Authority providing Regulation Service failed to notify the Host Balancing Authority for whom it is controlling if it was unable to provide the service, as well as any Intermediate Balancing Authorities. BAL-005-0.2b R5. A Balancing Authority receiving Regulation Service shall ensure that backup plans are in place to provide N/A N/A N/A The Balancing Authority receiving Regulation Service
internal generation or load. BAL-005-0.2b R10. The Balancing Authority shall include all Dynamic Schedules in the calculation of Net Scheduled Interchange for the ACE equation. N/A N/A N/A The Balancing Authority failed to include all Dynamic Schedules in the calculation of Net Scheduled Interchange for the ACE equation. BAL-005-0.2b R11. Balancing Authorities shall include the effect of Ramp rates, which shall be identical and agreed to between affected Balancing Authorities, in the Scheduled Interchange values to calculate ACE. N/A N/A N/A The Balancing Authority failed to include the effect of Ramp rates in the Scheduled Interchange values to calculate ACE. BAL-005-0.2b R12. Each Balancing Authority shall include all Tie Line flows with Adjacent Balancing Authority Areas in the ACE calculation. N/A N/A N/A The Balancing Authority failed to include all Tie Line flows with Adjacent Balancing Authority Areas in the ACE calculation. BAL-005-0.2b R12.1. Balancing Authorities that share a tie shall ensure Tie Line MW metering is telemetered to both control centers, and emanates from a common, source using common primary metering equipment. Balancing Authorities shall ensure that megawatt-hour data is telemetered or reported at the end of each hour. The Balancing Authority failed to ensure 5% or less of all its Tie Line MW metering was telemetered to both control centers and emanates from a common, source OR The Balancing Authority failed to The Balancing Authority failed to ensure more than 5% up to (and including) 10% of all its Tie Line MW metering was telemetered to both control centers and emanates from a common, agreed-upon source. OR The Balancing Authority failed to ensure more than 10% up to (and including) 15% of all its Tie Line MW metering was telemetered to both control centers and emanates from a common, agreed-upon source. OR The Balancing Authority failed to ensure more than 15% of all its Tie Line MW metering was telemetered to both control centers and emanates from a common, agreed-upon source. OR The Balancing Authority failed to
account. The Balancing Authority shall take into account interchange served by jointly owned generators. Adjacent Balancing Authority Areas in its Inadvertent Interchange account. OR Failed to take into account interchange served by jointly owned generators. Adjacent Balancing Authority Areas in its Inadvertent Interchange account. AND Failed to take into account interchange served by jointly owned generators. BAL-006-2 R3. Each Balancing Authority shall ensure all of its Balancing Authority Area interconnection points are equipped with common megawatt-hour meters, with readings provided hourly to the control centers of Adjacent Balancing Authorities. N/A N/A N/A The Balancing Authority failed to ensure all of its Balancing Authority Area interconnection points are equipped with common megawatt-hour meters, with readings provided hourly to the control centers of Adjacent Balancing Authorities. BAL-006-2 R4. Adjacent Balancing Authority Areas shall operate to a common Net Interchange Schedule and Actual Net Interchange value and shall record these hourly quantities, with like values but opposite sign. Each Balancing Authority shall compute its Inadvertent Interchange based on the following: The Balancing Authority failed to record Actual Net Interchange values that are equal but opposite in sign to its Adjacent Balancing Authorities. The Balancing Authority failed to compute Inadvertent Interchange. The Balancing Authority failed to operate to a common Net Interchange Schedule that is equal but opposite to its Adjacent Balancing Authorities. N/A BAL-006-2 R4.1 Each Balancing Authority, by the end of the next business day, shall agree with its Adjacent Balancing Authorities to: N/A N/A N/A The Balancing Authority, by the end of the next business day, failed to agree
with its Adjacent Balancing Authorities to the hourly values of Net Interchanged Schedule. AND The hourly integrated megawatt-hour values of Net Actual Interchange. BAL-006-2 R4.1.1. The hourly values of Net Interchange Schedule. N/A N/A N/A The Balancing Authority, by the end of the next business day, failed to agree with its Adjacent Balancing Authorities to the hourly values of Net Interchanged Schedule. BAL-006-2 R4.1.2. The hourly integrated megawatt-hour values of Net Actual Interchange. N/A N/A N/A The Balancing Authority, by the end of the next business day, failed to agree with its Adjacent Balancing Authorities to the hourly integrated megawatt-hour values of Net Actual Interchange. BAL-006-2 R4.2. Each Balancing Authority shall use the agreed-to daily and monthly accounting data to compile its monthly accumulated Inadvertent N/A N/A N/A The Balancing Authority failed to use the agreed-to daily and monthly accounting data to compile its
Interchange for the On-Peak and hours of the month. monthly accumulated Inadvertent Interchange for the and Off-Peak hours of the month. BAL-006-2 R4.3. A Balancing Authority shall make after-the-fact corrections to the agreed-to daily and monthly accounting data only as needed to reflect actual operating conditions (e.g. a meter being used for control was sending bad data). Changes or corrections based on non-reliability considerations shall not be reflected in the Balancing Authority’s Inadvertent Interchange. After-the-fact corrections to scheduled or actual values will not be accepted without agreement of the Adjacent Balancing Authority(ies). N/A N/A N/A The Balancing Authority failed to make after-the-fact corrections to the agreed-to daily and monthly accounting data to reflect actual operating conditions or changes or corrections based on considerations were reflected in the Balancing Authority’s Inadvertent Interchange. BAL-006-2 R5. Adjacent Balancing Authorities that cannot mutually agree upon their respective Net Actual Interchange or Net Scheduled Interchange quantities by the 15th calendar day of the following month shall, for the purposes of dispute resolution, submit a report to their respective Regional Reliability Organization Survey Contact. The report shall describe the nature and the cause of the dispute as well as a process for correcting the discrepancy. Adjacent Balancing Authorities that could not mutually agree upon their respective Net Actual Interchange or Net Scheduled Interchange quantities, submitted a report to their respective Regional Reliability Organizations Survey Contact describing the nature and the cause of the dispute but failed to Adjacent Balancing Authorities that could not mutually agree upon their respective Net Actual Interchange or Net Scheduled Interchange quantities by the 15th calendar day of the following month, failed to submit a report to their respective Regional Reliability Organizations Survey Contact describing the nature and the cause of the dispute as well as a N/A N/A
prior to the beginning of Year One per R2.3 Resource Adequacy analysis for one of the years in the 2 through 10 year period per R2.1. OR The Planning Coordinator failed to document the Planning Reserve margin calculated per requirement R1.1 for each of the three years in the analysis per R2.2. Resource Adequacy analysis for year 1 of the 10 year period per R2.1. OR The Planning Coordinator failed to document the projected Load and resource capability, for each area or Transmission constrained sub-area identified in the Resource Adequacy analysis for two or more of the years in the 2 through 10 year period per R2.1. Resource Adequacy analysis per R2.
Complete Violation Severity Level Matrix (CIP) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL CIP-002-3 R1. Critical Asset Identification Method — The Responsible Entity shall identify and document a risk-based assessment methodology to use to identify its Critical Assets. N/A N/A N/A The responsible entity has not documented a risk-based assessment methodology to use to identify its Critical Assets as specified in R1. CIP-002-3 R1.1 The Responsible Entity shall maintain documentation describing its risk-based assessment methodology that includes procedures and evaluation criteria. N/A The Responsible Entity maintained documentation describing its risk-based assessment methodology which includes evaluation criteria, but does not include procedures. The Responsible Entity maintained documentation describing its risk-based assessment methodology that includes procedures but does not include evaluation criteria. The Responsible Entity did not maintain documentation describing its assessment methodology that includes procedures and evaluation criteria. CIP-002-3 R1.2 The risk-based assessment shall consider the following assets: N/A N/A N/A The Responsible Entity did not consider all of the asset types listed in R1.2.1 through R1.2.7 in its risk-based assessment. CIP-002-3 R1.2.1. Control centers and backup control centers performing the functions of the entities listed in the Applicability section of this standard. N/A N/A N/A N/A CIP-002-3 R1.2.2. Transmission substations that support the reliable operation of the Bulk Electric System. N/A N/A N/A N/A CIP-002-3 R1.2.3. Generation resources that support the reliable operation of the Bulk Electric System. N/A N/A N/A N/A CIP-002-3 R1.2.4. Systems and facilities critical to system restoration, including N/A N/A N/A N/A based
blackstart generators and substations in the electrical path of transmission lines used for initial system restoration. CIP-002-3 R1.2.5. Systems and facilities critical to automatic load shedding under a common control system capable of shedding 300 MW or more. N/A N/A N/A N/A CIP-002-3 R1.2.6. Special Protection Systems that support the reliable operation of the Bulk Electric System. N/A N/A N/A N/A CIP-002-3 R1.2.7. Any additional assets that support the reliable operation of the Bulk Electric System that the Responsible Entity deems appropriate to include in its assessment. N/A N/A N/A N/A CIP-002-3 R2. Critical Asset Identification — The Responsible Entity shall develop a list of its identified Critical Assets determined through an annual application of the risk-based assessment methodology required in R1. The Responsible Entity shall review this list at least annually, and update it as necessary. N/A N/A The Responsible Entity has developed a list of Critical Assets but the list has not been reviewed and updated annually as required. The Responsible Entity did not develop a list of its identified Critical Assets even if such list is null. CIP-002-3 R3. Critical Cyber Asset Identification — Using the list of Critical Assets developed pursuant to Requirement R2, the Responsible Entity shall develop a list of associated Critical Cyber Assets essential to the operation of the Critical Asset. Examples at control centers and backup N/A N/A The Responsible Entity has developed a list of associated Critical Cyber Assets essential to the operation of the Critical Asset list as per requirement R2 but the list has not been reviewed The Responsible Entity did not develop a list of associated Critical Cyber Assets essential to the operation of the Critical Asset list as per requirement R2 even if such list is null.
delegate according to Requirement R2 within 15 calendar months but less than or equal to 16 calendar months of the previous approval. (R2.2) or equal to 17 calendar months of the previous approval. (R2.2) according to Requirement R2 within 17 calendar months but less than or equal to 18 calendar months of the previous approval. (R2.2) Requirement R2 within 18 calendar months of the previous approval. (R2.2) CIP-003-3 R1. Cyber Security Policy — The Responsible Entity shall document and implement a cyber security policy that represents management’s commitment and ability to secure its Critical Cyber Assets. The Responsible Entity shall, at minimum, ensure the following: N/A N/A N/A The Responsible Entity has not documented or implemented a cyber security policy. CIP-003-3 R1.1. The cyber security policy addresses the requirements in Standards CIP-002-3 through CIP-009-3, including provision for emergency situations. N/A N/A N/A The Responsible Entity's cyber security policy does not address all the requirements in Standards CIP-002 through CIP-009, including provision for emergency situations. CIP-003-3 R1.2. The cyber security policy is readily available to all personnel who have access to, or are responsible for, Critical Cyber Assets. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A The Responsible Entity's cyber security policy is not readily available to all personnel who have access to, or are responsible for, Critical Cyber Assets. CIP-003-3 R1.3 Annual review and approval of the cyber security policy by the senior manager assigned pursuant to R2. N/A N/A N/A The Responsible Entity's senior manager, assigned pursuant to R2, did not complete the annual
OR Changes to the delegated authority are not documented within thirty calendar days of the effective date. AND changes to the delegated authority are not documented within thirty calendar days of the effective date. CIP-003-3 R2.4 The senior manager or delegate(s), shall authorize and document any exception from the requirements of the cyber security policy. N/A N/A N/A The senior manager or delegate(s) did not authorize and document any exceptions from the requirements of the cyber security policy as required. CIP-003-3 R3. Exceptions — Instances where the Responsible Entity cannot conform to its cyber security policy must be documented as exceptions and authorized by the senior manager or delegate(s). (Retirement approved by FERC effective January 21, 2014) N/A N/A In Instances where the Responsible Entity cannot conform to its cyber security policy, in R1, exceptions were documented, but were not authorized by the senior manager or delegate(s). In Instances where the Responsible Entity cannot conform to its cyber security policy, in R1, exceptions were not documented. CIP-003-3 R3.1. Exceptions to the Responsible Entity’s cyber security policy must be documented within thirty days of being approved by the senior manager or delegate(s). (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A Exceptions to the Responsible Entity’s cyber security policy were not documented within 30 days of being approved by the senior manager or delegate(s). CIP-003-3 R3.2. Documented exceptions to the cyber security policy must include an explanation as to why N/A N/A The Responsible Entity has a documented exception to the cyber The Responsible Entity has a documented exception to the cyber security policy in R1
personnel who are responsible for authorizing logical or physical access to protected information. designated personnel for authorizing either logical or physical access but not both. of designated personnel who are responsible for authorizing logical or physical access to protected information. CIP-003-3 R5.1.1. Personnel shall be identified by name, title, and the information for which they are responsible for authorizing access. N/A N/A The Responsible Entity did identify the personnel by name, title, and the information for which they are responsible for authorizing access, but the business phone is missing. Personnel are not identified by name, title, or the information for which they are responsible for authorizing access. CIP-003-3 R5.1.2. The list of personnel responsible for authorizing access to protected information shall be verified at least annually. N/A N/A N/A The Responsible Entity did not verify at least annually the list of personnel responsible for authorizing access to protected information. CIP-003-3 R5.2. The Responsible Entity shall review at least annually the access privileges to protected information to confirm that access privileges are correct and that they correspond with the Responsible Entity’s needs and appropriate personnel roles and responsibilities. N/A N/A N/A The Responsible Entity did not review at least annually the access privileges to protected information to confirm that access privileges are correct and that they correspond with the Responsible Entity’s needs and appropriate personnel roles and responsibilities. CIP-003-3 R5.3. The Responsible Entity shall assess and document at least annually the processes for controlling access privileges to protected information. N/A N/A N/A The Responsible Entity did not assess and document at least annually the processes for controlling access
Incident response plans within its cyber security plan(s) for its assets containing low impact BES Cyber Systems, but failed to update each Cyber Security Incident response plan(s) within 180 days according to CIP-003-6, Requirement R2, Attachment 1, Section 4. (R2) Systems, but failed to document the determination of whether an identified Cyber Security Incident is a Reportable Cyber Security Incident and subsequent notification to the Electricity Sector Information Sharing and Analysis Center (ES-ISAC) according to CIP-003-6, Requirement R2, Attachment 1, Section 4. OR The Responsible Entity documented its cyber security plan(s) for its assets containing low impact BES Cyber Systems, but failed to document physical security controls according to Requirement R2, Attachment 1, Section 2. (R2) OR The Responsible Entity documented its cyber security plan(s) for its assets containing low impact BES Cyber Systems, but failed to document electronic access controls according to Requirement R2, Attachment 1, Section 3. (R2) Attachment 1, Section 4. (R2) OR The Responsible Entity documented and implemented electronic access controls for LERC, but failed to implement a LEAP or permit inbound and outbound access according to CIP-003-6, Requirement R2, Attachment 1, Section 3. (R2) OR The Responsible Entity documented and implemented electronic access controls for its assets containing low impact BES Cyber Systems, but failed to document and implement authentication of all Connectivity, if any, that provides access to low impact BES Cyber Systems according to CIP-003-6, Requirement R2, Attachment 1, Section 3. (R2) OR The Responsible Entity documented the physical access controls for its assets containing low
