response to that recipient within 45 calendar days of receipt of those comments. The response shall indicate whether a change will be made to the SOL Methodology and, if no change will be made to that SOL Methodology, the reason why. (Retirement approved by FERC effective January 21, 2014) Methodology and provided a complete response in a time period that was longer than 45 calendar days but less than 60 calendar days. technical comments on its SOL Methodology and provided a complete response in a time period that was 60 calendar days or longer but less than 75 calendar days. Methodology and provided a complete response in a time period that was 75 calendar days or longer but less than 90 calendar days. OR The Reliability Coordinator’s response to documented technical comments on its SOL Methodology indicated that a change will not be made, but did not include an explanation of why the change will not be made. Methodology and provided a complete response in a time period that was 90 calendar days or longer. OR The Reliability Coordinator’s response to documented technical comments on its SOL Methodology did not indicate whether a change will be made to the SOL Methodology. FAC-013-2 R1. Each Planning Coordinator shall have a documented methodology it uses to perform an annual assessment of Transfer Capability in the Near-Term Transmission Planning Horizon (Transfer Capability methodology). The Transfer Capability methodology shall include, at a minimum, the following information: [See standard pdf for requirements of the Transfer Capability methodology] The Planning Coordinator has a Transfer Capability methodology but failed to address one or two of the items listed in Requirement R1, Part 1.4. The Planning Coordinator has a Transfer Capability methodology, but failed to incorporate one of the following Parts of Requirement R1 into that methodology: • Part 1.1 • Part 1.2 • Part 1.3 • Part 1.5 OR The Planning Coordinator has a Transfer Capability methodology but The Planning Coordinator has a Transfer Capability methodology, but failed to incorporate two of the following Parts of Requirement R1 into that methodology: • Part 1.1 • Part 1.2 • Part 1.3 • Part 1.5 OR The Planning Coordinator has a Transfer Capability methodology but failed to address four of the items listed in The Planning Coordinator did not have a Transfer Capability methodology. OR The Planning Coordinator has a Transfer Capability methodology, but failed to incorporate three or more of the following Parts of Requirement R1 into that methodology: • Part 1.1 • Part 1.2 • Part 1.3
failed to address three of the items listed in Requirement R1, Part 1.4. Requirement R1, Part 1.4. • Part 1.5 OR The Planning Coordinator has a Transfer Capability methodology but failed to address more than four of the items listed in Requirement R1, Part 1.4. FAC-013-2 R2. Each Planning Coordinator shall issue its Transfer Capability methodology, and any revisions to the Transfer Capability methodology, to the following entities subject to the following: [See standard pdf for requirements of issuing the Transfer Capability Methodology] The Planning Coordinator notified one or more of the parties specified in Requirement R2 of a new or revised Transfer Capability methodology after its implementation, but not more than 30 calendar days after its implementation. OR The Planning Coordinator provided the transfer Capability methodology more than 30 calendar days but not more than 60 calendar days after the receipt of a request. The Planning Coordinator notified one or more of the parties specified in Requirement R2 of a new or revised Transfer Capability methodology more than 30 calendar days after its implementation, but not more than 60 calendar days after its implementation. OR The Planning Coordinator provided the Transfer Capability methodology more than 60 calendar days but not more than 90 calendar days after receipt of a request The Planning Coordinator notified one or more of the parties specified in Requirement R2 of a new or revised Transfer Capability methodology more than 60 calendar days, but not more than 90 calendar days after its implementation. OR The Planning Coordinator provided the Transfer Capability methodology more than 90 calendar days but not more than 120 calendar days after receipt of a request. The Planning Coordinator failed to notify one or more of the parties specified in Requirement R2 of a new or revised Transfer Capability methodology more than 90 calendar days after its implementation. OR The Planning Coordinator provided the Transfer Capability methodology more than 120 calendar days after receipt of a request.
FAC-013-2 R3. If a recipient of the Transfer Capability methodology provides documented concerns with the methodology, the Planning Coordinator shall provide a documented response to that recipient within 45 calendar days of receipt of those comments. The response shall indicate whether a change will be made to the Transfer Capability methodology and, if no change will be made to that Transfer Capability methodology, the reason why. (Retirement approved by FERC effective January 21, 2014) The Planning Coordinator provided a documented response to a documented concern with its Transfer Capability methodology as required in Requirement R3 more than 45 calendar days, but not more than 60 calendar days after receipt of the concern. The Planning Coordinator provided a documented response to a documented concern with its Transfer Capability methodology as required in Requirement R3 more than 60 calendar days, but not more than 75 calendar days after receipt of the concern. The Planning Coordinator provided a documented response to a documented concern with its Transfer Capability methodology as required in Requirement R3 more than 75 calendar days, but not more than 90 calendar days after receipt of the concern. The Planning Coordinator failed to provide a documented response to a documented concern with its Transfer Capability methodology as required in Requirement R3 by more than 90 calendar days after receipt of the concern. OR The Planning Coordinator failed to respond to a documented concern with its Transfer Capability methodology. FAC-013-2 R4. During each calendar year, each Planning Coordinator shall conduct simulations and document an assessment based on those simulations in accordance with its Transfer Capability methodology for at least one year in the Near-Term Transmission Planning Horizon. The Planning Coordinator conducted a Transfer Capability assessment outside the calendar year, but not by more than 30 calendar days. The Planning Coordinator conducted a Transfer Capability assessment outside the calendar year, by more than 30 calendar days, but not by more than 60 calendar days. The Planning Coordinator conducted a Transfer Capability assessment outside the calendar year, by more than 60 calendar days, but not by more than 90 calendar days. The Planning Coordinator failed to conduct a Transfer Capability assessment outside the calendar year by more than 90 calendar days. OR The Planning Coordinator failed to conduct a Transfer Capability assessment.
The supporting information provided with the IROLs does not address 5.1.4 The supporting information provided with the IROLs does not address 5.1.3 FAC-014-2 R6. The Planning Authority shall identify the subset of multiple contingencies (if any), from Reliability Standard TPL-003 which result in stability limits. The Planning Authority failed to notify the Reliability Coordinator in accordance with R6.2 Not applicable. The Planning Authority identified the subset of multiple contingencies which result in stability limits but did not provide the list of multiple contingencies and associated limits to one Reliability Coordinator that monitors the Facilities associated with these limits. (R6.1) The Planning Authority did not identify the subset of multiple contingencies which result in stability limits. (R6) OR The Planning Authority identified the subset of multiple contingencies which result in stability limits but did not provide the list of multiple contingencies and associated limits to more than one Reliability Coordinator that monitors the Facilities associated with these limits. (R6.1) R1. Transmission Owners shall have a TMIP detailing their inspection and maintenance requirements that apply to all transmission facilities necessary for System Operating Limits associated with each of the transmission paths identified in table titled N/A N/A Transmission Owners had a TMIP does, but it did not include inspection and maintenance requirements that apply to all transmission Transmission Owners do not have a TMIP.
FAC-501-WECC-1 “Major WECC Transfer Paths in the Bulk Electric System.” facilities necessary for System Operating Limits associated with each of the transmission paths identified in the table titled “Major WECC Transfer Paths in the Bulk Electric System” R1.1. Transmission Owners shall annually review their TMIP and update as required. N/A N/A N/A Transmission Owners did not review their TMIP annually as required by R.1.1. R2. Transmission Owners shall include the maintenance categories in Attachment when developing their TMIP. The TMIP does not include one maintenance category identified in Attachment 1 as required by R.2 but Transmission Owners are performing maintenance and inspection for the missing maintenance categories. The TMIP does not include two maintenance categories identified in Attachment 1 FAC-501-WECC-1 as required by R.2 but Transmission Owners are performing maintenance and inspection for the missing maintenance categories. The TMIP does not include three maintenance categories identified in Attachment 1 as required by R.2 but Transmission Owners are performing maintenance and inspection for the missing maintenance categories. The TMIP does not exist or does not include more than three maintenance categories identified in Attachment 1 as required by R.2 but Transmission Owners are performing maintenance and inspection for the missing maintenance categories. R3. Transmission Owners shall implement and follow their TMIP. Transmission Owners do not have maintenance and inspection records as required by R.3 but have evidence that they are implementing and following their TMIP. Transmission Owners are not performing maintenance and inspection for one maintenance category identified in Attachment 1 Transmission Owners are not performing maintenance and inspection for two maintenance categories identified in Attachment 1 as required in R3. Transmission Owners are not performing maintenance and inspection for more than two maintenance categories identified in Attachment 1 as required in R3.
Complete Violation Severity Level Matrix (INT) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL INT-001-3 R1. The Load-Serving, Purchasing-Selling Entity shall ensure that Arranged Interchange is submitted to the Interchange Authority for: The Load-Serving, Purchasing-Selling Entity experienced one instance of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for: (see below) The Load-Serving, Purchasing-Selling Entity experienced two instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for: (see below) The Load-Serving, Purchasing-Selling Entity experienced three instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for: (see below) The Load-Serving, Purchasing-Selling Entity experienced four instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for: (see below) INT-001-3 R1.1. All Dynamic Schedules at the expected average MW profile for each hour. The Load-Serving, Purchasing-Selling Entity experienced one instance of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for all Dynamic Schedules at the expected average MW profile for each hour. The Load-Serving, Purchasing-Selling Entity experienced two instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for all Dynamic Schedules at the expected average MW profile for each hour. The Load-Serving, Purchasing-Selling Entity experienced three instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for all Dynamic Schedules at the expected average MW profile for each hour. The Load-Serving, Purchasing-Selling Entity experienced four instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for all Dynamic Schedules at the expected average MW profile for each hour. INT-001-3 R2. The Sink Balancing Authority shall ensure that Arranged Interchange is submitted to the Interchange Authority: The Sink Balancing Authority experienced one instance of failing to ensure that Arranged Interchange was submitted to the Interchange Authority (see below) The Sink Balancing Authority experienced two instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority (see below) The Sink Balancing Authority experienced three instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority (see below) The Sink Balancing Authority experienced four instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority (see below)
INT-001-3 R2.1. If a Purchasing-Selling Entity is not involved in the Interchange, such as delivery from a jointly owned generator. The Sink Balancing Authority experienced one instance of failing to ensure that Arranged Interchange was submitted to the Interchange Authority if a Purchasing-Selling Entity was not involved in the Interchange, such as delivery from a jointly owned generator. The Sink Balancing Authority experienced two instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority if a Purchasing-Selling Entity was not involved in the Interchange, such as delivery from a jointly owned generator. The Sink Balancing Authority experienced three instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority if a Purchasing-Selling Entity was not involved in the Interchange, such as delivery from a jointly owned generator. The Sink Balancing Authority experienced four instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority if a Purchasing-Selling Entity was not involved in the Interchange, such as delivery from a jointly owned generator. INT-001-3 R2.2. For each bilateral Inadvertent Interchange payback. The Sink Balancing Authority experienced one instance of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for each bilateral Inadvertent Interchange payback. The Sink Balancing Authority experienced two instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for each bilateral Inadvertent Interchange payback. The Sink Balancing Authority experienced three instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for each bilateral Inadvertent Interchange payback. The Sink Balancing Authority experienced four instances of failing to ensure that Arranged Interchange was submitted to the Interchange Authority for each bilateral Inadvertent Interchange payback. INT-003-3 R1. Each Receiving Balancing Authority shall confirm Interchange Schedules with the Sending Balancing Authority prior to implementation in the Balancing Authority’s ACE equation. There shall be a separate Lower VSL, if either of the following conditions exists: One instance of entering a schedule into its ACE equation without confirming the There shall be a separate Moderate VSL, if either of the following conditions exists: Two instances of entering a schedule into its ACE equation There shall be a separate High VSL, if either of the following conditions exists: Three instances of entering a schedule into its ACE equation without confirming the schedule There shall be a separate Severe VSL, if either of the following conditions exists: Four or more instances of entering a schedule into its ACE equation without
hours in order to support congestion management procedures if any one of the following occurs: the Purchasing-Selling Entity did not ensure that the Confirmed Interchange associated with that Dynamic Schedule or was updated for future hours. R3. Each Balancing Authority shall only implement or operate a Pseudo-Tie that is included in the NAESB Electric Industry Registry publication in order to support congestion management procedures. N/A N/A N/A The Balancing Authority implemented or operated a Pseudo-Tie that was not included in the NAESB Electric Industry Registry publication. INT-005-3 R1. Prior to the expiration of the time period defined in the timing requirements tables in this standard, Column A, the Interchange Authority shall distribute the Arranged Interchange information for reliability assessment to all reliability entities involved in the Interchange. The Interchange Authority experienced one occurrence of not distributing information to all involved reliability entities. The Interchange Authority experienced two occurrences of not distributing information to all involved reliability entities The Interchange Authority experienced three occurrences of not distributing information to all involved reliability entities The Interchange Authority experienced four occurrences of not distributing information to all involved reliability entities INT-005-3 R1.1. When a Balancing Authority or Reliability Coordinator initiates a Curtailment to Confirmed or Implemented Interchange for reliability, the Interchange Authority shall distribute the Arranged Interchange information for reliability assessment only to the Source Balancing Authority and the Sink Balancing Authority. N/A N/A The Responsible Entity initiated a Curtailment to Confirmed or Implemented Interchange for reliability but the Interchange Authority failed to distribute the Arranged Interchange information to the Source Balancing The Responsible Entity initiated a Curtailment to Confirmed or Implemented Interchange for reliability but the Interchange Authority failed to distribute the Arranged Interchange information to the Source Balancing
connectivity of Adjacent Balancing Authorities). INT-006-3 R1.2. Each involved Transmission Service Provider shall confirm that the transmission service arrangements associated with the Arranged Interchange have adjacent Transmission Service Provider connectivity, are valid and prevailing transmission system limits will not be violated The Transmission Service Provider experienced one instance of failing to confirm that the transmission service arrangements associated with the Arranged Interchange had adjacent Transmission Service Provider connectivity, were valid and prevailing transmission system limits would not be violated. The Transmission Service Provider experienced two instances of failing to confirm that the transmission service arrangements associated with the Arranged Interchange had adjacent Transmission Service Provider connectivity, were valid and prevailing transmission system limits would not be violated. The Transmission Service Provider experienced three instances of failing to confirm that the transmission service arrangements associated with the Arranged Interchange had adjacent Transmission Service Provider connectivity, were valid and prevailing transmission system limits would not be violated. The Transmission Service Provider experience four instances of failing to confirm that the transmission service arrangements associated with the Arranged Interchange had adjacent Transmission Service Provider connectivity, were valid and prevailing transmission system limits would not be violated. INT-006-4 R1. Each Balancing Authority shall approve or deny each on-time Arranged Interchange or emergency Arranged Interchange that it receives and shall do so prior to the expiration of the time period defined in Attachment 1, Column B. [Please see the standard for more information] N/A N/A N/A The Balancing Authority receiving an on-time Arranged Interchange or an emergency Arranged Interchange did not approve or deny it prior to the expiration of the time period defined in Attachment 1, Column B. OR The Source or Sink Balancing Authority did not expect to be
OR The transmission path between the Transmission Service Provider and its adjacent Transmission Service Providers was invalid, and the Transmission Service Provider did not deny the Arranged Interchange or curtail Confirmed Interchange. INT-006-4 R3. The Source Balancing Authority and the Sink Balancing Authority receiving a Reliability Adjustment Arranged Interchange shall approve or deny it prior to the expiration of the time period defined in Attachment 1, Column B N/A N/A The Source Balancing Authority or Sink Balancing Authority receiving a Reliability Adjustment Arranged Interchange denied it prior to the expiration of the time period defined in Attachment 1, Column B, but did not communicate that fact to its Reliability Coordinator within 10 minutes of the denial. The Source Balancing Authority or Sink Balancing Authority receiving a Reliability Adjustment Arranged Interchange did not approve or deny it prior to the expiration of the time period defined in Attachment 1, Column B. INT-006-4 R4. Each Sink Balancing Authority shall confirm that none of the following conditions exist prior to transitioning an Arranged Interchange to Confirmed Interchange: It is a Reliability Adjustment Arranged Interchange, the time period specified in Attachment 1, Column B has elapsed, and the Source Balancing Authority or N/A N/A N/A The Sink Balancing Authority failed to confirm that none of the conditions in Requirement 4 existed before transitioning an Arranged Interchange
INT-007-1 R1.3.2. Megawatt profile. The Interchange Authority failed to verify one time, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify two times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify three times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify four times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. INT-007-1 R1.3.3. Ramp start and stop times. The Interchange Authority failed to verify one time, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify two times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify three times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify four times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. INT-007-1 R1.3.4. Interchange duration. The Interchange Authority failed to verify one time, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify two times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify three times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange. The Interchange Authority failed to verify four times, as indicated in R1 that Arranged Interchange was balanced and valid prior to transitioning Arranged Interchange to Confirmed Interchange.
