combined ACE and combined Frequency Bias Settings. BAL-001-1 R4. Any Balancing Authority receiving Overlap Regulation Service shall not have its control performance evaluated (i.e. from a control performance perspective, the Balancing Authority has shifted all control requirements to the Balancing Authority providing Overlap Regulation Service). N/A N/A N/A The Balancing Authority receiving Overlap Regulation Service failed to ensure that control performance was being evaluated in a manner consistent with the calculation methodology as described in R3. BAL-001-1 E.B.1. Each Balancing Authority shall operate such that, on a rolling basis, the average of the averages of the Balancing Authority’s Area Control Error (ACE) divided by 10B (B is the clock-minute average of the Balancing Authority Area’s Frequency Bias) times the corresponding clock-minute averages of the Interconnection’s Frequency Error is less than a specific limit. This limit is a constant derived from a targeted frequency bound (separately calculated for each Interconnection) that is reviewed and set as necessary by the NERC Operating Committee. See Standard for Formula. The Balancing Authority Area’s value of CPS1 was less than 100% but greater than or equal to 95%. The Balancing Authority Area’s value of CPS1 was less than 95% but greater than or equal to 90%. The Balancing Authority Area’s value of CPS1 was less than 90% but greater than or equal to 85%. The Balancing Authority Area’s value of CPS1 was less than 85%. BAL-001-1 E.B.2. Each Balancing Authority shall limit the absolute value of IATEC, the Automatic Time Error Correction term N/A N/A N/A The Balancing Authority Area’s absolute value for month
the IMFR, the BA shall direct any necessary actions to improve Frequency Response, which may include, but are not limited to, directing adjustment of Governor deadband and/or droop settings. Interconnection’s rolling-average combined Frequency Response performance was less than the IMFR. BAL-001-TRE-1 R6. Each GO shall set its Governor parameters as follows: [Please see the standard for more information] Any Governor parameter setting was > 10% and ≤ 20% outside setting range specified in R6. Any Governor parameter setting was > 20% and ≤ 30% outside setting range specified in R6. Any Governor parameter setting was > 30% and ≤ 40% outside setting range specified in R6. Any Governor parameter setting was > 40% outside setting range specified in R6, – OR – an electronic or digital Governor was set to step into the droop curve. BAL-001-TRE-1 R7. Each GO shall operate each generating unit/generating facility that is connected to the interconnected transmission system with the Governor in service and responsive to frequency when the generating unit/generating facility is online and released for dispatch, unless the GO has a valid reason for operating with the Governor not in service and the GOP has been notified that the Governor is not in service. N/A N/A N/A The GO operated with its Governor out of service and did not notify the GOP upon discovery of its Governor out of service. BAL-001-TRE-1 R8. Each GOP shall notify the BA as soon as practical but within 30 of the discovery of a status change (in service, out of service) of a Governor. The GOP notified the BA of a change in Governor status between 31 minutes and one hour after the GOP was notified of the discovery of the change. The GOP notified the BA of a change in Governor status more than 1 hour but within 4 hours after the GOP was notified of the discovery of the change. The GOP notified the BA of a change in Governor status more than 4 hours but within 24 hours after the GOP was notified of the discovery of the change. The GOP failed to notify the BA of a change in Governor status within 24 hours after the GOP was notified of the discovery of the change.
BAL-001-TRE-1 R9. Each GO shall meet a minimum rolling average initial Primary Frequency Response performance of 0.75 on each generating unit/generating facility, based on participation in at least eight FMEs. [Please see the standard for more information] A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.75 and ≥ 0.65. A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.65 and ≥ 0.55. A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.55 and ≥ 0.45. A GO’s rolling average initial Primary Frequency Response performance per R9 was < 0.45. BAL-001-TRE-1 R10. Each GO shall meet a minimum rolling average sustained Primary Frequency Response performance of 0.75 on each generating unit/generating facility, based on participation in at least eight FMEs. [Please see the standard for more information] A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.75 and ≥ 0.65. A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.65 and ≥ 0.55. A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.55 and ≥ 0.45. A GO’s rolling average sustained Primary Frequency Response performance per R10 was < 0.45. BAL-002-1 R1. Each Balancing Authority shall have access to and/or operate Contingency Reserve to respond to Disturbances. Contingency Reserve may be supplied from generation, controllable load resources, or coordinated adjustments to Interchange Schedules. N/A N/A N/A The Balancing Authority does not have access to and/or operate Contingency Reserve to respond to Disturbances. BAL-002-1 R1.1. A Balancing Authority may elect to fulfill its Contingency Reserve obligations by participating as a member of a Reserve Sharing Group. In such cases, the Reserve Sharing Group shall have the same responsibilities and obligations as each Balancing Authority with respect to monitoring and meeting the requirements of Standard BAL-002. N/A N/A N/A The Balancing Authority has elected to fulfill its Contingency Reserve obligations by participating as a member of a Reserve Sharing Group and the Reserve Sharing Group has not provided the same responsibilities and obligations as required of the responsible entity with respect to monitoring
and meeting the requirements of Standard BAL-002. BAL-002-1 R2. Each Regional Reliability Organization, sub-Regional Reliability Organization or Reserve Sharing Group shall specify its Contingency Reserve policies, including: The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify 1 of the following The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify 2 or 3 of the following sub-requirements. The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify 4 or 5 of the following sub-requirements. The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify all 6 of the following BAL-002-1 R2.1. The minimum reserve requirement for the group. N/A N/A N/A The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify the minimum reserve requirement for the group. BAL-002-1 R2.2. Its allocation among members. N/A N/A N/A The Regional Reliability Organization, Reliability Organization, or Reserve Sharing Group has failed to specify the allocation of reserves among members. BAL-002-1 R2.3. The permissible mix of Operating Reserve – Spinning and Operating N/A N/A N/A The Regional Reliability Organization, Reliability requirements. requirements.
has allowed the same portion of resource capacity (e.g., reserves from jointly owned generation) to be counted more than once as Contingency Reserve by multiple Balancing Authorities. BAL-002-1 R3. Each Balancing Authority or Reserve Sharing Group shall activate sufficient Contingency Reserve to comply with the DCS. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 100% but greater than or equal to 95%. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 95% but greater than or equal to 90%. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 90% but greater than or equal to 85%. The Balancing Authority or Reserve Sharing Group’s Average Percent Recovery per the NERC DCS quarterly report was less than 85%. BAL-002-1 R3.1. As a minimum, the Balancing Authority or Reserve Sharing Group shall carry at least enough Contingency Reserve to cover the most severe single contingency. All Balancing Authorities and Reserve Sharing Groups shall review, no less frequently than annually, their probable contingencies to determine their prospective most severe single contingencies. The Balancing Authority or Reserve Sharing Group failed to review their probable contingencies to determine their prospective most severe single contingencies annually. N/A N/A The Balancing Authority or Reserve Sharing Group failed to carry at least enough Contingency Reserve to cover the most severe single contingency. BAL-002-1 R4. A Balancing Authority or Reserve Sharing Group shall meet the Disturbance Recovery Criterion within the Disturbance Recovery Period for 100% of Reportable Disturbances. The Disturbance Recovery Criterion is: The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance Recovery Period for more than The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance Recovery Period for more than The Balancing Authority or Reserve Sharing Group met the Disturbance Recovery Criterion within the Disturbance Recovery Period for more than
calculation of ACE occur at least every six seconds. calculation of ACE occurred at least every six seconds. BAL-005-0.2b R8.1. Each Balancing Authority shall provide redundant and independent frequency metering equipment that shall automatically activate upon detection of failure of the primary source. This overall installation shall provide a minimum availability of 99.95%. N/A N/A N/A The Balancing Authority failed to provide redundant and independent frequency metering equipment that automatically activated upon detection of failure, such that the minimum availability was less than 99.95%. BAL-005-0.2b R9. The Balancing Authority shall include all Interchange Schedules with Adjacent Balancing Authorities in the calculation of Net Scheduled Interchange for the ACE equation. N/A N/A N/A The Balancing Authority failed to include all Interchange Schedules with Adjacent Balancing Authorities in the calculation of Net Scheduled Interchange for the ACE equation. BAL-005-0.2b R9.1. Balancing Authorities with a high voltage direct current (HVDC) link to another Balancing Authority connected asynchronously to their Interconnection may choose to omit the Interchange Schedule related to the HVDC link from the ACE equation if it is modeled as internal generation or load. N/A N/A N/A The Balancing Authority with a high voltage direct current (HVDC) link to another Balancing Authority connected asynchronously to its Interconnection chose to omit the Interchange Schedule related to the HVDC link from the ACE equation, but failed to model it as