program for personnel having authorized cyber or authorized unescorted physical access to Critical Cyber Assets. The cyber security training program shall be reviewed annually, at a minimum, and shall be updated whenever necessary. program on an annual basis. or document an annual cyber security training program for personnel having authorized cyber or authorized unescorted physical access to Critical Cyber Assets. R2.1. This program will ensure that all personnel having such access to Critical Cyber Assets, including contractors and service vendors, are trained prior to their being granted such access except in specified circumstances such as an emergency. N/A N/A N/A Not all personnel having authorized cyber or unescorted physical access to Critical Cyber Assets, including contractors and service vendors, were trained prior to their being granted such access except in specified circumstances such as an emergency. R2.2. Training shall cover the policies, access controls, and procedures as developed for the Critical Cyber Assets covered by and include, at a minimum, the following required items appropriate to personnel roles and responsibilities: N/A N/A N/A The training does not include one or more of the minimum topics as detailed in R2.2.1, R2.2.2, R2.2.3, R2.2.4. R2.2.1. The proper use of Critical Cyber Assets; N/A N/A N/A N/A R2.2.2. Physical and electronic access controls to Critical Cyber Assets; N/A N/A N/A N/A R2.2.3. The proper handling of Critical Cyber Asset information; and, N/A N/A N/A N/A
Circumstances) prior to their being granted authorized electronic and authorized unescorted physical access, and did not identify, assess and correct the deficiencies. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train one individual with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date, and did not identify, assess and correct the deficiencies. (2.3) did not identify, assess and correct the deficiencies. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train two individuals with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date, and did not identify, assess and correct the deficiencies. (2.3) their being granted authorized electronic and authorized unescorted physical access, and did not identify, assess and correct the deficiencies. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train three individuals with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date, and did not identify, assess and correct the deficiencies. (2.3) correct the deficiencies. (2.1) OR The Responsible Entity implemented a cyber security training program but failed to train four or more individuals (with the exception of CIP Exceptional Circumstances) prior to their being granted authorized electronic and authorized unescorted physical access, and did not identify, assess and correct the deficiencies. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train four or more individuals with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date, and did not identify, assess and correct the deficiencies. (2.3)
The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for 5% or less of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess and correct the deficiencies. (4.4) more than 5% but less than (or equal to) 10% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.4) The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for more than 10% but less than (or equal to) 15% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.4) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for more than 15% of its BES Cyber Systems, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for more than 15% of its BES Cyber System
CIP Exceptional Circumstances) prior to their being granted authorized electronic and authorized unescorted physical access. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train one individual with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date. (2.3) unescorted physical access. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train two individuals with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date. (2.3) Circumstances) prior to their being granted authorized electronic and authorized unescorted physical access. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train three individuals with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date. (2.3) Parts 2.1.1 through 2.1.9. (2.1) OR The Responsible Entity implemented a cyber security training program but failed to train four or more individuals (with the exception of CIP Exceptional Circumstances) prior to their being granted authorized electronic and authorized unescorted physical access. (2.2) OR The Responsible Entity implemented a cyber security training program but failed to train four or more individuals with authorized electronic or authorized unescorted physical access within 15 calendar months of the previous training completion date. (2.3) CIP-004-6 R3. Each Responsible Entity shall implement one or more documented personnel risk assessment program(s) to attain and retain authorized electronic or authorized unescorted physical access to BES Cyber Systems The Responsible Entity has a program for conducting Personnel Risk Assessments (PRAs) for individuals, including contractors The Responsible Entity has a program for conducting Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, but did not The Responsible Entity has a program for conducting Personnel Risk Assessments (PRAs) for individuals, including contractors and service The Responsible Entity did not have all of the required elements as described by 3.1 through 3.4 included within documented
OR The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for one individual. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for one individual with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date. (3.5) electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for two individuals. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for two individuals with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date. (3.5) The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for three individuals. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for three individuals with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date. (3.5) access but did not confirm identity for four or more individuals. (3.1 & 3.4) OR The Responsible Entity has a process to perform seven-year criminal history record checks for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not include the required checks described in 3.2.1 and 3.2.2 for four or more individuals. (3.2 & 3.4) OR The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for four or more individuals. (3.3 & 3.4)
OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for four or more individuals with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date. (3.5) CIP-004-6 R4. Each Responsible Entity shall implement one or more documented access management program(s) that collectively include each of the applicable requirement parts in CIP-004-6 Table R4 – Access Management Program. [See Table R4 of the standard] The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records during a calendar quarter but did so less than 10 calendar days after the start of a subsequent calendar quarter. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records during a calendar quarter but did so between 10 and 20 calendar days after the start of a subsequent calendar quarter. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for more than 5% but less than (or equal to) 10% of its BES Cyber Systems, privileges were incorrect or unnecessary. (4.3) The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records during a calendar quarter but did so between 20 and 30 calendar days after the start of a subsequent calendar quarter. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but The Responsible Entity did not implement any documented program(s) for access management. (R4) OR The Responsible Entity has implemented one or more documented program(s) for access management that includes a process to authorize electronic access, unescorted physical access, or access to the designated storage locations where BES Cyber System Information is located. (4.1) OR
calendar months of the previous verification but for 5% or less of its BES Cyber Systems, privileges were incorrect or unnecessary. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for 5% or less of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary. (4.4) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for more than 5% but less than (or equal to) 10% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary. (4.4) for more than 10% but less than (or equal to) 15% of its BES Cyber Systems, privileges were incorrect or unnecessary. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for more than 10% but less than (or equal to) 15% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary. (4.4) The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records for at least two consecutive calendar quarters. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for more than 15% of its BES Cyber Systems, privileges were incorrect or unnecessary. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System
OR The Responsible Entity has implemented one or more process(es) to change passwords for shared accounts known to the user upon termination action, reassignment, or transfer, but did not do so for within 30 calendar days of the date of termination action, reassignment, or transfer for one or more individuals. (5.5) OR The Responsible Entity has implemented one or more process(es) to determine and document extenuating operating circumstances following a termination action, reassignment, or transfer, but did not change one or more passwords for shared accounts known to the user within 10 calendar days following the end of the extenuating operating circumstances. (5.5) OR The Responsible Entity has implemented one or more process(es) to revoke the individual’s access to the designated storage locations for BES Cyber System Information but, for two individuals, did not do so by the end of the next calendar day following the effective date and time of the termination action. (5.3) accounts and authorized unescorted physical access by the end of the next calendar day following the predetermined date. (5.2) OR The Responsible Entity has implemented one or more process(es) to revoke the individual’s access to the designated storage locations for BES Cyber System Information but, for three or more individuals, did not do so by the end of the next calendar day following the effective date and time of the termination action. (5.3) The Responsible Entity has implemented one or more process(es) to determine that an individual no longer requires retention of access following reassignments or transfers but, for three or more individuals, did not revoke the authorized electronic access to individual accounts and authorized unescorted physical access by the end of the next calendar day following the predetermined date. (5.2) R1. Electronic Security Perimeter — The Responsible Entity shall N/A N/A N/A The Responsible Entity did not ensure that CIP-005-
ensure that every Critical Cyber Asset resides within an Electronic Security Perimeter. The Responsible Entity shall identify and document the Electronic Security Perimeter(s) and all access points to the perimeter(s). every Critical Cyber Asset resides within an Electronic Security Perimeter. OR The Responsible Entity did not identify and document the Electronic Security Perimeter(s) and all access points to the perimeter(s). R1.1. Access points to the Electronic Security Perimeter(s) shall include any externally connected communication end point (for example, dial-up modems) terminating at any device within the Electronic Security Perimeter(s). N/A N/A N/A Access points to the Electronic Security Perimeter(s) do not include all externally connected communication end point (for example, dial-up modems) terminating at any device within the Electronic Security Perimeter(s). R1.2. For a dial-up accessible Critical Cyber Asset that uses a protocol, the Responsible Entity shall define an Electronic Security Perimeter for that single access point at the dial-up device. N/A N/A N/A For one or more dial-up accessible Critical Cyber Assets that use a non-routable protocol, the Responsible Entity did not define an Electronic Security Perimeter for that single access point at the dial-up device. R1.3. Communication links connecting discrete Electronic Security Perimeters shall not be N/A N/A N/A At least one end point of a communication link within the
screen upon all interactive access attempts. R3. Monitoring Electronic Access — The Responsible Entity shall implement and document an electronic or manual process(es) for monitoring and logging access at access points to the Electronic Security Perimeter(s) twenty-four hours a day, seven days a week. N/A N/A N/A The Responsible Entity did not implement or did not document electronic or manual processes monitoring and logging access points. R3.1. For dial-up accessible Critical Cyber Assets that use protocols, the Responsible Entity shall implement and document monitoring process(es) at each access point to the dial-up device, where technically feasible. N/A N/A N/A Where technically feasible, the Responsible Entity did not implement or did not document electronic or manual processes for monitoring at one or more access points to dial-up devices. R3.2. Where technically feasible, the security monitoring process(es) shall detect and alert for attempts at or actual unauthorized accesses. These alerts shall provide for appropriate notification to designated response personnel. Where alerting is not technically feasible, the Responsible Entity shall review or otherwise assess access logs for attempts at or actual unauthorized accesses at least every ninety calendar days. N/A N/A N/A Where technically feasible, the Responsible Entity did not implement security monitoring process(es) to detect and alert for attempts at or actual unauthorized accesses. OR The above alerts do not provide for appropriate notification to designated response personnel. routable
R5.3. The Responsible Entity shall retain electronic access logs for at least ninety calendar days. Logs related to reportable incidents shall be kept in accordance with the requirements of Standard CIP-008-3. The Responsible Entity retained electronic access logs for 75 or more calendar days, but for less than 90 calendar days. The Responsible Entity retained electronic access logs for 60 or more calendar days, but for less than 75 calendar days. The Responsible Entity retained electronic access logs for 45 or more calendar days , but for less than 60 calendar days. The Responsible Entity retained electronic access logs for less than 45 calendar days. CIP-005-5 R1. Each Responsible Entity shall implement one or more documented processes that collectively include each of the applicable requirement parts in CIP-005-5 Table R1 – Electronic Security Perimeter. The Responsible Entity did not have a method for detecting malicious communications for both inbound and outbound communications. (1.5) The Responsible Entity did not document one or more processes for CIP-005-5 Table R1 – Electronic Security Perimeter. (R1) OR The Responsible Entity did not have all applicable Cyber Assets connected to a network via a protocol within a defined Electronic Security Perimeter (ESP). (1.1) OR External Routable Connectivity through the ESP was not through an identified EAP. (1.2) OR The Responsible Entity did not require inbound and outbound access permissions and deny all other access by default. (1.3) OR The Responsible Entity did not perform
authentication when establishing dial-up connectivity with the applicable Cyber Assets, where technically feasible. (1.4) CIP-005-5 R2. Each Responsible Entity allowing Interactive Remote Access to BES Cyber Systems shall implement one or more documented processes that collectively include the applicable requirement parts, where technically feasible, in CIP-005-5 Table R2 – Interactive Remote Access Management. The Responsible Entity does not have documented processes for one or more of the applicable items for Requirement Parts 2.1 through 2.3. The Responsible Entity did not implement processes for one of the applicable items for Requirement Parts 2.1 through 2.3. The Responsible Entity did not implement processes for two of the applicable items for Requirement Parts 2.1 through 2.3. The Responsible Entity did not implement processes for three of the applicable items for Requirement Parts 2.1 through 2.3. R1. Physical Security Plan — The Responsible Entity shall document, implement, and maintain a physical security plan, approved by the senior manager or delegate(s) that shall address, at a minimum, the following: N/A N/A The Responsible Entity created a physical security plan but did not gain approval by a senior manager or delegate(s). OR The Responsible Entity created and implemented but did not maintain a physical security plan. The Responsible Entity did not document, implement, and maintain a physical security plan. R1.1. All Cyber Assets within an Electronic Security Perimeter shall reside within an identified Physical Security Perimeter. Where a completely enclosed (“six-wall”) border cannot be established, the Responsible Entity shall deploy and document alternative measures to control N/A N/A N/A The Responsible Entity's physical security plan does not include processes to ensure and document that all Cyber Assets within an Electronic Security Perimeter also reside within an