INT-007-1 R1.4. Each Balancing Authority and Transmission Service Provider that received the Arranged Interchange information from the Interchange Authority for reliability assessment has provided approval. Each Balancing Authority and Transmission Service Provider that received the Arranged Interchange information from the Interchange Authority for reliability assessment has provided approval, with minor exception and is substantially compliant with the directives of the requirement. Each Balancing Authority and Transmission Service Provider that received the Arranged Interchange information from the Interchange Authority for reliability assessment has provided approval, with some exception and is mostly compliant with the directives of the requirement. Each Balancing Authority and Transmission Service Provider that received the Arranged Interchange information from the Interchange Authority for reliability assessment has provided approval but was substantially deficient in meeting the directives of the requirement. Each Balancing Authority and Transmission Service Provider that received the Arranged Interchange information from the Interchange Authority for reliability assessment did not provided approval and failed to meet the requirement. INT-008-3 R1. Prior to the expiration of the time period defined in the Timing Table, Column C, the Interchange Authority shall distribute to all Balancing Authorities (including Balancing Authorities on both sides of a direct current tie), Transmission Service Providers and Purchasing-Selling Entities involved in the Arranged Interchange whether or not the Arranged Interchange has transitioned to a Confirmed Interchange. The Interchange Authority experienced one occurrence of not distributing information to all involved reliability entities as deliniated in R1.1, R1.1.1 or R1.1.2. The Interchange Authority experienced two occurrences of not distributing information to all involved reliability entities. The Interchange Authority experienced three occurrences of not distributing information to all involved reliability entities. The Interchange Authority experienced four occurrences of not distributing information to all involved reliability entities or no evidence provided. INT-008-3 R1.1. For Confirmed Interchange, the Interchange Authority shall also communicate: The Interchange Authority experienced one occurrence of not distributing information to all involved reliability entities as defined in R1. The Interchange Authority experienced two occurrences of not distributing information to all involved reliability entities as defined in R1. The Interchange Authority experienced three occurrences of not distributing information to all involved reliability entities as defined in R1. The Interchange Authority experienced four occurrences of not distributing information to all involved reliability entities as defined in R1 or no evidence provided.
and including any Interchange per not yet captured in the Composite Confirmed Interchange. R2. The Attaining Balancing Authority and the Native Balancing Authority shall use a dynamic value emanating from an agreed upon common source to account for the Pseudo-Tie in the Actual Net Interchange (NIA) term of their respective control ACE (or alternate control process). N/A N/A N/A The Balancing Authority failed to use a dynamic value emanating from an agreed upon common source to account for the Pseudo-Tie in the Actual Net Interchange (NIA) term of their respective control ACE (or alternate control process). R3. Each Balancing Authority in whose area the high-voltage direct current tie is controlled shall coordinate the Confirmed Interchange prior to its implementation with the Transmission Operator of the high-voltage direct current tie. N/A N/A N/A The Balancing Authority failed to coordinate the Confirmed Interchange prior to its implementation with the Transmission Operator of the direct current tie. INT-010-1 R1. The Balancing Authority that experiences a loss of resources covered by an energy sharing agreement shall ensure that a request for an Arranged Interchange is submitted with a start time no more than 60 minutes beyond the resource loss. If the use of the energy sharing agreement does not exceed 60 The responsible entity that experienced a loss of resources that exceeded 60 minutes and was covered by an energy sharing agreement ensured The responsible entity that experienced a loss of resources that exceeded 60 minutes and was covered by an The responsible entity that experienced a loss of resources that exceeded 60 minutes and was covered by an energy sharing agreement ensured that The responsible entity that experienced a loss of resources that exceeded 60 minutes and was covered by an energy sharing agreement ensured
sharing agreement exceeded 60 minutes. R2. Each Sink Balancing Authority shall ensure that a Reliability Adjustment Arranged Interchange reflecting a modification is submitted within 60 minutes of the start of the modification if a Reliability Coordinator directs the modification of a Confirmed Interchange or Implemented Interchange for actual or anticipated reliability-related reasons. N/A N/A N/A The Sink Balancing Authority did not ensure that a Reliability Adjustment Arranged Interchange reflecting a modification was submitted within 60 minutes following the start of that modification. R3. Each Sink Balancing Authority shall ensure that a Request for Interchange is submitted reflecting that Interchange Schedule within 60 minutes of the start of the scheduled Interchange if a Reliability Coordinator directs the scheduling of Interchange for actual or anticipated reliability-related reasons. N/A N/A N/A The Sink Balancing Authority did not ensure that a Request for Interchange reflecting the Interchange Schedule was submitted within 60 minutes following the start of that scheduled Interchange. R1. Each Load-Serving Entity that uses Point to Point Transmission Service for Authority Area transfers shall submit a Request for Interchange unless the information about intra-Balancing Authority transfers is included in congestion management procedure(s) via an alternate method. N/A N/A N/A The Load-Serving Entity used Point to Point Transmission Service for an Authority Area transfer, and did not submit a Request for Interchange for an intra-Balancing Authority transfer that is not included in congestion management procedure(s) via an alternate method.
R1. Each Regional Reliability Organization, subregion, or interregional coordinating group shall establish one or more Reliability Coordinators to continuously assess transmission reliability and coordinate emergency operations among the operating entities within the region and across the regional boundaries. The RRO, subregion or interregional coordinating group did not communicate the assignment of the Reliability Coordinators to operating entities clearly. The RRO, subregion or interregional coordinating group did not clearly identify the coordination of Reliability Coordinator areas within the region. The RRO, subregion or interregional coordinating group did not coordinate assignment of the Reliability Coordinators across regional boundaries. The RRO, subregion or interregional coordinating group did not assign any Reliability Coordinators. R2. The Reliability Coordinator shall comply with a regional reliability plan approved by the NERC Operating Committee. The Reliability Coordinator has failed to follow the administrative portions of its regional reliability plan. The Reliability Coordinator has failed to follow steps in its regional reliability plan that requires operator interventions or actions. The Reliability Coordinator does not have a regional reliability plan approved by the NERC OC. The Reliability Coordinator does not have an unapproved regional reliability plan. R3. The Reliability Coordinator shall have clear decision-making authority to act and to direct actions to be taken by Transmission Operators, Balancing Authorities, Generator Operators, Transmission Service Providers, Load-Serving Entities, and Entities within its Reliability Coordinator Area to preserve the integrity and reliability of the Bulk Electric System. These actions shall be taken without delay, but no longer than 30 minutes. N/A N/A N/A The Reliability Coordinator does not have clear authority to act or direct actions to preserve transmission security and reliability of the Bulk Electric System. OR The Reliability Coordinator failed to take or direct action to preserve the reliability and security of the Bulk Electric System within 30 minutes of identifying those actions.
not clear or comprehensive. R8. Transmission Operators, Balancing Authorities, Generator Operators, Transmission Service Providers, Entities, and Purchasing-Selling Entities shall comply with Reliability Coordinator directives unless such actions would violate safety, equipment, or regulatory or statutory requirements. Under these circumstances, the Transmission Operator, Balancing Authority, Generator Operator, Transmission Service Provider, Load-Serving Entity, or Purchasing-Selling Entity shall immediately inform the Reliability Coordinator of the inability to perform the directive so that the Reliability Coordinator may implement alternate remedial actions. N/A The responsible entity could not comply with a directive due to qualified reasons (violation of safety, equipment or regulatory or statutory requirements) and did not immediately inform the Reliability Coordinator. N/A The responsible entity did not follow the Reliability Coordinator’s directive. R9. The Reliability Coordinator shall act in the interests of reliability for the overall Reliability Coordinator Area and the Interconnection before the interests of any other entity. N/A N/A N/A The Reliability Coordinator did not act in the interests of reliability for the overall Reliability Coordinator Area and the Interconnection before the interests of one or more other entities. IRO-001-4 R1. Coordinator Area via direct actions or by issuing Operating Instructions. N/A N/A N/A The Reliability Coordinator failed to act to address the reliability of its Reliability Coordinator Area via direct actions or by issuing Operating Instructions. Serving
3) Communication facilities are not staffed or 4) Communication facilities are not ready. IRO-002-2 R2 Each Reliability Coordinator — or its Transmission Operators and Balancing Authorities —shall provide, or arrange provisions for, data exchange to other Reliability Coordinators or Transmission Operators and Balancing Authorities via a secure network. N/A The Reliability Coordinator or designated Transmission Operator and Balancing Authority has failed to demonstrate it provided or arranged provision for the exchange of data with one of the other Reliability Coordinators or Transmission Operators and Balancing Authorities. The Reliability Coordinator or designated Transmission Operator and Balancing Authority has failed to demonstrate it provided or arranged provision for the exchange of data with two of the other Reliability Coordinators or Transmission Operators and Balancing Authorities. The Reliability Coordinator or designated Transmission Operator and Balancing Authority has failed to demonstrate it provided or arranged provision for the exchange of data with three of the other Reliability Coordinators or Transmission Operators and Balancing Authorities. IRO-002-2 R3 Each Reliability Coordinator shall have multi-directional communications capabilities with its Transmission Operators and Balancing Authorities, and with neighboring Reliability Coordinators, for both voice and data exchange as required to meet reliability needs of the Interconnection. N/A The Reliability Coordinator has failed to demonstrate communication capabilities to one of the Transmission Operators and Balancing Authorities in its Reliability Coordinator Area and with neighboring Reliability Coordinators. The Reliability Coordinator has failed to demonstrate communication capabilities to two or more of the Transmission Operators and Balancing Authorities in its Reliability Coordinator Area and with neighboring Reliability Coordinators. The Reliability Coordinator has failed to demonstrate communication capabilities to all of the Transmission Operators and Balancing Authorities in its Reliability Coordinator Area and with all neighboring Reliability Coordinators.
system restoration requirements within its Reliability Coordinator Area. IRO-002-2 R7 Each Reliability Coordinator shall continuously monitor its Reliability Coordinator Area. Each Reliability Coordinator shall have provisions for backup facilities that shall be exercised if the main monitoring system is unavailable. Each Reliability Coordinator shall ensure SOL and IROL monitoring and derivations continue if the main monitoring system is unavailable. N/A The Reliability Coordinator had provisions for backup facilities, but it failed to ensure that monitoring and derivations of SOL and IROL conditions continued when the main monitoring system was unavailable. N/A The Reliability Coordinator did not continuously monitor its Reliability Coordinator Area. OR The Reliability Coordinator did not have provisions for backup facilities. IRO-002-2 R8 Each Reliability Coordinator shall control its Reliability Coordinator analysis tools, including approvals for planned maintenance. Each Reliability Coordinator shall have procedures in place to mitigate the effects of analysis tool outages. Reliability Coordinator has approval rights for planned maintenance outages of analysis tools but does not have approval rights for work on analysis tools that creates a greater risk of an unplanned outage of the tools. Reliability Coordinator has approval rights for planned maintenance but does not have plans to mitigate the effects of outages of the analysis tools. Reliability Coordinator has approval rights for planned maintenance but does not have plans to mitigate the effects of outages of the analysis tools and does not have approval rights for work on analysis tools that creates a greater risk of an unplanned outage of the tools. Reliability Coordinator approval is not required for planned maintenance. IRO-002-4 R1. Each Reliability Coordinator shall have data exchange capabilities with its Balancing Authorities and Transmission Operators, and with other entities it deems necessary, for it to perform its Operational Planning Analyses, Real-time monitoring, and Assessments. The Reliability Coordinator did not have data exchange capabilities with one applicable entity, or 5% or less of the applicable entities, whichever is greater. The Reliability Coordinator did not have data exchange capabilities with two applicable entities, or more than 5% or less than or equal to 10% of the applicable entities, whichever is greater. The Reliability Coordinator did not have data exchange capabilities with three applicable entities, or more than 10% or less than or equal to 15% of the applicable entities, whichever is greater. The Reliability Coordinator did not have data exchange capabilities with four or more applicable entities or greater than 15% of the applicable entities, whichever is greater.
IRO-002-4 R2. Each Reliability Coordinator shall provide its System Operators with the authority to approve planned outages and maintenance of its telecommunication, monitoring and analysis capabilities. N/A N/A N/A The Reliability Coordinator failed to provide its System Operator with the authority to approve planned outages and maintenance of its telecommunication, monitoring and analysis capabilities. IRO-002-4 R3. Each Reliability Coordinator shall monitor Facilities, the status of Special Protection Systems, and non-BES facilities identified as necessary by the Reliability Coordinator, within its Reliability Coordinator Area and neighboring Reliability Coordinator Areas to identify any System Operating Limit exceedances and to determine any Interconnection Reliability Operating Limit exceedances within its Reliability Coordinator Area. N/A N/A N/A The Reliability Coordinator did not monitor Facilities, the status of Special Protection Systems, and non-BES facilities identified as necessary by the Reliability Coordinator, within its Reliability Coordinator Area and neighboring Reliability Coordinator Areas to identify any System Operating Limit exceedances and to determine any Interconnection Reliability Operating Limit exceedances within its Reliability Coordinator Area. IRO-002-4 R4. Each Reliability Coordinator shall have monitoring systems that provide information utilized by the Reliability Coordinator’s operating personnel, giving particular emphasis to alarm management and awareness systems, automated data transfers, N/A N/A N/A The Reliability Coordinator did not have monitoring systems that provide information utilized by the Reliability Coordinator’s
and synchronized information systems, over a redundant infrastructure. operating personnel, giving particular emphasis to alarm management and awareness systems, automated data transfers, and synchronized information systems, over a redundant infrastructure. IRO-003-2 R1. Each Reliability Coordinator shall monitor all Bulk Electric System facilities, which may include sub-transmission information, within its Reliability Coordinator Area and adjacent Reliability Coordinator Areas, as necessary to ensure that, at any time, regardless of prior planned or unplanned events, the Reliability Coordinator is able to determine any potential System Operating Limit and Interconnection Reliability Operating Limit violations within its Reliability Coordinator Area. N/A N/A The Reliability Coordinator failed to monitor all Bulk Electric System facilities, which may include information, within its Reliability Coordinator Area and adjacent Reliability Coordinator Areas, as necessary to ensure that, at any time, regardless of prior planned or unplanned events, the Reliability Coordinator is able to determine any potential System Operating Limit and Interconnection Reliability Operating Limit violations within its Reliability Coordinator Area. The Reliability Coordinator failed to monitor Bulk Electric System facilities, which may include sub-transmission information, within adjacent Reliability Coordinator Areas, as necessary to ensure that, at any time, regardless of prior planned or unplanned events, the Reliability Coordinator is able to determine any potential System Operating Limit and Interconnection Reliability Operating Limit violations within its Reliability Coordinator Area. IRO-003-2 R2. Each Reliability Coordinator shall know the current status of all critical facilities whose failure, degradation or disconnection could result in an SOL or IROL violation. Reliability Coordinators shall also know the N/A N/A The Reliability Coordinator failed to know either the current status of all critical facilities whose failure, degradation or The Reliability Coordinator failed to know the current status of all critical facilities whose failure, degradation or
for all its Balancing Authorities. R1.7. Current local or Transmission Loading Relief procedures in effect. The Reliability Coordinator failed to monitor current local or Transmission Loading Relief procedures in effect. N/A N/A N/A R1.8. Planned generation dispatches. The Reliability Coordinator failed to monitor planned generation dispatches. N/A N/A N/A R1.9. Planned transmission or generation outages. The Reliability Coordinator failed to monitor planned transmission or generation outages. N/A N/A N/A R1.10. Contingency events. The Reliability Coordinator failed to monitor contingency events. N/A N/A N/A R2. Each Reliability Coordinator shall monitor its Balancing Authorities’ parameters to ensure that the required amount of operating reserves is provided and available as required to meet the Control Performance Standard and Disturbance Control Standard requirements. If necessary, the Reliability Coordinator shall direct the Balancing Authorities in the Reliability Coordinator Area to arrange for assistance from neighboring Balancing Authorities. The Reliability Coordinator shall issue Energy Emergency Alerts as needed and at the request of its Balancing Authorities and Load-Serving Entities. N/A The Reliability Coordinator failed to direct the Balancing Authorities in the Reliability Coordinator Area to arrange for assistance from neighboring Balancing Authorities. The Reliability Coordinator failed to issue Energy Emergency Alerts as needed and at the request of its Balancing Authorities and Entities. The Reliability Coordinator failed to monitor its Balancing Authorities’ parameters to ensure that the required amount of operating reserves was provided and available as required to meet the Control Performance Standard and Disturbance Control Standard requirements. R3. Each Reliability Coordinator shall ensure its Transmission Operators and Balancing Authorities are aware of Geo-Magnetic Disturbance (GMD) forecast information and N/A N/A The Reliability Coordinator ensured its Transmission Operators and Balancing Authorities were aware The Reliability Coordinator failed to ensure its Transmission Operators and Serving
assist as needed in the development of any required response plans. of Geo-Magnetic Disturbance (GMD) forecast information, but failed to assist, when needed, in the development of any required response plans. Balancing Authorities were aware of Disturbance (GMD) forecast information. R4. The Reliability Coordinator shall disseminate information within its Reliability Coordinator Area, as required. N/A N/A N/A The Reliability Coordinator failed to disseminate information within its Reliability Coordinator Area, when required. R5. Each Reliability Coordinator shall monitor system frequency and its Balancing Authorities’ performance and direct any necessary rebalancing to return to CPS and DCS compliance. The Transmission Operators and Balancing Authorities shall utilize all resources, including firm load shedding, as directed by its Reliability Coordinator to relieve the emergent condition. N/A N/A The Reliability Coordinator monitored system frequency and its Balancing Authorities’ performance but failed to direct any necessary rebalancing to return to CPS and DCS compliance. The Reliability Coordinator failed to monitor system frequency and its Balancing Authorities’ performance and direct any necessary rebalancing to return to CPS and DCS compliance or the responsible entity failed to utilize all resources, including firm load shedding, as directed by its Reliability Coordinator to relieve the emergent condition. R6 The Reliability Coordinator shall coordinate with Transmission Operators, Balancing Authorities, and Generator Operators as needed to develop and implement action plans to mitigate potential or actual SOL, CPS, or DCS violations. The Reliability Coordinator shall coordinate pending generation and transmission maintenance N/A The Reliability Coordinator coordinated with Transmission Operators, Balancing Authorities, and Generator The Reliability Coordinator failed to coordinate with Transmission Operators, Balancing Authorities, and Generator Operators as needed to develop and The Reliability Coordinator failed to coordinate with Transmission Operators, Balancing Authorities, and Generator Operators as needed to develop