that is in error (if known) or use the interchange meter error (IME) term of the ACE equation to compensate for any equipment error until repairs can be made. BAL-005-0.2b R14. The Balancing Authority shall provide its operating personnel with sufficient instrumentation and data recording equipment to facilitate monitoring of control performance, generation response, and after-the-fact analysis of area performance. As a minimum, the Balancing Authority shall provide its operating personnel with real-time values for ACE, Interconnection frequency and Net Actual Interchange with each Adjacent Balancing Authority Area. N/A The responsible entity did not provide its operating personnel with real-time values for one of the following: ACE, Interconnection frequency or Net Actual Interchange. The responsible entity did not provide its operating personnel with real-time values for two of the following: ACE, Interconnection frequency or Net Actual Interchange. The responsible entity did not provide its operating personnel with sufficient instrumentation and data recording equipment to facilitate monitoring of control performance, generation response, and after-the-fact analysis of area performance. OR The responsible entity did not provide its operating personnel with real-time values for ACE, Interconnection frequency and Net Actual Interchange. BAL-005-0.2b R15. The Balancing Authority shall provide adequate and reliable backup power supplies and shall periodically test these supplies at the Balancing Authority’s control center and other N/A N/A The Balancing Authority failed to periodically test backup power supplies at the Balancing The Balancing Authority failed to provide adequate and reliable backup power supplies to ensure
account. The Balancing Authority shall take into account interchange served by jointly owned generators. Adjacent Balancing Authority Areas in its Inadvertent Interchange account. OR Failed to take into account interchange served by jointly owned generators. Adjacent Balancing Authority Areas in its Inadvertent Interchange account. AND Failed to take into account interchange served by jointly owned generators. BAL-006-2 R3. Each Balancing Authority shall ensure all of its Balancing Authority Area interconnection points are equipped with common megawatt-hour meters, with readings provided hourly to the control centers of Adjacent Balancing Authorities. N/A N/A N/A The Balancing Authority failed to ensure all of its Balancing Authority Area interconnection points are equipped with common megawatt-hour meters, with readings provided hourly to the control centers of Adjacent Balancing Authorities. BAL-006-2 R4. Adjacent Balancing Authority Areas shall operate to a common Net Interchange Schedule and Actual Net Interchange value and shall record these hourly quantities, with like values but opposite sign. Each Balancing Authority shall compute its Inadvertent Interchange based on the following: The Balancing Authority failed to record Actual Net Interchange values that are equal but opposite in sign to its Adjacent Balancing Authorities. The Balancing Authority failed to compute Inadvertent Interchange. The Balancing Authority failed to operate to a common Net Interchange Schedule that is equal but opposite to its Adjacent Balancing Authorities. N/A BAL-006-2 R4.1 Each Balancing Authority, by the end of the next business day, shall agree with its Adjacent Balancing Authorities to: N/A N/A N/A The Balancing Authority, by the end of the next business day, failed to agree
provide a process for correcting the discrepancy. process for correcting the discrepancy. BAL-502-RFC-02 R1. The Planning Coordinator shall perform and document a Resource Adequacy analysis annually. The Resource Adequacy analysis shall: [See standard pdf for The Planning Coordinator Resource Adequacy analysis failed to consider 1 or of the Resource availability characteristics subcomponents under R1.4 and documentation of how and why they were included in the analysis or why they were not included OR The Planning Coordinator Resource Adequacy analysis failed to consider Transmission maintenance outage schedules and document how and why they were included in the analysis or why they were not included per R1.5 The Planning Coordinator Resource Adequacy analysis failed to express the planning reserve margin developed from R1.1 as a percentage of the net Median forecast peak Load per R1.1.2 OR The Planning Coordinator Resource Adequacy analysis failed to include 1 of the Load forecast Characteristics subcomponents under R1.3.1 and documentation of its use OR The Planning Coordinator Resource Adequacy analysis failed to include 1 of the Resource Characteristics subcomponents under R1.3.2 and The Planning Coordinator Resource Adequacy analysis failed to be performed or verified separately for individual years of Year One through Year Ten per R1.2 OR The Planning Coordinator failed to perform an analysis or verification for one year in the through 5 year period or one year in the 6 though 10 year period or both per R1.2.2 OR The Planning Coordinator Resource Adequacy analysis failed to include 2 or more of the Load forecast Characteristics subcomponents under R1.3.1 and documentation of their use The Planning Coordinator failed to perform and document a Resource Adequacy analysis annually per R1. OR The Planning Coordinator Resource Adequacy analysis failed to calculate a Planning reserve margin that will result in the sum of the probabilities for loss of Load for the integrated peak for all days of each planning year analyzed for each planning period being equal to 0.1 per R1.1 OR The Planning Coordinator failed to perform an analysis for Year One per R1.2.1 requirements]
prior to the beginning of Year One per R2.3 Resource Adequacy analysis for one of the years in the 2 through 10 year period per R2.1. OR The Planning Coordinator failed to document the Planning Reserve margin calculated per requirement R1.1 for each of the three years in the analysis per R2.2. Resource Adequacy analysis for year 1 of the 10 year period per R2.1. OR The Planning Coordinator failed to document the projected Load and resource capability, for each area or Transmission constrained sub-area identified in the Resource Adequacy analysis for two or more of the years in the 2 through 10 year period per R2.1. Resource Adequacy analysis per R2.
Complete Violation Severity Level Matrix (CIP) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL CIP-002-3 R1. Critical Asset Identification Method — The Responsible Entity shall identify and document a risk-based assessment methodology to use to identify its Critical Assets. N/A N/A N/A The responsible entity has not documented a risk-based assessment methodology to use to identify its Critical Assets as specified in R1. CIP-002-3 R1.1 The Responsible Entity shall maintain documentation describing its risk-based assessment methodology that includes procedures and evaluation criteria. N/A The Responsible Entity maintained documentation describing its assessment methodology which includes evaluation criteria, but does not include procedures. The Responsible Entity maintained documentation describing its assessment methodology that includes procedures but does not include evaluation criteria. The Responsible Entity did not maintain documentation describing its assessment methodology that includes procedures and evaluation criteria. CIP-002-3 R1.2 The risk-based assessment shall consider the following assets: N/A N/A N/A The Responsible Entity did not consider all of the asset types listed in R1.2.1 through R1.2.7 in its risk-based assessment. CIP-002-3 R1.2.1. Control centers and backup control centers performing the functions of the entities listed in the Applicability section of this standard. N/A N/A N/A N/A CIP-002-3 R1.2.2. Transmission substations that support the reliable operation of the Bulk Electric System. N/A N/A N/A N/A CIP-002-3 R1.2.3. Generation resources that support the reliable operation of the Bulk Electric System. N/A N/A N/A N/A based
CIP-002-3 R1.2.4. Systems and facilities critical to system restoration, including blackstart generators and substations in the electrical path of transmission lines used for initial system restoration. N/A N/A N/A N/A CIP-002-3 R1.2.5. Systems and facilities critical to automatic load shedding under a common control system capable of shedding 300 MW or more. N/A N/A N/A N/A CIP-002-3 R1.2.6. Special Protection Systems that support the reliable operation of the Bulk Electric System. N/A N/A N/A N/A CIP-002-3 R1.2.7. Any additional assets that support the reliable operation of the Bulk Electric System that the Responsible Entity deems appropriate to include in its assessment. N/A N/A N/A N/A CIP-002-3 R2. Critical Asset Identification — The Responsible Entity shall develop a list of its identified Critical Assets determined through an annual application of the risk-based assessment methodology required in R1. The Responsible Entity shall review this list at least annually, and update it as necessary. N/A N/A The Responsible Entity has developed a list of Critical Assets but the list has not been reviewed and updated annually as required. The Responsible Entity did not develop a list of its identified Critical Assets even if such list is null. CIP-002-3 R3. Critical Cyber Asset Identification — Using the list of Critical Assets developed pursuant to Requirement R2, the Responsible Entity shall develop a list of associated Critical Cyber Assets essential to the operation N/A N/A The Responsible Entity has developed a list of associated Critical Cyber Assets essential to the The Responsible Entity did not develop a list of associated Critical Cyber Assets essential to the operation of the Critical Asset list as per
fewer high and medium impact BES Cyber Systems, five or fewer identified BES Cyber Systems have not been categorized or have been incorrectly categorized at a lower category. OR For Responsible Entities with more than a total of 100 high and medium impact BES Cyber Systems, five percent or fewer high or medium BES Cyber Systems have not been identified; OR For Responsible Entities with a total of 100 or fewer high and medium impact BES Cyber Systems, five or fewer high or medium BES Cyber Systems have not been identified. For Responsible Entities with a total of 100 or fewer high and medium impact BES Cyber Systems, more than five but less than or equal to 10 high or medium BES Cyber Systems have not been identified. categorized at a lower category; OR For Responsible Entities with a total of 100 or fewer high or medium impact and BES Cyber Assets, more than 10 but less than or equal to 15 identified BES Cyber Assets have not been categorized or have been incorrectly categorized at a lower category. OR For Responsible Entities with more than a total of 100 high and medium impact BES Cyber Systems, more than 10 percent but less than or equal to 15 percent high or medium BES Cyber Systems have not been identified; OR For Responsible Entities with a total of 100 or OR For Responsible Entities with more than a total of 100 high and medium impact BES Cyber Systems, more than 15 percent of high or medium impact BES Cyber Systems have not been identified; OR For Responsible Entities with a total of 100 or fewer high and medium impact BES Cyber Systems, more than 15 high or medium impact BES Cyber Systems have not been identified.