Requirements R4 and R5; Standard Standard CIP-008-3; and Standard CIP-009-3. R2.1. Be protected from unauthorized physical access. N/A N/A N/A N/A R2.2. Be afforded the protective measures specified in Standard CIP-003-3; Standard CIP-004-3 Requirement R3; Standard Requirements R2 and R3; Standard CIP-006-3a Requirements R4 and R5; Standard CIP-007-3; Standard CIP-008-3; and Standard N/A N/A N/A N/A R3 Protection of Electronic Access Control Systems — Cyber Assets used in the access control and/or monitoring of the Electronic Security Perimeter(s) shall reside within an identified Physical Security Perimeter. N/A N/A N/A A Cyber Assets used in the access control and/or monitoring of the Electronic Security Perimeter(s) does not reside within an identified Physical Security Perimeter. R4 Physical Access Controls — The Responsible Entity shall document and implement the operational and procedural controls to manage physical access at all access points to the Physical Security Perimeter(s) twenty-four hours a day, seven days a week. The Responsible Entity shall implement one or N/A N/A N/A The Responsible Entity has not documented or has not implemented the operational and procedural controls to manage physical access at all access points to the Physical Security Perimeter(s) hours a day, seven days a week using one
more of the following physical access methods: Card Key: A means of electronic access where the access rights of the card holder are predefined in a computer database. Access rights may differ from one perimeter to another. Special Locks: These include, but are not limited to, locks with “restricted key” systems, magnetic locks that can be operated remotely, and “man-trap” systems. Security Personnel: Personnel responsible for controlling physical access who may reside on-site or at a monitoring station. Other Authentication Devices: Biometric, keypad, token, or other equivalent devices that control physical access to the Critical Cyber Assets or more of the following physical access methods: • Card Key: A means of electronic access where the access rights of the card holder are predefined in a computer database. Access rights may differ from one perimeter to another. • Special Locks: These include, but are not limited to, locks with “restricted key” systems, magnetic locks that can be operated remotely, and “man-trap” systems. • Security Personnel: Personnel responsible for controlling physical access who may reside on-site or at a monitoring station. • Other Authentication Devices: Biometric, keypad, token, or other equivalent devices that control physical access to the Critical Cyber Assets. R5 Monitoring Physical Access — The Responsible Entity shall document and implement the technical and procedural controls for monitoring physical access at all access points to the Physical N/A N/A. N/A The Responsible Entity has not documented or has not implemented
Security Perimeter(s) twenty-four hours a day, seven days a week. Unauthorized access attempts shall be reviewed immediately and handled in accordance with the procedures specified in Requirement CIP-008-3. One or more of the following monitoring methods shall be used: Alarm Systems: Systems that alarm to indicate a door, gate or window has been opened without authorization. These alarms must provide for immediate notification to personnel responsible for response. Human Observation of Access Points: Monitoring of physical access points by authorized personnel as specified in Requirement R4. the technical and procedural controls for monitoring physical access at all access points to the Physical Security Perimeter(s) twenty-four hours a day, seven days a week using one or more of the following monitoring methods: • Alarm Systems: Systems that alarm to indicate a door, gate or window has been opened without authorization. These alarms must provide for immediate notification to personnel responsible for response. • Human Observation of Access Points: Monitoring of physical access points by authorized personnel as specified in
must include, at a minimum, the following: and R6 function properly. OR The implemented program does not include one or more of the requirements; R8.1, R8.2, and R8.3. R8.1 Testing and maintenance of all physical security mechanisms on a cycle no longer than three years. N/A N/A N/A N/A R8.2 Retention of testing and maintenance records for the cycle determined by the Responsible Entity in Requirement R8.1. N/A N/A N/A N/A R8.3 Retention of outage records regarding access controls, logging, and monitoring for a minimum of one calendar year. N/A N/A N/A N/A CIP-006-5 R1. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented physical security plans that collectively include all of the applicable requirement parts in CIP-006-5 Table R1 – Physical Security Plan. The Responsible Entity has a process to log authorized physical entry into any Physical Security Perimeter with sufficient information to identify the individual and date and time of entry and identified deficiencies but did not assess or correct the deficiencies. (1.8) OR The Responsible Entity has a process to alert for unauthorized physical access to Physical Access Control Systems and identified deficiencies but did not assess or correct the deficiencies. (1.7) OR The Responsible Entity has a process to alert for unauthorized physical access to Physical Access Control Systems but did not identify, The Responsible Entity has a process to alert for detected unauthorized access through a physical access point into a Physical security Perimeter and identified deficiencies but did not assess or correct the deficiencies. (1.5) OR The Responsible Entity has a process to alert for detected unauthorized The Responsible Entity did not document or implement operational or procedural controls to restrict physical access. (1.1) OR The Responsible Entity documented and implemented operational or procedural controls to restrict physical access and identified
The Responsible Entity has a process to log authorized physical entry into any Physical Security Perimeter with sufficient information to identify the individual and date and time of entry but did not identify, assess, or correct the deficiencies. (1.8) OR The Responsible Entity has a process to retain physical access logs for 90 calendar days and identified deficiencies but did not assess or correct the deficiencies. (1.9) OR The Responsible Entity has a process to retain physical access logs for 90 calendar days but did not identify, assess, or correct the deficiencies. (1.9) assess, or correct the deficiencies. (1.7) OR The Responsible Entity has a process communicate alerts within 15 minutes to identified personnel and identified deficiencies but did not assess or correct the deficiencies. (1.7) OR The Responsible Entity has a process communicate alerts within 15 minutes to identified personnel but did not identify, assess, or correct the deficiencies. (1.7) access through a physical access point into a Physical security Perimeter but did not identify, assess, or correct deficiencies. (1.5) OR The Responsible Entity has a process to communicate alerts within 15 minutes to identified personnel and identified deficiencies but did not assess or correct the deficiencies. (1.5) OR The Responsible Entity has a process to communicate alerts within 15 minutes to identified personnel but did not identify, assess, or correct the deficiencies. (1.5) OR The Responsible Entity has a process to monitor for unauthorized physical access to a Physical Access Control Systems and identified deficiencies but did not assess or correct the deficiencies. (1.6) OR The Responsible Entity has a process to monitor for unauthorized physical access to a Physical Access Control Systems deficiencies but did not assess or correct the deficiencies. (1.1) OR The Responsible Entity documented and implemented operational or procedural controls to restrict physical access but did not identify, assess, or correct the deficiencies. (1.1) OR The Responsible Entity has documented and implemented physical access controls, but at least one control does not exist to restrict access to Applicable Systems. (1.2) OR The Responsible Entity has documented and implemented physical access controls, restricts access to Applicable Systems using at least one control, and identified deficiencies, but did not assess or correct the deficiencies. (1.2) OR The Responsible Entity has documented and implemented physical access controls,
program to retain visitor logs for at least ninety days and identified deficiencies but did not assess or correct the deficiencies. (2.3) OR The Responsible Entity included a visitor control program to retain visitor logs for at least ninety days but did not identify, assess, or correct the deficiencies. (2.3) initial entry and last exit dates and times of the visitor, the visitor’s name, and the point of contact. (2.2) OR The Responsible Entity failed to include or implement a visitor control program to retain visitor logs for at least ninety days. (2.3) CIP-006-5 R3. Each Responsible Entity shall implement one or more documented Physical Access Control System maintenance and testing programs that collectively include each of the applicable requirement parts in CIP-006-5 Table R3 – Maintenance and Testing Program. The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 24 calendar months but did complete required testing within 25 calendar months. (3.1) The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 25 calendar months but did complete required testing within 26 calendar months. (3.1) The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 26 calendar months but did complete required testing within 27 calendar months. (3.1) The Responsible Entity has not documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter. (3.1) OR The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required
retain visitor logs for at least ninety days. (2.3) CIP-006-6 R3. Each Responsible Entity shall implement one or more documented Physical Access Control System maintenance and testing program(s) that collectively include each of the applicable requirement parts in CIP-006-6 Table R3 – Maintenance and Testing Program. [See Table R3 of the standard.] The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 24 calendar months but did complete required testing within 25 calendar months. (3.1) The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 25 calendar months but did complete required testing within 26 calendar months. (3.1) The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 26 calendar months but did complete required testing within 27 calendar months. (3.1) The Responsible Entity did not document or implement a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter. (3.1) OR The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 27 calendar months. (3.1) R1. Test Procedures — The Responsible Entity shall ensure that new Cyber Assets and significant changes to existing Cyber Assets within the Electronic Security Perimeter do not adversely affect existing cyber security controls. For N/A N/A N/A The Responsible Entity did not ensure the prevention of adverse affects described in R1, by not including the required minimum significant changes. OR
emergency operations on Cyber Assets inside the Electronic Security Perimeter(s). R2.2. The Responsible Entity shall disable other ports and services, including those used for testing purposes, prior to production use of all Cyber Assets inside the Electronic Security Perimeter(s). N/A N/A N/A The Responsible Entity did not disable one or more other ports or services, including those used for testing purposes, prior to production use for Cyber Assets inside the Electronic Security Perimeter(s). R2.3. In the case where unused ports and services cannot be disabled due to technical limitations, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure. N/A N/A N/A For cases where unused ports and services cannot be disabled due to technical limitations, the Responsible Entity did not document compensating measure(s) applied to mitigate risk. R3. Security Patch Management — The Responsible Entity, either separately or as a component of the documented configuration management process specified in CIP-003-3 Requirement R6, shall establish, document and implement a security patch management program for tracking, evaluating, testing, and installing applicable cyber security software patches for all Cyber Assets within the Electronic Security Perimeter(s). N/A N/A N/A The Responsible Entity did not establish (implement) or did not document, either separately or as a component of the documented configuration management process specified in CIP-003-3 Requirement R6, a security patch
prevention “signatures.” R5. Account Management — The Responsible Entity shall establish, implement, and document technical and procedural controls that enforce access authentication of, and accountability for, all user activity, and that minimize the risk of unauthorized system access. N/A N/A N/A The Responsible Entity did not document or did not implement technical and procedural controls that enforce access authentication of, and accountability for, all user activity. R5.1. The Responsible Entity shall ensure that individual and shared system accounts and authorized access permissions are consistent with the concept of “need to know” with respect to work functions performed. N/A N/A N/A The Responsible Entity did not ensure that individual and shared system accounts and authorized access permissions are consistent with the concept of “need to know” with respect to work functions performed. R5.1.1. The Responsible Entity shall ensure that user accounts are implemented as approved by designated personnel. Refer to Standard CIP-003-3 Requirement R5. N/A N/A N/A One or more user accounts implemented by the Responsible Entity were not implemented as approved by designated personnel. R5.1.2. The Responsible Entity shall establish methods, processes, and procedures that generate logs of sufficient detail to create historical audit trails of individual user account access N/A The Responsible Entity generated logs with sufficient detail to create historical audit trails of individual user account access activity, however the logs do not contain activity for a minimum of 90 days. The Responsible Entity generated logs with insufficient detail to create historical audit trails of individual user account access activity. The Responsible Entity did not generate logs of individual user account access activity.
R5.2.2. The Responsible Entity shall identify those individuals with access to shared accounts. N/A N/A N/A The Responsible Entity did not identify all individuals with access to shared accounts. R5.2.3. Where such accounts must be shared, the Responsible Entity shall have a policy for managing the use of such accounts that limits access to only those with authorization, an audit trail of the account use (automated or manual), and steps for securing the account in the event of personnel changes (for example, change in assignment or termination). N/A N/A N/A Where such accounts must be shared, the Responsible Entity has not implemented (one or more components of) a policy for managing the use of such accounts that limits access to only those with authorization, an audit trail of the account use (automated or manual), and steps for securing the account in the event of personnel changes (for example, change in assignment or termination). R5.3. At a minimum, the Responsible Entity shall require and use passwords, subject to the following, as technically feasible: N/A N/A N/A The Responsible Entity does not require passwords subject to R5.3.1, R5.3.2, R5.3.3. OR Does not use passwords subject to R5.3.1, R5.3.2, R5.3.3. R5.3.1. Each password shall be a minimum of six characters. N/A N/A N/A N/A R5.3.2. Each password shall consist of a combination of alpha, numeric, and “special” characters. N/A N/A N/A N/A
R5.3.3. Each password shall be changed at least annually, or more frequently based on risk. N/A N/A N/A N/A R6. Security Status Monitoring — The Responsible Entity shall ensure that all Cyber Assets within the Electronic Security Perimeter, as technically feasible, implement automated tools or organizational process controls to monitor system events that are related to cyber security. N/A N/A N/A The Responsible Entity as technically feasible, did not implement automated tools or organizational process controls, to monitor system events that are related to cyber security on one or more of Cyber Assets inside the Electronic Security Perimeter(s). R6.1. The Responsible Entity shall implement and document the organizational processes and technical and procedural mechanisms for monitoring for security events on all Cyber Assets within the Electronic Security Perimeter. N/A N/A N/A The Responsible Entity did not implement or did not document the organizational processes and technical and procedural mechanisms for monitoring for security events on all Cyber Assets within the Electronic Security Perimeter. R6.2. The security monitoring controls shall issue automated or manual alerts for detected Cyber Security Incidents. N/A N/A N/A The Responsible entity's security monitoring controls do not issue automated or manual alerts for detected Cyber Security Incidents. R6.3. The Responsible Entity shall maintain logs of system events related to cyber security, where N/A N/A N/A The Responsible Entity did not maintain logs of system events related
technically feasible, to support incident response as required in Standard CIP-008-3. to cyber security, where technically feasible, to support incident response as required in Standard CIP-008. R6.4. The Responsible Entity shall retain all logs specified in Requirement R6 for ninety calendar days. N/A N/A N/A The Responsible Entity did not retain one or more of the logs specified in Requirement R6 for at least 90 calendar days. R6.5. The Responsible Entity shall review logs of system events related to cyber security and maintain records documenting review of logs. N/A N/A N/A The Responsible Entity did not review logs of system events related to cyber security nor maintain records documenting review of logs. R7. Disposal or Redeployment — The Responsible Entity shall establish and implement formal methods, processes, and procedures for disposal or redeployment of Cyber Assets within the Electronic Security Perimeter(s) as identified and documented in Standard N/A N/A The Responsible Entity established and implemented formal methods, processes, and procedures for redeployment of Cyber Assets within the Electronic Security Perimeter(s) as identified and documented in Standard 3 but did not address redeployment as specified in R7.2. The Responsible Entity did not establish or implement formal methods, processes, and procedures for disposal or redeployment of Cyber Assets within the Electronic Security Perimeter(s) as identified and documented in Standard CIP-005-3.