outages with Transmission Operators, Balancing Authorities, and Generator Operators as needed in both the real time and next-day reliability analysis timeframes. Operators, as needed, to develop action plans to mitigate potential or actual SOL, CPS, or DCS violations but failed to implement said plans OR The Reliability Coordinator failed to coordinate pending generation and transmission maintenance outages with Transmission Operators, Balancing Authorities, and Generator Operators as needed in either the real- time reliability analysis time frame or the next-day reliability analysis time frame. implement action plans to mitigate potential or actual SOL, CPS, or DCS violations OR The Reliability Coordinator failed to coordinate pending generation and transmission maintenance outages with Transmission Operators, Balancing Authorities, and Generator Operators as needed in both the real- time and next-day reliability analysis timeframes. and implement action plans to mitigate potential or actual SOL, CPS, or DCS violations and the Reliability Coordinator failed to coordinate pending generation and transmission maintenance outages with Transmission Operators, Balancing Authorities, and Generator Operators as needed in both the real- time and reliability analysis timeframes. R7. As necessary, the Reliability Coordinator shall assist the Balancing Authorities in its Reliability Coordinator Area in arranging for assistance from neighboring Reliability Coordinator Areas or Balancing Authorities. N/A N/A N/A The Reliability Coordinator failed to assist the Balancing Authorities in its Reliability Coordinator Area in arranging for assistance from neighboring Reliability Coordinator Areas or
Balancing Authorities, when necessary. R8. The Reliability Coordinator shall identify sources of large Area Control Errors that may be contributing to Frequency Error, Time Error, or Inadvertent Interchange and shall discuss corrective actions with the appropriate Balancing Authority. The Reliability Coordinator shall direct its Balancing Authority to comply with CPS and DCS. N/A The Reliability Coordinator identified sources of large Area Control Errors that were contributing to Frequency Error, Time Error, or Inadvertent Interchange and discussed corrective actions with the appropriate Balancing Authority but failed to direct the Balancing Authority to comply with CPS and DCS. The Reliability Coordinator identified sources of large Area Control Errors that were contributing to Frequency Error, Time Error, or Inadvertent Interchange but failed to discuss corrective actions with the appropriate Balancing Authority. The Reliability Coordinator failed to identify sources of large Area Control Errors that were contributing to Frequency Error, Time Error, or Inadvertent Interchange. R9. Whenever a Special Protection System that may have an inter-Balancing Authority, or Transmission Operator impact (e.g., could potentially affect transmission flows resulting in a SOL or IROL violation) is armed, the Reliability Coordinators shall be aware of the impact of the operation of that Special Protection System on inter-area flows. The Transmission Operator shall immediately inform the Reliability Coordinator of the status of the Special Protection System including any degradation or potential failure to operate as expected. N/A N/A N/A The Reliability Coordinator failed to be aware of the impact on inter-area flows of an inter-Balancing Authority or Operator, following the operation of a Special Protection System that is armed (e.g., could potentially affect transmission flows resulting in a SOL or IROL violation), or the Transmission Operator failed to immediately inform the Reliability Coordinator of the
status of the Special Protection System including any degradation or potential failure to operate as expected. R10. In instances where there is a difference in derived limits, the Transmission Operators, Balancing Authorities, Generator Operators, Transmission Service Providers, Entities, and Purchasing-Selling Entities shall always operate the Bulk Electric System to the most limiting parameter. N/A N/A N/A The responsible entity failed to operate the Bulk Electric System to the most limiting parameter in instances where there was a difference in derived limits. R11. The Transmission Service Provider shall respect SOLs and IROLs in accordance with filed tariffs and regional Total Transfer Calculation and Available Transfer Calculation processes. N/A N/A N/A The Transmission Service Provider failed to respect SOLs or IROLs in accordance with filed tariffs and regional Total Transfer Calculation and Available Transfer Calculation processes. R12. Each Reliability Coordinator who foresees a transmission problem (such as an SOL or IROL violation, loss of reactive reserves, etc.) within its Reliability Coordinator Area shall issue an alert to all impacted Transmission Operators and Balancing Authorities in its Reliability Coordinator Area without delay. The receiving Reliability Coordinator shall disseminate this information to its impacted Transmission Operators and Balancing Authorities. The Reliability Coordinator shall notify all impacted Transmission Operators, Balancing Authorities, when the transmission problem has been mitigated. N/A The Reliability Coordinator failed to notify all impacted Transmission Operators, Balancing Authorities, when the transmission problem had been mitigated. N/A The Reliability Coordinator who foresaw a transmission problem (such as an SOL or IROL violation, loss of reactive reserves, etc.) within its Reliability Coordinator Area failed to issue an alert to all impacted Transmission Operators and Balancing Authorities in its Reliability Coordinator Area, or the receiving Reliability Coordinator failed to Serving
disseminate this information to its impacted Transmission Operators and Balancing Authorities. IRO-006-5 R1. Each Reliability Coordinator and Balancing Authority that receives a request pursuant to an Interconnection-wide transmission loading relief procedure (such as Eastern Interconnection TLR, WECC Unscheduled Flow Mitigation, or congestion management procedures from the ERCOT Protocols) from any Reliability Coordinator, Balancing Authority, or Transmission Operator in another Interconnection to curtail an Interchange Transaction that crosses an Interconnection boundary shall comply with the request, unless it provides a reliability reason to the requestor why it cannot comply with the request. N/A N/A N/A The responsible entity received a request to curtail an Interchange Transaction crossing an Interconnection boundary pursuant to an transmission loading relief procedure from a Reliability Coordinator, Balancing Authority, or Transmission Operator, but the entity neither complied with the request, nor provided a reliability reason why it could not comply with the request. R1. When acting or instructing others to act to mitigate the magnitude and duration of the instance of exceeding an IROL within that IROL’s TV, each Reliability Coordinator shall initiate, prior to or concurrently with the initiation of the Eastern Interconnection TLR procedure (or continuing management of this procedure if already initiated), one or more of the following actions: Inter-area redispatch of generation Intra-area redispatch of generation N/A N/A N/A When acting or instructing others to act to mitigate the magnitude and duration of the instance of exceeding an IROL within that IROL’s Tv, the Reliability Coordinator did not initiate one or more of the actions listed under R1 prior to or in conjunction with the
Instruct its Balancing Authorities to implement the Market Flow schedule changes for which the Balancing Authorities are responsible. If an assessment determines shows that one or more of the congestion management actions communicated in Requirement R3, Part 3.3 will result in a reliability concern or will be ineffective, the Reliability Coordinator may replace those specific actions with alternate congestion management actions, provided that: The alternate congestion management actions have been agreed to by the initiating Reliability Coordinator, and The assessment shows that the alternate congestion management actions will not adversely affect reliability. management actions, provided that: assessment showed that the actions replaced would have resulted in a reliability concern or would have been ineffective, the alternate congestion management actions were agreed to by the initiating Reliability Coordinator, and assessment determined that the alternate congestion management actions would not adversely affect reliability. R1. Each Reliability Coordinator that initiates the Eastern Interconnection TLR procedure to prevent or mitigate an SOL or IROL exceedance shall identify the TLR level and the congestion management actions to be implemented, and shall update this information at least every clock hour (except TLR-1) after initiation up to and including the hour when the TLR level has been identified as TLR Level 0. The Reliability Coordinator initiating the Eastern Interconnection TLR procedure missed identifying the TLR Level and/or a list of congestion management actions to take as specified by the requirement for one clock hour during the period from initiation up to the hour when the TLR level was identified as TLR Level 0. The Reliability Coordinator initiating the Eastern Interconnection TLR procedure missed identifying the TLR Level and/or a list of congestion management actions to take as specified by the requirement for two clock hours during the period from initiation up to the hour when the TLR level was The Reliability Coordinator initiating the Eastern Interconnection TLR procedure missed identifying the TLR Level and/or a list of congestion management actions to take as specified by the requirement for three clock hours during the period from initiation up to the hour when the TLR level was identified as TLR Level 0. The Reliability Coordinator initiating the Eastern Interconnection TLR procedure missed identifying the TLR Level and/or a list of congestion management actions to take as specified by the requirement for four or more clock hours during the period from initiation up to the hour when the TLR level was identified as TLR Level 0.
Operating Reliability Limits (IROLs). IRO-008-2 R2. Each Reliability Coordinator shall have a coordinated Operating Plan(s) for next-day operations to address potential System Operating Limit (SOL) and Interconnection Reliability Operating Limit (IROL) exceedances identified as a result of its Operational Planning Analysis as performed in Requirement R1 while considering the Operating Plans for the next-day provided by its Transmission Operators and Balancing Authorities. N/A N/A N/A The Reliability Coordinator did not have a coordinated Operating Plan(s) for next-day operations to address potential System Operating Limit (SOL) and Interconnection Reliability Operating Limit (IROL) exceedances identified as a result of its Operational Planning Analysis as performed in Requirement R1 while considering the Operating Plans for the next-day provided by its Transmission Operators and Balancing Authorities. For the Requirement R3 and R5 VSLs, the intent of the SDT is to start with the Severe VSL first and then to work your way to the left until you find the situation that fits. In this manner, the VSL will not be discriminatory by size. If a Reliability Coordinator has just one affected reliability entity to inform, the intent is that that situation would be a Severe violation IRO-008-2 R3. Each Reliability Coordinator shall notify impacted entities identified in its Operating Plan(s) cited in Requirement R2 as to their role in such plan(s). The Reliability Coordinator did not notify one impacted entity or 5% or less of the impacted entities whichever is greater identified in its Operating Plan(s) as to their role in that plan(s). The Reliability Coordinator did not notify two impacted entities or more than 5% and less than or equal to 10% of the impacted entities whichever is greater, identified in its Operating Plan(s) as The Reliability Coordinator did not notify three impacted entities or more than 10% and less than or equal to 15% of the impacted entities whichever is greater, identified in its Operating Plan(s) as to their role in that plan(s). The Reliability Coordinator did not notify four or more impacted entities or more than 15% of the impacted entities identified in its Operating Plan(s) as to their role in that plan(s).
exceedance within its Wide Area. Limit (SOL) or Interconnection Reliability Operating Limit (IROL) exceedance within its Wide Area. exceedance within its Wide Area. indicated in its Operating Plan, when the results of its Assessment indicate an actual or expected condition that results in, or could result in, a System Operating Limit (SOL) or Interconnection Reliability Operating Limit (IROL) exceedance within its Wide Area. IRO-008-2 R6. Each Reliability Coordinator shall notify impacted Transmission Operators and Balancing Authorities within its Reliability Coordinator Area, and other impacted Reliability Coordinators as indicated in its Operating Plan, when the System Operating Limit (SOL) or Interconnection Reliability Operating Limit (IROL) exceedance identified in Requirement R5 has been prevented or mitigated. The Reliability Coordinator did not notify one impacted Transmission Operator or Balancing Authority within its Reliability Coordinator Area or 5% or less of the impacted Transmission Operators and Balancing Authorities within its Reliability Coordinator Area whichever is greater, when the System Operating Limit (SOL) or Interconnection Reliability Operating Limit (IROL) exceedance identified in Requirement R5 The Reliability Coordinator did not notify two impacted Transmission Operators or Balancing Authorities within its Reliability Coordinator Area or more than 5% and less than or equal to 10% of the impacted Transmission Operators and Balancing Authorities within its Reliability Coordinator Area whichever is greater, when the System Operating Limit (SOL) or Interconnection Reliability Operating Limit The Reliability Coordinator did not notify three impacted Transmission Operators or Balancing Authorities within its Reliability Coordinator Area or more than 10% and less than or equal to 15% of the impacted Transmission Operators and Balancing Authorities within its Reliability Coordinator Area whichever is greater, when the System Operating Limit (SOL) or Interconnection Reliability Operating Limit (IROL) exceedance identified in Requirement R5 was prevented or mitigated. The Reliability Coordinator did not notify four or more impacted Transmission Operators or Balancing Authorities within its Reliability Coordinator Area or more than 15% of the impacted Transmission Operators and Balancing Authorities within its Reliability Coordinator Area when the System Operating Limit (SOL) or Interconnection Reliability Operating Limit (IROL) exceedance identified in Requirement R5
IRO-009-1 R2. For each IROL (in its Reliability Coordinator Area) that the Reliability Coordinator identifies one or more days prior to the current day, the Reliability Coordinator shall have one or more Operating Processes, Procedures, or Plans that identify actions it shall take or actions it shall direct others to take (up to and including load shedding) to mitigate the magnitude and duration of exceeding that IROL such that the IROL is relieved within the IROL’s Tv. An IROL in its Reliability Coordinator Area was identified one or more days in advance and the Reliability Coordinator does not have an Operating Process, Procedure, or Plan that identifies actions to mitigate exceeding that IROL within the IROL’s Tv. (R2) IRO-009-1 R3. When an assessment of actual or expected system conditions predicts that an IROL in its Reliability Coordinator Area will be exceeded, the Reliability Coordinator shall implement one or more Operating Processes, Procedures or Plans (not limited to the Operating Processes, Procedures, or Plans developed for Requirements R1) to prevent exceeding that IROL. An assessment of actual or expected system conditions predicted that an IROL in the Reliability Coordinator’s Area would be exceeded, but no Operating Processes, Procedures, or Plans were implemented. (R3) IRO-009-1 R4. When actual system conditions show that there is an instance of exceeding an IROL in its Reliability Coordinator Area, the Reliability Coordinator shall, without delay, act or direct others to act to mitigate the magnitude and duration of the instance of exceeding that IROL within the IROL’s Tv. Actual system conditions showed that there was an instance of exceeding an IROL in its Reliability Coordinator Area, and there was a delay of five minutes or more before acting or directing others to act to mitigate the magnitude and duration of the instance of exceeding that IROL, however the Actual system conditions showed that there was an instance of exceeding an IROL in its Reliability Coordinator Area, and that IROL was not resolved within the IROL’s Tv. (R4)
within the IROL’s Tv. (Part 1.2). IRO-009-2 R2. Each Reliability Coordinator shall initiate one or more Operating Processes, Procedures, or Plans (not limited to the Operating Processes, Procedures, or Plans developed for Requirement R1) that are intended to prevent an IROL exceedance, as identified in the Reliability Coordinator’s Real-time monitoring or Real-time Assessment. No Operating Processes, Procedures, or Plans were initiated that were intended to prevent a predicted IROL exceedance as identified in the Reliability Coordinator’s monitoring or Real-time Assessment. IRO-009-2 R3. Each Reliability Coordinator shall act or direct others to act so that the magnitude and duration of an IROL exceedance is mitigated within the IROL’s Tv, as identified in the Reliability Coordinator’s Real-time monitoring or Real-time Assessment. Actual system conditions showed that there was an IROL exceedance in its Reliability Coordinator Area, and that the IROL exceedance was not mitigated within the IROL’s Tv. IRO-009-2 R4. Each Reliability Coordinator shall operate to the most limiting IROL and Tv in instances where there is a difference in an IROL or its Tv between Reliability Coordinators that are responsible for that Facility (or group of Facilities). The most limiting IROL or its Tv was not operated to between Reliability Coordinators that are responsible for the Facility (or group of Facilities) associated with the IROL. R1. The Reliability Coordinator shall have a documented specification for data and information to build and maintain models to support Real-time monitoring, Operational Planning Analyses, and Real-time Assessments of its Reliability Coordinator Data specification is complete with the following exception: Data specification is complete with the following exception – no process for data provision when automated Data specification incomplete (missing either the list of required data (R1.1), or No data specification (R1)
Processes, or Operating Plans, for activities that require notification or coordination of actions that may impact adjacent Reliability Coordinator Areas, to support Interconnection reliability. These Operating Procedures, Operating Processes, or Operating Plans shall include, but are not limited to, the following: [See standard for sub-requirements] Operating Procedures, Operating Processes, or Operating Plans in place for activities that require notification or coordination of actions with impacted adjacent Reliability Coordinators to support Interconnection reliability but failed to address one of the topical areas identified in Parts 1.1 through 1.5. Operating Procedures, Operating Processes, or Operating Plans in place for activities that require notification, or coordination of actions with impacted adjacent Reliability Coordinators to support Interconnection reliability but failed to address two of the topical areas identified in Parts 1.1 through 1.5. Operating Procedures, Operating Processes, or Operating Plans in place for activities that require notification, or coordination of actions with impacted adjacent Reliability Coordinators to support Interconnection reliability but failed to address three of the topical areas identified in Parts 1.1 through 1.5. have Operating Procedures, Operating Processes, or Operating Plans in place for activities that require notification, or coordination of actions with impacted adjacent Reliability Coordinators to support Interconnection reliability. OR, The Reliability Coordinator failed to implement its Operating Procedures, Operating processes, or Operating Plans when activities required notification, or coordination of actions with impacted adjacent Reliability Coordinators to support Interconnection reliability. IRO-014-3 R2. Each Reliability Coordinator shall maintain its Operating Procedures, Operating Processes, or Operating Plans identified in Requirement R1 as follows: [See standard for sub-requirements] N/A The Reliability Coordinator has Operating Procedures, Operating Processes, or Operating Plans identified in Requirement R1 but failed to address one The Reliability Coordinator has Operating Procedures, Operating Processes, or Operating Plans identified in Requirement R1 but failed to address two of the parts specified in Requirement R2. The Reliability Coordinator has Operating Procedures, Operating Processes, or Operating Plans identified in Requirement R1 but failed to address all three of the parts specified in Requirement R2.