fewer high and medium impact BES Cyber Systems, more than 10 but less than or equal to 15 high or medium BES Cyber Systems have not been identified. R2. The Responsible Entity shall: [please see standard for more information] The Responsible Entity did not complete its review and update for the identification required for R1 within 15 calendar months but less than or equal to 16 calendar months of the previous review. (R2.1) OR The Responsible Entity did not complete its approval of the identifications required by R1 by the CIP Senior Manager or delegate according to Requirement R2 within 15 calendar months The Responsible Entity did not complete its review and update for the identification required for R1 within 16 calendar months but less than or equal to 17 calendar months of the previous review. (R2.1) OR The Responsible Entity failed to complete its approval of the identifications required by R1 by the CIP Senior Manager or delegate according to Requirement R2 within 16 calendar months but less than or equal to 17 calendar months of the previous approval. (R2.2) The Responsible Entity did not complete its review and update for the identification required for R1 within 17 calendar months but less than or equal to 18 calendar months of the previous review. (R2.1) OR The Responsible Entity failed to complete its approval of the identifications required by R1 by the CIP Senior Manager or delegate according to Requirement R2 within 17 calendar months but less than or equal to 18 calendar months of The Responsible Entity did not complete its review and update for the identification required for R1 within 18 calendar months of the previous review. (R2.1) OR The Responsible Entity failed to complete its approval of the identifications required by R1 by the CIP Senior Manager or delegate according to Requirement R2 within 18 calendar months of the previous approval. (R2.2) 5.1
the senior manager, OR Changes to the delegated authority are not documented within thirty calendar days of the effective date. AND changes to the delegated authority are not documented within thirty calendar days of the effective date. CIP-003-3 R2.4 The senior manager or delegate(s), shall authorize and document any exception from the requirements of the cyber security policy. N/A N/A N/A The senior manager or delegate(s) did not authorize and document any exceptions from the requirements of the cyber security policy as required. CIP-003-3 R3. Exceptions — Instances where the Responsible Entity cannot conform to its cyber security policy must be documented as exceptions and authorized by the senior manager or delegate(s). (Retirement approved by FERC effective January 21, 2014) N/A N/A In Instances where the Responsible Entity cannot conform to its cyber security policy, in R1, exceptions were documented, but were not authorized by the senior manager or delegate(s). In Instances where the Responsible Entity cannot conform to its cyber security policy, in R1, exceptions were not documented. CIP-003-3 R3.1. Exceptions to the Responsible Entity’s cyber security policy must be documented within thirty N/A N/A N/A Exceptions to the Responsible Entity’s cyber security policy were not documented
action plan to remediate deficiencies identified during the assessment. CIP-003-3 R5. Access Control — The Responsible Entity shall document and implement a program for managing access to protected Critical Cyber Asset information. N/A N/A N/A The Responsible Entity did not implement or did not document a program for managing access to protected Critical Cyber Asset information. CIP-003-3 R5.1. The Responsible Entity shall maintain a list of designated personnel who are responsible for authorizing logical or physical access to protected information. N/A N/A The Responsible Entity maintained a list of designated personnel for authorizing either logical or physical access but not both. The Responsible Entity did not maintain a list of designated personnel who are responsible for authorizing logical or physical access to protected information. CIP-003-3 R5.1.1. Personnel shall be identified by name, title, and the information for which they are responsible for authorizing access. N/A N/A The Responsible Entity did identify the personnel by name, title, and the information for which they are responsible for authorizing access, but the business phone is missing. Personnel are not identified by name, title, or the information for which they are responsible for authorizing access. CIP-003-3 R5.1.2. The list of personnel responsible for authorizing access to protected information shall be verified at least annually. N/A N/A N/A The Responsible Entity did not verify at least annually the list of personnel responsible for authorizing access to protected information.
CIP-003-3 R5.2. The Responsible Entity shall review at least annually the access privileges to protected information to confirm that access privileges are correct and that they correspond with the Responsible Entity’s needs and appropriate personnel roles and responsibilities. N/A N/A N/A The Responsible Entity did not review at least annually the access privileges to protected information to confirm that access privileges are correct and that they correspond with the Responsible Entity’s needs and appropriate personnel roles and responsibilities. CIP-003-3 R5.3. The Responsible Entity shall assess and document at least annually the processes for controlling access privileges to protected information. N/A N/A N/A The Responsible Entity did not assess and document at least annually the processes for controlling access privileges to protected information. CIP-003-3 R6. Change Control and Configuration Management — The Responsible Entity shall establish and document a process of change control and configuration management for adding, modifying, replacing, or removing Critical Cyber Asset hardware or software, and implement supporting configuration management activities to identify, control and document all entity or vendor related changes to hardware and software components of Critical Cyber Assets pursuant to the change control process. N/A N/A N/A The Responsible Entity has not established or documented a change control process for the activities required in R6, OR The Responsible Entity has not established or documented a configuration management process for the activities required in R6.
previous review. (R1) OR The Responsible Entity did not complete its approval of the one or more documented cyber security policies for its high impact and medium impact BES Cyber Systems as required by R1 by the CIP Senior Manager or delegate within 15 calendar months but did complete this approval in less than or equal to 16 calendar months of the previous approval. (R1) The Responsible Entity did not complete its approval of the one or more documented cyber security policies for its high impact and medium impact BES Cyber Systems as required by R1 by the CIP Senior Manager or delegate within 17 calendar months but did complete this approval in less than or equal to 18 calendar months of the previous approval. (R1) cyber security policies for its high impact and medium impact BES Cyber Systems as required by R1 by the CIP Senior Manager or delegate within 18 calendar months of the previous approval. (R1) CIP-003-5 R2. Each Responsible Entity for its assets identified in CIP-002-5, Requirement R1, Part R1.3, shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented cyber security policies that collectively address the following topics, and review and obtain CIP Senior Manager The Responsible Entity documented and implemented one or more cyber security policies for assets with a low impact rating that address only The Responsible Entity documented and implemented one or more cyber security policies for assets with a low impact rating that address only two of the topics as required by R2 and has identified deficiencies but did not assess or correct the deficiencies. (R2) The Responsible Entity documented and implemented one or more cyber security policies for assets with a low impact rating that address only one of the topics The Responsible Entity did not document or implement any cyber security policies for assets with a low impact rating that address the topics as required by R2. (R2)
approval for those policies at least once every 15 calendar months: [please see standard for more information] three of the topics as required by R2 and has identified deficiencies but did not assess or correct the deficiencies. (R2) OR The Responsible Entity documented and implemented one or more cyber security policies for assets with a low impact rating that address only three of the topics as required by R2 but did not identify, assess, or correct the deficiencies. OR The Responsible Entity did not complete its review of the one or more documented cyber security policies for assets with a low impact rating as required by R2 OR The Responsible Entity documented and implemented one or more cyber security policies for assets with a low impact rating that address only two of the topics as required by R2 but did not identify, assess, or correct the deficiencies. OR The Responsible Entity did not complete its review of the one or more documented cyber security policies for assets with a low impact rating as required by R2 within 16 calendar months but did complete this review in less than or equal to 17 calendar months of the previous review. (R2) OR The Responsible Entity did not complete its approval of the one or more documented cyber security policies for assets with a low impact rating as required by R2 by the CIP Senior Manager within 16 calendar months but did complete this approval in less than or equal to 17 calendar months of the previous approval. (R2) as required by R2 and has identified deficiencies but did not assess or correct the deficiencies. (R2) OR The Responsible Entity documented and implemented one or more cyber security policies for assets with a low impact rating that address only one of the topics as required by R2 but did not identify, assess, or correct the deficiencies. OR The Responsible Entity did not complete its review of the one or more documented cyber security policies for assets with a low impact rating as required by R2 within 17 calendar months but did complete this review in less than or equal to 18 OR The Responsible Entity did not complete its review of the one or more documented cyber security policies for assets with a low impact rating as required by R2 within 18 calendar months of the previous review. (R2) OR The Responsible Entity did not complete its approval of the one or more documented cyber security policies for assets with a low impact rating as required by R2 by the CIP Senior Manager within 18 calendar months of the previous approval. (R2)
within 15 calendar months but did complete this review in less than or equal to 16 calendar months of the previous review. (R2) OR The Responsible Entity did not complete its approval of the one or more documented cyber security policies for assets with a low impact rating as required by R2 by the CIP Senior Manager within 15 calendar months but did complete this approval in less than or equal to 16 calendar months of the previous approval. (R2) calendar months of the previous review. (R2) OR The Responsible Entity did not complete its approval of the one or more documented cyber security policies for assets with a low impact rating as required by R2 by the CIP Senior Manager within 17 calendar months but did complete this approval in less than or equal to 18 calendar months of the previous approval. (R2) CIP-003-5 R3. Each Responsible Entity shall identify a CIP Senior Manager by name and document any change within 30 calendar days of the change. The Responsible Entity has identified by name a CIP Senior Manager, The Responsible Entity has identified by name a CIP Senior Manager, but did not document changes to the CIP Senior Manager within 40 calendar days but did document this change in The Responsible Entity has identified by name a CIP Senior Manager, but did The Responsible Entity has not identified, by name, a CIP Senior Manager.