The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 15 calendar months but less than or equal to 16 calendar months of the last password change and did not identify, assess, or correct the deficiencies. (5.6) did not technically or procedurally enforce password changes or an obligation to change the password within 16 calendar months but less than or equal to 17 calendar months of the last password change and did not identify, assess, or correct the deficiencies. (5.6) Access Controls but, did not include the identification or inventory of all known enabled default or other generic account types, either by system, by groups of systems, by location, or by system type(s) and did not identify, assess, or correct the deficiencies. (5.2) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification of the individuals with authorized access to shared accounts and has identified deficiencies but did not assess or correct the deficiencies. (5.3) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification of the individuals with authorized access to shared accounts and did not identify, assess, or correct the deficiencies. (R5) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, where technically feasible, does not have a method(s) to enforce authentication of interactive user access and has identified deficiencies but did not assess or correct the deficiencies. (5.1) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, where technically feasible, does not have a method(s) to enforce authentication of interactive user access and did not identify, assess, or correct the deficiencies. (5.1) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but did not, per device
correct the deficiencies. (5.3) OR The Responsible Entity has implemented one or more documented process(es) for authentication for interactive user access that did not technically or procedurally enforce one of the two password parameters as described in 5.5.1 and 5.5.2 and has identified deficiencies but did not assess or correct the deficiencies. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for authentication for interactive user access that did not technically or procedurally enforce one of the two password parameters as described in 5.5.1 and 5.5.2 and did not identify, assess, or correct the deficiencies. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for authentication for capability, change known default passwords and has identified deficiencies but did not assess or correct the deficiencies. (5.4) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but did not, per device capability, change known default passwords but did not identify, assess, or correct the deficiencies. (5.4) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but the Responsible Entity did not technically or procedurally enforce all of the password parameters described in 5.5.1 and 5.5.2 and has identified deficiencies but did not assess or
interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 17 calendar months but less than or equal to 18 calendar months of the last password change and has identified deficiencies but did not assess or correct the deficiencies. (5.6) OR The Responsible Entity has implemented one or more documented process(es) for authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 17 calendar months but less than or equal to 18 calendar months of the last password change and did not identify, assess, or correct the deficiencies. (5.6) correct the deficiencies. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but the Responsible Entity did not technically or procedurally enforce all of the password parameters described in 5.5.1 and 5.5.2 and did not identify, assess, or correct the deficiencies. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 18 calendar months of the last password change and has identified deficiencies but did not
missed an interval and completed the review within 22 calendar days of the prior review. (4.4) events described in 4.2.1 through 4.2.2. (4.2) OR The Responsible Entity has documented and implemented one or more process(es) to log applicable events identified in 4.1 (where technically feasible and except during CIP Exceptional Circumstances) but did not retain applicable event logs for at least the last 90 consecutive days. (4.3) OR The Responsible Entity has documented and implemented one or more process(es) to identify undetected Cyber Security Incidents by reviewing an entity-determined summarization or sampling of logged events at least every 15 calendar days but missed two or more intervals. (4.4) events for the Applicable Systems (per device or system capability) but did not detect and log all of the required types of events described in 4.1.1 through 4.1.3. (4.1) CIP-007-6 R5. Each Responsible Entity shall implement one or more documented process(es) that collectively include each of the applicable requirement parts in CIP-007-6 Table R5 – System Access Controls. The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification or inventory The Responsible Entity did not implement or document one or more process(es) that included the applicable
[See Table R5 of the standard.] but did not technically or procedurally enforce password changes or an obligation to change the password within 15 calendar months but less than or equal to 16 calendar months of the last password change. (5.6) changes or an obligation to change the password within 16 calendar months but less than or equal to 17 calendar months of the last password change. (5.6) of all known enabled default or other generic account types, either by system, by groups of systems, by location, or by system type(s). (5.2) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification of the individuals with authorized access to shared accounts. (5.3) OR The Responsible Entity has implemented one or more documented process(es) for authentication for interactive user access that did not technically or procedurally enforce one of the two password parameters as described in 5.5.1 and 5.5.2. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for authentication for interactive user access items in CIP-007-6 Table R5. (R5) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, where technically feasible, does not have a method(s) to enforce authentication of interactive user access. (5.1) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, where technically feasible, does not have a method(s) to enforce authentication of interactive user access. (5.1) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but did not, per device capability, change only
that did not technically or procedurally enforce one of the two password parameters as described in 5.5.1 and 5.5.2. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 17 calendar months but less than or equal to 18 calendar months of the last password change. (5.6) known default passwords. (5.4) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but the Responsible Entity did not technically or procedurally enforce all of the password parameters described in 5.5.1 and 5.5.2. (5.5) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 18 calendar months of the last password change. (5.6) OR The Responsible Entity has implemented one only
of the applicable requirement parts in CIP‐008‐5 Table R1 – Cyber Security Incident Response Plan Specifications. responsibilities of Cyber Security Incident response groups or individuals. (1.3) OR The Responsible Entity has developed the Cyber Security Incident response plan(s), but the plan does not include incident handling procedures for Cyber Security Incidents. (1.4) identify, classify, and respond to Cyber Security Incidents. (1.1) OR The Responsible Entity has developed a Cyber Security Incident response plan, but the plan does not include one or more processes to identify Reportable Cyber Security Incidents. (1.2) OR The Responsible Entity has developed a Cyber Security Incident response plan, but did not provide at least preliminary notification to ES-ISAC within one from identification of a Reportable Cyber Security Incident. (1.2) CIP-008-5 R2. Each Responsible Entity shall implement each of its documented Cyber Security Incident response plans to collectively include each of the applicable requirement parts in CIP‐008‐5 Table R2 – Cyber Security Incident Response Plan Implementation and Testing. The Responsible Entity has not tested the Cyber Security Incident response plan(s) within 15 calendar months, not exceeding 16 calendar months between tests of the plan. (2.1) The Responsible Entity has not tested the Cyber Security Incident response plan(s) within 16 calendar months, not exceeding 17 calendar months between tests of the plan. (2.1) The Responsible Entity has not tested the Cyber Security Incident response plan(s) within 17 calendar months, not exceeding 18 calendar months between tests of the plan. (2.1) OR The Responsible Entity did not document deviations, if any, from the plan during a test or when a Reportable Cyber The Responsible Entity has not tested the Cyber Security Incident response plan(s) within 18 calendar months between tests of the plan. (2.1) OR The Responsible Entity did not retain relevant records related to Reportable Cyber
Security Incident occurs. (2.2) Security Incidents. (2.3) CIP-008-5 R3. Each Responsible Entity shall maintain each of its Cyber Security Incident response plans according to each of the applicable requirement parts in CIP‐008‐5 Table R3 – Cyber Security Incident Response Plan Review, Update, and Communication. The Responsible Entity has not notified each person or group with a defined role in the Cyber Security Incident response plan of updates to the Cyber Security Incident response plan within greater than 90 but less than 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.3) The Responsible Entity has not updated the Cyber Security Incident response plan on any documented lessons learned within 90 and less than 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.2) OR The Responsible Entity has not notified each person or group with a defined role in the Cyber Security Incident response plan of updates to the Cyber Security Incident response plan within 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.3) OR The Responsible Entity has not updated the Cyber Security Incident response plan(s) or notified each person or group with a defined role within 60 and less than 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or Cyber Security Incident response groups or individuals, or Technology changes. The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 90 and less than 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.1) OR The Responsible Entity has not updated the Cyber Security Incident response plan based on any documented lessons learned within 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.2) OR The Responsible Entity has not updated the Cyber Security Incident response plan(s) or notified each person or group with a defined role within 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.1)
ensure that the information is available. Testing can be completed off site. that is stored on backup media has not been tested at least annually to ensure that the information is available. CIP-009-5 R1. Each Responsible Entity shall have one or more documented recovery plans that collectively include each of the applicable requirement parts in CIP‐009‐5 Table R1 – Recovery Plan Specifications. N/A The Responsible Entity has developed recovery plan(s), but the plan(s) do not address one of the requirements included in Parts 1.2 through 1.5. The Responsible Entity has developed recovery plan(s), but the plan(s) do not address two of the requirements included in Parts 1.2 through 1.5. The Responsible Entity has not created recovery plan(s) for BES Cyber Systems. OR The Responsible Entity has created recovery plan(s) for BES Cyber Systems, but the plan(s) does not address the conditions for activation in Part 1.1. OR The Responsible Entity has created recovery plan(s) for BES Cyber Systems, but the plan(s) does not address three or more of the requirements in Parts 1.2 through 1.5. CIP-009-5 R2. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, its documented recovery plan(s) to collectively include each of the applicable requirement parts in CIP‐009‐5 Table R2 – Recovery Plan The Responsible Entity has not tested the recovery plan(s) according to R2 Part 2.1 within 15 calendar months, not exceeding 16 calendar months The Responsible Entity has not tested the recovery plan(s) within 16 calendar months, not exceeding 17 calendar months between tests of the plan, and when tested, any deficiencies The Responsible Entity has not tested the recovery plan(s) according to R2 Part 2.1 within 17 calendar months, not exceeding 18 calendar months between The Responsible Entity has not tested the recovery plan(s) according to R2 Part 2.1 within 18 calendar months between tests of the plan. (2.1)
The Responsible Entity has tested the recovery plan(s) according to R2 Part 2.3 but did not identify, assess, or correct the deficiencies. (2.3) CIP-009-5 R3. Each Responsible Entity shall maintain each of its recovery plans in accordance with each of the applicable requirement parts in CIP‐009‐5 Table R3 – Recovery Plan Review, Update and Communication. The Responsible Entity has not notified each person or group with a defined role in the recovery plan(s) of updates within 90 and less than 120 calendar days of the update being completed. (3.1.3) The Responsible Entity has not updated the recovery plan(s) based on any documented lessons learned within 90 and less than 120 calendar days of each recovery plan test or actual recovery. (3.1.2) OR The Responsible Entity has not notified each person or group with a defined role in the recovery plan(s) of updates within 120 calendar days of the update being completed. (3.1.3) OR The Responsible Entity has not updated the recovery plan(s) or notified each person or group with a defined role within 60 and less than 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or Responders, or Technology changes. The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 90 and less than 120 calendar days of each recovery plan test or actual recovery. (3.1.1) OR The Responsible Entity has not updated the recovery plan(s) based on any documented lessons learned within 120 calendar days of each recovery plan test or actual recovery. (3.1.2) OR The Responsible Entity has not updated the recovery plan(s) or notified each person or group with a defined role within 90 calendar days of any of the following changes that the responsible entity determines would impact The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 120 calendar days of each recovery plan test or actual recovery. (3.1.1)
the ability to execute the plan: (3.2) Roles or responsibilities, or Responders, or Technology changes. CIP-009-6 R1. Each Responsible Entity shall have one or more documented recovery plan(s) that collectively include each of the applicable requirement parts in CIP-009-6 Table R1 – Recovery Plan Specifications. [See Table R1 of the standard.] N/A The Responsible Entity has developed recovery plan(s), but the plan(s) do not address one of the requirements included in Parts 1.2 through 1.5. The Responsible Entity has developed recovery plan(s), but the plan(s) do not address two of the requirements included in Parts 1.2 through 1.5. The Responsible Entity has not created recovery plan(s) for BES Cyber Systems. OR The Responsible Entity has created recovery plan(s) for BES Cyber Systems, but the plan(s) does not address the conditions for activation in Part 1.1. OR The Responsible Entity has created recovery plan(s) for BES Cyber Systems, but the plan(s) does not address three or more of the requirements in Parts 1.2 through 1.5. CIP-009-6 R2. Each Responsible Entity shall implement its documented recovery plan(s) to collectively include each of the applicable requirement parts in CIP-009-6 The Responsible Entity has not tested the recovery plan(s) according to R2 Part 2.1 within 15 calendar The Responsible Entity has not tested the recovery plan(s) within 16 calendar months, not exceeding 17 calendar months between tests of the plan. (2.1) The Responsible Entity has not tested the recovery plan(s) according to R2 Part 2.1 within 17 calendar The Responsible Entity has not tested the recovery plan(s) according to R2 Part 2.1 within 18 calendar
being completed. (3.1.3) The Responsible Entity has not notified each person or group with a defined role in the recovery plan(s) of updates within 120 calendar days of the update being completed. (3.1.3) OR The Responsible Entity has not updated the recovery plan(s) or notified each person or group with a defined role within 60 and less than 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) • Roles or responsibilities, or • Responders, or • Technology changes. OR The Responsible Entity has not updated the recovery plan(s) based on any documented lessons learned within 120 calendar days of each recovery plan test or actual recovery. (3.1.2) OR The Responsible Entity has not updated the recovery plan(s) or notified each person or group with a defined role within 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) • Roles or responsibilities, or • Responders, or • Technology changes. actual recovery. (3.1.1) CIP-010-1 R1. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented processes that collectively include each of the applicable requirement parts in CIP‐010‐1 Table R1 – Configuration Change Management. The Responsible Entity has documented and implemented a configuration change management process(es) that includes four of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) The Responsible Entity has documented and implemented a configuration change management process(es) that includes three of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) OR The Responsible Entity has documented and implemented a configuration change management process(es) that includes only two of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) The Responsible Entity has not documented or implemented any configuration change management process(es). (R1) OR The Responsible Entity has documented and
and identified deficiencies in the verification documentation but did not assess or correct the deficiencies. (1.4.3) OR The Responsible Entity has a process(es) to perform steps in 1.4.1 and 1.4.2 for a change(s) that deviates from the existing baseline configuration but did not identify, assess, or correct the deficiencies in the verification documentation. (1.4.3) required security controls in CIP-005 and CIP-007 that could be impacted by a change(s) that deviates from the existing baseline configuration but did not identify, assess, or correct the deficiencies in the determination of affected security controls. (1.4.1) OR The Responsible Entity has a process(es) that requires authorization and documentation for changes that deviate from the existing baseline configuration but did not identify, assess, or correct the deficiencies. (1.2) OR The Responsible Entity has a process(es) to update baseline configurations within 30 calendar days of completing a change(s) that deviates from the existing baseline configuration and identified deficiencies but did not assess or correct the deficiencies. (1.3) OR The Responsible Entity has a process(es) to update baseline configurations within 30 calendar days of completing a change(s) that deviates from the existing baseline configuration but did not identify, assess, or correct the deficiencies. (1.3) correct the deficiencies. (1.1) OR The Responsible Entity does not have a process(es) that requires authorization and documentation of changes that deviate from the existing baseline configuration. (1.2) OR The Responsible Entity does not have a process(es) to update baseline configurations within 30 calendar days of completing a change(s) that deviates from the existing baseline configuration.(1.3) OR The Responsible Entity does not have a process(es) to determine required security controls in CIP-005 and CIP-007 that could be impacted by a change(s) that deviates from the existing baseline configuration. (1.4.1)
OR The Responsible Entity has a process(es) to verify that required security controls in CIP-005 and CIP-007 are not adversely affected by a change(s) that deviates from the existing baseline configuration and identified deficiencies in required controls, but did not assess, or correct the deficiencies. (1.4.2) OR The Responsible Entity has a process(es) to verify that required security controls in CIP-005 and CIP-007 are not adversely affected by a change(s) that deviates from the existing baseline configuration but did not identify, assess, or correct the deficiencies in the required controls. (1.4.2) OR The Responsible Entity has a process for testing changes in an environment that models the baseline configuration prior to implementing a change that deviates from baseline configuration, OR The Responsible Entity has a process(es) to determine required security controls in CIP-005 and CIP-007 that could be impacted by a change(s) that deviates from the existing baseline configuration but did not verify and document that the required controls were not adversely affected following the change. (1.4.2 & 1.4.3) OR The Responsible Entity does not have a process for testing changes in an environment that models the baseline configuration prior to implementing a change that deviates from baseline configuration. (1.5.1) OR The Responsible Entity does not have a process to document the test results and, if using a test environment, document the differences between the
once every 35 calendar days but did not identify, assess, or correct the deficiencies. (2.1) CIP-010-1 R3. Each Responsible Entity shall implement one or more documented processes that collectively include each of the applicable requirement parts in CIP‐010‐1 Table R3– Vulnerability Assessments. The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 15 months, but less than 18 months, since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 36 months, but less than 39 months, since the last active assessment on one of its applicable The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 18 months, but less than 21, months since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 39 months, but less than 42 months, since the last active assessment on one of its applicable BES Cyber Systems. (3.2) The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 21 months, but less than 24 months, since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 42 months, but less than 45 months, since the last active assessment on one of its applicable BES Cyber Systems. (3.2) The Responsible Entity has not implemented any vulnerability assessment processes for one of its applicable BES Cyber Systems. (R3) OR The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 24 months since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has
documented process(es) that collectively include each of the applicable requirement parts in CIP-010-2 Table R2 – Configuration Monitoring. [See Table R2 of the standard.] documented or implemented a process(es) to monitor for, investigate, and document detected unauthorized changes to the baseline at least once every 35 calendar days. (2.1) CIP-010-2 R3. Each Responsible Entity shall implement one or more documented process(es) that collectively include each of the applicable requirement parts in CIP-010-2 Table R3– Vulnerability Assessments. [See Table R3 of the standard.] The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 15 months, but less than 18 months, since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 18 months, but less than 21, months since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 39 months, but less than 42 months, since the last active assessment on one of its applicable BES Cyber Systems. (3.2) The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 21 months, but less than 24 months, since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 42 months, but less than 45 months, since the last active assessment on one of its The Responsible Entity has not implemented any vulnerability assessment processes for one of its applicable BES Cyber Systems. (R3) OR The Responsible Entity has implemented one or more documented vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 24 months since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR
Cyber Assets and Removable Media, but failed to document the Removable Media sections according to CIP-010-2, Requirement R4, Attachment 1, Section 3. (R4) OR The Responsible Entity documented its plan(s) for Transient Cyber Assets and Removable Media, but failed to document authorization for Transient Cyber Assets managed by the Responsible Entity according to CIP-010-2, Requirement R4, Attachment 1, Section 1.2. (R4) of malicious code, or mitigation of the risk of unauthorized use for Transient Cyber Assets managed by the Responsible Entity according to CIP-010-2, Requirement R4, Attachment 1, Sections 1.3, 1.4, and 1.5. (R4) OR The Responsible Entity documented its plan(s) for Transient Cyber Assets and Removable Media, but failed to document mitigation of software vulnerabilities or mitigation for the introduction of malicious code for Transient Cyber Assets managed by a party other than the Responsible Entity according to CIP-010-2, Requirement R4, Attachment 1, Sections 2.1, 2.2, and 2.3. (R4) Media, but failed to implement mitigation of software vulnerabilities, mitigation for the introduction of malicious code, or mitigation of the risk of unauthorized use for Transient Cyber Assets managed by the Responsible Entity according to CIP-010-2, Requirement R4, Attachment 1, Sections 1.3, 1.4, and 1.5. (R4) OR The Responsible Entity documented its plan(s) for Transient Cyber Assets and Removable Media, but failed to implement mitigation of software vulnerabilities or mitigation for the introduction of malicious code for Transient Cyber Assets managed by a party other than the Responsible Entity according to CIP-010-2, Requirement R4, Attachment 1, Sections 2.1, 2.2, and 2.3. (R4) CIP-011-1 R1. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects N/A The Responsible Entity has implemented a BES Cyber System The Responsible Entity has not documented or implemented a BES
The Responsible Entity has implemented a BES Cyber System Information protection program which includes one or more procedures for protection and secure handling BES Cyber System Information but did not identify, assess, or correct the deficiencies. (1.2) CIP-011-1 R2. Each Responsible Entity shall implement one or more documented processes that collectively include the applicable requirement parts in CIP‐011‐1 Table R2 – BES Cyber Asset Reuse and Disposal. N/A The Responsible Entity implemented one or more documented processes but did not include processes for reuse as to prevent the unauthorized retrieval of BES Cyber System Information from the BES Cyber Asset. (2.1) The Responsible Entity implemented one or more documented processes but did not include disposal or media destruction processes to prevent the unauthorized retrieval of BES Cyber System Information from the BES Cyber Asset. (2.2) The Responsible Entity has not documented or implemented any processes for applicable requirement parts in CIP-011-1 Table R2 – BES Cyber Asset Reuse and Disposal. (R2) CIP-011-2 R1. Each Responsible Entity shall implement one or more documented information protection program(s) that collectively includes each of the applicable requirement parts in CIP-011-2 Table R1 – Information Protection. [See Table R1 of standard] N/A N/A N/A The Responsible Entity has not documented or implemented a BES Cyber System Information protection program (R1).