reliability-related information with other Reliability Coordinators. R1.1. The Reliability Coordinator shall make notifications to other Reliability Coordinators of conditions in its Reliability Coordinator Area that may impact other Reliability Coordinator Areas. Coordinators of conditions in its Reliability Coordinator Area that may impact them as per R1.1. including 10% of the other Reliability Coordinators of conditions in its Reliability Coordinator Area that may impact them as per R1.1. 15% of the other Reliability Coordinators of conditions in its Reliability Coordinator Area that may impact them as per R1.1. Coordinators of conditions in its Reliability Coordinator Area that may impact them as per R1.1. OR The Reliability Coordinator failed to follow its Operating Procedures, Processes, or Plans for making notifications and exchanging information with other Reliability Coordinators IRO-015-1 R1.1. The Reliability Coordinator shall make notifications to other Reliability Coordinators of conditions in its Reliability Coordinator Area that may impact other Reliability Coordinator Areas. N/A The Reliability Coordinator failed to make notifications to other Reliability Coordinators of conditions in its Reliability Coordinator Area that may impact other Reliability Coordinator Areas but no adverse reliability impacts resulted from the incident. N/A The Reliability Coordinator failed to make notifications to other Reliability Coordinators of conditions in its Reliability Coordinator Area that may impact other Reliability Coordinator Areas and adverse reliability impacts resulted from the incident. IRO-015-1 R2. The Reliability Coordinator shall participate in agreed upon conference calls and other communication forums with adjacent Reliability Coordinators. N/A N/A N/A The Reliability Coordinator failed to participate in agreed upon conference calls and other
IRO-016-1 R1.3. If the involved Reliability Coordinators cannot agree on the solution, the more conservative solution shall be implemented. N/A N/A N/A The Reliability Coordinator implemented a solution other than the most conservative solution, when agreement on the solution could not be reached. IRO-016-1 R2. The Reliability Coordinator shall document (via operator logs or other data sources) its actions taken for either the event or for the disagreement on the problem(s) or for both. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A The Reliability Coordinator failed to document (via operator logs or other data sources) its actions taken for either the event or for the disagreement on the problem(s) or for both. IRO-017-1 R1. Each Reliability Coordinator shall develop, implement, and maintain an outage coordination process for generation and Transmission outages within its Reliability Coordinator Area. The outage coordination process shall: [See standard for sub-requirements] The Reliability Coordinator did develop, implement, and maintain an outage coordination process for generation and Transmission outages within its Reliability Coordinator Area but it was missing one of the parts specified in Requirement R1 (Parts 1.1 – 1.4). The Reliability Coordinator did develop, implement, and maintain an outage coordination process for generation and Transmission outages within its Reliability Coordinator Area but it was missing two of the parts specified in Requirement R1 (Parts 1.1 – 1.4). The Reliability Coordinator did develop, implement, and maintain an outage coordination process for generation and Transmission outages within its Reliability Coordinator Area but it was missing three of the parts specified in Requirement R1 (Parts 1.1 – 1.4). The Reliability Coordinator did develop, implement, and maintain an outage coordination process for generation and Transmission outages within its Reliability Coordinator Area but it was missing all four of the parts specified in Requirement R1 (Parts 1.1 – 1.4). OR, The Reliability Coordinator did not develop, implement, and maintain an outage coordination process for generation and Transmission
outages within its Reliability Coordinator Area. IRO-017-1 R2. Each Transmission Operator and Balancing Authority shall perform the functions specified in its Reliability Coordinator’s outage coordination process. N/A N/A N/A The Transmission Operator or Balancing Authority did not perform the functions specified in its Reliability Coordinator’s outage coordination process. IRO-017-1 R3. Each Planning Coordinator and Transmission Planner shall provide its Planning Assessment to impacted Reliability Coordinators. N/A N/A N/A The Planning Coordinator or Transmission Planner did not provide its Planning Assessment to impacted Reliability Coordinators. IRO-017-1 R4. Each Planning Coordinator and Transmission Planner shall jointly develop solutions with its respective Reliability Coordinator(s) for identified issues or conflicts with planned outages in its Planning Assessment for the Near-Term Transmission Planning Horizon. N/A N/A N/A The Planning Coordinator or Transmission Planner did not jointly develop solutions with its respective Reliability Coordinator(s) for identified issues or conflicts with planned outages in its Planning Assessment for the Near-term Transmission Planning Horizon.
Complete Violation Severity Level Matrix (MOD) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL R1. Each Transmission Operator shall select one of the methodologies listed below for calculating Available Transfer Capability (ATC) or Available Flowgate Capability (AFC) for each ATC Path per time period identified in R2 for those Facilities within its Transmission operating area: The Area Interchange Methodology, as described in MOD-028 The Rated System Path Methodology, as described in MOD-029 The Flowgate Methodology, as described in MOD-030 N/A N/A N/A The Transmission Operator did not select one of the specified methodologies for each ATC Path per time period identified in R2 for those Facilities within its Transmission operating area. R2. Each Transmission Service Provider shall calculate ATC or AFC values as listed below using the methodology or methodologies selected by its Transmission Operator(s): One or more of the following: The Transmission Service Provider has calculated hourly ATC or AFC values for more than the next 30 hours but less than the next 48 hours. Has calculated daily ATC or AFC values for more than the next 21 calendar days but less than the next 31 calendar days. One or more of the following: The Transmission Service Provider has calculated hourly ATC or AFC values for more than the next 20 hours but less than the next 31 hours. Has calculated daily ATC or AFC values for more than the next 14 calendar days but less than the One or more of the following: The Transmission Service Provider has calculated hourly ATC or AFC values for more than the next 10 hours but less than the next 21 hours. Has calculated daily ATC or AFC values for more than the next 7 calendar days but less than the next 15 calendar days. Has calculated monthly ATC or One or more of the following: The Transmission Service Provider has calculated hourly ATC or AFC values for less than the next 11 hours. Has calculated daily ATC or AFC values for less than the next 8 calendar days. Has calculated monthly ATC or AFC values for less than the next 4 months.
Has calculated monthly ATC or AFC values for more than the next 9 months but less than the next 12 months. next 22 calendar days. Has calculated monthly ATC or AFC values for more than the next 6 months but less than the next 10 months. AFC values for more than the next 3 months but less than the next 7 months. Did not use the selected methodology(ies) to calculate ATC. R3. Each Transmission Service Provider shall prepare and keep current an Available Transfer Capability Implementation Document (ATCID) that includes, at a minimum, the following information: The Transmission Service Provider has an ATCID that does not incorporate changes made up to three months ago. The Transmission Service Provider has an ATCID that does not incorporate changes made more than three months but not more than six months ago. The Transmission Service Provider has an ATCID that does not incorporate changes made more than six months but not more than one year ago. OR The Transmission Service Provider has an ATCID, but it does not include one or two of the information items described in R3. The Transmission Service Provider has an ATCID that does not incorporate changes made a year or more ago. OR The Transmission Service Provider does not have an ATCID, or its ATCID does not include three or more of the information items described in R3. R4. The Transmission Service Provider shall notify the following entities before implementing a new or revised ATCID: The Transmission Service Provider notified one or more of the parties specified in R4 of a new or modified ATCID after, but not more than 30 calendar days after, its implementation. The Transmission Service Provider notified one or more of the parties specified in R4 of a new or modified ATCID more than 30, but not more than 60, calendar days after its implementation. The Transmission Service Provider notified one or more of the parties specified in R4 of a new or modified ATCID more than 60, but not more than 90, calendar days after its implementation. The Transmission Service Provider notified one or more of the parties specified in R4 of a new or modified ATCID more than 90 calendar days after its implementation. OR The Transmission Service Provider did
Transmission Service provider did not calculate for one or more calendar days but not more than 3 calendar days. For Monthly, the values described in the ATC equation changed and the Transmission Service provider did not calculate for seven or more calendar days, but less than 14 calendar days. ATC equation changed and the Transmission Service provider did not calculate for more than 3 calendar days but not more than 4 calendar days. For Monthly, the values described in the ATC equation changed and the Transmission Service provider did not calculate for 14 or more calendar days, but less than 21 calendar days. for more than 4 calendar days but not more than 5 calendar days. For Monthly, the values described in the ATC equation changed and the Transmission Service provider did not calculate for 21 or more calendar days, but less than 28 calendar days. did not calculate for more than 5 calendar days. For Monthly, the values described in the ATC equation changed and the Transmission Service provider did not calculate for 28 or more calendar days. R9. Within thirty calendar days of receiving a request by any Transmission Service Provider, Planning Coordinator, Reliability Coordinator, or Transmission Operator for data from the list below solely for use in the requestor’s ATC or AFC calculations, each Transmission Service Provider receiving said request shall begin to make the requested data available to the requestor, subject to the conditions specified in R9.1 and R9.2: [Violation Risk Factor: Lower] [Time Horizon: Operations Planning] N/A The Transmission Service Provider made the requested data items specified in R9 available to the requesting entities specified within the requirement, per the schedule specified in the request, subject to the limitations specified in R9, available The Transmission Service Provider made the requested data items specified in R9 available to the requesting entities specified within the requirement, per the schedule specified in the request, subject to the limitations specified in R9, available 45 calendar days or more but less than 60 The Transmission Service Provider did not make the requested data items specified in R9 available to the requesting entities specified within the requirement, per the schedule specified in the request, subject to the limitations specified in R9, available for 60 calendar days or more
includes, at a minimum, the following information: that have been made within the last three months. changes that have been made more than three, but not more than six, months ago. OR The CBM maintaining Transmission Service Provider’s CBMID does not address one of the sub requirements. that have been made more than six, but not more than twelve, months ago. OR The CBM maintaining Transmission Service Provider’s CBMID does not address two of the sub requirements. that have been made more than twelve months ago. OR The Transmission Service Provider that maintains CBM does not have a CBMID; OR The CBM maintaining Transmission Service Provider’s CBMID does not address three of the sub requirements. R2. The Transmission Service Provider that maintains CBM shall make available its current CBMID to the Transmission Operators, Transmission Service Providers, Reliability Coordinators, Transmission Planners, Resource Planners, and Planning Coordinators that are within or adjacent to the Transmission Service Provider’s area, and to the Load Serving Entities and Balancing Authorities within the Transmission Service Provider’s area, and notify those entities of any changes to the CBMID prior to the effective date of the change. The Transmission Service Provider that maintains CBM notifies one or more of the entities specified in R2 of a change in the CBM ID after the effective date of the change, but not more than 30 calendar days after the effective date of the change. The Transmission Service Provider that maintains CBM notifies one or more of the entities specified in R2 of a change in the CBM ID 30 or more calendar days but not more than 60 calendar days after the effective date of the change. The Transmission Service Provider that maintains CBM notifies one or more of the entities specified in R2 of a change in the CBM ID 60 or more calendar days but not more than 90 calendar days after the effective date of the change. OR The Transmission Service Provider that maintains CBM made available the CBMID to at least one, but not all, of the entities specified in R2. The Transmission Service Provider that maintains CBM notifies one or more of the entities specified in R2 of a change in the CBM ID more than 90 calendar days after the effective date of the change. OR The Transmission Service Provider that maintains CBM made available the CBMID to none of the entities specified in R2.
R3. Each Resource Planner determining the need for Transmission capacity to be set aside as CBM for imports into a Balancing Authority Area shall determine that need by: The Load-Serving Entity did not use one of the methods described in R3.1 OR The Load-Serving Entity did not identify paths or regions as described in R3.2 The Load-Serving Entity did not use one of the methods described in R3.1 AND The Load-Serving Entity did not identify paths or regions as described in R3.2 R4. At least every 13 months, the Transmission Service Provider that maintains CBM shall establish a CBM value for each ATC Path or Flowgate to be used for ATC or Available Flowgate Capability (AFC) calculations during the 13 full calendar months (months 2-14) following the current month (the month in which the Transmission Service Provider is establishing the CBM values). This value shall: The Resource Planner did not use one of the methods described in R4.1 OR The Resource Planner did not identify paths or regions as described in R4.2 The Resource Planner did not use one of the methods described in R4.1 AND The Resource Planner did not identify paths or regions as described in R4.2 R5. At least every 13 months, the Transmission Planner shall establish a CBM value for each ATC Path or Flowgate to be used in planning during each of the full calendar years two through ten following the current year (the year in which the Transmission Planner is establishing the CBM values). The Transmission Service Provider that maintains CBM established CBM more than 13 months, but not more than 16 months, after the last time the values were established. The Transmission Service Provider that maintains CBM established CBM more than 16 months, but not more than 19 months, after the last time the values were established. OR The Transmission Service Provider that maintains CBM did not consider one or more of the items The Transmission Service Provider that maintains CBM established CBM more than 19 months, but not more than 22 months, after the last time the values were established. The Transmission Service Provider that maintains CBM established CBM more than 22 months after the last time the values were established. OR The Transmission Service Provider that maintains CBM failed to establish an initial value for CBM. OR
described in R5.1 that was available. OR The Transmission Service Provider that maintains CBM did not base the allocation on one or more paths or regions as described in R5.2. The Transmission Service Provider that maintains CBM did not consider one or more of the items described in R5.1 that was available, and did not base the allocation on one or more paths or regions as described in R5.2 R5. Less than 31 calendar days after the establishment of CBM, the Transmission Service Provider that maintains CBM shall notify all the Load-Serving Entities and Resource Planners that determined they had a need for CBM on the Transmission Service Provider’s system of the amount of CBM set aside. The Transmission Planner with an associated Transmission Service Provider that maintains CBM established CBM for each of the years 2 through 10 more than 13 months, but not more than 16 months, after the last time the values were established. The Transmission Planner with an associated Transmission Service Provider that maintains CBM established CBM for each of the years 2 through 10 more than 16 months, but not more than 19 months, after the last time the values were established. OR The Transmission Planner with an associated Transmission Service Provider that maintains CBM did not consider one or more of the items described in R6.1 that was available. OR The Transmission Planner with an associated Transmission Service Provider that maintains CBM established CBM for each of the years 2 through 10 more than 19 months, but not more than 22 months, after the last time the values were established. The Transmission Planner with an associated Transmission Service Provider that maintains CBM established CBM for each of the years 2 through 10 more than 22 months after the last time the values were established. OR The Transmission Planner with an associated Transmission Service Provider that maintains CBM failed to establish an initial value for CBM for each of the years 2 through 10. OR The Transmission Planner with an
The Transmission Planner with an associated Transmission Service Provider that maintains CBM did not base the allocation on one or more paths or regions as described in R6.2 associated Transmission Service Provider that maintains CBM did not consider one or more of the items described in R6.1 that was available, and did not base the allocation on one or more paths or regions as described in R6.2 R6. Less than 31 calendar days after the establishment of CBM, the Transmission Planner shall notify all the Load-Serving Entities and Resource Planners that determined they had a need for CBM on the system being planned by the Transmission Planner of the amount of CBM set aside. The Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 31 or more days, but less than 45 days. The Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 45 or more days, but less than 60 days. The Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 60 or more days, but less than 75 days. OR The Transmission Service Provider that maintains CBM notified at least one, but not all, of the entities as required. The Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 75 or more days, OR The Transmission Service Provider that maintains CBM notified none of the entities as required. R7. The Transmission Service Provider that maintains CBM and the Transmission Planner shall each provide (subject to confidentiality and security requirements) copies of the applicable supporting data, including any models, used for determining CBM or allocating CBM over each ATC Path or Flowgate to the following: The Transmission Planner with an associated Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 31 or more days, but less than 45 days. The Transmission Planner with an associated Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 45 or more days, but less than 60 days. The Transmission Planner with an associated Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 60 or more days, but less than 75 days. OR The Transmission Planner with an associated Transmission Service Provider that maintains CBM notified all the entities as required, but did so in 75 or more days, OR
The Transmission Planner with an associated Transmission Service Provider that maintains CBM notified at least one, but not all, of the entities as required. The Transmission Planner with an associated Transmission Service Provider that maintains CBM notified none of the entities as required. R8. The Load-Serving Entity or Balancing Authority shall request to import energy over firm Transfer Capability set aside as CBM only when experiencing a declared NERC Energy Emergency Alert (EEA) 2 or higher. The Transmission Service Provider or Transmission Planner provided a requester specified in R9 with the supporting data, including models, used to allocate CBM more than 30, but not more than 45, days after the submission of the request. The Transmission Service Provider or Transmission Planner provided a requester specified in R9 with the supporting data, including models, used to allocate CBM more than 45, but not more than 60, days after the submission of the request. The Transmission Service Provider or Transmission Planner provided a requester specified in R9 with the supporting data, including models, used to allocate CBM more than 60, but not more than 75, days after the submission of the request. OR The Transmission Service Provider or Transmission Planner provided at least one, but not all, of the requesters specified in R9 with the supporting data, including models, used to allocate CBM. The Transmission Service Provider or Transmission Planner provided a requester specified in R9 with the supporting data, including models, used to allocate CBM more than 75 days after the submission of the request. OR The Transmission Service Provider or Transmission Planner provided none of the requesters specified in R9 with the supporting data, including models, used to allocate CBM. R9. When reviewing an Arranged Interchange using CBM, all Balancing Authorities and Transmission Service Providers shall waive, within the bounds of reliable operation, any Real-time timing and ramping requirements. N/A N/A N/A A Load-Serving Entity or Balancing Authority requested to schedule energy over CBM while not in an EEA 2 or higher.