and include, at a minimum, the following required items appropriate to personnel roles and responsibilities: detailed in R2.2.1, R2.2.2, R2.2.3, R2.2.4. R2.2.1. The proper use of Critical Cyber Assets; N/A N/A N/A N/A R2.2.2. Physical and electronic access controls to Critical Cyber Assets; N/A N/A N/A N/A R2.2.3. The proper handling of Critical Cyber Asset information; and, N/A N/A N/A N/A R2.2.4. Action plans and procedures to recover or re-establish Critical Cyber Assets and access thereto following a Cyber Security Incident. N/A N/A N/A N/A R2.3. The Responsible Entity shall maintain documentation that training is conducted at least annually, including the date the training was completed and attendance records. N/A N/A The Responsible Entity did maintain documentation that training is conducted at least annually, but did not include attendance records. The Responsible Entity did not maintain documentation that training is conducted at least annually, including the date the training was completed and attendance records. R3. Personnel Risk Assessment Responsible Entity shall have a documented personnel risk assessment program, in accordance with federal, state, provincial, and local laws, and subject to existing collective bargaining unit agreements, for personnel having authorized cyber or authorized unescorted physical access to Critical Cyber Assets. A personnel risk N/A The Responsible Entity has a personnel risk assessment program, as stated in R3, for personnel having authorized cyber or authorized unescorted physical access, but the program is not documented. The Responsible Entity has a personnel risk assessment program as stated in R3, but conducted the personnel risk assessment pursuant to that program after such The Responsible Entity does not have a documented personnel risk assessment program, as stated in R3, for personnel having authorized cyber or authorized unescorted physical access.
assessment shall be conducted pursuant to that program prior to such personnel being granted such access except in specified circumstances such as an emergency. The personnel risk assessment program shall at a minimum include: personnel were granted such access except in specified circumstances such as an emergency. OR The Responsible Entity did not conduct the personnel risk assessment pursuant to that program for personnel granted such access except in specified circumstances such as an emergency. R3.1. The Responsible Entity shall ensure that each assessment conducted include, at least, identity verification (e.g., Social Security Number verification in the U.S.) and seven year criminal check. The Responsible Entity may conduct more detailed reviews, as permitted by law and subject to existing collective bargaining unit agreements, depending upon the criticality of the position. N/A N/A The Responsible Entity did not ensure that an assessment conducted included an identity verification (e.g., Social Security Number verification in the U.S.) or a criminal check. The Responsible Entity did not ensure that each assessment conducted include, at least, identity verification (e.g., Social Security Number verification in the U.S.) and criminal check. R3.2. The Responsible Entity shall update each personnel risk assessment at least every seven years after the initial personnel risk assessment or for cause. N/A The Responsible Entity did not update each personnel risk assessment at least every seven years after the initial personnel risk assessment but did update it for cause when applicable. The Responsible Entity did not update each personnel risk assessment for cause (when applicable) but did at least updated it every seven years after the initial The Responsible Entity did not update each personnel risk assessment at least every seven years after the initial personnel risk assessment nor was it updated for cause when applicable.
personnel risk assessment. R3.3. The Responsible Entity shall document the results of personnel risk assessments of its personnel having authorized cyber or authorized unescorted physical access to Critical Cyber Assets, and that personnel risk assessments of contractor and service vendor personnel with such access are conducted pursuant to Standard CIP-004-3. The Responsible Entity did not document the results of personnel risk assessments for at least one individual but less than 5% of all personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, pursuant to Standard The Responsible Entity did not document the results of personnel risk assessments for 5% or more but less than 10% of all personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, pursuant to Standard CIP-004. The Responsible Entity did not document the results of personnel risk assessments for 10% or more but less than 15% of all personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, pursuant to Standard CIP-004. The Responsible Entity did not document the results of personnel risk assessments for 15% or more of all personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, pursuant to Standard CIP-004. R4. Access — The Responsible Entity shall maintain list(s) of personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, including their specific electronic and physical access rights to Critical Cyber Assets. The Responsible Entity did not maintain complete list(s) of personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, including their specific electronic and physical access rights to Critical Cyber Assets, missing at least The Responsible Entity did not maintain complete list(s) of personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, including their specific electronic and physical access rights to Critical Cyber Assets, missing 5% or more but less than 10% of the authorized personnel. The Responsible Entity did not maintain complete list(s) of personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, including their specific electronic and physical access rights to Critical Cyber Assets, missing 10% or The Responsible Entity did not maintain complete list(s) of personnel with authorized cyber or authorized unescorted physical access to Critical Cyber Assets, including their specific electronic and physical access rights to Critical Cyber Assets, missing 15% or more of the authorized personnel.
one individual but less than 5% of the authorized personnel. more but less than 15%of the authorized personnel. R4.1. The Responsible Entity shall review the list(s) of its personnel who have such access to Critical Cyber Assets quarterly, and update the list(s) within seven calendar days of any change of personnel with such access to Critical Cyber Assets, or any change in the access rights of such personnel. The Responsible Entity shall ensure access list(s) for contractors and service vendors are properly maintained. N/A The Responsible Entity did not review the list(s) of its personnel who have access to Critical Cyber Assets quarterly. The Responsible Entity did not update the list(s) within seven calendar days of any change of personnel with such access to Critical Cyber Assets, nor any change in the access rights of such personnel. The Responsible Entity did not review the list(s) of all personnel who have access to Critical Cyber Assets quarterly, nor update the list(s) within seven calendar days of any change of personnel with such access to Critical Cyber Assets, nor any change in the access rights of such personnel. R4.2. The Responsible Entity shall revoke such access to Critical Cyber Assets within 24 hours for personnel terminated for cause and within seven calendar days for personnel who no longer require such access to Critical Cyber Assets. N/A The Responsible Entity did not revoke access within seven calendar days for personnel who no longer require such access to Critical Cyber Assets. The Responsible Entity did not revoke access to Critical Cyber Assets within 24 hours for personnel terminated for cause. The Responsible Entity did not revoke access to Critical Cyber Assets within 24 hours for personnel terminated for cause nor within seven calendar days for personnel who no longer require such access to Critical Cyber Assets. R1. Each Responsible Entity shall implement one or more documented processes that collectively include each of the applicable requirement parts in CIP-004-5.1 Table R1 – Security Awareness Program. The Responsible Entity did not reinforce cyber security practices during a calendar quarter but did so less than 10 The Responsible Entity did not reinforce cyber security practices during a calendar quarter but did so between 10 and 30 calendar days after the start of a subsequent calendar quarter. (1.1) The Responsible Entity did not reinforce cyber security practices during a calendar quarter but did so within the The Responsible Entity did not document or implement any security awareness process(es) to reinforce cyber security practices. (R1) OR
with authorized electronic or authorized unescorted physical access but did not confirm identity for one individual, and did not identify, assess, and correct the deficiencies. (3.1 & 3.4) OR The Responsible Entity has a process to perform criminal history record checks for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not include the required checks described in 3.2.1 and 3.2.2 for one individual, and The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for two individuals, and did not identify, assess, and correct the deficiencies. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for two individuals with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date, and did not identify, assess, and correct the deficiencies. (3.5) unescorted physical access but did not confirm identity for three individuals, and did not identify, assess, and correct the deficiencies. (3.1 & 3.4) OR The Responsible Entity has a process to perform seven-year criminal history record checks for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not include the required checks described in 3.2.1 and 3.2.2 for three individuals, and did not identify, assess, and correct the deficiencies. (3.2 & 3.4) OR The Responsible Entity did conduct The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not confirm identity for four or more individuals, and did not identify, assess, and correct the deficiencies. (3.1 & 3.4) OR The Responsible Entity has a process to perform seven-year criminal history record checks for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not include the required checks described in 3.2.1 and 3.2.2 for four or more individuals, and did not identify, assess, and correct the deficiencies. (3.2 & 3.4) OR
did not identify, assess, and correct the deficiencies. (3.2 & 3.4) OR The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for one individual, and did not identify, assess, and correct the deficiencies. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for three individuals, and did not identify, assess, and correct the deficiencies. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for three individuals with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date, The Responsible Entity did conduct Personnel Risk Assessments (PRAs) for individuals, including contractors and service vendors, with authorized electronic or authorized unescorted physical access but did not evaluate criminal history records check for access authorization for four or more individuals, and did not identify, assess, and correct the deficiencies. (3.3 & 3.4) OR The Responsible Entity did not conduct Personnel Risk Assessments (PRAs) for four or more individuals with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date and has identified deficiencies, and did not identify, assess, and correct the deficiencies. (3.5)
Assessments (PRAs) for one individual with authorized electronic or authorized unescorted physical access within 7 calendar years of the previous PRA completion date, and did not identify, assess, and correct the deficiencies. (3.5) and did not identify, assess, and correct the deficiencies. (3.5) R4. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented access management programs that collectively include each of the applicable requirement parts in CIP-004-5.1 Table R4 – Access Management Program. The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records during a calendar quarter but did so less than 10 calendar days after the start of a subsequent calendar quarter, and did not identify, assess and correct the The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records during a calendar quarter but did so between 10 and 20 calendar days after the start of a subsequent calendar quarter, and did not identify, assess, and correct the deficiencies. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for more than 5% but less than (or equal to) 10% of its BES Cyber Systems, privileges were The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records during a calendar quarter but did so between 20 and 30 calendar days after the start of a subsequent calendar quarter, and did not identify, assess, and correct the deficiencies. (4.2) OR The Responsible Entity did not implement any documented program(s) for access management. (R4) OR The Responsible Entity has implemented one or more documented program(s) for access management that includes a process to authorize electronic access, unescorted physical access, or access to the designated storage locations where BES Cyber System Information is located, 5.1