data request issued pursuant to Requirement R1. 90 calendar days but less than or equal to 100 calendar days following completion of Requirement R1; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 and modified or documented the technical basis for not modifying its identification under Requirement R1 as required by Part 2.3 but did so more than 60 calendar days and less than or equal to 70 calendar days from completion of the third party verification. following completion of Requirement R1; Or The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 and modified or documented the technical basis for not modifying its identification under Requirement R1 as required by Part 2.3 but did so more than 70 calendar days and less than or equal to 80 calendar days from completion of the third party verification. than or equal to 120 calendar days following completion of Requirement R1; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 and modified or documented the technical basis for not modifying its identification under Requirement R1 as required by Part 2.3 but did so more than 80 calendar days from completion of the third party verification; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 but failed to modify or document the technical basis for not modifying its identification under R1 as required by Part 2.3. 120 calendar days following completion of Requirement R1; OR The Transmission Owner failed to have an unaffiliated third party verify the risk assessment performed under Requirement R1; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 but failed to implement procedures for protecting information per Part 2.4. CIP-014-2 R3. For a primary control center(s) identified by the Transmission Owner according to Requirement R1, Part 1.2 that a) operationally The Transmission Owner notified the Transmission Operator The Transmission Owner notified the Transmission Operator that operates the primary control center as The Transmission Owner notified the Transmission Operator that operates the primary control center as The Transmission Owner notified the Transmission Operator that operates the
the primary control center of the removal from the identification in Requirement R1. CIP-014-2 R4. Each Transmission Owner that identified a Transmission station, Transmission substation, or a primary control center in Requirement R1 and verified according to Requirement R2, and each Transmission Operator notified by a Transmission Owner according to Requirement R3, shall conduct an evaluation of the potential threats and vulnerabilities of a physical attack to each of their respective Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 and verified according to Requirement R2. N/A The Responsible Entity conducted an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 but failed to consider one of Parts 4.1 through 4.3 in the evaluation. The Responsible Entity conducted an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 but failed to consider two of Parts 4.1 through 4.3 in the evaluation. The Responsible Entity failed to conduct an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1; OR The Responsible Entity conducted an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 but failed to consider Parts 4.1 through 4.3. CIP-014-2 R5. Each Transmission Owner that identified a Transmission station, The Responsible Entity developed and The Responsible Entity developed and implemented a The Responsible Entity developed and The Responsible Entity developed and
security plan(s) as specified in Part 6.3 but did so more than 60 calendar days and less than or equal to 70 calendar days following completion of the third party review. following completion of the third party review. 6.3 but did so more than 80 calendar days following completion of the third party review; OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 but did not document the reason for not modifying the security plan(s) as specified in Part 6.3. OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 but failed to implement procedures for protecting information per Part 6.4.
capability with the following entities: Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4. listed in Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4. COM-001-2 R5. Each Balancing Authority shall have Interpersonal Communication capability with the following entities (unless the Balancing Authority detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): See Standard for additional information. N/A N/A The Balancing Authority failed to have Interpersonal Communication capability with one of the entities listed in Requirement R5, Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except when the Balancing Authority detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Balancing Authority failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R5, Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except when the Balancing Authority detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. COM-001-2 R6. Each Balancing Authority shall designate an Alternative Interpersonal Communication capability with the following entities: See Standard for additional information. N/A N/A The Balancing Authority failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R6, Parts 6.1, 6.2, or 6.3. The Balancing Authority failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R6, Parts 6.1, 6.2, or 6.3. COM-001-2 R7. Each Distribution Provider shall have Interpersonal Communication capability with the following entities N/A N/A The Distribution Provider failed to have Interpersonal Communication capability with one of the entities listed in The Distribution Provider failed to have Interpersonal Communication capability with two or more of the entities
(unless the Distribution Provider detects a failure of its Interpersonal Communication capability in which case Requirement R11 shall apply): See Standard for additional information. Requirement R7, Parts 7.1 or 7.2, except when the Distribution Provider detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. listed in Requirement R7, Parts 7.1 or 7.2, except when the Distribution Provider detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. COM-001-2 R8. Each Generator Operator shall have Interpersonal Communication capability with the following entities (unless the Generator Operator detects a failure of its Interpersonal Communication capability in which case Requirement R11 shall apply): See Standard for additional information. N/A N/A The Generator Operator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R8, Parts 8.1 or 8.2, except when a Generator Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. The Generator Operator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R8, Parts 8.1 or 8.2, except when a Generator Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. COM-001-2 R9. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall test its Alternative Interpersonal Communication capability at least once The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to test the Alternative Interpersonal Communication capability once each calendar month.
each calendar month. If the test is unsuccessful, the responsible entity shall initiate action to repair or designate a replacement Alternative Interpersonal Communication capability within 2 hours. or designate a replacement Alternative Interpersonal Communication in more than 2 hours and less than or equal to 4 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 4 hours and less than or equal to 6 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 6 hours and less than or equal to 8 hours upon an unsuccessful test. OR The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair or designate a replacement Alternative Interpersonal Communication in more than 8 hours upon an unsuccessful test. COM-001-2 R10. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall notify entities as identified in Requirements R1, R3, and R5, respectively within 60 minutes of the detection of a failure of its Interpersonal Communication capability that lasts 30 minutes or longer. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 60 minutes but less than or equal to 70 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 70 minutes but less than or equal to 80 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 80 minutes but less than or equal to 90 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 90 minutes.
COM-001-2 R11. Each Distribution Provider and Generator Operator that detects a failure of its Interpersonal Communication capability shall consult each entity affected by the failure, as identified in Requirement R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to determine a mutually agreeable action for the restoration of its Interpersonal Communication capability. N/A N/A N/A The Distribution Provider or Generator Operator that detected a failure of its Interpersonal Communication capability failed to consult with each entity affected by the failure, as identified in Requirement R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to determine a mutually agreeable action for the restoration of the Interpersonal Communication capability. COM-001-2.1 R1. Each Reliability Coordinator shall have Interpersonal Communication capability with the following entities (unless the Reliability Coordinator detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): [please see standard for more information] N/A N/A The Reliability Coordinator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R1, Parts 1.1 or 1.2, except when the Reliability Coordinator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Reliability Coordinator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R1, Parts 1.1 or 1.2, except when the Reliability Coordinator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10.
COM-001-2.1 R2. Each Reliability Coordinator shall designate an Alternative Interpersonal Communication capability with the following entities: [please see standard for more information] N/A N/A The Reliability Coordinator failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R2, Parts 2.1 or 2.2. The Reliability Coordinator failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R2, Parts 2.1 or 2.2. COM-001-2.1 R3. Each Transmission Operator shall have Interpersonal Communication capability with the following entities (unless the Transmission Operator detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): [please see standard for more information] N/A N/A The Transmission Operator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R3, Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6, except when the Transmission Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Transmission Operator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R3, Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6, except when the Transmission Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. COM-001-2.1 R4. Each Transmission Operator shall designate an Alternative Interpersonal Communication capability with the following entities: N/A N/A The Transmission Operator failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4. The Transmission Operator failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4.
Distribution Provider detects a failure of its Interpersonal Communication capability in which case Requirement R11 shall apply): [please see standard for more information] 7.1 or 7.2, except when the Distribution Provider detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. R7, Parts 7.1 or 7.2, except when the Distribution Provider detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. COM-001-2.1 R8. Each Generator Operator shall have Interpersonal Communication capability with the following entities (unless the Generator Operator detects a failure of its Interpersonal Communication capability in which case Requirement R11 shall apply): [please see standard for more information] N/A N/A The Generator Operator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R8, Parts 8.1 or 8.2, except when a Generator Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. The Generator Operator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R8, Parts 8.1 or 8.2, except when a Generator Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. COM-001-2.1 R9. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall test its Alternative Interpersonal Communication capability at least once The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to test the Alternative Interpersonal Communication
each calendar month. If the test is unsuccessful, the responsible entity shall initiate action to repair or designate a replacement Alternative Interpersonal Communication capability within 2 hours. or designate a replacement Alternative Interpersonal Communication in more than 2 hours and less than or equal to 4 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 4 hours and less than or equal to 6 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 6 hours and less than or equal to 8 hours upon an unsuccessful test. capability once each calendar month. COM-001-2.1 R10. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall notify entities as identified in Requirements R1, R3, and R5, respectively within 60 minutes of the detection of a failure of its Interpersonal Communication capability that lasts 30 minutes or longer. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 60 minutes but less than or equal to 70 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 70 minutes but less than or equal to 80 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 80 minutes but less than or equal to 90 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 90 minutes. COM-001-2.1 R11. Each Distribution Provider and Generator Operator that detects a failure of its Interpersonal Communication capability shall consult each entity affected by the failure, as N/A N/A N/A The Distribution Provider or Generator Operator that detected a failure of its Interpersonal Communication capability failed to consult with each entity affected by the failure, as identified in
identified in Requirement R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to determine a mutually agreeable action for the restoration of its Interpersonal Communication capability. Requirement R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to determine a mutually agreeable action for the restoration of the Interpersonal Communication capability. COM-002-2 R1. Each Transmission Operator, Balancing Authority, and Generator Operator shall have communications (voice and data links) with appropriate Reliability Coordinators, Balancing Authorities, and Transmission Operators. Such communications shall be staffed and available for addressing a real-time emergency condition. N/A The responsible entity did not have data links with appropriate Reliability Coordinators, Balancing Authorities, and Transmission Operators. OR The responsible entity did not have voice links with appropriate Reliability Coordinators, Balancing Authorities, and Transmission Operators. N/A The responsible entity failed to have communications (voice and data links) with appropriate Reliability Coordinators, Balancing Authorities, and Transmission Operators. OR The responsible entity's communications were not staffed and available for addressing real time emergency conditions. COM-002-2 R1.1. Each Balancing Authority and Transmission Operator shall notify its Reliability Coordinator, and all other potentially affected Balancing N/A N/A The responsible entity failed to notify all other potentially affected Balancing Authorities and Transmission Operators through predetermined The responsible entity failed to notify its Reliability Coordinator through predetermined communication paths of any condition that could threaten the
Authorities and Transmission Operators through predetermined communication paths of any condition that could threaten the reliability of its area or when firm load shedding is anticipated. communication paths of any condition that could threaten the reliability of its area or when firm load shedding was anticipated. reliability of its area or when firm load shedding was anticipated. COM-002-2 R2. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall issue directives in a clear, concise, and definitive manner; shall ensure the recipient of the directive repeats the information back correctly; and shall acknowledge the response as correct or repeat the original statement to resolve any misunderstandings. N/A The responsible entity provided a clear directive in a clear, concise and definitive manner and required the recipient to repeat the directive, but did not acknowledge the recipient was correct in the repeated directive. The responsible entity provided a clear directive in a clear, concise and definitive manner, but did not require the recipient to repeat the directive. The responsible entity failed to provide a clear directive in a clear, concise and definitive manner when required. COM-002-4 R1. Each Balancing Authority, Reliability Coordinator, and Transmission Operator shall develop documented communications protocols for its The responsible entity did not specify the instances that require time identification when issuing an oral or written Operating Instruction and the format for that time The responsible entity did not require the issuer and receiver of an oral or written Operating Instruction to use the English language, unless agreed to otherwise, as The responsible entity did not include Requirement R1, Part 1.4 in its documented communication protocols. The responsible entity did not include Requirement R1, Part 1.2 in its documented communications protocols OR
operating personnel that issue and receive Operating Instructions. The protocols shall, at a minimum: identification, as required in Requirement R1, Part 1.5 OR The responsible entity did not specify the nomenclature for Transmission interface Elements and Transmission interface Facilities when issuing an oral or written Operating Instruction, as required in Requirement R1, Part 1.6. required in Requirement R1, Part 1.1. An alternate language may be used for internal operations. The responsible entity did not include Requirement R1, Part 1.3 in its documented communications protocols OR The responsible entity did not develop any documented communications protocols as required in Requirement R1. COM-002-4 R2. Each Balancing Authority, Reliability Coordinator, and Transmission Operator shall conduct initial training for each of its operating personnel responsible for the Real-time operation of the interconnected Bulk Electric System on the documented communications protocols developed in Requirement R1 prior to that individual operator issuing an Operating Instruction. N/A N/A An individual operator responsible for the Real-time operation of the interconnected Bulk Electric System at the responsible entity issued an Operating Instruction, prior to being trained on the documented communications protocols developed in Requirement R1. An individual operator responsible for the Real-time operation of the interconnected Bulk Electric System at the responsible entity issued an Operating Instruction during an Emergency prior to being trained on the documented communications protocols developed in Requirement R1. COM-002-4 R3. Each Distribution Provider and N/A N/A An individual operator at the responsible An individual operator at the responsible
Generator Operator shall conduct initial training for each of its operating personnel who can receive an oral two-party, Operating Instruction prior to that individual operator receiving an oral two-party, Operating Instruction to either: See standard for additional information. entity received an Operating Instruction prior to being trained. entity received an Operating Instruction during an Emergency prior to being trained. COM-002-4 R4. Each Balancing Authority, Reliability Coordinator, and Transmission Operator shall at least once every twelve (12) calendar months: See standard for additional information. The responsible entity assessed adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions and provided feedback to those operating personnel and took corrective action, as appropriate AND The responsible entity assessed the effectiveness of its documented communications protocols in Requirement R1 for its The responsible entity assessed adherence to the documented communications protocols in Requirement R1 by its operating personnel that issue and receive Operating Instructions, but did not provide feedback to those operating personnel OR The responsible entity assessed adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions The responsible entity did not assess adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions OR The responsible entity did not assess the effectiveness of its documented communications protocols in Requirement R1 for its operating personnel that issue and receive Operating Instructions. The responsible entity did not assess adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions AND The responsible entity did not assess the effectiveness of its documented communications protocols in Requirement R1 for its operating personnel that issue and receive Operating Instructions.