R10. The Transmission Service Provider that maintains CBM shall approve, within the bounds of reliable operation, any Arranged Interchange using CBM that is submitted by an “energy deficient entity” under an EEA 2 if: N/A N/A N/A A Balancing Authority or Transmission Service Provider denied an Arranged Interchange using CBM based on timing or ramping requirements without a reliability reason to do so. R11. N/A N/A N/A The Transmission Service Provider failed to approve an Arranged Interchange for CBM that met the criteria described in R12 without a reliability reason to do so. R12. MOD-010-0 R1. The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners (specified in the data requirements and reporting procedures of shall provide appropriate equipment characteristics, system data, and existing and future Interchange Schedules in compliance with its respective Interconnection Regional steady-state modeling and simulation data requirements and reporting procedures as defined in Reliability Standard 1. The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide less than or equal to 25% of the appropriate equipment characteristics, system data, and existing and future Interchange Schedules in compliance with its respective Interconnection Regional steady-state modeling and The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide greater than 25% but less than or equal to 50% of the appropriate equipment characteristics, system data, and existing and future Interchange Schedules in The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide greater than 50% but less than or equal to 75% of the appropriate equipment characteristics, system data, and existing and future Interchange Schedules in compliance with its respective Interconnection Regional steady-state The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide greater than 75% of the appropriate equipment characteristics, system data, and existing and future Interchange Schedules in compliance with its respective Interconnection Regional steady-state modeling and
Owners, and Resource Planners provided data more than 35 but less than or equal to 40 calendar days following the request. MOD-012-0 R1. The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners (specified in the data requirements and reporting procedures of shall provide appropriate equipment characteristics and system data in compliance with the respective Interconnection-wide Regional dynamics system modeling and simulation data requirements and reporting procedures as defined in Reliability Standard The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide less than or equal to 25% of the appropriate equipment characteristics and system data in compliance with the respective Interconnection-wide Regional dynamics system modeling and simulation data requirements and reporting procedures as defined in Reliability Standard MOD-013-0_R1 The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide greater than 25% but less than 50% of the appropriate equipment characteristics and system data in compliance with the respective Regional dynamics system modeling and simulation data requirements and reporting procedures as defined in Reliability Standard MOD-013-0_R1. The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide greater than 50% but less than 75% of the appropriate equipment characteristics and system data in compliance with the respective Interconnection-wide Regional dynamics system modeling and simulation data requirements and reporting procedures as defined in Reliability Standard The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide greater than 75% of the appropriate equipment characteristics and system data in compliance with the respective Interconnection-wide Regional dynamics system modeling and simulation data requirements and reporting procedures as defined in Reliability Standard MOD-013-0_R1. MOD-012-0 R2. The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners (specified in the data requirements and reporting procedures of shall provide dynamics system The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to The Transmission Owners, Transmission Planners, Generator Owners, and The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to
modeling and simulation data to its Regional Reliability Organization(s), NERC, and those entities specified within the applicable reporting procedures identified in Reliability Standard MOD-013-0_R 1. If no schedule exists, then these entities shall provide data on request (30 calendar days). provide less than or equal to 25% of the dynamics system modeling and simulation data to its Regional Reliability Organization(s), NERC, and those entities specified within the applicable reporting procedures identified in Reliability Standard MOD-013-0_R 1 OR If no schedule exists, The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners provided data more than 30 but less than or equal to 35 calendar days following the request. Resource Planners failed to provide greater than 25% but less than 50% of the dynamics system modeling and simulation data to its Regional Reliability Organization(s), NERC, and those entities specified within the applicable reporting procedures identified in Reliability Standard MOD-013-0_R 1. OR If no schedule exists, The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners provided data more than 35 but less than or equal to 40 calendar days following the request. provide greater than 50% but less than 75% of the dynamics system modeling and simulation data to its Regional Reliability Organization(s), NERC, and those entities specified within the applicable reporting procedures identified in Reliability Standard MOD-013-0_R 1. OR If no schedule exists, The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners provided data more than 40 but less than or equal to 45 calendar days following the request. provide greater than 75% of the dynamics system modeling and simulation data to its Regional Reliability Organization(s), NERC, and those entities specified within the applicable reporting procedures identified in Reliability Standard MOD-013-0_R 1. OR If no schedule exists, The Transmission Owners, Transmission Planners, Generator Owners, and Resource Planners failed to provide data more than 45 calendar days following the request. R1. The Planning Authority and Regional Reliability Organization shall have documentation identifying the scope and details of the actual and forecast (a) Demand data, (b) Net Energy for Load data, and (c) N/A The responsible entity did not have documentation identifying the scope and details of The responsible entity did not have documentation identifying the scope and details of the actual The responsible entity did not have documentation identifying the scope and details of the
controllable DSM data to be reported for system modeling and reliability analyses. the actual and forecast data for one (1) of the following types of data to be reported for system modeling and reliability analyses: Demand data Net Energy for Load data Controllable DSM data and forecast data for two (2) of the following to be reported for system modeling and reliability analyses: Demand data Net Energy for Load data Controllable DSM data actual and forecast data to be reported for system modeling and reliability analyses. R1.1. The aggregated and dispersed data submittal requirements shall ensure that consistent data is supplied for Reliability Standards TPL-006, MOD-010, MOD-011, MOD-013, MOD-014, MOD-015, MOD-016, MOD-017, MOD-018, MOD-020, and MOD-021. The data submittal requirements shall stipulate that each Load-Serving Entity count its customer Demand once and only once, on an aggregated and dispersed basis, in developing its actual and forecast customer Demand values. The responsible entity failed to ensure that consistent data is supplied for one of the Reliability Standards as specified in R1.1. The responsible entity failed to ensure that consistent data is supplied for two of the Reliability Standards as specified in R1.1. The responsible entity failed to ensure that consistent data is supplied for three of the Reliability Standards as specified in R1.1. The responsible entity failed to ensure that consistent data is supplied for four or more of the Reliability Standards as specified in R1.1. OR The responsible entity failed to stipulate that each Load-Serving Entity count its customer Demand once and only once, on an aggregated and dispersed basis, in developing its actual and forecast customer Demand values. R2. The Regional Reliability Organization shall distribute its documentation required in Requirement 1 and any changes to that documentation, to all Planning Authorities that work within its Region. N/A N/A The Regional Reliability Organization distributed its documentation as specified in R1 but The Regional Reliability Organization failed to distribute its documentation as
Reliability Coordinators on request within 30 calendar days. interruptible demands and Direct Control Load Management (DCLM) more than 30 but less than 45 calendar days following the request from Transmission Operators, Balancing Authorities, and Reliability Coordinators. amount of interruptible demands and Direct Control Load Management (DCLM) more than 45 but less than 60 calendar days following the request from Transmission Operators, Balancing Authorities, and Reliability Coordinators. demands and Direct Control Load Management (DCLM) more than 60 but less than 75 calendar days following the request from Transmission Operators, Balancing Authorities, and Reliability Coordinators. interruptible demands and Direct Control Load Management (DCLM) more than 75 calendar days following the request from Transmission Operators, Balancing Authorities, and Reliability Coordinators. MOD-021-1 R1. The Load-Serving Entity, Transmission Planner and Resource Planner’s forecasts shall each clearly document how the Demand and energy effects of DSM programs (such as conservation, time-of-use rates, interruptible Demands, and Direct Control Load Management) are addressed. Load-Serving Entity, Transmission Planner, and Resource Planner’s forecasts document how the Demand and energy effects of DSM programs but failed to document how one (1) of the following elements of the Demand and energy effects of DSM programs are addressed: conservation, rates, interruptible Demands or Direct Control Load Management. Load-Serving Entity, Transmission Planner, and Resource Planner’s forecasts document how the Demand and energy effects of DSM programs but failed to document how two (2) of the following elements of the Demand and energy effects of DSM programs are addressed: conservation, rates, interruptible Demands or Direct Control Load Management. Load-Serving Entity, Transmission Planner, and Resource Planner’s forecasts document how the Demand and energy effects of DSM programs but failed to document how three (3) of the following elements of the Demand and energy effects of DSM programs are addressed: conservation, rates, interruptible Demands or Direct Control Load Management. Load-Serving Entity, Transmission Planner, and Resource Planner’s forecasts failed to document how the Demand and energy effects of DSM programs are addressed.
calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Generator Owner verified the Real Power capability, per Attachment 1 and submitted the data but was missing 1 to less than or equal to 33 percent of the data. OR The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 66 calendar months but less than or equal to 69 months. OR The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for but within 150 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Generator Owner verified the Real Power capability, per Attachment 1 and submitted the data but was missing more than 33 to 66 percent of the data. OR The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 69 calendar months but less than or equal to 72 months. OR calendar days, but within 180 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Generator Owner verified the Real Power capability, per Attachment 1 and submitted the data but was missing from 67 to 99 percent of the data. OR The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 72 calendar months but less than or equal to 75 months. OR The Generator Owner performed the Real Power verification per Attachment 1, recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Generator Owner failed to verify the Real Power capability, per Attachment 1 of an applicable generating unit. OR The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 75 calendar months. OR The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 15 calendar months.
conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 12 calendar months but less than or equal to 13 calendar months. The Generator Owner performed the Real Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1, 2 or (12 calendar month requirement) but did so in more than 13 calendar months but less than or equal to 14 calendar months. “Periodicity for conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 14 calendar months but less than or equal to 15 calendar months. MOD-025-2 R2. Each Generator Owner shall provide its Transmission Planner with verification of the Reactive Power capability of its applicable Facilities as follows: [Please see the standard for more information] The Generator Owner verified and recorded the Reactive Power capability of its applicable generating unit or applicable synchronous condenser, but submitted the data to its Transmission Planner more than 90 calendar days, but within 120 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. The Generator Owner verified and recorded the Reactive Power capability of its applicable generating unit or applicable synchronous condenser, but submitted the data to its Transmission Planner more than 120 calendar days, but within 150 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using The Generator Owner verified and recorded the Reactive Power capability of its applicable generating unit or applicable synchronous condenser, but submitted the data to its Transmission Planner more than 150 calendar days, but within 180 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Generator Owner verified and recorded the Reactive Power capability of its applicable generating unit or applicable synchronous condenser, but submitted the data to its Transmission Planner more than 180 calendar days of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR
months. item 1, 2 or 3 (12 calendar month requirement) but did so in more than 13 calendar months but less than or equal to 14 calendar months. MOD-025-2 R3. Each Transmission Owner shall provide its Transmission Planner with verification of the Reactive Power capability of its applicable Facilities as follows: [Please see the standard for more information] The Transmission Owner verified and recorded the Reactive Power capability of its applicable synchronous condenser, but submitted the data to its Transmission Planner more than 90 calendar days, but within 120 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Transmission Owner verified the Reactive Power capability, per Attachment 1 and submitted the data but was missing 1 to up to and including 33 percent of the data. The Transmission Owner verified and recorded the Reactive Power capability of its applicable synchronous condenser, but submitted the data to its Transmission Planner more than 120 calendar days, but within 150 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Transmission Owner verified the Reactive Power capability, per Attachment 1 The Transmission Owner verified and recorded the Reactive Power capability of an applicable synchronous condenser unit, but submitted the data to its Transmission Planner more than 150 calendar days, but within 180 calendar days, of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Transmission Owner verified the Reactive Power capability, per Attachment 1 and submitted the data but was missing 67 to 99 percent of the data. OR The Transmission Owner verified and recorded the Reactive Power capability of its applicable synchronous condenser, but submitted the data to its Transmission Planner more than 180 calendar days of the date the data is recorded for a staged test or the date the data is selected for verification using historical operational data. OR The Transmission Owner failed to verify the Reactive Power capability, per Attachment 1 of an applicable synchronous condenser unit. OR The Transmission Owner performed
OR The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 66 calendar months but less than or equal to 69 months. OR The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 12 calendar months but less than or equal to 13 calendar months. and submitted the data but was missing 34 to 66 percent of the data. OR The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 69 calendar months but less than or equal to 72 months. OR The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 13 calendar months but less than or equal to 14 calendar months. The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 72 calendar months but less than or equal to 75 months. OR The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 14 calendar months but less than or equal to 15 calendar months. the verification per Attachment 1, “Periodicity for conducting a new verification” item 1 or item 2 (5 year requirement) but did so in more than 75 calendar months. OR The Transmission Owner performed the Reactive Power verification per Attachment 1, “Periodicity for conducting a new verification” item 1, 2 or 3 (12 calendar month requirement) but did so in more than 15calendar months.
Requirement R2, Subparts 2.1.1 through 2.1.6. MOD-026-1 R3. Each Generator Owner shall provide a written response to its Transmission Planner within 90 calendar days of receiving one of the following items for an applicable unit: [Please see the standard for more information] The Generator Owner provided a written response more than 90 calendar days but less than or equal to 120 calendar days of receiving written notice. The Generator Owner provided a written response more than 120 calendar days but less than or equal to 150 calendar days of receiving written notice. The Generator Owner provided a written response more than 150 calendar days but less than or equal to 180 calendar days of receiving written notice. The Generator Owner failed to provide a written response within 180 calendar days of receiving written notice. OR The Generator Owner's written response failed to contain either the technical basis for maintaining the current model, or a list of future model changes, or a plan to perform another model verification. MOD-026-1 R4. Each Generator Owner shall provide revised model data or plans to perform model verification4 (in accordance with Requirement R2) for an applicable unit to its Transmission Planner within 180 calendar days of making changes to the excitation control system or plant volt/var control function that alter the equipment response characteristic. The Generator Owner provided revised model data or plans to perform model verification more than 180 calendar days but less than or equal to 210 calendar days of making changes to the excitation control system or plant volt/var control function that altered the equipment response characteristic. The Generator Owner provided revised model data or plans to perform model verification more than 210 calendar days but less than or equal to 240 calendar days of making changes to the excitation control system or plant volt/var control function that altered the equipment response characteristic. The Generator Owner provided revised model data or plans to perform model verification more than 240 calendar days but less than or equal to 270 calendar days of making changes to the excitation control system or plant volt/var control function that altered the equipment response characteristic. The Generator Owner failed to provide revised model data or failed to provide plans to perform model verification within 270 calendar days of making changes to the excitation control system or plant volt/var control function that altered the equipment response characteristic.
The Transmission Planner provided a written response to the Generator Owner within 90 calendar days indicating that the model is not usable; but did not include a technical description. response omitted confirmation for one of the specified model criteria listed in Requirement R6, Parts 6.1 through 6.3; OR The Transmission Planner provided a written response to the Generator Owner indicating that the model is not usable, but did not include a technical description and provided the response more than 90 calendar days but less than or equal to 120 calendar days of receiving verified model information. two of the specified model criteria listed in Requirement R6, Parts 6.1 through 6.3; OR The Transmission Planner provided a written response to the Generator Owner indicating that the model is not usable, but did not include a technical description and provided the response more than 120 calendar days but less than or equal to 150 calendar days of receiving verified model information. The Transmission Planner provided a written response to the Generator Owner indicating that the model is not usable, but did not include a technical description and provided the response more than 150 calendar days after receiving verified model information. MOD-027-1 R1. Each Transmission Planner shall provide the following requested information to the Generator Owner within 90 calendar days of receiving a written request:[Please see the standard for more information] The Transmission Planner provided the instructions and data to the Generator Owner more than 90 calendar days but less than or equal to 120 calendar days of receiving a written request. The Transmission Planner provided the instructions and data to the Generator Owner more than 120 calendar days but less than or equal to 150 calendar days of receiving a written request. The Transmission Planner provided the instructions and data to the Generator Owner more than 150 calendar days but less than or equal to 180 calendar days of receiving a written request. The Transmission Planner failed to provide the instructions and data to the Generator Owner within 180 calendar days of receiving a written request.
MOD-027-1 R5. Each Transmission Planner shall provide a written response to the Generator Owner within 90 calendar days of receiving the turbine/governor and load control or active power/frequency control system verified model information in accordance with Requirement R2 that the model is usable (meets the criteria specified in Parts through 5.3) or is not usable. [Please see standard for sub-requirements] The Transmission Planner provided a written response to the Generator Owner indicating whether the model is usable or not usable, including a technical description if the model is not usable, more than 90 calendar days but less than or equal to 120 calendar days of receiving verified model information; OR The Transmission Planner provided a written response to the Generator Owner within 90 calendar days indicating that the model is not usable; but did not include a technical description The Transmission Planner provided a written response to the Generator Owner indicating whether the model is usable or not usable, including a technical description if the model is not usable, more than 120 calendar days but less than or equal to 150 calendar days of receiving the verified model information; OR The Transmission Planner’s written response omitted confirmation for one of the specified model criteria listed in Requirement R5, Parts 5.1 through 5.3; OR The Transmission Planner provided a written response to the Generator Owner indicating that the model is not usable, but did not include a technical The Transmission Planner provided a written response to the Generator Owner indicating whether the model is usable or not usable, including a technical description if the model is not usable, more than 150 calendar days but less than or equal to 180 calendar days of receiving the verified model information; OR The Transmission Planner’s written response omitted confirmation for two of the specified model criteria listed in Requirement R5, Parts through 5.3; OR The Transmission Planner provided a written response to the Generator Owner indicating that the model is not usable, but did not include a technical description and provided the response more than 120 calendar days but less The Transmission Planner failed to provide a written response to the Generator Owner within 180 calendar days of receiving the verified model information; OR The Transmission Planner provided a written response without including confirmation of all specified model criteria listed in Requirement R5, Parts 5.1 through 5.3; OR The Transmission Planner provided a written response to the Generator Owner indicating that the model is not usable, but did not include a technical description and provided the response more than 150 calendar days after receiving verified model information.
description and provided the response more than 90 calendar days but less than or equal to 120 calendar days of receiving verified model information. than or equal to 150 calendar days of receiving verified model information. MOD-028-2 R1. Each Transmission Service Provider shall include in its Available Transfer Capability Implementation Document (ATCID), at a minimum, the following information relative to its methodology for determining Total Transfer Capability (TTC):[Please see standard for sub-requirements] The Transmission Service Provider has an ATCID but it is missing one of the following: R1.1 R1.2 R1.3 R1.4 R1.5 (any one or more of its The Transmission Service Provider has an ATCID but it is missing two of the following: R1.1 R1.2 R1.3 R1.4 R1.5 (any one or more of its The Transmission Service Provider has an ATCID but it is missing three of the following: R1.1 R1.2 R1.3 R1.4 R1.5 (any one or more of its The Transmission Service Provider has an ATCID but it is missing more than three of the following: R1.1 R1.2 R1.3 R1.4 R1.5 (any one or more of its MOD-028-2 R2. When calculating TTC for ATC Paths, the Transmission Operator shall use a Transmission model that contains all of the following: [Please see standard for The Transmission Operator used one to ten Facility Ratings that were different from those specified by a Transmission or Generator Owner in their Transmission model. The Transmission Operator used eleven to twenty Facility Ratings that were different from those specified by a Transmission or Generator Owner in their Transmission model. One or both of the following: The Transmission Operator used twenty-one to thirty Facility Ratings that were different from those specified by a Transmission or Generator Owner in their Transmission model. One or more of the following: The Transmission Operator used more than thirty Facility Ratings that were different from those specified by a Transmission or Generator Owner in their Transmission model.
The Transmission Operator did not use a Transmission model that includes modeling data and topology (or equivalent representation) for one adjacent Reliability Coordinator Area. The Transmission Operator’s model includes equivalent representation of non-radial facilities greater than 161 kV for its own Reliability Coordinator Area. The Transmission Operator did not use a Transmission model that includes modeling data and topology (or equivalent representation) for two or more adjacent Reliability Coordinator Areas. MOD-028-2 R3. When calculating TTCs for ATC Paths, the Transmission Operator shall include the following data for the Transmission Service Provider’s area. The Transmission Operator shall also include the following data associated with Facilities that are explicitly represented in the Transmission model, as provided by adjacent Transmission Service Providers and any other Transmission Service Providers with which coordination agreements have been executed: [Please see standard for sub-requirements] The Transmission Operator did not include in the TTC process one to ten expected generation and Transmission outages, additions or retirements as specified in the ATCID. The Transmission Operator did not include in the TTC process eleven to expected generation and Transmission outages, additions or retirements as specified in the ATCID. The Transmission Operator did not include in the TTC process twenty-six to fifty expected generation and Transmission outages, additions or retirements as specified in the ATCID. One or more of the following: The Transmission Operator did not include in the TTC process more than fifty expected generation and Transmission outages, additions or retirements as specified in the ATCID.