deficiencies. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for 5% or less of its BES Cyber Systems, privileges were incorrect or unnecessary, and did not identify, assess and correct the deficiencies. (4.3) OR The Responsible Entity has implemented processes to incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for more than 5% but less than (or equal to) 10% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.4) The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for more than 10% but less than (or equal to) 15% of its BES Cyber Systems, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System and did not identify, assess, and correct the deficiencies. (4.1) OR The Responsible Entity did not verify that individuals with active electronic or active unescorted physical access have authorization records for at least two consecutive calendar quarters, and did not identify, assess, and correct the deficiencies. (4.2) OR The Responsible Entity has implemented processes to verify that user accounts, user account groups, or user role categories, and their specific, associated privileges are correct and necessary within 15 calendar months of the previous verification but for more than 15% of its BES Cyber Systems, privileges were incorrect or unnecessary, and did not identify, assess, and
verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for 5% or less of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess and correct the deficiencies. (4.4) Information is correct and necessary within 15 calendar months of the previous verification but for more than 10% but less than (or equal to) 15% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.4) correct the deficiencies. (4.3) OR The Responsible Entity has implemented processes to verify that access to the designated storage locations for BES Cyber System Information is correct and necessary within 15 calendar months of the previous verification but for more than 15% of its BES Cyber System Information storage locations, privileges were incorrect or unnecessary, and did not identify, assess, and correct the deficiencies. (4.4) R5. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented access revocation programs that collectively include each of the applicable requirement parts in CIP-004-5.1 Table R5 – Access Revocation. The Responsible Entity has implemented one or more process(es) to revoke the individual’s access to the designated storage locations for BES Cyber System Information The Responsible Entity has implemented one or more process(es) to remove the ability for unescorted physical access and Interactive Remote Access upon a termination action or complete the removal within 24 hours of the termination action but did not initiate those removals for one individual, and did not identify, assess, and correct the deficiencies. (5.1) OR The Responsible Entity has implemented one or more process(es) to remove the ability for unescorted physical access and Interactive Remote Access upon a termination action or complete the removal within 24 hours of the The Responsible Entity has not implemented any documented program(s) for access revocation for electronic access, unescorted physical access, or BES Cyber System Information storage locations. (R5) OR 5.1
OR The Responsible Entity has implemented one or more process(es) to change passwords for shared accounts known to the user upon termination action, reassignment, or transfer, but did not do so for within 30 calendar days of the date of termination action, reassignment, or transfer for one or more individuals, and did not identify, assess, and correct the deficiencies. (5.5) OR The Responsible Entity has implemented one or more process(es) to determine and and correct the deficiencies. (5.2) OR The Responsible Entity has implemented one or more process(es) to revoke the individual’s access to the designated storage locations for BES Cyber System Information but, for three or more individuals, did not do so by the end of the next calendar day following the effective date and time of the termination action, and did not identify, assess, and correct the deficiencies. (5.3) assess, and correct the deficiencies. (5.2)
document extenuating operating circumstances following a termination action, reassignment, or transfer, but did not change one or more passwords for shared accounts known to the user within 10 calendar days following the end of the extenuating operating circumstances, and did not identify, assess, and correct the deficiencies. (5.5) R1. Electronic Security Perimeter — The Responsible Entity shall ensure that every Critical Cyber Asset resides within an Electronic Security Perimeter. The Responsible Entity shall identify and document the Electronic Security Perimeter(s) and all access points to the perimeter(s). N/A N/A N/A The Responsible Entity did not ensure that every Critical Cyber Asset resides within an Electronic Security Perimeter. OR The Responsible Entity did not identify and document the Electronic Security Perimeter(s) and all CIP-005-
access points to the perimeter(s). R1.1. Access points to the Electronic Security Perimeter(s) shall include any externally connected communication end point (for example, dial-up modems) terminating at any device within the Electronic Security Perimeter(s). N/A N/A N/A Access points to the Electronic Security Perimeter(s) do not include all externally connected communication end point (for example, dial-up modems) terminating at any device within the Electronic Security Perimeter(s). R1.2. For a dial-up accessible Critical Cyber Asset that uses a protocol, the Responsible Entity shall define an Electronic Security Perimeter for that single access point at the dial-up device. N/A N/A N/A For one or more dial-up accessible Critical Cyber Assets that use a non-routable protocol, the Responsible Entity did not define an Electronic Security Perimeter for that single access point at the dial-up device. R1.3. Communication links connecting discrete Electronic Security Perimeters shall not be considered part of the Electronic Security Perimeter. However, end points of these communication links within the Electronic Security Perimeter(s) shall be considered access points to the Electronic Security Perimeter(s). N/A N/A N/A At least one end point of a communication link within the Electronic Security Perimeter(s) connecting discrete Electronic Security Perimeters was not considered an access point to the Electronic Security Perimeter. R1.4. Any non-critical Cyber Asset within a defined Electronic N/A N/A N/A One or more noncritical Cyber Asset
Security Perimeter shall be identified and protected pursuant to the requirements of Standard CIP-005-3. within a defined Electronic Security Perimeter is not identified. OR Is not protected pursuant to the requirements of Standard CIP-005. R1.5. Cyber Assets used in the access control and/or monitoring of the Electronic Security Perimeter(s) shall be afforded the protective measures as a specified in Standard CIP- 003-3; Standard CIP-004-3 Requirement R3; Standard Requirements R2 and R3; Standard CIP-006-3 Requirement R3; Standard CIP-007-3 Requirements R1 and R3 through R9; Standard CIP-008-3; and Standard CIP-009-3. N/A N/A N/A A Cyber Asset used in the access control and/or monitoring of the Electronic Security Perimeter(s) was not afforded one (1) or more of the protective measures as specified in Standard CIP-003-3; Standard CIP-004-3 Requirement R3; Standard Requirements R2 and R3; Standard Requirements R3; Standard CIP-007-3 Requirements R1 and R3 through R9; Standard CIP-008-3; and Standard R1.6. The Responsible Entity shall maintain documentation of Electronic Security N/A N/A N/A The Responsible Entity did not maintain documentation of one 3.
Perimeter(s), all interconnected Critical and non-critical Cyber Assets within the Electronic Security Perimeter(s), all electronic access points to the Electronic Security Perimeter(s) and the Cyber Assets deployed for the access control and monitoring of these access points. or more of the following: Electronic Security Perimeter(s), interconnected Critical and noncritical Cyber Assets within the Electronic Security Perimeter(s), electronic access points to the Electronic Security Perimeter(s) and Cyber Assets deployed for the access control and monitoring of these access points. R2. Electronic Access Controls — The Responsible Entity shall implement and document the organizational processes and technical and procedural mechanisms for control of electronic access at all electronic access points to the Electronic Security Perimeter(s). N/A N/A N/A The Responsible Entity did not implement or did not document the organizational processes and technical and procedural mechanisms for control of electronic access at all electronic access points to the Electronic Security Perimeter(s). R2.1. These processes and mechanisms shall use an access control model that denies access by default, such that explicit access permissions must be specified. N/A N/A N/A The processes and mechanisms did not use an access control model that denies access by default, such that explicit access permissions must be specified. R2.2. At all access points to the Electronic Security Perimeter(s), the Responsible Entity shall N/A N/A N/A At one or more access points to the Electronic Security Perimeter(s),
electronic or manual process(es) for monitoring and logging access at access points to the Electronic Security Perimeter(s) twenty-four hours a day, seven days a week. electronic or manual processes monitoring and logging access points. R3.1. For dial-up accessible Critical Cyber Assets that use protocols, the Responsible Entity shall implement and document monitoring process(es) at each access point to the dial-up device, where technically feasible. N/A N/A N/A Where technically feasible, the Responsible Entity did not implement or did not document electronic or manual processes for monitoring at one or more access points to dial-up devices. R3.2. Where technically feasible, the security monitoring process(es) shall detect and alert for attempts at or actual unauthorized accesses. These alerts shall provide for appropriate notification to designated response personnel. Where alerting is not technically feasible, the Responsible Entity shall review or otherwise assess access logs for attempts at or actual unauthorized accesses at least every ninety calendar days. N/A N/A N/A Where technically feasible, the Responsible Entity did not implement security monitoring process(es) to detect and alert for attempts at or actual unauthorized accesses. OR The above alerts do not provide for appropriate notification to designated response personnel. OR Where alerting is not technically feasible, the Responsible Entity did not review or otherwise assess access logs for attempts at or actual routable
unauthorized accesses at least every ninety calendar days. R4. Cyber Vulnerability Assessment — The Responsible Entity shall perform a cyber vulnerability assessment of the electronic access points to the Electronic Security Perimeter(s) at least annually. The vulnerability assessment shall include, at a minimum, the following: N/A N/A N/A The Responsible Entity did not perform a Vulnerability Assessment at least annually for one or more of the access points to the Electronic Security Perimeter(s). OR The vulnerability assessment did not include one (1) or more of the subrequirements R4.1, R4.2, R4.3, R4.4, R4.5. R4.1. A document identifying the vulnerability assessment process; N/A N/A N/A N/A R4.2. A review to verify that only ports and services required for operations at these access points are enabled; N/A N/A N/A N/A R4.3. The discovery of all access points to the Electronic Security Perimeter; N/A N/A N/A N/A R4.4. A review of controls for default accounts, passwords, and network management community strings; N/A N/A N/A N/A R4.5. Documentation of the results of the assessment, the action plan to remediate or mitigate vulnerabilities identified in the N/A N/A N/A N/A