operating personnel that issue and receive Operating Instructions and modified its documented communication protocols, as necessary AND The responsible entity exceeded twelve (12) calendar months between assessments. and provided feedback to those operating personnel but did not take corrective action, as appropriate OR The responsible entity assessed the effectiveness of its documented communications protocols in Requirement R1 for its operating personnel that issue and receive Operating Instructions, but did not modify its documented communication protocols, as necessary. COM-002-4 R5. Each Balancing Authority, Reliability Coordinator, and Transmission Operator that issues an oral Operating Instruction during an Emergency, excluding written or oral to multiple-party burst Operating Instructions, shall either: See standard N/A The responsible entity that issued an Operating Instruction during an Emergency did not take one of the following actions: • Confirmed the receiver’s response if the repeated information was correct (in accordance with Requirement R6). N/A The responsible entity that issued an Operating Instruction during an Emergency did not take one of the following actions: • Confirmed the receiver’s response if the repeated information was correct (in accordance with Requirement R6).
for additional information. • Reissued the Operating Instruction if the repeated information was incorrect or if requested by the receiver. • Took an alternative action if a response was not received or if the Operating Instruction was not understood by the receiver. • Reissued the Operating Instruction if the repeated information was incorrect or if requested by the receiver. • Took an alternative action if a response was not received or if the Operating Instruction was not understood by the receiver. AND Instability, uncontrolled separation, or cascading failures occurred as a result. COM-002-4 R6. Each Balancing Authority, Distribution Provider, Generator Operator, and Transmission Operator that receives an oral two-party, Operating Instruction during an Emergency, excluding written or oral to multiple-party burst Operating Instructions, shall either: See standard N/A The responsible entity did not repeat, not necessarily verbatim, the Operating Instruction during an Emergency and receive confirmation from the issuer that the response was correct, or request that the issuer reissue the Operating Instruction when receiving an Operating Instruction. N/A The responsible entity did not repeat, not necessarily verbatim, the Operating Instruction during an Emergency and receive confirmation from the issuer that the response was correct, or request that the issuer reissue the Operating Instruction when receiving an Operating Instruction AND
for additional information. Instability, uncontrolled separation, or cascading failures occurred as a result. COM-002-4 R7. Each Balancing Authority, Reliability Coordinator, and Transmission Operator that issues a written or oral single-party to multiple-party burst Operating Instruction during an Emergency shall confirm or verify that the Operating Instruction was received by at least one receiver of the Operating Instruction. N/A The responsible entity that that issued a written or oral to multiple-party burst Operating Instruction during an Emergency did not confirm or verify that the Operating Instruction was received by at least one receiver of the Operating Instruction. N/A The responsible entity that that issued a written or oral to multiple-party burst Operating Instruction during an Emergency did not confirm or verify that the Operating Instruction was received by at least one receiver of the Operating Instruction AND Instability, uncontrolled separation, or cascading failures occurred as a result. Complete Violation Severity Level Matrix (EOP) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL 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 The Balancing Authority failed to demonstrate the existence of the The Balancing Authority failed to demonstrate the The Balancing Authority failed to demonstrate the existence of the The Balancing Authority failed to demonstrate the
emergency assistance from remote Balancing Authorities. 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. 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. 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. 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. Each Transmission Operator and Balancing Authority shall: The Transmission Operator or Balancing Authority failed to comply with one (1) of the The Transmission Operator or Balancing Authority failed to comply with two (2) of the N/A The Transmission Operator or Balancing Authority has failed to comply with three (3) of the sub-components. R2.1 Develop, maintain, and implement a set of plans to mitigate operating emergencies for insufficient generating capacity. 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 Develop, maintain, and implement a set of plans to mitigate operating emergencies on the transmission system. 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. components.
Coordinator and neighboring Balancing Authorities. system conditions to its Reliability Coordinator but did not communicate to one or more of its neighboring Balancing Authorities. system conditions to its Reliability Coordinator and neighboring Balancing Authorities. EOP-002-3.1 R4. A Balancing Authority anticipating an operating capacity or energy emergency shall perform all actions necessary including bringing on all available generation, postponing equipment maintenance, scheduling interchange purchases in advance, and being prepared to reduce firm load. N/A N/A N/A The Balancing Authority has failed to perform the necessary actions as required and stated in the requirement. EOP-002-3.1 R5. A deficient Balancing Authority shall only use the assistance provided by the Interconnection’s frequency bias for the time needed to implement corrective actions. The Balancing Authority shall not unilaterally adjust generation in an attempt to return Interconnection frequency to normal beyond that supplied through frequency bias action and Interchange Schedule changes. Such unilateral adjustment may overload transmission facilities. N/A N/A The Balancing Authority used the assistance provided by the Interconnection’s frequency bias for more time than needed to implement corrective actions. The Balancing Authority used the assistance provided by the Interconnection’s frequency bias for more time than needed to implement corrective actions and unilaterally adjust generation in an attempt to return Interconnection frequency to normal beyond that supplied through frequency bias action and Interchange Schedule changes. EOP-002-3.1 R6. If the Balancing Authority cannot comply with the Control Performance and Disturbance Control Standards, then it shall immediately implement remedies to do so. These remedies include, but are not limited to: The Balancing Authority failed to comply with one of the sub-components. The Balancing Authority failed to comply with 2 of the sub-components. The Balancing Authority failed to comply with of the sub-components. The Balancing Authority failed to comply with more than 3 of the
The Responsible Entity validated 75% but less than 100% of the contact information contained in the Operating Plan. The Responsible Entity validated 50% and less than 75% of the contact information contained in the Operating Plan. The Responsible Entity validated 25% and less than 50% of the contact information contained in the Operating Plan. The Responsible Entity validated less than 25% of contact information contained in the Operating Plan. EOP-005-2 R1. Each Transmission Operator shall have a restoration plan approved by its Reliability Coordinator. The restoration plan shall allow for restoring the Transmission Operator’s System following a Disturbance in which one or more areas of the Bulk Electric System (BES) shuts down and the use of Blackstart Resources is required to restore the shut down area to service, to a state whereby the choice of the next Load to be restored is not driven by the need to control frequency or voltage regardless of whether the Blackstart Resource is located within the Transmission Operator’s System. The restoration plan shall include: [please see standard for more information] The Transmission Operator has an approved plan but failed to comply with one of the within the requirement. The Transmission Operator has an approved plan but failed to comply with two of the within the requirement. The Transmission Operator has an approved plan but failed to comply with three of the within the requirement. The Transmission Operator does not have an approved restoration plan. EOP-005-2 R2. Each Transmission Operator shall provide the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. The Transmission Operator failed to provide one of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR The Transmission Operator failed to provide two of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR The Transmission Operator failed to provide three of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR The Transmission Operator failed to provide four or more of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR
The Transmission Operator provided the information to all entities but was up to 10 calendar days late in doing so. The Transmission Operator provided the information to all entities but was more than 10 and less than or equal to 20 calendar days late in doing so. The Transmission Operator provided the information to all entities but was more than 20 and less than or equal to 30 calendar days late in doing so. The Transmission Operator provided the information to all entities but was more than 30 calendar days late in doing so. EOP-005-2 R3. Each Transmission Operator shall review its restoration plan and submit it to its Reliability Coordinator annually on a mutually agreed predetermined schedule. [please see standard for more information] The Transmission Operator submitted the reviewed restoration plan or confirmation of no change within 30 calendar days after the pre-determined schedule. The Transmission Operator submitted the reviewed restoration plan or confirmation of no change more than 30 and less than or equal to 60 calendar days after the schedule. The Transmission Operator submitted the reviewed restoration plan or confirmation of no change more than 60 and less than or equal to 90 calendar days after the pre-determined schedule. The Transmission Operator submitted the reviewed restoration plan or confirmation of no change more than 90 calendar days after the pre-determined schedule. EOP-005-2 R4. Each Transmission Operator shall update its restoration plan within 90 calendar days after identifying any unplanned permanent System modifications, or prior to implementing a planned BES modification, that would change the implementation of its restoration plan. [please see standard for more information] The Transmission Operator failed to update and submit its restoration plan to the Reliability Coordinator within 90 calendar days of an unplanned change. The Transmission Operator failed to update and submit its restoration plan to the Reliability Coordinator within more than 90 calendar days but less than120 calendar days of an unplanned change. The Transmission Operator has failed to update and submit its restoration plan to the Reliability Coordinator within more than 120 calendar days but less than 150 calendar days of unplanned change. The Transmission Operator has failed to update and submit its restoration plan to the Reliability Coordinator within more than 150 calendar days of an unplanned change. OR The Transmission Operator failed to update and submit its restoration plan to the Reliability Coordinator prior to a planned BES modification.
EOP-005-2 R5. Each Transmission Operator shall have a copy of its latest Reliability Coordinator approved restoration plan within its primary and backup control rooms so that it is available to all of its System Operators prior to its implementation date. N/A N/A N/A The Transmission Operator did not make the latest Reliability Coordinator approved restoration plan available in its primary and backup control rooms prior to its implementation date. EOP-005-2 R6. Each Transmission Operator shall verify through analysis of actual events, steady state and dynamic simulations, or testing that its restoration plan accomplishes its intended function. This shall be completed every five years at a minimum. Such analysis, simulations or testing shall verify: [please see standard for more information] The Transmission Operator performed the verification within the required timeframe but did not comply with one of the The Transmission Operator performed the verification within the required timeframe but did not comply with two of the The Transmission Operator performed the verification but did not complete it within the five calendar year period. The Transmission Operator did not perform the verification or it took more than six calendar years to complete the verification. OR The Transmission Operator performed the verification within the required timeframe but did not comply with any of the sub-requirements. EOP-005-2 R7. Following a Disturbance in which one or more areas of the BES shuts down and the use of Blackstart Resources is required to restore the shut down area to service, each affected Transmission Operator shall implement its restoration plan. If the restoration plan cannot be executed as expected the Transmission Operator shall utilize its restoration strategies to facilitate restoration. N/A N/A N/A The Transmission Operator did not implement its restoration plan following a Disturbance in which Blackstart Resources have been utilized in restoring the shut down area of the BES. Or, if the restoration plan cannot be executed as expected, the requirements. requirements.
the following: [please see standard for more information] EOP-005-2 R11. Each Transmission Operator, each applicable Transmission Owner, and each applicable Distribution Provider shall provide a minimum of two hours of System restoration training every two calendar years to their field switching personnel identified as performing unique tasks associated with the Transmission Operator’s restoration plan that are outside of their normal tasks. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train 5% or 10%less of the personnel required by Requirement R11 within a two calendar year period. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train more than 5% and up to 10% of the personnel required by Requirement R11 within a two calendar year period. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train more than 10% and up to 15% of the personnel required by Requirement R11 within a two calendar year period. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train more than 15% the personnel required by Requirement R11 within a two calendar year period. EOP-005-2 R12. Each Transmission Operator shall participate in its Reliability Coordinator’s restoration drills, exercises, or simulations as requested by its Reliability Coordinator. N/A N/A N/A The Transmission Operator has failed to comply with a request for their participation from the Reliability Coordinator. EOP-005-2 R13. Each Transmission Operator and each Generator Operator with a Blackstart Resource shall have written Blackstart Resource Agreements or mutually agreed upon procedures or protocols, specifying the terms and conditions of their arrangement. Such Agreements shall include references to the Blackstart Resource testing N/A The Transmission Operator and Generator Operator with a Blackstart Resource do not reference Blackstart Resource Testing requirements in their written Blackstart Resource Agreements or mutually agreed upon procedures or protocols. N/A The Transmission Operator and Generator Operator with a Blackstart resource do not have a written Blackstart Resource Agreement or mutually agreed upon procedure or protocol.