The Transmission Operator did not include the Load forecast or unit commitment in its TTC calculation as described in R3. MOD-028-2 R4. When calculating TTCs for ATC Paths, the Transmission Operator shall meet all of the following conditions: [Please see standard for sub-requirements] The Transmission Operator did not model reservations’ sources or sinks as described in R5.3 for more than zero reservations, but not more than 5% of all reservations; or 1 reservation, whichever is greater. The Transmission Operator did not model reservations’ sources or sinks as described in R5.3 for more than 5%, but not more than 10% of all reservations; or 2 reservations, whichever is greater. The Transmission Operator did not model reservations’ sources or sinks as described in R5.3 for more than 10%, but not more than 15% of all reservations; or 3 reservations, whichever is greater. One or more of the following: The Transmission Operator did not include in the TTC calculation the contingencies that met the criteria described in the ATCID. The Transmission Operator did not respect contractual allocations of TTC. The Transmission Operator did not model reservations’ sources or sinks as described in R4.3 for more than 15% of all reservations; or more than 3 reservations, whichever is greater.
The Transmission Operator did not use firm reservations to estimate interchange or did not utilize that estimate in the TTC calculation as described in R4.3. MOD-028-2 R5. Each Transmission Operator shall establish TTC for each ATC Path as defined below: [Please see standard for sub-requirements] One or more of the following: The Transmission Operator did not establish TTCs for use in hourly or daily ATCs within 7 calendar days but did establish the values within 10 calendar days The Transmission Operator did not establish TTCs for use in monthly ATCs during a calendar month but did establish the values within the next consecutive calendar month One or more of the following: The Transmission Operator did not establish TTCs for use in hourly or daily ATCs in 10 calendar days but did establish the values within 13 calendar days The Transmission Operator did not establish TTCs for use in monthly ATCs during a two consecutive calendar month period but did establish the values within One or more of the following: The Transmission Operator did not establish TTCs for used in hourly or daily ATCs in 13 calendar days but did establish the values within 16 calendar days The Transmission Operator did not establish TTCs for use in monthly ATCs during a three consecutive calendar month period but did establish the values within the fourth consecutive calendar month One or more of the following: The Transmission Operator did not establish TTCs for used in hourly or daily ATCs in 16 calendar days The Transmission Operator did not establish TTCs for use in monthly ATCs during a four or more consecutive calendar month period The Transmission Operator did not establish TTCs within 24 hrs of the triggers defined in R5.3
the third consecutive calendar month MOD-028-2 R6. Each Transmission Operator shall establish TTC for each ATC Path using the following process: [Please see standard for N/A N/A N/A The Transmission Operator did not calculate TTCs per the process specified in R6. MOD-028-2 R7. The Transmission Operator shall provide the Transmission Service Provider of that ATC Path with the most current value for TTC for that ATC Path no more than: [Please see standard for sub-requirements] One or more of the following: The Transmission Operator provided its Transmission Service Provider with its ATC Path TTCs used in hourly or daily ATC calculations more than one calendar day after their determination, but not been more than two calendar days after their determination. The Transmission Operator has not provided its Transmission Service Provider with its ATC Path TTCs used in monthly ATC calculations more than seven calendar days after their One or more of the following: The Transmission Operator provided its Transmission Service Provider with its ATC Path TTCs used in hourly or daily ATC calculations more than two calendar days after their determination, but not been more than three calendar days after their determination. The Transmission Operator has not provided its Transmission Service One or more of the following: The Transmission Operator provided its Transmission Service Provider with its ATC Path TTCs used in hourly or daily ATC calculations more than three calendar days after their determination, but not been more than four calendar days after their determination. The Transmission Operator has not provided its Transmission Service Provider with its ATC Path TTCs used in monthly ATC calculations more than 21 calendar days after their determination, but not been more One or more of the following: The Transmission Operator provided its Transmission Service Provider with its ATC Path TTCs used in hourly or daily ATC calculations more than four calendar days after their determination. The Transmission Operator did not provide its Transmission Service Provider with its ATC Path TTCs used in hourly or daily ATC calculations. The Transmission Operator provided its Transmission Service Provider with its ATC Path
in the measure or 25MW, whichever is greater. is greater, but not more than 35% of the value calculated in the measure or 35MW, whichever is greater. in the measure or 45MW, whichever is greater. R7 When calculating firm ATC for an ATC Path for a specified period, the Transmission Service Provider shall use the following algorithm: ATCF = TTC – ETCF – CBM – TRM + PostbacksF + counterflowsF Where ATCF is the firm Available Transfer Capability for the ATC Path for that period. TTC is the Total Transfer Capability of the ATC Path for that period. ETCF is the sum of existing firm commitments for the ATC Path during that period. CBM is the Capacity Benefit Margin for the ATC Path during that period. The Transmission Service Provider did not use all the elements defined in R7 when determining firm ATC, or used additional elements, for more than zero ATC Paths, but not more than 5% of all ATC Paths or 1 ATC Path (whichever is greater). The Transmission Service Provider did not use all the elements defined in R7 when determining firm ATC, or used additional elements, for more than 5% of all ATC Paths or 1 ATC Path (whichever is greater), but not more than 10% of all ATC Paths or 2 ATC Paths (whichever is greater). The Transmission Service Provider did not use all the elements defined in R7 when determining firm ATC, or used additional elements, for more than 10% of all ATC Paths or 2 ATC Paths (whichever is greater), but not more than 15% of all ATC Paths or 3 ATC Paths (whichever is greater). The Transmission Service Provider did not use all the elements defined in R7 when determining firm ATC, or used additional elements, for more than 15% of all ATC Paths or more than 3 ATC Paths (whichever is greater).
change in the use of Transmission Service for that period, as defined in Business Practices. counterflowsNF are adjustments to Available Transfer Capability as determined by the Transmission Service Provider and specified in its ATCID. MOD-031-1 R1. Each Planning Coordinator or Balancing Authority that identifies a need for the collection of Total Internal Demand, Net Energy for Load, and Demand Management data shall develop and issue a data request to the applicable entities in its area. The data request shall include: [See standard for additional information.] N/A N/A N/A The Planning Coordinator or Balancing Authority developed and issued a data request but failed to include either the entity(s) necessary to provide the data or the timetable for providing the data. MOD-031-1 R2. Each Applicable Entity identified in a data request shall provide the data requested by its Planning Coordinator or Balancing Authority in accordance with the data request issued pursuant to Requirement R1. The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide all of the data requested in Requirement R1 part 1.5.1 through part 1.5.5 OR The Applicable Entity, as defined in the data request developed in Requirement R1, provided the data requested in Requirement R1, but did so after the date indicated in the timetable provided The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide one of the requested items in Requirement R1 part 1.3.1 through part 1.3.4 OR The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide one of the requested items in The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide two of the requested items in Requirement R1 part 1.3.1 through part 1.3.4 OR The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide two of the requested items in Requirement R1 part 1.4.1 through part 1.4.5 OR The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide three or more of the requested items in Requirement R1 part 1.3.1 through part 1.3.4 OR The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide three or more of the requested items in Requirement R1 part
pursuant to Requirement R1 part 1.2 but prior to 6 days after the date indicated in the timetable provided pursuant to Requirement R1 part 1.2. Requirement R1 part 1.4.1 through part 1.4.5 OR The Applicable Entity, as defined in the data request developed in Requirement R1, provided the data requested in Requirement R1, but did so 6 days after the date indicated in the timetable provided pursuant to Requirement R1 part 1.2 but prior to 11 days after the date indicated in the timetable provided pursuant to Requirement R1 part 1.2. The Applicable Entity, as defined in the data request developed in Requirement R1, provided the data requested in Requirement R1, but did so 11 days after the date indicated in the timetable provided pursuant to Requirement R1 part 1.2 but prior to 15 days after the date indicated in the timetable provided pursuant to Requirement R1 part 1.2. 1.4.1 through part 1.4.5 OR The Applicable Entity, as defined in the data request developed in Requirement R1, failed to provide the data requested in the timetable provided pursuant to Requirement R1 prior to 16 days after the date indicated in the timetable provided pursuant to Requirement R1 part 1.2. MOD-031-1 R3. The Planning Coordinator or the Balancing Authority shall provide the data collected under Requirement R2 to the applicable Regional Entity within 75 calendar days of receiving a request for such data, unless otherwise agreed upon by the parties. The Planning Coordinator or Balancing Authority, in response to a request by the Regional Entity, made available the data collected under Requirement R2, but did so after 75 days from the date of request but prior to 81 The Planning Coordinator or Balancing Authority, in response to a request by the Regional Entity, made available the data collected under Requirement R2, but did so after 80 days from the date of request but prior to The Planning Coordinator or Balancing Authority, in response to a request by the Regional Entity, made available the data collected under Requirement R2, but did so after 85 days from the date of request but prior to 91 days The Planning Coordinator or Balancing Authority, in response to a request by the Regional Entity, failed to make available the data collected under Requirement R2 prior to 91 days or more from the date of the request.
circuit modeling data to its Transmission Planner(s) and Planning Coordinator(s) within the schedule specified by the data requirements and reporting procedures but did provide the data in greater than 15 but less than or equal to 30 calendar days after the specified date. to its Transmission Planner(s) and Planning Coordinator(s) within the schedule specified by the data requirements and reporting procedures but did provide the data in greater than 45 calendar days after the specified date. MOD‐032‐1 R3. Upon receipt of written notification from its Planning Coordinator or Transmission Planner regarding technical concerns with the data submitted under Requirement R2, including the technical basis or reason for the technical concerns, each notified Balancing Authority, Generator Owner, Load Serving Entity, Resource Planner, Transmission Owner, or Transmission Service Provider shall respond to the notifying Planning Coordinator or Transmission Planner as follows: [Please see the standard for more information] The Balancing Authority, Generator Owner, Load Serving Entity, Resource Planner, Transmission Owner, or Transmission Service Provider failed to provide a written response to its Transmission Planner(s) or Planning Coordinator(s) according to the specifications of Requirement R4 within 90 calendar days (or within a longer period The Balancing Authority, Generator Owner, Load Entity, Resource Planner, Transmission Owner, or Transmission Service Provider failed to provide a written response to its Transmission Planner(s) or Planning Coordinator(s) according to the The Balancing Authority, Generator Owner, Load Entity, Resource Planner, Transmission Owner, or Transmission Service Provider failed to provide a written response to its Transmission Planner(s) or Planning Coordinator(s) according to the specifications of Requirement R4 within 90 calendar days (or within a longer period agreed upon by the The Balancing Authority, Generator Owner, Load Serving Entity, Resource Planner, Transmission Owner, or Transmission Service Provider failed to provide a written response to its Transmission Planner(s) or Planning Coordinator(s) according to the specifications of Requirement R4 within 135 calendar days (or within a longer period
agreed upon by the notifying Planning Coordinator or Transmission Planner), but did provide the response within 105 calendar days (or within 15 calendar days after the longer period agreed upon by the notifying Planning Coordinator or Transmission Planner). specifications of Requirement R4 within 90 calendar days (or within a longer period agreed upon by the notifying Planning Coordinator or Transmission Planner), but did provide the response within greater than 105 calendar days but less than or equal to 120 calendar days (or within greater than 15 calendar days but less than or equal to 30 calendar days after the longer period agreed upon by the notifying Planning Coordinator or Transmission Planner). notifying Planning Coordinator or Transmission Planner), but did provide the response within greater than 120 calendar days but less than or equal to 135 calendar days (or within greater than 30 calendar days but less than or equal to 45 calendar days after the longer period agreed upon by the notifying Planning Coordinator or Transmission Planner). agreed upon by the notifying Planning Coordinator or Transmission Planner). MOD‐032‐1 R4. Each Planning Coordinator shall make available models for its planning area reflecting data provided to it under Requirement R2 to the Electric Reliability Organization (ERO) or its designee to support creation of the Interconnection‐wide case(s) that includes the Planning Coordinator’s planning area. The Planning Coordinator made available the required data to the ERO or its designee but failed to provide less than or equal to 25% of the required data in the format specified by the ERO or its The Planning Coordinator made available the required data to the ERO or its designee but failed to provide greater than 25% but less than or equal to 50% of the required The Planning Coordinator made available the required data to the ERO or its designee but failed to provide greater than 50% but less than or equal to 75% of the required data in the format specified by The Planning Coordinator made available the required data to the ERO or its designee but failed to provide greater than 75% of the required data in the format specified by the ERO or its designee.
designee. data in the format specified by the ERO or its designee. the ERO or its designee. MOD‐033‐1 R1. Each Planning Coordinator shall implement a documented data validation process that includes the following attributes: [Please see the standard for more information] The Planning Coordinator documented and implemented a process to validate data but did not address one of the four required topics under Requirement R1; OR The Planning Coordinator did not perform simulation as required by part 1.1 within 24 calendar months but did perform the simulation within 28 calendar months; OR The Planning Coordinator did not perform simulation as required by part 1.2 within 24 calendar months (or the next dynamic local event in cases where there is more than 24 months between events) but did perform the simulation within 28 calendar months. The Planning Coordinator documented and implemented a process to validate data but did not address two of the four required topics under Requirement R1; OR The Planning Coordinator did not perform simulation as required by part 1.1 within 24 calendar months but did perform the simulation in greater than 28 calendar months but less than or equal to 32 calendar months; OR The Planning Coordinator did not perform simulation as required by part 1.2 within 24 calendar months (or the next dynamic local event in cases where there is The Planning Coordinator documented and implemented a process to validate data but did not address three of the four required topics under Requirement R1; OR The Planning Coordinator did not perform simulation as required by part 1.1 within 24 calendar months but did perform the simulation in greater than 32 calendar months but less than or equal to 36 calendar months; OR The Planning Coordinator did not perform simulation as required by part 1.2 within 24 calendar months (or the next dynamic local event in cases where there is more than 24 months between events) but did perform the simulation in greater The Planning Coordinator did not have a validation process at all or did not document or implement any of the four required topics under Requirement R1; OR The Planning Coordinator did not validate its portion of the system in the power flow model as required by part 1.1 within 36 calendar months; OR The Planning Coordinator did not perform simulation as required by part 1.2 within 36 calendar months (or the next dynamic local event in cases where there is more than 24 months between events).
more than 24 months between events) but did perform the simulation in greater than 28 calendar months but less than or equal to 32 calendar months. than 32 calendar months but less than or equal to 36 calendar months. MOD‐033‐1 R2. Each Reliability Coordinator and Transmission Operator shall provide actual system behavior data (or a written response that it does not have the requested data) to any Planning Coordinator performing validation under Requirement R1 within 30 calendar days of a written request, such as, but not limited to, state estimator case or other Real‐time data (including disturbance data recordings) necessary for actual system response validation. The Reliability Coordinator or Transmission Operator did not provide requested actual system behavior data (or a written response that it does not have the requested data) to a requesting Planning Coordinator within 30 calendar days of the written request, but did provide the data (or written response that it does not have the requested data) in less than or equal to 45 calendar days. The Reliability Coordinator or Transmission Operator did not provide requested actual system behavior data (or a written response that it does not have the requested data) to a requesting Planning Coordinator within 30 calendar days of the written request, but did provide the data (or written response that it does not have the requested data) in greater than 45 calendar days but less than or equal to 60 calendar days. The Reliability Coordinator or Transmission Operator did not provide requested actual system behavior data (or a written response that it does not have the requested data) to a requesting Planning Coordinator within 30 calendar days of the written request, but did provide the data (or written response that it does not have the requested data) in greater than 60 calendar days but less than or equal to 75 calendar days. The Reliability Coordinator or Transmission Operator did not provide requested actual system behavior data (or a written response that it does not have the requested data) to a requesting Planning Coordinator within 75 calendar days; OR The Reliability Coordinator or Transmission Operator provided a written response that it does not have the requested data, but actually had the data.
Complete Violation Severity Level Matrix (NUC) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL R1. The Nuclear Plant Generator Operator shall provide the proposed NPIRs in writing to the applicable Transmission Entities and shall verify receipt. The Nuclear Plant Generator Operator provided the NPIR's to the applicable entities but did not verify receipt. The Nuclear Plant Generator Operator did not provide the proposed NPIR to one of the applicable entities. The Nuclear Plant Generator Operator did not provide the proposed NPIR's to two of the applicable entities. The Nuclear Plant Generator Operator did not provide the proposed NPIR's to more than two of applicable entities. R2. The Nuclear Plant Generator Operator and the applicable Transmission Entities shall have in effect one or more Agreements that include mutually agreed to NPIRs and document how the Nuclear Plant Generator Operator and the applicable Transmission Entities shall address and implement these NPIRs. N/A N/A N/A The Nuclear Plant Generator Operator or the applicable Transmission Entity does not have in effect one or more agreements that include mutually agreed to NPIRs and document the implementation of the NPIRs. R3. Per the Agreements developed in accordance with this standard, the applicable Transmission Entities shall incorporate the NPIRs into their planning analyses of the electric system and shall communicate the results of these analyses to the Nuclear Plant Generator Operator. N/A The responsible entity incorporated the NPIRs into its planning analyses but did not communicate the results to the Nuclear Plant Generator Operator. N/A The responsible entity did not incorporate the NPIRs into its planning analyses of the electric system. R4. Per the Agreements developed in accordance with this standard, the applicable Transmission Entities shall: N/A The responsible entity did not comply with R4.3. The responsible entity did not comply with R4.1. The responsible entity did not comply with R4.2. R4.1 Incorporate the NPIRs into their operating analyses of the electric system. N/A The responsible entity did not comply with R4.3. The responsible entity did not comply with R4.1. The responsible entity did not comply with R4.2.
ability of the electric system to meet the NPIRs. protection systems, or capabilities that may impact the ability of the electric system to meet the NPIRs. operations, limits, protection systems, or capabilities that may impact the ability of the electric system to meet the NPIRs. protection systems, or capabilities that directly impact the ability of the electric system to meet the NPIRs. R8. Per the Agreements developed in accordance with this standard, the applicable Transmission Entities shall inform the Nuclear Plant Generator Operator of actual or proposed changes to electric system design, configuration, operations, limits, Protection Systems, or capabilities that may impact the ability of the electric system to meet the NPIRs. The applicable Transmission Entities did not inform the Nuclear Plant Generator Operator of proposed changes to transmission system design, configuration, operations, limits, protection systems, or capabilities that may impact the ability of the electric system to meet the NPIRs. The applicable Transmission Entities did not inform the Nuclear Plant Generator Operator of actual changes to transmission system design, configuration, operations, limits, protection systems, or capabilities that may impact the ability of the electric system to meet the NPIRs. The applicable Transmission Entities did not inform the Nuclear Plant Generator Operator of actual changes to transmission system design, configuration, operations, limits, protection systems, or capabilities that directly impacts the ability of the electric system to meet the NPIRs. N/A R9. The Nuclear Plant Generator Operator and the applicable Transmission Entities shall include, as a minimum, the following elements within the agreement(s) identified in R2: The agreement identified in R2. between the Nuclear Plant Generator Operator and the applicable Transmission Entities is missing one or more sub-components of R9.1. The agreement identified in R2. between the Nuclear Plant Generator Operator and the applicable Transmission Entities is missing from one to five of the combined in R9.2, R9.3 and R9.4. The agreement identified in R2. between the Nuclear Plant Generator Operator and the applicable Transmission Entities is missing from six to ten of the combined in R9.2, R9.3 and R9.4. The agreement identified in R2. between the Nuclear Plant Generator Operator and the applicable Transmission Entities is missing eleven or more of the combined sub-components in R9.2, R9.3 and R9.4.