Assets, where technically feasible. (1.4) CIP-005-5 R2. Each Responsible Entity allowing Interactive Remote Access to BES Cyber Systems shall implement one or more documented processes that collectively include the applicable requirement parts, where technically feasible, in CIP-005-5 Table R2 – Interactive Remote Access Management. The Responsible Entity does not have documented processes for one or more of the applicable items for Requirement Parts 2.1 through 2.3. The Responsible Entity did not implement processes for one of the applicable items for Requirement Parts 2.1 through 2.3. The Responsible Entity did not implement processes for two of the applicable items for Requirement Parts 2.1 through 2.3. The Responsible Entity did not implement processes for three of the applicable items for Requirement Parts 2.1 through 2.3. R1. Physical Security Plan — The Responsible Entity shall document, implement, and maintain a physical security plan, approved by the senior manager or delegate(s) that shall address, at a minimum, the following: N/A N/A The Responsible Entity created a physical security plan but did not gain approval by a senior manager or delegate(s). OR The Responsible Entity created and implemented but did not maintain a physical security plan. The Responsible Entity did not document, implement, and maintain a physical security plan. R1.1. All Cyber Assets within an Electronic Security Perimeter shall reside within an identified Physical Security Perimeter. Where a completely enclosed (“six-wall”) border cannot be established, the Responsible Entity shall deploy and document alternative measures to control N/A N/A N/A The Responsible Entity's physical security plan does not include processes to ensure and document that all Cyber Assets within an Electronic Security Perimeter also reside within an
security system redesign or reconfiguration, including, but not limited to, addition or removal of access points through the Physical Security Perimeter, physical access controls, monitoring controls, or logging controls. address r updating the physical security plan within thirty calendar days of the completion of a physical security system redesign or within thirty calendar days of the completion of a reconfiguration. OR The plan was not updated within thirty calendar days of the completion of a physical security system redesign or reconfiguration R1.8 Annual review of the physical security plan. N/A N/A N/A The Responsible Entity's physical security plan does not address a process for ensuring that the physical security plan is reviewed at least annually. R2 Protection of Physical Access Control Systems — Cyber Assets that authorize and/or log access to the Physical Security Perimeter(s), exclusive of hardware at the Physical Security Perimeter access point such as electronic lock control N/A N/A N/A A Cyber Asset that authorizes and/or logs access to the Physical Security Perimeter(s), exclusive of hardware at the Physical Security
Security Perimeter(s) twenty-four hours a day, seven days a week. Unauthorized access attempts shall be reviewed immediately and handled in accordance with the procedures specified in Requirement CIP-008-3. One or more of the following monitoring methods shall be used: Alarm Systems: Systems that alarm to indicate a door, gate or window has been opened without authorization. These alarms must provide for immediate notification to personnel responsible for response. Human Observation of Access Points: Monitoring of physical access points by authorized personnel as specified in Requirement R4. the technical and procedural controls for monitoring physical access at all access points to the Physical Security Perimeter(s) twenty-four hours a day, seven days a week using one or more of the following monitoring methods: • Alarm Systems: Systems that alarm to indicate a door, gate or window has been opened without authorization. These alarms must provide for immediate notification to personnel responsible for response. • Human Observation of Access Points: Monitoring of physical access points by authorized personnel as specified in
The Responsible Entity has a process to retain physical access logs for 90 calendar days but did not identify, assess, or correct the deficiencies. (1.9) not identify, assess, or correct the deficiencies. (1.5) OR The Responsible Entity has a process to monitor for unauthorized physical access to a Physical Access Control Systems and identified deficiencies but did not assess or correct the deficiencies. (1.6) OR The Responsible Entity has a process to monitor for unauthorized physical access to a Physical Access Control Systems but did not identify, assess, or correct the deficiencies. (1.6) restricts access to Applicable Systems using at least one control, but did not identify, assess, or correct the deficiencies. (1.2) OR The Responsible Entity has documented and implemented physical access controls, but at least two different controls do not exist to restrict access to Applicable Systems. (1.3) OR The Responsible Entity documented and implemented operational or procedural controls, restricts access to Applicable Systems using at least two different controls, and identified deficiencies, but did not assess or correct the deficiencies. (1.3) OR The Responsible Entity documented and implemented operational or procedural controls, restricts access to Applicable Systems
assess or correct the deficiencies. (2.3) OR The Responsible Entity included a visitor control program to retain visitor logs for at least ninety days but did not identify, assess, or correct the deficiencies. (2.3) Perimeter but did not identify, assess, or correct deficiencies. (2.1) initial entry and last exit dates and times of the visitor, the visitor’s name, and the point of contact. (2.2) OR The Responsible Entity failed to include or implement a visitor control program to retain visitor logs for at least ninety days. (2.3) CIP-006-5 R3. Each Responsible Entity shall implement one or more documented Physical Access Control System maintenance and testing programs that collectively include each of the applicable requirement parts in CIP-006-5 Table R3 – Maintenance and Testing Program. The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 24 calendar months but did complete required testing within 25 calendar months. (3.1) The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 25 calendar months but did complete required testing within 26 calendar months. (3.1) The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required testing within 26 calendar months but did complete required testing within 27 calendar months. (3.1) The Responsible Entity has not documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter. (3.1) OR The Responsible Entity has documented and implemented a maintenance and testing program for Physical Access Control Systems and locally mounted hardware or devices at the Physical Security Perimeter, but did not complete required
implement a process to ensure that only those ports and services required for normal and emergency operations are enabled. document a process to ensure that only those ports and services required for normal and emergency operations are enabled. R2.1. The Responsible Entity shall enable only those ports and services required for normal and emergency operations. N/A N/A N/A The Responsible Entity enabled one or more ports or services not required for normal and emergency operations on Cyber Assets inside the Electronic Security Perimeter(s). R2.2. The Responsible Entity shall disable other ports and services, including those used for testing purposes, prior to production use of all Cyber Assets inside the Electronic Security Perimeter(s). N/A N/A N/A The Responsible Entity did not disable one or more other ports or services, including those used for testing purposes, prior to production use for Cyber Assets inside the Electronic Security Perimeter(s). R2.3. In the case where unused ports and services cannot be disabled due to technical limitations, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure. N/A N/A N/A For cases where unused ports and services cannot be disabled due to technical limitations, the Responsible Entity did not document compensating measure(s) applied to mitigate risk. R3. Security Patch Management — The Responsible Entity, either separately or as a component of the documented configuration N/A N/A N/A The Responsible Entity did not establish (implement) or did not document,
management process specified in CIP-003-3 Requirement R6, shall establish, document and implement a security patch management program for tracking, evaluating, testing, and installing applicable cyber security software patches for all Cyber Assets within the Electronic Security Perimeter(s). either separately or as a component of the documented configuration management process specified in CIP-003-3 Requirement R6, a security patch management program for tracking, evaluating, testing, and installing applicable cyber security software patches for all Cyber Assets within the Electronic Security Perimeter(s). R3.1. The Responsible Entity shall document the assessment of security patches and security upgrades for applicability within thirty calendar days of availability of the patches or upgrades. N/A N/A N/A The Responsible Entity did not document the assessment of security patches and security upgrades for applicability as required in Requirement R3 within 30 calendar days after the availability of the patches and upgrades. R3.2. The Responsible Entity shall document the implementation of security patches. In any case where the patch is not installed, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure. N/A N/A N/A The Responsible Entity did not document the implementation of applicable security patches as required in R3. OR
Where an applicable patch was not installed, the Responsible Entity did not document the compensating measure(s) applied to mitigate risk. R4. Malicious Software Prevention — The Responsible Entity shall use anti-virus software and other malicious software (“malware”) prevention tools, where technically feasible, to detect, prevent, deter, and mitigate the introduction, exposure, and propagation of malware on all Cyber Assets within the Electronic Security Perimeter(s). N/A N/A N/A The Responsible Entity, where technically feasible, did not use anti-virus software or other malicious software (“malware”) prevention tools, on one or more Cyber Assets within the Electronic Security Perimeter(s). R4.1. The Responsible Entity shall document and implement and malware prevention tools. In the case where anti-virus software and malware prevention tools are not installed, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure. N/A N/A N/A The Responsible Entity did not document the implementation of antivirus and malware prevention tools for cyber assets within the electronic security perimeter. OR The Responsible Entity did not document the implementation of compensating measure(s) applied to mitigate risk exposure where antivirus and
malware prevention tools are not installed. R4.2. The Responsible Entity shall document and implement a process for the update of and malware prevention “signatures.” The process must address testing and installing the signatures. N/A N/A N/A The Responsible Entity did not document or did not implement a process including addressing testing and installing the signatures for the update of and malware prevention “signatures.” R5. Account Management — The Responsible Entity shall establish, implement, and document technical and procedural controls that enforce access authentication of, and accountability for, all user activity, and that minimize the risk of unauthorized system access. N/A N/A N/A The Responsible Entity did not document or did not implement technical and procedural controls that enforce access authentication of, and accountability for, all user activity. R5.1. The Responsible Entity shall ensure that individual and shared system accounts and authorized access permissions are consistent with the concept of “need to know” with respect to work functions performed. N/A N/A N/A The Responsible Entity did not ensure that individual and shared system accounts and authorized access permissions are consistent with the concept of “need to know” with respect to work functions performed. R5.1.1. The Responsible Entity shall ensure that user accounts are implemented as approved by designated personnel. Refer to N/A N/A N/A One or more user accounts implemented by the Responsible Entity were not