R16.2. Each Generator Operator shall provide the blackstart test results within 30 calendar days following a request from its Reliability Coordinator or Transmission Operator. records as requested for 31 to 60 calendar days of the request. EOP-005-2 R17. Each Generator Operator with a Blackstart Resource shall provide a minimum of two hours of training every two calendar years to each of its operating personnel responsible for the startup of its Blackstart Resource generation units and energizing a bus. The training program shall include training on the following: [please see standard for more information] The Generator Operator with a Blackstart Resource did not train less than or equal to 10% of the personnel required by Requirement R17 within a two calendar year period. The Generator Operator with a Blackstart Resource did not train more than 10% and less than or equal to 25% of the personnel required by Requirement R17 within a two calendar year period. The Generator Operator with a Blackstart Resource did not train more than 25% and less than or equal to 50% of the personnel required by Requirement R17 within a two calendar year period. The Generator Operator with a Blackstart Resource did not train more than 50% of the personnel required by Requirement R17 within a two calendar year period. EOP-005-2 R18. Each Generator Operator shall participate in the Reliability Coordinator’s restoration drills, exercises, or simulations as requested by the Reliability Coordinator. N/A N/A N/A The Generator Operator failed to participate in the Reliability Coordinator’s restoration drills, exercises, or simulations as requested by the Reliability Coordinator. EOP-006-2 R1. Each Reliability Coordinator shall have a Reliability Coordinator Area restoration plan. The scope of the Reliability Coordinator’s restoration plan starts when Blackstart Resources are utilized to a shut down area of the Bulk Electric System (BES), or separation has occurred between neighboring Reliability Coordinators, or an energized island has been formed on the BES within the The Reliability Coordinator failed to include one of Requirement R1 within its restoration plan. The Reliability Coordinator failed to include two of Requirement R1 within its restoration plan. The Reliability Coordinator failed to include three of the sub-requirements of Requirement R1 within its restoration plan. The Reliability Coordinator failed to include four or more of the within its restoration plan.
Reliability Coordinator Area. The scope of the Reliability Coordinator’s restoration plan ends when all of its Transmission Operators are interconnected and it its Reliability Coordinator Area is connected to all of its neighboring Reliability Coordinator Areas. The restoration plan shall include: [please see standard for more information] EOP-006-2 R2. The Reliability Coordinator shall distribute its most recent Reliability Coordinator Area restoration plan to each of its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of creation or revision. The Reliability Coordinator distributed the most recent Reliability Coordinator Area restoration plan to the entities identified in Requirement R2 but was more than 30 calendar days late but less than 60 calendar days late. The Reliability Coordinator distributed the most recent Reliability Coordinator Area restoration plan to the entities identified in Requirement R2 but was 60 calendar days or more late, but less than 90 calendar days late. The Reliability Coordinator distributed the most recent Reliability Coordinator Area restoration plan to the entities identified in Requirement R2 but was 90 or more calendar days late but less than 120 calendar days late. The Reliability Coordinator distributed the most recent Reliability Coordinator Area restoration plan to entities identified in Requirement R2 but was 120 calendar days or more late. EOP-006-2 R3. Each Reliability Coordinator shall review its restoration plan within 13 calendar months of the last review. N/A N/A N/A The Reliability Coordinator did not review its restoration plan within 13 calendar months of the last review. EOP-006-2 R4. Each Reliability Coordinator shall review their neighboring Reliability Coordinator’s restoration plans. The Reliability Coordinator did not review and resolve conflicts with the submitted restoration plans from its neighboring Reliability Coordinators within 30 calendar days but did resolve conflicts The Reliability Coordinator did not review and resolve conflicts with the submitted restoration plans from its neighboring Reliability Coordinators within 30 calendar days but did resolve conflicts The Reliability Coordinator did not review and resolve conflicts with the submitted restoration plans from its neighboring Reliability Coordinators within 30 calendar days but did resolve conflicts within 120 calendar days. The Reliability Coordinator did not review and resolve conflicts with the submitted restoration plans from its neighboring Reliability Coordinators within 120 calendar days.
within 60 calendar days. within 90 calendar days. EOP-006-2 R5. Each Reliability Coordinator shall review the restoration plans required by EOP-005 of the Transmission Operators within its Reliability Coordinator Area. The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of receipt but did review and approve/disapprove the plans within 45 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval within 30 calendar days of receipt but did notify the Transmission Operator of its approval or disapproval with reasons within 45 The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of receipt but did review and approve/disapprove the plans within 60 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval within 30 calendar days of receipt, but did notify the Transmission Operator of its approval or The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of receipt but did review and approve/disapprove the plans within 90 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval within 30 calendar days of receipt but did notify the Transmission Operator of its approval or disapproval with reasons within 90 calendar days of receipt. The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators for more than 90 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval for more than 90 calendar days of receipt. .
to maintain compliance with Reliability Standards. functionality required to maintain compliance with Reliability Standards. EOP-008-1 R7. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall conduct and document results of an annual test of its Operating Plan that demonstrates: [please see standard for more information] The responsible entity conducted an annual test of its Operating Plan for backup functionality but it did not document the results. OR, The responsible entity conducted an annual test of its Operating Plan for backup functionality but the test was for less than two continuous hours but more than or equal to 1.5 continuous hours. The responsible entity conducted an annual test of its Operating Plan for backup functionality but the test was for less than 1.5 continuous hours but more than or equal to 1 continuous hour. The responsible entity conducted an annual test of its Operating Plan for backup functionality but the test did not assess the transition time between the simulated loss of its primary control center and the time to fully implement the backup functionality OR, The responsible entity conducted an annual test of its Operating Plan for backup functionality but the test was for less than 1 continuous but more than or equal to 0.5 continuous hours. The responsible entity did not conduct an annual test of its Operating Plan for backup functionality. OR, The responsible entity conducted an annual test of its Operating Plan for backup functionality but the test was for less than 0.5 continuous hours. EOP-008-1 R8. Each Reliability Coordinator, Balancing Authority, and Transmission Operator that has experienced a loss of its primary or backup functionality and that anticipates that the loss of primary or backup functionality will last for more than six calendar months shall provide a plan to its Regional Entity within six calendar months of the date when the functionality is lost, The responsible entity experienced a loss of its primary or backup functionality and anticipated that the loss of primary or backup functionality would last for more than six calendar months and provided a The responsible entity experienced a loss of its primary or backup functionality and anticipated that the loss of primary or backup functionality would last for more than six calendar months provided a The responsible entity experienced a loss of its primary or backup functionality and anticipated that the loss of primary or backup functionality would last for more than six calendar months provided a plan to its The responsible entity experienced a loss of its primary or backup functionality and anticipated that the loss of primary or backup functionality would last for more than six calendar months, but did not
showing how it will re-establish primary or backup functionality. plan to its Regional Entity showing how it will re-establish primary or backup functionality but the plan was submitted more than six calendar months but less than or equal to seven calendar months after the date when the functionality was lost. plan to its Regional Entity showing how it will re-establish primary or backup functionality but the plan was submitted in more than seven calendar months but less than or equal to eight calendar months after the date when the functionality was lost. Regional Entity showing how it will primary or backup functionality but the plan was submitted in more than eight calendar months but less than or equal to nine calendar months after the date when the functionality was lost. submit a plan to its Regional Entity showing how it will re-establish primary or backup functionality for more than nine calendar months after the date when the functionality was lost. EOP-010-1 R1. Each Reliability Coordinator shall develop, maintain, and implement a GMD Operating Plan that coordinates GMD Operating Procedures or Operating Processes within its Reliability Coordinator Area. At a minimum, the GMD Operating Plan shall include: [please see standard for more information] The Reliability Coordinator had a GMD Operating Plan, but failed to maintain it. N/A The Reliability Coordinator's GMD Operating Plan failed to include one of the required elements as listed in Requirement R1, parts 1.1 or 1.2. The Reliability Coordinator did not have a GMD Operating Plan OR The Reliability Coordinator failed to implement a GMD Operating Plan within its Reliability Coordinator Area. EOP-010-1 R2. Each Reliability Coordinator shall disseminate forecasted and current space weather information to functional entities identified as recipients in the Reliability Coordinator's GMD Operating Plan. [please see standard for more information] N/A N/A N/A The Reliability Coordinator failed to disseminate forecasted and current space weather information to all functional entities identified as recipients in the Reliability Coordinator's GMD Operating Plan.
EOP-010-1 R3. Each Transmission Operator shall develop, maintain, and implement a GMD Operating Procedure or Operating Process to mitigate the effects of GMD events on the reliable operation of its respective system. At a minimum, the Operating Procedure or Operating Process shall include: [please see standard for more information] The Transmission Operator had a GMD Operating Procedure or Operating Process, but failed to maintain it. The Transmission Operator's GMD Operating Procedure or Operating Process failed to include one of the required elements as listed in Requirement R3, parts 3.1 through 3.3. The Transmission Operator's GMD Operating Procedure or Operating Process failed to include two or more of the required elements as listed in Requirement R3, parts 3.1 through 3.3. The Transmission Operator did not have a GMD Operating Procedure or Operating Process OR The Transmission Operator failed to implement its GMD Operating Procedure or Operating Process. EOP-011-1 R1. Each Transmission Operator shall develop, maintain, and implement one or more Reliability Coordinator-reviewed Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area. The Operating Plan(s) shall include the following, as applicable: [please see standard for more information] The Transmission Operator developed a Reliability Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area but failed to maintain it. The Transmission Operator developed an Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area but failed to have it reviewed by its Reliability Coordinator. The Transmission Operator failed to develop an Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area. OR The Transmission Operator developed a Reliability Coordinator-reviewed Operating Plan(s) to mitigate operating Emergencies in its Transmission s Operator Area but failed to implement it. EOP-011-1 R2. Each Balancing Authority shall develop, maintain, and implement one or more Reliability Coordinator-reviewed Operating Plan(s) to mitigate Capacity Emergencies and Energy Emergencies within its Balancing Authority Area. The Operating N/A The Balancing Authority developed a Reliability Operating Plan(s) to mitigate The Balancing Authority developed an Operating Plan(s) to mitigate operating Emergencies within its Balancing Authority The Balancing Authority failed to develop an Operating Plan(s) to mitigate operating Emergencies within
Plan(s) shall include the following, as applicable: [please see standard for more information] operating Emergencies within its Balancing Authority Area but failed to maintain it. Area but failed to have it reviewed by its Reliability Coordinator. its Balancing Authority Area. OR The Balancing Authority developed a Reliability Coordinator-reviewed Operating Plan(s) to mitigate operating Emergencies within its Balancing Authority Area but failed to implement it. EOP-011-1 R3. The Reliability Coordinator shall review the Operating Plan(s) to mitigate operating Emergencies submitted by a Transmission Operator or a Balancing Authority regarding any reliability risks that are identified between Operating Plans. [please see standard for more information] N/A N/A The Reliability Coordinator identified a reliability risk but failed to notify the Balancing Authority or Transmission Operator within 30 calendar days. The Reliability Coordinator identified a reliability risk but failed to notify the Balancing Authority or Transmission Operator. EOP-011-1 R4. Each Transmission Operator and Balancing Authority shall address any reliability risks identified by its Reliability Coordinator pursuant to Requirement R3 and resubmit its Operating Plan(s) to its Reliability Coordinator within a time period specified by its Reliability Coordinator. N/A N/A The Transmission Operator or Balancing Authority failed to update and resubmit tis Operating Plan(s) to its Reliability Coordinator within the timeframe specified by its Reliability Coordinator. The Transmission Operator or Balancing Authority failed to update and resubmit its Operating Plan(s) to its Reliability Coordinator. EOP-011-1 R5. Each Reliability Coordinator that receives an Emergency notification from a Transmission Operator or Balancing Authority within its Reliability Coordinator Area shall notify, within 30 minutes from the time of receiving notification, other Balancing Authorities and Transmission The Reliability Coordinator that received an Emergency notification from a Transmission Operator or Balancing Authority did notify neighboring The Reliability Coordinator that received an Emergency notification from a Transmission Operator or Balancing
Agreement to conduct a study on the reliability impact of interconnecting a third party Facility to the Generator Owner’s existing Facility that is used to interconnect to the Transmission system. of an Agreement to conduct a study on the reliability impact of interconnecting a third party Facility to the Generator Owner’s existing Facility that is used to interconnect to the Transmission system. impact of interconnecting a third party Facility to the Generator Owner’s existing Facility that is used to interconnect to the Transmission system. reliability impact of interconnecting a third party Facility to the Generator Owner’s existing Facility that is used to interconnect to the Transmission system. FAC-001-2 R3. Each Transmission Owner shall address the following items in its Facility interconnection requirements: [See Standard pdf for further information] N/A N/A The Transmission Owner addressed either R3, Part 3.1 or Part 3.2 in its Facility interconnection requirements, but did not address both. The Transmission Owner addressed neither R3, Part 3.1 nor Part 3.2 in its Facility interconnection FAC-001-2 R4. Each applicable Generator Owner shall address the following items in its Facility interconnection requirements: [See Standard pdf for further information] N/A N/A The applicable Generator Owner addressed either R4, Part 4.1 or Part 4.2 in its Facility interconnection requirements, but did not address both. The applicable Generator Owner addressed neither R4, Part 4.1 nor Part 4.2 in its Facility interconnection requirements. FAC-002-1 R1. The Generator Owner, Transmission Owner, Distribution Provider, and Entity seeking to integrate generation facilities, transmission facilities, and electricity end-user facilities shall each coordinate and cooperate on its assessments with its Transmission Planner and Planning Authority. The assessment shall include: The Responsible Entity failed to include in their assessment one of the subrequirements. The Responsible Entity failed to include in their assessment two of the subrequirements. The Responsible Entity failed to include in their assessment three of the subrequirements. The Responsible Entity failed to include in their assessment four or more of the subrequirements. Serving