R9.1 Administrative elements: (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A N/A R9.1.1 Definitions of key terms used in the agreement. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A N/A R9.1.2 Names of the responsible entities, organizational relationships, and responsibilities related to the NPIRs. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A N/A R9.1.3 A requirement to review the agreement(s) at least every three years. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A N/A R9.1.4 A dispute resolution mechanism. (Retirement approved by FERC effective January 21, 2014) N/A N/A N/A N/A R9.2 Technical requirements and analysis: N/A N/A N/A N/A R9.2.1 Identification of parameters, limits, configurations, and operating scenarios included in the NPIRs and, as applicable, procedures for providing any specific data not provided within the agreement. N/A N/A N/A N/A R9.2.2 Identification of facilities, components, and configuration restrictions that are essential for meeting the NPIRs. N/A N/A N/A N/A R9.2.3 Types of planning and operational analyses performed specifically to support the NPIRs, including the frequency of studies and types of Contingencies and scenarios required. N/A N/A N/A N/A 2.1
NUC-001-3 R4. Per the Agreements developed in accordance with this standard, the applicable Transmission Entities shall [See Standard pdf for further information] N/A The responsible entity did not comply with Requirement R4, Part 4.3. The responsible entity did not comply with Requirement R4, Part R4.1. The responsible entity did not comply with Requirement R4, Part R4.2. NUC-001-3 R5. Per the Agreements developed in accordance with this standard, the Nuclear Plant Generator Operator shall operate the nuclear plant to meet the NPIRs. N/A N/A N/A The Nuclear Plant Generator Operator failed to operate per the NPIRs developed in accordance with this standard. NUC-001-3 R6. Per the Agreements developed in accordance with this standard, the applicable Transmission Entities and the Nuclear Plant Generator Operator shall coordinate outages and maintenance activities which affect the NPIRs. N/A The Nuclear Plant Generator Operator or Transmission Entity failed to provide outage or maintenance schedules to the appropriate parties as described in the agreement or on a time period consistent with the agreements. The Nuclear Plant Generator Operator or Transmission Entity failed to coordinate one or more outages or maintenance activities in accordance the requirements of the agreements. N/A NUC-001-3 R7. Per the Agreements developed in accordance with this standard, the Nuclear Plant Generator Operator shall inform the applicable Transmission Entities of actual or proposed changes to nuclear plant design (e.g., protective relay setpoints), configuration, operations, limits, or capabilities that may impact the ability of the electric system to meet the NPIRs. The Nuclear Plant Generator Operator did not inform the applicable Transmission Entities of proposed changes to nuclear plant design (e.g. protective relay setpoints), configuration, operations, limits, or capabilities that may impact the ability of the electric system to meet the NPIRs. N/A The Nuclear Plant Generator Operator did not inform the applicable Transmission Entities of actual changes to nuclear plant design (e.g. protective relay setpoints), configuration, operations, limits, or capabilities that may impact the ability of the electric system to meet the NPIRs. The Nuclear Plant Generator Operator did not inform the applicable Transmission Entities of actual changes to nuclear plant design (e.g., protective relay setpoints), configuration, operations, limits or capabilities that directly impact the ability of the electric system to meet the NPIRs.
the Agreements with the multiple Transmission Entities, in the aggregate, must address all R9 elements. For each Agreement(s), the Nuclear Plant Generator Operator and the Transmission Entity are responsible to ensure the Agreement(s) contain(s) the elements of R9 applicable to that Transmission Entity. [See Standard pdf for further information] R1. Each Transmission Operator and Balancing Authority shall provide operating personnel with the responsibility and authority to implement real-time actions to ensure the stable and reliable operation of the Bulk Electric System. N/A N/A The Transmission Operator or Balancing Authority failed to demonstrate that it communicated to its operating personnel their responsibility or their authority to implement real-time actions to ensure the stable and reliable operation of the Bulk Electric System. The Transmission Operator or Balancing Authority failed to demonstrate that it communicated to its operating personnel their responsibility and authority to implement real-time actions to ensure the stable and reliable operation of the Bulk Electric System. PER-003-1 R1. Each Reliability Coordinator shall staff its Real-time operating positions performing Reliability Coordinator reliability-related tasks with System Operators who have demonstrated minimum competency in the areas listed by obtaining and maintaining a valid NERC Reliability Operator certificate: N/A N/A N/A The Reliability Coordinator failed to staff each Real-time operating position performing Reliability Coordinator tasks with a System Operator having a valid NERC certificate as defined in Requirement R1. PER-003-1 R2. Each Transmission Operator shall staff its Real-time operating positions performing Transmission Operator reliability-related tasks with System Operators who have demonstrated minimum competency in the N/A N/A N/A The Transmission Operator failed to staff each Real-time operating position performing
ensure protocols are in place to allow Reliability Coordinator operating personnel to have the best available information at all times. PER-005-1 R1. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall use a systematic approach to training to establish a training program for the BES company-specific reliability-related tasks performed by its System Operators and shall implement the program. R1.1.1. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall update its list of BES company-specific reliability-related tasks performed by its System Operators each calendar year to identify new or modified tasks for inclusion in training. R1.2. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall design and develop learning objectives and training materials based on the task list created in R1.1. R1.3. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall deliver the training established in R1.2. R1.4. Each Reliability Coordinator, Balancing Authority and Transmission N/A The responsible entity failed to update its BES task list to identify new or modified tasks each calendar year. (R1.1.1) OR The responsible entity failed to evaluate its training program to identify needed changes to its training program(s). (R1.4) OR An entity evaluated its training program and identified changes, but failed to implement them. (R1.4) The responsible entity failed to design and develop learning objectives and training materials based on the BES company specific reliability related tasks. (R1.2) The responsible entity failed to prepare a BES company-specific reliability-related task list. (R1.1) OR The responsible entity failed to deliver training based on the BES company specific reliability related tasks. (R1.3)
component(s) in accordance with Requirement R2, but in more than 120 calendar days and less than or equal to 150 calendar days of the BES interrupting device operation. component(s) in accordance with Requirement R2, but in more than 150 calendar days and less than or equal to 165 calendar days of the BES interrupting device operation. component(s) in accordance with Requirement R2, but in more than 165 calendar days and less than or equal to 180 calendar days of the BES interrupting device operation. component(s) in accordance with Requirement R2, but in more than 180 calendar days of the BES interrupting device operation. OR The responsible entity failed to notify one or more of the other owner(s) of the Protection System component(s) in accordance with Requirement R2. PRC-004-3 R3. Each Transmission Owner, Generator Owner, and Distribution Provider that receives notification, pursuant to Requirement R2 shall, within the later of 60 calendar days of notification or 120 calendar days of the BES interrupting device(s) operation, identify whether its Protection System component(s) caused a Misoperation. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was less than or equal to 30 calendar days late. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was greater than 30 calendar days and less than or equal to 45 calendar days late. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was greater than 45 calendar days and less than or equal to 60 calendar days late. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was greater than 60 calendar days late. OR The responsible entity failed to identify whether or not a Misoperation of its Protection System component(s) occurred in accordance with Requirement R3.
2.1.1. The BES interrupting device owner shares the Composite Protection System ownership with any other owner; and 2.1.2. The BES interrupting device owner has determined that a Misoperation occurred or cannot rule out a Misoperation; and 2.1.3. The BES interrupting device owner has determined that its Protection System component(s) did not cause the BES interrupting device(s) operation or cannot determine whether its Protection System components caused the BES interrupting device(s) operation. 2.2. For a BES interrupting device operation by a Protection System component intended to operate as backup protection for a condition on another entity’s BES Element, notification of the operation shall be provided to the other Protection System owner(s) for which that backup protection was provided. R3. Each Transmission Owner, Generator Owner, and Distribution Provider that receives notification, pursuant to Requirement R2 shall, within the later of 60 calendar days of notification or 120 calendar days of the BES interrupting device(s) operation, identify whether its Protection System component(s) caused a Misoperation. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was less than or equal to 30 calendar days late. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was greater than 30 calendar days and less than or equal to 45 calendar days late. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was greater than 45 calendar days and less than or equal to 60 calendar days late. The responsible entity identified whether or not its Protection System component(s) caused a Misoperation in accordance with Requirement R3, but was greater than 60 calendar days late. OR The responsible entity failed to identify whether or not a Misoperation of its
Requirement R5, but in more than 60 calendar days and less than or equal to 70 calendar days of first identifying a cause of the Misoperation. Requirement R5, but in more than 70 calendar days and less than or equal to 80 calendar days of first identifying a cause of the Misoperation. more than 80 calendar days and less than or equal to 90 calendar days of first identifying a cause of the Misoperation. OR The responsible entity developed an evaluation in accordance with Requirement R5, but in more than 90 calendar days of first identifying a cause of the Misoperation. OR The responsible entity failed to develop an evaluation in accordance with Requirement R5. R6. Each Transmission Owner, Generator Owner, and Distribution Provider shall implement each CAP developed in Requirement R5, and update each CAP if actions or timetables change, until completed. The responsible entity implemented, but failed to update a CAP, when actions or timetables changed, in accordance with Requirement R6. N/A N/A The responsible entity failed to implement a CAP in accordance with Requirement R6. PRC-004-4 R1. Each Transmission Owner, Generator Owner, and Distribution Provider that owns a BES interrupting device that operated under the circumstances in Parts 1.1 through 1.3 shall, within 120 calendar days of the BES interrupting device operation, identify whether its Protection System component(s) caused a Misoperation: The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 120 calendar days and less than or equal to 150 calendar days of the BES interrupting device operation. The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 150 calendar days and less than or equal to 165 calendar days of the BES interrupting device operation. The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 165 calendar days and less than or equal to 180 calendar days of the BES interrupting device operation. The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 180 calendar days of the BES interrupting device operation. OR The responsible entity failed to identify
Requirement R5, but in more than 60 calendar days and less than or equal to 70 calendar days of first identifying a cause of the Misoperation. Requirement R5, but in more than 70 calendar days and less than or equal to 80 calendar days of first identifying a cause of the Misoperation. days and less than or equal to 90 calendar days of first identifying a cause of the Misoperation. OR The responsible entity developed an evaluation in accordance with Requirement R5, but in more than 90 calendar days of first identifying a cause of the Misoperation. OR The responsible entity failed to develop an evaluation in accordance with Requirement R5. PRC-004-4 R6. Each Transmission Owner, Generator Owner, and Distribution Provider shall have dated evidence that demonstrates it implemented each CAP, including updating actions or timetables. Acceptable evidence for Requirement R6 may include, but is not limited to the following dated documentation (electronic or hardcopy format): records that document the implementation of each CAP and the completion of actions for each CAP including revision history of each CAP. Evidence may also include work management program records, work orders, and maintenance records. The responsible entity implemented, but failed to update a CAP, when actions or timetables changed, in accordance with Requirement R6. N/A N/A The responsible entity failed to implement a CAP in accordance with Requirement R6. R1. Each Transmission Owner, Generator Owner, and Distribution Provider that owns a BES interrupting device that operated under the circumstances in Parts 1.1 through 1.3 shall, within 120 calendar days of the BES interrupting device operation, identify whether its Protection System component(s) caused a Misoperation: The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 120 The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 150 The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 165 calendar days and less than or The responsible entity identified whether its Protection System component(s) caused a Misoperation in accordance with Requirement R1, but in more than 180 calendar days of the BES
first identifying a cause of the Misoperation. first identifying a cause of the Misoperation. more than 90 calendar days of first identifying a cause of the Misoperation. OR The responsible entity failed to develop an evaluation in accordance with Requirement R5. PRC-004-5 R6. Each Transmission Owner, Generator Owner, and Distribution Provider shall implement each CAP developed in Requirement R5, and update each CAP if actions or timetables change, until completed. The responsible entity implemented, but failed to update a CAP, when actions or timetables changed, in accordance with Requirement R6. N/A N/A The responsible entity failed to implement a CAP in accordance with Requirement R6. R1. Each Transmission Owner, Generator Owner, and Distribution Provider shall establish a Protection System Maintenance Program (PSMP) for its Protection Systems identified in Section 4.2. The responsible entity’s PSMP failed to specify whether one Component Type is being addressed by time-based or performance-based maintenance, or a combination of both. (Part 1.1) The responsible entity’s PSMP failed to specify whether two Component Types are being addressed by or performance-based maintenance, or a combination of both. (Part 1.1) The responsible entity’s PSMP failed to include the applicable monitoring attributes applied to each Protection System Component Type consistent with the maintenance intervals specified in Tables 1-1 through 1-5, Table 2, and Table 3 where monitoring is used to extend the maintenance intervals beyond those specified for unmonitored Protection System Components. (Part 1.2). The responsible entity failed to establish a PSMP. OR The responsible entity failed to specify whether three or more Component Types are being addressed by time-based or performance-based maintenance, or a combination of both. (Part 1.1). OR The responsible entity’s PSMP failed to include applicable station batteries in a time-based program. (Part 1.1)
4% within five years OR Maintained a Segment with less than 60 Components OR Failed to: Annually update the list of Components, OR Annually perform maintenance on the greater of 5% of the Segment population or 3 Components, OR Annually analyze the program activities and results for each Segment. PRC-005-5 R3. Each Transmission Owner, Generator Owner, and Distribution Provider that utilizes time-based maintenance program(s) shall maintain its Protection System, Automatic Reclosing, and Sudden Pressure Relaying Components that are included within the time-based maintenance program in accordance with the minimum maintenance activities and maximum maintenance intervals prescribed within Tables 1-1 through 1-5, Table 2, Table 3, Table 4-1 through 4-2, and Table 5. For Components included within a time-based maintenance program, the entity failed to maintain 5% or less of the total Components included within a specific Component Type in accordance with the For Components included within a time-based maintenance program, the entity failed to maintain more than 5% but 10% or less of the total Components included within a specific Component For Components included within a maintenance program, the entity failed to maintain more than 10% but 15% or less of the total Components included within a specific Component Type in accordance with the For Components included within a maintenance program, the entity failed to maintain more than 15% of the total Components included within a specific Component Type in accordance with the minimum maintenance based based
Sudden Pressure Relaying identified in Section 4.2, Facilities. [See Standard for additional information] being addressed by time-based or performance-based maintenance, or a combination of both (Part 1.1). being addressed by time-based or performance-based maintenance, or a combination of both (Part 1.1). being addressed by time-based or performance-based maintenance, or a combination of both. (Part 1.1). OR The entity’s PSMP failed to include the applicable monitoring attributes applied to each Component Type consistent with the maintenance intervals specified in Tables 1-1 through 1-5, Table 2, Table 3, Tables 4-1 through 4-3, and Table 5 where monitoring is used to extend the maintenance intervals beyond those specified for unmonitored Components (Part 1.2). OR The entity’s PSMP failed to specify whether four or more Component Types are being addressed by time-based or performance-based maintenance, or a combination of both (Part 1.1). OR The entity’s PSMP failed to include applicable station batteries in a program (Part 1.1). PRC-005-6 R2. Each Transmission Owner, Generator Owner, and Distribution Provider that uses performance-based maintenance intervals in its PSMP shall follow the procedure established in PRC-005 Attachment A to establish and maintain its performance-based intervals. The entity uses performance-based maintenance intervals in its PSMP but failed to reduce Countable Events to no more than 4% within three years. NA The entity uses performance-based maintenance intervals in its PSMP but failed to reduce Countable Events to no more than 4% within four years. The entity uses performance-based maintenance intervals in its PSMP but: Failed to establish the technical justification described within Requirement R2 for the initial use of the
Type in accordance with their performance-based PSMP. specific Component Type in accordance with their performance-based PSMP. Type in accordance with their PSMP. accordance with their performance-based PSMP. PRC-005-6 R5. Each Transmission Owner, Generator Owner, and Distribution Provider shall demonstrate efforts to correct identified Unresolved Maintenance Issues. The entity failed to undertake efforts to correct 5 or fewer identified Unresolved Maintenance Issues. The entity failed to undertake efforts to correct greater than 5 but less than or equal to 10 identified Unresolved Maintenance Issues. The entity failed to undertake efforts to correct greater than 10 but less than or equal to 15 identified Unresolved Maintenance Issues. The entity failed to undertake efforts to correct greater than 15 identified Unresolved Maintenance Issues. PRC-010-1 R1. Each Planning Coordinator or Transmission Planner that is developing a UVLS Program shall evaluate its effectiveness and subsequently provide the UVLS Program’s specifications and implementation schedule to the UVLS entities responsible for implementing the UVLS Program. The evaluation shall include, but is not limited to, studies and analyses that show: [please see standard for more information] N/A N/A N/A The applicable entity that developed the UVLS Program failed to evaluate the program’s effectiveness and subsequently provide the UVLS Program’s specifications and implementation schedule to UVLS entities in accordance with Requirement R1, including the items specified in Parts 1.1 and 1.2. PRC-010-1 R2. Each UVLS entity shall adhere to the UVLS Program specifications and implementation schedule determined by its Planning Coordinator or Transmission Planner associated with UVLS Program development per Requirement R1 or with any Corrective Action Plans per Requirement R5. N/A N/A The applicable entity failed to adhere to the UVLS Program specifications in accordance with Requirement R2. OR The applicable entity failed to adhere to the UVLS Program specifications and implementation schedule in accordance with Requirement R2.