Standard CIP-003-3 Requirement R5. implemented as approved by designated personnel. R5.1.2. The Responsible Entity shall establish methods, processes, and procedures that generate logs of sufficient detail to create historical audit trails of individual user account access activity for a minimum of ninety days. N/A The Responsible Entity generated logs with sufficient detail to create historical audit trails of individual user account access activity, however the logs do not contain activity for a minimum of 90 days. The Responsible Entity generated logs with insufficient detail to create historical audit trails of individual user account access activity. The Responsible Entity did not generate logs of individual user account access activity. R5.1.3. The Responsible Entity shall review, at least annually, user accounts to verify access privileges are in accordance with Standard CIP-003-3 Requirement R5 and Standard CIP-004-3 Requirement R4. N/A N/A N/A The Responsible Entity did not review, at least annually, user accounts to verify access privileges are in accordance with Standard CIP-003-3 Requirement R5 and Standard Requirement R4. R5.2. The Responsible Entity shall implement a policy to minimize and manage the scope and acceptable use of administrator, shared, and other generic account privileges including factory default accounts. N/A N/A N/A The Responsible Entity did not implement a policy to minimize and manage the scope and acceptable use of administrator, shared, and other generic account privileges including factory default accounts. R5.2.1. The policy shall include the removal, disabling, or renaming N/A N/A The Responsible Entity's policy did For accounts that must remain enabled, the
Electronic Security Perimeter. R6.2. The security monitoring controls shall issue automated or manual alerts for detected Cyber Security Incidents. N/A N/A N/A The Responsible entity's security monitoring controls do not issue automated or manual alerts for detected Cyber Security Incidents. R6.3. The Responsible Entity shall maintain logs of system events related to cyber security, where technically feasible, to support incident response as required in Standard CIP-008-3. N/A N/A N/A The Responsible Entity did not maintain logs of system events related to cyber security, where technically feasible, to support incident response as required in Standard CIP-008. R6.4. The Responsible Entity shall retain all logs specified in Requirement R6 for ninety calendar days. N/A N/A N/A The Responsible Entity did not retain one or more of the logs specified in Requirement R6 for at least 90 calendar days. R6.5. The Responsible Entity shall review logs of system events related to cyber security and maintain records documenting review of logs. N/A N/A N/A The Responsible Entity did not review logs of system events related to cyber security nor maintain records documenting review of logs. R7. Disposal or Redeployment — The Responsible Entity shall establish and implement formal methods, processes, and procedures for disposal or redeployment of Cyber Assets N/A N/A The Responsible Entity established and implemented formal methods, The Responsible Entity did not establish or implement formal
The Responsible Entity did not document changes resulting from modifications to the systems or controls within thirty calendar days of the change being completed. systems or controls were not documented within thirty calendar days of the change being completed. CIP-007-5 R1. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented processes that collectively include each of the applicable requirement parts in CIP-007-5 Table R1 – Ports and Services. N/A The Responsible Entity has implemented and documented processes for Ports and Services but had no methods to protect against unnecessary physical input/output ports used for network connectivity, console commands, or removable media and has identified deficiencies but did not assess or correct the deficiencies. (1.2) OR The Responsible Entity has implemented and documented processes for Ports and Services but had no methods to protect against unnecessary physical input/output ports used for network connectivity, console commands, or removable media but did not identify, assess, or correct the deficiencies. (1.2) The Responsible Entity has implemented and documented processes for determining necessary Ports and Services but, where technically feasible, had one or more unneeded logical network accessible ports enabled and has identified deficiencies but did not assess or correct the deficiencies. (1.1) OR The Responsible Entity has implemented and documented processes for determining necessary Ports The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R1 and has identified deficiencies but did not assess or correct the deficiencies. (R1) OR The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R1 but did not identify, assess, or correct the deficiencies. (R1)
and Services but, where technically feasible, had one or more unneeded logical network accessible ports enabled but did not identify, assess, or correct the deficiencies. (1.1) CIP-007-5 R2. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented processes that collectively include each of the applicable requirement parts in CIP-007-5 Table R2 – Security Patch Management. The Responsible Entity has documented and implemented one or more process(es) to evaluate uninstalled released security patches for applicability but did not evaluate the security patches for applicability within 35 calendar days but less than 50 calendar days of the last evaluation for the source or sources identified and has identified deficiencies but did not assess or correct the The Responsible Entity has documented or implemented one or more process(es) for patch management but did not include any processes, including the identification of sources, for tracking or evaluating cyber security patches for applicable Cyber Assets and has identified deficiencies but did not assess or correct the deficiencies. (2.1) OR The Responsible Entity has documented or implemented one or more process(es) for patch management but did not include any processes, including the identification of sources, for tracking, or evaluating cyber security patches for applicable Cyber Assets but did not identify, assess, or correct the deficiencies. (2.1) OR The Responsible Entity has documented and implemented one or more process(es) to evaluate uninstalled released security patches The Responsible Entity has documented or implemented one or more process(es) for patch management but did not include any processes for installing cyber security patches for applicable Cyber Assets and has identified deficiencies but did not assess or correct the deficiencies. (2.1) OR The Responsible Entity has documented or implemented one or more process(es) for patch management but did not include The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R2 and has identified deficiencies but did not assess or correct the deficiencies. (R2) OR The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R2 but did not identify, assess, or correct the deficiencies. (R2) OR The Responsible Entity has documented or implemented one or
but, in order to mitigate the vulnerabilities exposed by applicable security patches, did not apply the applicable patches, create a dated mitigation plan, or revise an existing mitigation plan within 35 calendar days but less than 50 calendar days of the evaluation completion and has identified deficiencies but did not assess or correct the deficiencies. (2.3) OR The Responsible Entity has one or more documented process(es) for evaluating cyber security patches but, in order to mitigate the vulnerabilities exposed by applicable security patches, evaluating cyber security patches but, in order to mitigate the vulnerabilities exposed by applicable security patches, did not apply the applicable patches, create a dated mitigation plan, or revise an existing mitigation plan within 50 calendar days but less than 65 calendar days of the evaluation completion but did not identify, assess, or correct the deficiencies. (2.3) documented and implemented one or more process(es) to evaluate uninstalled released security patches for applicability but did not evaluate the security patches for applicability within 65 calendar days of the last evaluation for the days source or sources identified but did not identify, assess, or correct the deficiencies. (2.2) OR The Responsible Entity has one or more documented process(es) for evaluating cyber security patches but, in order to mitigate the vulnerabilities exposed by applicable security patches, did not apply the applicable patches, create a dated mitigation plan, or delegate and has identified deficiencies but did not assess or correct the deficiencies. (2.4) OR The Responsible Entity documented a mitigation plan for an applicable cyber security patch and documented a revision or extension to the timeframe but did not obtain approval by the CIP Senior Manager or delegate but did not identify, assess, or correct the deficiencies. (2.4) OR The Responsible Entity documented a mitigation plan for an applicable cyber security patch but did not implement the plan as created or revised within the timeframe specified in the plan and has identified deficiencies but did not assess or correct the deficiencies. (2.4) OR The Responsible Entity documented a mitigation plan for an
the deficiencies. (3.3) method(s) to deter, detect, or prevent malicious code and has identified deficiencies but did not assess or correct the deficiencies. (3.1) OR The Responsible Entity has implemented one or more documented process(es) for malicious code prevention but did not deploy method(s) to deter, detect, or prevent malicious code and did not identify, assess, or correct the deficiencies. (3.1) CIP-007-5 R4. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented processes that collectively include each of the applicable requirement parts in CIP-007-5 Table R4 – Security Event Monitoring. The Responsible Entity has documented and implemented one or more process(es) to identify undetected Cyber Security Incidents by reviewing an The Responsible Entity has documented and implemented one or more process(es) to identify undetected Cyber Security Incidents by reviewing an entity-determined summarization or sampling of logged events at least every 15 calendar days but missed an interval and completed the review within 30 calendar days of the prior review and has identified deficiencies but did not assess or correct the deficiencies. (4.4) The Responsible Entity has documented and implemented one or more process(es) to generate alerts for necessary security events (as determined by the responsible entity) for the Applicable The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R4 and has identified deficiencies but did not assess or correct the deficiencies. (R4)
interval and completed the review within 22 calendar days of the prior review but did not identify, assess, or correct the deficiencies. (4.4) OR The Responsible Entity has documented and implemented one or more process(es) to log applicable events identified in 4.1 (where technically feasible and except during CIP Exceptional Circumstances) but did not retain applicable event logs for at least the last 90 consecutive days and has identified deficiencies but did not assess or correct the deficiencies. (4.3) OR The Responsible Entity has documented and implemented one or more process(es) to log applicable events identified in 4.1 (where technically feasible and except during CIP Exceptional Circumstances) required types of events described in 4.1.1 through 4.1.3 and did not identify, assess, or correct the deficiencies. (4.1)
process(es) to identify undetected Cyber Security Incidents by reviewing an entity-determined summarization or sampling of logged events at least every 15 calendar days but missed two or more intervals and did not identify, assess, or correct the deficiencies. (4.4) CIP-007-5 R5. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented processes that collectively include each of the applicable requirement parts in CIP-007-5 Table R5 – System Access Controls. The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 15 calendar months but less than or equal to 16 calendar The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 16 calendar months but less than or equal to 17 calendar months of the last password change and has identified deficiencies but did not assess or correct the deficiencies. (5.6) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification or inventory of all known enabled default or other generic account types, either by system, by groups of systems, by location, or by system type(s) and has identified deficiencies but did not assess or The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R5 and has identified deficiencies but did not assess or correct the deficiencies. (R5) OR The Responsible Entity did not implement or document one or more process(es) that included the applicable items in CIP-007-5 Table R5 and did not identify, assess, or