FAC-002-1 R1.1. Evaluation of the reliability impact of the new facilities and their connections on the interconnected transmission systems. Not Applicable. Not Applicable. Not Applicable. The responsible entity's assessment did not include the evaluation. FAC-002-1 R1.2. Ensurance of compliance with NERC Reliability Standards and applicable Regional, subregional, Power Pool, and individual system planning criteria and facility connection requirements. Not Applicable. Not Applicable. Not Applicable. The responsible entity’s assessment did not include the ensurance of compliance. FAC-002-1 R1.3. Evidence that the parties involved in the assessment have coordinated and cooperated on the assessment of the reliability impacts of new facilities on the interconnected transmission systems. While these studies may be performed independently, the results shall be jointly evaluated and coordinated by the entities involved. Not Applicable. Not Applicable. Not Applicable. The responsible entity’s assessment did not include the evidence of coordination. FAC-002-1 R1.4. Evidence that the assessment included steady-state, short-circuit, and dynamics studies as necessary to evaluate system performance under both normal and contingency conditions in accordance with Reliability Standards TPL-001-0, and TPL-003-0. Not Applicable. Not Applicable. Not Applicable. The responsible entity's assessment did not include the evidence of the studies. FAC-002-1 R1.5. Documentation that the assessment included study assumptions, system performance, alternatives considered, and jointly coordinated recommendations. Not Applicable. Not Applicable. Not Applicable. The responsible entity's assessment did not include the documentation. FAC-002-1 R2. The Planning Authority, Transmission Planner, Generator Owner, Transmission Owner, Load-Serving Entity, and Distribution Provider shall each retain its documentation (of its evaluation of the reliability impact of the new facilities and their connections on the interconnected The responsible entity provided the documentation more than 30 calendar days, but not more than 45 calendar days, after a request. The responsible entity provided the documentation more than 45 calendar days, but not more than 60 calendar days, after a request. The responsible entity provided the documentation more than 60 calendar days, but not more than 120 calendar days, after a request. The responsible entity provided the documentation more than 120 calendar days after a request or was unable to provide the documentation. 0,
to provide data necessary to perform studies as described in one of the Parts (R1, 1.1-1.4). Transmission Planner or Planning Coordinator, but failed to provide data necessary to perform studies as described in two of the Parts (R1, to provide data necessary to perform studies as described in three of the Parts (R1, 1.1-1.4). or Planning Coordinator. FAC-002-2 R3. Each Transmission Owner, each Distribution Provider, and each Entity seeking to interconnect new transmission Facilities or electricity Facilities, or to materially modify existing interconnections of transmission Facilities or electricity end-user Facilities, shall coordinate and cooperate on studies with its Transmission Planner or Planning Coordinator, including but not limited to the provision of data as described in R1, Parts 1.1-1.4. The Transmission Owner, Distribution Provider, or Entity seeking to interconnect new transmission Facilities or electricity end-user Facilities, or to materially modify existing interconnections of transmission Facilities or electricity end-user Facilities, coordinated and cooperated on studies with its Transmission Planner or Planning Coordinator, but failed to provide data necessary to perform studies as described in one of the Parts (R1, 1.1-1.4). The Transmission Owner, Distribution Provider, or Entity seeking to interconnect new transmission Facilities or electricity end-user Facilities, or to materially modify existing interconnections of transmission Facilities or electricity end-user Facilities, coordinated and cooperated on studies with its Transmission Planner or Planning Coordinator, but failed to provide data necessary to perform studies as described in two of the Parts (R1, The Transmission Owner, Distribution Provider, or Entity seeking to interconnect new transmission Facilities or electricity end-user Facilities, or to materially modify existing interconnections of transmission Facilities or electricity end-user Facilities, coordinated and cooperated on studies with its Transmission Planner or Planning Coordinator, but failed to provide data necessary to perform studies as described in three of the Parts (R1, 1.1-1.4). The Transmission Owner, Distribution Provider, or Entity seeking to interconnect new transmission Facilities or electricity end-user Facilities, or to materially modify existing interconnections of transmission Facilities or electricity end-user Facilities, failed to coordinate and cooperate on studies with its Transmission Planner or Planning Coordinator. Serving Serving Serving Serving Serving
the MVCD of its applicable line(s) which are either an element of an IROL, or an element of a Major WECC Transfer Path; operating within their Rating and all Rated Electrical Operating Conditions of the types shown below: [See Standard pdf for further information] vegetation to prevent encroachment into the MVCD of a line identified as an element of an IROL or Major WECC transfer path and encroachment into the MVCD as identified in FAC-003-Table 2 was observed in real time absent a Sustained Outage. encroachment into the MVCD of a line identified as an element of an IROL or Major WECC transfer path and a Sustained Outage was caused by one of the following: A fall-in from inside the active transmission line ROW Blowing together of applicable lines and vegetation located inside the active transmission line ROW A grow-in FAC-003-3 R2. Each applicable Transmission Owner and applicable Generator Owner shall manage vegetation to prevent encroachments into the MVCD of its applicable line(s) which are not either an element of an IROL, or an element of a Major WECC Transfer Path; operating within its Rating and all Rated Electrical Operating Conditions of the types shown below: [See Standard pdf for further information] The responsible entity failed to manage vegetation to prevent encroachment into the MVCD of a line not identified as an element of an IROL or Major WECC transfer path and encroachment into the MVCD as identified in FAC-003-Table 2 was observed in real time absent a Sustained Outage. The responsible entity failed to manage vegetation to prevent encroachment into the MVCD of a line not identified as an element of an IROL or Major WECC transfer path and a Sustained Outage was caused by one of the following: A fall-in from inside the active transmission line ROW
documented. The percent completed calculation is based on the number of units actually completed divided by the number of units in the final amended plan (measured in units of choice - circuit, pole line, line miles or kilometers, etc.) Examples of reasons for modification to annual plan may include: [See Standard pdf for further information] FAC-008-3 R1. Each Generator Owner shall have documentation for determining the Facility Ratings of its solely and jointly owned generator Facility(ies) up to the low side terminals of the main step up transformer if the Generator Owner does not own the main step up transformer and the high side terminals of the main step up transformer if the Generator Owner owns the main step up transformer. [See standard for documentation N/A The Generator Owner’s Facility Rating documentation did not address Requirement R1, Part 1.1. The Generator Owner’s Facility Rating documentation did not address Requirement R1, Part 1.2. The Generator Owner failed to provide documentation for determining its Facility Ratings. FAC-008-3 R2. Each Generator Owner shall have a documented methodology for determining Facility Ratings (Facility Ratings methodology) of its solely and jointly owned equipment connected between the location specified in R1 and the point of interconnection with the Transmission Owner that contains all of the following. [See standard for methodology requirements] The Generator Owner failed to include in its Facility Rating methodology one of the following Parts of Requirement R2: 2.1. 2.2.1 2.2.2 2.2.3 2.2.4 The Generator Owner failed to include in its Facility Rating methodology two of the following Parts of Requirement R2: 2.1 2.2.1 2.2.2 2.2.3 2.2.4 The Generator Owner’s Facility Rating methodology did not address all the components of Requirement R2, Part 2.4. OR The Generator Owner failed to include in its Facility Rating Methodology, three of the following Parts of Requirement R2: The Generator Owner’s Facility Rating methodology failed to recognize a facility's rating based on the most limiting component rating as required in Requirement R2, Part 2.3 OR The Generator Owner failed to include in its Facility Rating Methodology four or
2.1. 2.2.1 2.2.2 2.2.3 2.2.4 more of the following Parts of Requirement R2: 2.1 2.2.1 2.2.2 2.2.3 2.2.4 FAC-008-3 R3. Each Transmission Owner shall have a documented methodology for determining Facility Ratings (Facility Ratings methodology) of its solely and jointly owned Facilities (except for those generating unit Facilities addressed in R1 and R2) that contains all of the following: [See standard for methodology requirements] The Transmission Owner failed to include in its Facility Rating methodology one of the following Parts of Requirement R3: 3.1 3.2.1 3.2.2 3.2.3 3.2.4 The Transmission Owner failed to include in its Facility Rating methodology two of the following Parts of Requirement R3: 3.1 3.2.1 3.2.2 3.2.3 3.2.4 The Transmission Owner’s Facility Rating methodology did not address either of the following Parts of Requirement R3: 3.4.1 3.4.2 OR The Transmission Owner failed to include in its Facility Rating methodology three of the following Parts of Requirement R3: 3.1 3.2.1 3.2.2 3.2.3 3.2.4 The Transmission Owner’s Facility Rating methodology failed to recognize a Facility's rating based on the most limiting component rating as required in Requirement R3, Part 3.3 OR The Transmission Owner failed to include in its Facility Rating methodology four or more of the following Parts of Requirement R3: 3.1 3.2.1 3.2.2 3.2.3 3.2.4
to the requesting entity. (R8, Part 8.2) FAC-010-2.1 R1 The Planning Authority shall have a documented SOL Methodology for use in developing SOLs within its Planning Authority Area. This SOL Methodology shall: Not applicable. The Planning Authority has a documented SOL Methodology for use in developing SOLs within its Planning Authority Area, but it does not address R1.2 The Planning Authority has a documented SOL Methodology for use in developing SOLs within its Planning Authority Area, but it does not address R1.3. The Planning Authority has a documented SOL Methodology for use in developing SOLs within its Planning Authority Area, but it does not address R1.1. OR The Planning Authority has no documented SOL Methodology for use in developing SOLs within its Planning Authority Area. FAC-010-2.1 R2. The Planning Authority’s SOL Methodology shall include a requirement that SOLs provide BES performance consistent with the following: R2.1. In the pre-contingency state and with all Facilities in service, the BES shall demonstrate transient, dynamic and voltage stability; all Facilities shall be within their Facility Ratings and within their thermal, voltage and stability limits. In the determination of SOLs, the BES condition used shall reflect expected system conditions and shall reflect changes to system topology such as Facility outages. R2.2. Following the single Contingencies1identified in Requirement 2.2.1 through Requirement 2.2.3, the system The Planning Authority’s SOL Methodology R2.1, R2.2, R2.3, R2.4, R2.5, or R2.6. The Planning Authority’s SOL Methodology is missing two requirements as described in R2.1, R2.2, R2.3, R2.4, R2.5, or R2.6 The Planning Authority’s SOL Methodology is missing three requirements as described in R2.1, R2.2, R2.3, R2.4, R2.5, or R2.6. The Planning Authority’s SOL Methodology is missing four or more requirements as described in R2.1, R2.2-, R2.3, R2.4, R2.5, or R2.6
demonstrate transient, dynamic and voltage stability; all Facilities shall be operating within their Facility Ratings and within their thermal, voltage and stability limits; and Cascading or uncontrolled separation shall not occur. R2.6. In determining the system’s response to any of the multiple Contingencies, identified in Reliability Standard TPL-003, in addition to the actions identified in R2.3.1 and R2.3.2, the following shall be acceptable: R2.6.1. Planned or controlled interruption of electric supply to customers (load shedding), the planned removal from service of certain generators, and/or the curtailment of contracted Firm reserved) electric power Transfers. FAC-010-2.1 R3. The Planning Authority’s methodology for determining SOLs, shall include, as a minimum, a description of the following, along with any reliability margins applied for each: The Planning Authority has a methodology for determining SOLs that includes a description for all but one of the following: R3.1 through R3.6. The Planning Authority has a methodology for determining SOLs that includes a description for all but two of the following: R3.1 through R3.6. The Planning Authority has a methodology for determining SOLs that includes a description for all but three of the following: R3.1 through R3.6. The Planning Authority has a methodology for determining SOLs that is missing a description of four or more of the following: R3.1 through R3.6. FAC-010-2.1 R4. The Planning Authority shall issue its SOL Methodology, and any change to that methodology, to all of the following prior to the effectiveness of the change: One or both of the following: The Planning Authority issued its SOL Methodology and changes to that methodology to all but one of the required entities. One of the following: The Planning Authority issued its SOL Methodology and changes to that methodology to all but one of the One of the following: The Planning Authority issued its SOL Methodology and changes to that methodology to all but one of the required entities AND for a change in methodology, One of the following: The Planning Authority failed to issue its SOL Methodology and changes to that methodology to more than three of the required entities.
For a change in methodology, the changed methodology was provided up to 30 calendar days after the effectiveness of the change. required entities AND for a change in methodology, the changed methodology was provided 30 calendar days or more, but less than 60 calendar days after the effectiveness of the change. OR The Planning Authority issued its SOL Methodology and changes to that methodology to all but two of the required entities AND for a change in methodology, the changed methodology was provided up to 30 calendar days after the effectiveness of the change. the changed methodology was provided 60 calendar days or more, but less than 90 calendar days after the effectiveness of the change. OR The Planning Authority issued its SOL Methodology and changes to that methodology to all but two of the required entities AND for a change in methodology, the changed methodology was provided 30 calendar days or more, but less than 60 calendar days after the effectiveness of the change. OR The Planning Authority issued its SOL Methodology and changes to that methodology to all but three of the required entities AND for a change in methodology, the changed methodology was provided up to 30 calendar days after the effectiveness of the change. The Planning Authority issued its SOL Methodology and changes to that methodology to all but one of the required entities AND for a change in methodology, the changed methodology was provided 90 calendar days or more after the effectiveness of the change. OR The Planning Authority issued its SOL Methodology and changes to that methodology to all but two of the required entities AND for a change in methodology, the changed methodology was provided 60 calendar days or more, but less than 90 calendar days after the effectiveness of the change. OR The Planning Authority issued its SOL Methodology and changes to that methodology to all but
Methodology indicated that a change will not be made, but did not include an explanation of why the change will not be made. technical comments on its SOL Methodology did not indicate whether a change will be made to the SOL Methodology. FAC-011-2 R1. The Reliability Coordinator shall have a documented methodology for use in developing SOLs (SOL Methodology) within its Reliability Coordinator Area. This SOL Methodology shall: Not applicable. The Reliability Coordinator has a documented SOL Methodology for use in developing SOLs within its Reliability Coordinator Area, but it does not address R1.2 The Reliability Coordinator has a documented SOL Methodology for use in developing SOLs within its Reliability Coordinator Area, but it does not address R1.3. The Reliability Coordinator has a documented SOL Methodology for use in developing SOLs within its Reliability Coordinator Area, but it does not address R1.1. OR The Reliability Coordinator has no documented SOL Methodology for use in developing SOLs within its Reliability Coordinator Area. FAC-011-2 R2. The Reliability Coordinator’s SOL Methodology shall include a requirement that SOLs provide BES performance consistent with the following: The Reliability Coordinator‘s SOL Methodology requires that SOLs are set to meet BES performance following single contingencies, but does not require that SOLs are set to Not applicable. The Reliability Coordinator‘s SOL Methodology requires that SOLs are set to meet BES performance in the precontingency state, but does not require that SOLs are set to meet BES performance following single contingencies. (R2.2 – The Reliability Coordinator’s SOL Methodology does not require that SOLs are set to meet BES performance in the pre-contingency state and does not require that SOLs are set to meet BES performance following