Generator or synchronous condenser step-up transformer changes. affected the coordination. affected the coordination. PRC-024-2 R1. R1. Each Generator Owner that has generator frequency protective relaying activated to trip its applicable generating unit(s) shall set its protective relaying such that the generator frequency protective relaying does not trip the applicable generating unit(s) within the “no trip zone” of PRC-024 Attachment 1, subject to the following exceptions: • Generating unit(s) may trip if the protective functions (such as out-of-step functions or functions) operate due to an impending or actual loss of synchronism or, for asynchronous generating units, due to instability in power conversion control equipment. • Generating unit(s) may trip if clearing a system fault necessitates disconnecting (a) generating unit(s). Generating unit(s) may trip within a portion of the “no trip zone” of PRC-024 Attachment 1 for documented and communicated regulatory or equipment limitations in accordance with Requirement R3. N/A N/A N/A The Generator Owner that has frequency protection activated to trip a generating unit, failed to set its generator frequency protective relaying so that it does not trip within the criteria listed in Requirement R1 unless there is a documented and communicated regulatory or equipment limitation per Requirement R3. PRC-024-2 R2. Each Generator Owner that has generator voltage protective relayingError! Bookmark not defined. activated to trip its applicable generating unit(s) shall set its protective relaying such that the generator voltage protective relaying does not trip the applicable generating unit(s) as a result of a voltage excursion (at the point of interconnection) caused by an event on the transmission system external to the generating plant that remains within the “no trip zone” of PRC-024 N/A N/A N/A The Generator Owner with voltage protective relaying activated to trip a generating unit, failed to set its voltage protective relaying so that it does not trip as a result of a voltage excursion at the point of interconnection, caused by an event
documented limitation to its Planning Coordinator and Transmission Planner more than 30 calendar days but less than or equal to 60 calendar days of identifying the limitation. documented limitation to its Planning Coordinator and Transmission Planner more than 60 calendar days but less than or equal to 90 calendar days of identifying the limitation. Coordinator and Transmission Planner more than 90 calendar days but less than or equal to 120 calendar days of identifying the limitation. OR The Generator Owner failed to communicate the documented limitation to its Planning Coordinator and Transmission Planner within 120 calendar days of identifying the limitation. PRC-024-2 R4. Each Generator Owner shall provide its applicable generator protection trip settings associated with Requirements R1 and R2 to the Planning Coordinator or Transmission Planner that models the associated unit within 60 calendar days of receipt of a written request for the data and within 60 calendar days of any change to those previously requested trip settings unless directed by the requesting Planning Coordinator or Transmission Planner that the reporting of relay setting changes is not required. The Generator Owner provided its generator protection trip settings more than 60 calendar days but less than or equal to 90 calendar days of any change to those trip settings. OR The Generator Owner provided trip settings more than 60 calendar days but less than or equal to 90 calendar days of a written request. The Generator Owner provided its generator protection trip settings more than 90 calendar days but less than or equal to 120 calendar days of any change to those trip settings. OR The Generator Owner provided trip settings more than 90 calendar days but less than or equal to 120 calendar days of a written request. The Generator Owner provided its generator protection trip settings more than 120 calendar days but less than or equal to 150 calendar days of any change to those trip settings. OR The Generator Owner provided trip settings more than 120 calendar days but less than or equal to 150 calendar days of a written request. The Generator Owner failed to provide its generator protection trip settings within 150 calendar days of any change to those trip settings. OR The Generator Owner failed to provide trip settings within 150 calendar days of a written request.
time interval not to exceed years; or, Option 3: Use a combination of the above. accordance with Requirement R2. PRC-027-1 R3. Each Transmission Owner, Generator Owner, and Distribution Provider shall utilize its process established in Requirement R1 to develop new and revised Protection System settings for BES Elements. N/A N/A N/A The responsible entity failed to utilize the process established in accordance with Requirement R1. TOP-001-1a R1. Each Transmission Operator shall have the responsibility and clear decision-making authority to take whatever actions are needed to ensure the reliability of its area and shall exercise specific authority to alleviate operating emergencies. N/A N/A The Transmission Operator does not have the responsibility and clear decision-making authority to take whatever actions are needed to ensure reliability of its area. The Transmission Operator failed to exercise specific authority to alleviate operating emergencies. TOP-001-1a R2. Each Transmission Operator shall take immediate actions to alleviate operating emergencies including curtailing transmission service or energy schedules, operating equipment (e.g., generators, phase shifters, breakers), shedding firm load, etc. N/A N/A N/A The Transmission Operator failed to have evidence that it took immediate actions to alleviate operating emergencies including curtailing transmission service or energy schedules, operating equipment (e.g., generators, phase shifters, breakers), shedding firm load, etc. TOP-001-1a R3. Each Transmission Operator, Balancing Authority, and Generator Operator shall comply with reliability directives issued by the Reliability Coordinator, and each Balancing Authority and Generator Operator N/A N/A N/A The responsible entity failed to comply with reliability directives issued by the Reliability
the Distribution Provider or Load-Serving Entity shall immediately inform the Transmission Operator of the inability to perform the directive so that the Transmission Operator can implement alternate remedial actions. when said directives would not have resulted in actions that would violate safety, equipment, regulatory or statutory requirements, or under circumstances when said directives would have violated safety, equipment, regulatory or statutory requirements, the responsible entity failed to immediately inform the Transmission Operator of the inability to perform the directive so that the Transmission Operator could implement alternate remedial actions. TOP-001-1a R5. Each Transmission Operator shall inform its Reliability Coordinator and any other potentially affected Transmission Operators of real-time or anticipated emergency conditions, and take actions to avoid, when possible, or mitigate the emergency. N/A The Transmission Operator failed to inform its Reliability Coordinator and any other potentially affected Transmission Operators of real-time or anticipated emergency conditions, but did take actions to avoid, when possible, or mitigate the emergency. N/A The Transmission Operator failed to inform its Reliability Coordinator and any other potentially affected Transmission Operators of real-time or anticipated emergency conditions, and failed to take actions to avoid, when possible, or mitigate the emergency.
such assistance cannot be physically implemented or would violate safety, equipment, regulatory, or statutory requirements. Reliability Coordinator Area, when requested and able, and the requesting entity had implemented its Emergency procedures, and such actions could have been physically implemented and would not have violated safety, equipment, regulatory, or statutory requirements. For the Requirements R8 and R9 VSLs only, the intent of the SDT is to start with the Severe VSL first and then to work your way to the left until you find the situation that fits. In this manner, the VSL will not be discriminatory by size of entity. If a small entity has just one affected reliability entity to inform, the intent is that that situation would be a Severe violation. TOP-001-3 R8. Each Transmission Operator shall inform its Reliability Coordinator, known impacted Balancing Authorities, and known impacted Transmission Operators of its actual or expected operations that result in, or could result in, an Emergency. The Transmission Operator did not inform one known impacted Transmission Operator or 5% or less of the known impacted Transmission Operators, whichever is greater, of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Transmission Operator Areas. OR, The Transmission Operator did not inform two known impacted Transmission Operators or more than 5% and less than or equal to 10% of the known impacted Transmission Operators, whichever is greater, of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Transmission Operator Areas. The Transmission Operator did not inform three known impacted Transmission Operators or more than 10% and less than or equal to 15% of the known impacted Transmission Operators, whichever is greater, of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Transmission Operator Areas. The Transmission Operator did not inform its Reliability Coordinator of its actual or expected operations that resulted in, or could have resulted in, an Emergency on those respective Transmission Operator Areas. OR The Transmission Operator did not inform four or more known impacted Transmission
The Transmission Operator did not inform one known impacted Balancing Authorities or 5% or less of the known impacted Balancing Authorities, whichever is greater, of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Balancing Authority Areas. OR, The Transmission Operator did not inform two known impacted Balancing Authorities or more than 5% and less than or equal to 10% of the known impacted Balancing Authorities, whichever is greater, of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Balancing Authority Areas. OR, The Transmission Operator did not inform three known impacted Balancing Authorities or more than 10% and less than or equal to 15% of the known impacted Balancing Authorities, whichever is greater, of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Balancing Authority Areas. Operators or more than 15% of the known impacted Transmission Operators of its actual or expected operations that resulted in, or could have resulted in, an Emergency on those respective Transmission Operator Areas. OR, The Transmission Operator did not inform four or more known impacted Balancing Authorities or more than 15% of the known impacted Balancing Authorities of its actual or expected operations that resulted in, or could have resulted in, an Emergency on respective Balancing Authority Areas. TOP-001-3 R9. Each Balancing Authority and Transmission Operator shall notify its Reliability Coordinator and known impacted interconnected entities of all planned outages, and unplanned outages of 30 minutes or more, for telemetering and control equipment, monitoring and assessment capabilities, and associated communication channels between the affected entities. The responsible entity did not notify one known impacted interconnected entity or 5% or less of the known impacted entities, whichever is greater, of a planned outage, or an unplanned outage of The responsible entity did not notify two known impacted interconnected entities or more than 5% and less than or equal to 10% of the known impacted entities, whichever is greater, of a planned outage, or The responsible entity did not notify three known impacted interconnected entities or more than 10% and less than or equal to 15% of the known impacted entities, whichever is greater, of a planned outage, or The responsible entity did not notify its Reliability Coordinator of a planned outage, or an unplanned outage of 30 minutes or more, for telemetering and control equipment, monitoring and
30 minutes or more, for telemetering and control equipment, monitoring and assessment capabilities, or associated communication channels between the affected entities. an unplanned outage of 30 minutes or more, for telemetering and control equipment, monitoring and assessment capabilities, or associated communication channels between the affected entities. an unplanned outage of 30 minutes or more, for telemetering and control equipment, monitoring and assessment capabilities, or associated communication channels between the affected entities. assessment capabilities, and associated communication channels. OR, The responsible entity did not notify four or more known impacted interconnected entities or more than 15% of the known impacted entities, whichever is greater, of a planned outage, or an unplanned outage of 30 minutes or more, for telemetering and control equipment, monitoring and assessment capabilities, or associated communication channels between the affected entities. TOP-001-3 R10. Each Transmission Operator shall perform the following as necessary for determining System Operating Limit (SOL) exceedances within its Transmission Operator Area: [See standard for additional information.] N/A The Transmission Operator did not monitor one of the items listed in Requirement R10, Part 10.1. OR, The Transmission Operator did not obtain and utilize one of the items listed in The Transmission Operator did not monitor one of the items listed in Requirement R10, Part 10.1 and did not obtain and utilize one of the items listed in Requirement R10, Part 10.2. The Transmission Operator did not monitor Facilities and the status of Special Protection Systems within its Transmission Operator Area and did not obtain and utilize data deemed as necessary from outside its
Requirement R10, Part 10.2. Transmission Operator Area. TOP-001-3 R11. Each Balancing Authority shall monitor its Balancing Authority Area, including the status of Special Protection Systems that impact generation or Load, in order to maintain generation-Load-interchange balance within its Balancing Authority Area and support Interconnection frequency. N/A N/A The Balancing Authority did not monitor the status of Special Protection Systems that impact generation or Load, in order to maintain balance within its Balancing Authority Area and support Interconnection frequency. The Balancing Authority did not monitor its Balancing Authority Area, in order to maintain balance within its Balancing Authority Area and support Interconnection frequency. TOP-001-3 R12. Each Transmission Operator shall not operate outside any identified Interconnection Reliability Operating Limit (IROL) for a continuous duration exceeding its associated IROL Tv. N/A N/A N/A The Transmission Operator exceeded an identified Interconnection Reliability Operating Limit (IROL) for a continuous duration greater than its associated IROL Tv. TOP-001-3 R13. Each Transmission Operator shall ensure that a Real-time Assessment is performed at least once every 30 minutes. For any sample period within the 30-day retention period, the Transmission Operator’s Real-time Assessment was not conducted for one period within that 24-hour period. For any sample period within the 30-day retention period, the Transmission Operator’s Real-time Assessment was not conducted for two periods within that 24-hour period. For any sample period within the 30-day retention period, the Transmission Operator’s Real-time Assessment was not conducted for three periods within that 24-hour period. For any sample period within the 30-day retention period, the Transmission Operator’s Real-time Assessment was not conducted for four or more 30-minute periods within that period.
monitoring and assessment capabilities, and associated communication channels between affected entities. authority to approve planned outages and maintenance of its telemetering and control equipment, monitoring and assessment capabilities, and associated communication channels between affected entities. TOP-001-3 R18. Each Transmission Operator shall operate to the most limiting parameter in instances where there is a difference in SOLs. N/A N/A N/A The Transmission Operator failed to operate to the most limiting parameter in instances where there was a difference in SOLs. TOP-001-3 R19. Each Transmission Operator shall have data exchange capabilities with the entities that it has identified that it needs data from in order to maintain reliability in its Transmission Operator Area. The Transmission Operator did not have data exchange capabilities with one identified entity, or 5% or less of the applicable entities, whichever is greater. The Transmission Operator did not have data exchange capabilities with two identified entities, or more than 5% or less than or equal to 10% of the applicable entities, whichever is greater. The Transmission Operator did not have data exchange capabilities with three identified entities, or more than 10% or less than or equal to 15% of the applicable entities, whichever is greater. The Transmission Operator did not have data exchange capabilities with four or more identified entities or greater than 15% of the applicable entities, whichever is greater. TOP-001-3 R20. Each Balancing Authority shall have data exchange capabilities with the entities that it has identified that it needs data from in order to maintain reliability in its Balancing Authority Area. The Balancing Authority did not have data exchange capabilities with one identified entity, or 5% or less of the applicable entities, whichever is greater. The Balancing Authority did not have data exchange capabilities with two identified entities, or more than 5% or less than or equal to 10% of the applicable The Balancing Authority did not have data exchange capabilities with three identified entities, or more than 10% or less than or equal to 15% of the applicable The Balancing Authority did not have data exchange capabilities with four or more identified entities or greater than 15% of the applicable
entities, whichever is greater. entities, whichever is greater. entities, whichever is greater. R1. Each Balancing Authority and Transmission Operator shall maintain a set of current plans that are designed to evaluate options and set procedures for reliable operation through a reasonable future time period. In addition, each Balancing Authority and Transmission Operator shall be responsible for using available personnel and system equipment to implement these plans to ensure that interconnected system reliability will be maintained. N/A N/A The responsible entity maintained a set of current plans that were designed to evaluate options and set procedures for reliable operation through a reasonable future time period, but failed to utilize available personnel and system equipment to implement these plans to ensure that interconnected system reliability would be maintained. The responsible entity failed to maintain a set of current plans that were designed to evaluate options and set procedures for reliable operation through a reasonable future time period. R2. Each Balancing Authority and Transmission Operator shall ensure its operating personnel participate in the system planning and design study processes, so that these studies contain the operating personnel perspective and system operating personnel are aware of the planning purpose. N/A N/A N/A The responsible entity failed to ensure its operating personnel participated in the system planning and design study processes. R3. Each Load-Serving Entity and Generator Operator shall coordinate (where confidentiality agreements allow) its next-day, and seasonal operations with its Host Balancing Authority and Transmission Service Provider. Each Balancing Authority and Transmission Service Provider shall coordinate its next-day, and seasonal operations with its Transmission Operator. N/A The Load-Serving Entity or Generator Operator failed to coordinate (where confidentiality agreements allow) its seasonal operations with its Host Balancing Authority and Transmission Service Provider, or N/A The Load-Serving Entity or Generator Operator failed to coordinate (where confidentiality agreements allow) its current-day, next-day, and seasonal operations with its Host Balancing Authority and
the Balancing Authority or Transmission Service Provider failed to coordinate its seasonal operations with its Transmission Operator. Transmission Service Provider, or the Balancing Authority or Transmission Service Provider failed to coordinate its current-day, next-day, and seasonal operations with its Transmission Operator. R4. Each Balancing Authority and Transmission Operator shall coordinate (where confidentiality agreements allow) its next-day, and seasonal planning and operations with neighboring Balancing Authorities and Transmission Operators and with its Reliability Coordinator, so that normal Interconnection operation will proceed in an orderly and consistent manner. N/A The responsible entity failed to coordinate (where confidentiality agreements allow) one of the following three categories of operations next-day or seasonal) with the applicable entity(ies) The responsible entity failed to coordinate (where confidentiality agreements allow) two of the following three categories of operations next-day or seasonal) with the applicable entity(ies) The responsible entity failed to coordinate (where confidentiality agreements allow) all three of the following categories of operations next-day or seasonal) with the applicable entity(ies) R5. Each Balancing Authority and Transmission Operator shall plan to meet scheduled system configuration, generation dispatch, interchange scheduling and demand patterns. N/A N/A N/A The responsible entity failed to plan to meet scheduled system configuration, generation dispatch, interchange scheduling and demand patterns. R6. Each Balancing Authority and Transmission Operator shall plan to meet unscheduled changes in system configuration and generation dispatch (at a minimum N-1 Contingency planning) in accordance with NERC, Regional Reliability Organization, subregional, and local reliability requirements. N/A N/A N/A The responsible entity failed to plan to meet unscheduled changes in system configuration and generation dispatch (at a minimum N-1 Contingency planning) in accordance with