months of the last password change and has identified deficiencies but did not assess or correct the deficiencies. (5.6) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but did not technically or procedurally enforce password changes or an obligation to change the password within 15 calendar months but less than or equal to 16 calendar months of the last password change and did not identify, assess, or correct password changes or an obligation to change the password within 16 calendar months but less than or equal to 17 calendar months of the last password change and did not identify, assess, or correct the deficiencies. (5.6) correct the deficiencies. (5.2) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification or inventory of all known enabled default or other generic account types, either by system, by groups of systems, by location, or by system type(s) and did not identify, assess, or correct the deficiencies. (5.2) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification of the individuals correct the deficiencies. (R5) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, where technically feasible, does not have a method(s) to enforce authentication of interactive user access and has identified deficiencies but did not assess or correct the deficiencies. (5.1) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, where technically feasible, does not have a method(s) to enforce authentication of interactive user access and did not identify, assess, or correct the deficiencies. (5.1) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but did not, per device
the deficiencies. (5.6) with authorized access to shared accounts and has identified deficiencies but did not assess or correct the deficiencies. (5.3) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but, did not include the identification of the individuals with authorized access to shared accounts and did not identify, assess, or correct the deficiencies. (5.3) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access that did not capability, change known default passwords and has identified deficiencies but did not assess or correct the deficiencies. (5.4) OR The Responsible Entity has implemented one or more documented process(es) for System Access Controls but did not, per device capability, change known default passwords but did not identify, assess, or correct the deficiencies. (5.4) OR The Responsible Entity has implemented one or more documented process(es) for password-only authentication for interactive user access but the Responsible Entity did not technically or procedurally enforce all of the password parameters described in 5.5.1 and 5.5.2 and has identified deficiencies but did not assess or
changes or an obligation to change the password within 17 calendar months but less than or equal to 18 calendar months of the last password change and did not identify, assess, or correct the deficiencies. (5.6) assess or correct the deficiencies. (5.7) OR The Responsible Entity has implemented one or more documented process(es) for System Access Control but, where technically feasible, did not either limit the number of unsuccessful authentication attempts or generate alerts after a threshold of unsuccessful authentication attempts and did not identify, assess, or correct the deficiencies. (5.7) CIP-008-3 R1. Cyber Security Incident Response Plan — The Responsible Entity shall develop and maintain a Cyber Security Incident response plan and implement the plan in response to Cyber Security Incidents. The Cyber Security Incident response plan shall address, at a minimum, the following: N/A N/A The Responsible Entity has developed a Cyber Security Incident response plan that addresses all of the components required by R1.1 through R1.6 but has not maintained the plan in accordance with those components. The Responsible Entity has not developed a Cyber Security Incident response plan that addresses all of the components required by R1.1 through R1.6, or has not implemented the plan in response to a Cyber Security Incident. CIP-008-3 R1.1. Procedures to characterize and classify events as reportable Cyber Security Incidents. N/A N/A N/A N/A
Cyber Security Incidents reportable per Requirement R1.1 for three calendar years. to Cyber Security Incidents reportable per Requirement R1.1 for at least three calendar years. CIP-008-5 R1. Each Responsible Entity shall document one or more Cyber Security Incident response plan(s) that collectively include each of the applicable requirement parts in CIP‐008‐5 Table R1 – Cyber Security Incident Response Plan Specifications. N/A N/A The Responsible Entity has developed the Cyber Security Incident response plan(s), but the plan does not include the roles and responsibilities of Cyber Security Incident response groups or individuals. (1.3) OR The Responsible Entity has developed the Cyber Security Incident response plan(s), but the plan does not include incident handling procedures for Cyber Security Incidents. (1.4) The Responsible Entity has not developed a Cyber Security Incident response plan with one or more processes to identify, classify, and respond to Cyber Security Incidents. (1.1) OR The Responsible Entity has developed a Cyber Security Incident response plan, but the plan does not include one or more processes to identify Reportable Cyber Security Incidents. (1.2) OR The Responsible Entity has developed a Cyber Security Incident response plan, but did not provide at least preliminary notification to ES-ISAC within one from identification of a Reportable Cyber Security Incident. (1.2) CIP-008-5 R2. Each Responsible Entity shall implement each of its documented Cyber Security The Responsible Entity has not tested the Cyber The Responsible Entity has not tested the Cyber Security Incident response plan(s) within 16 calendar months, The Responsible Entity has not tested the Cyber The Responsible Entity has not tested the Cyber Security Incident
Incident response plans to collectively include each of the applicable requirement parts in CIP‐008‐5 Table R2 – Cyber Security Incident Response Plan Implementation and Testing. Security Incident response plan(s) within 15 calendar months, not exceeding 16 calendar months between tests of the plan. (2.1) not exceeding 17 calendar months between tests of the plan. (2.1) Security Incident response plan(s) within 17 calendar months, not exceeding 18 calendar months between tests of the plan. (2.1) OR The Responsible Entity did not document deviations, if any, from the plan during a test or when a Reportable Cyber Security Incident occurs. (2.2) response plan(s) within 18 calendar months between tests of the plan. (2.1) OR The Responsible Entity did not retain relevant records related to Reportable Cyber Security Incidents. (2.3) CIP-008-5 R3. Each Responsible Entity shall maintain each of its Cyber Security Incident response plans according to each of the applicable requirement parts in CIP‐008‐5 Table R3 – Cyber Security Incident Response Plan Review, Update, and Communication. The Responsible Entity has not notified each person or group with a defined role in the Cyber Security Incident response plan of updates to the Cyber Security Incident response plan within greater than 90 but less than 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.3) The Responsible Entity has not updated the Cyber Security Incident response plan on any documented lessons learned within 90 and less than 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.2) OR The Responsible Entity has not notified each person or group with a defined role in the Cyber Security Incident response plan of updates to the Cyber Security Incident response plan within 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.3) OR The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 90 and less than 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.1) OR The Responsible Entity has not updated the Cyber Security Incident The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.1)
The Responsible Entity has not updated the Cyber Security Incident response plan(s) or notified each person or group with a defined role within 60 and less than 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or Cyber Security Incident response groups or individuals, or Technology changes. response plan based on any documented lessons learned within 120 calendar days of a test or actual incident response to a Reportable Cyber Security Incident. (3.1.2) OR The Responsible Entity has not updated the Cyber Security Incident response plan(s) or notified each person or group with a defined role within 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or Cyber Security Incident response groups or individuals, or Technology changes. CIP-009-3 R1 Recovery Plans — The Responsible Entity shall create N/A N/A N/A The Responsible Entity has not created or has
deficiencies were identified, assessed, and corrected. (2.1) OR The Responsible Entity has not tested a representative sample of the information used in the recovery of BES Cyber System functionality according to R2 Part 2.2 within 15 calendar months, not exceeding 16 calendar months between tests, and when tested, any deficiencies were identified, assessed, and corrected. (2.2) OR The Responsible Entity has not tested the recovery plan according to R2 Part 2.3 within 36 calendar months, not exceeding 37 according to R2 Part 2.2 within 16 calendar months, not exceeding 17 calendar months between tests, and when tested, any deficiencies were identified, assessed, and corrected. (2.2) OR The Responsible Entity has not tested the recovery plan according to R2 Part 2.3 within 37 calendar months, not exceeding 38 calendar months between tests, and when tested, any deficiencies were identified, assessed, and corrected. (2.3) identified, assessed, and corrected. (2.1) OR The Responsible Entity has not tested a representative sample of the information used in the recovery of BES Cyber System functionality according to R2 Part 2.2 within 17 calendar months, not exceeding 18 calendar months between tests, and when tested, any deficiencies were identified, assessed, and corrected. (2.2) OR The Responsible Entity has not tested the recovery plan according to R2 Part 2.3 within 38 calendar months, not exceeding 39 calendar months between tests, and when tested, any deficiencies, but did not assess or correct the deficiencies. (2.1) OR The Responsible Entity has tested the recovery plan(s) according to R2 Part 2.1 but did not identify, assess, or correct the deficiencies. (2.1) OR The Responsible Entity has not tested a representative sample of the information used in the recovery of BES Cyber System functionality according to R2 Part 2.2 within 18 calendar months between tests. (2.2) OR The Responsible Entity has tested a representative sample of the information used in the recovery of BES Cyber System functionality according to R2 Part 2.2 and identified deficiencies, but did not assess or correct the deficiencies. (2.2)
correct the deficiencies. (2.3) CIP-009-5 R3. Each Responsible Entity shall maintain each of its recovery plans in accordance with each of the applicable requirement parts in CIP‐009‐5 Table R3 – Recovery Plan Review, Update and Communication. The Responsible Entity has not notified each person or group with a defined role in the recovery plan(s) of updates within 90 and less than 120 calendar days of the update being completed. (3.1.3) The Responsible Entity has not updated the recovery plan(s) based on any documented lessons learned within 90 and less than 120 calendar days of each recovery plan test or actual recovery. (3.1.2) OR The Responsible Entity has not notified each person or group with a defined role in the recovery plan(s) of updates within 120 calendar days of the update being completed. (3.1.3) OR The Responsible Entity has not updated the recovery plan(s) or notified each person or group with a defined role within 60 and less than 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or Responders, or Technology changes. The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 90 and less than 120 calendar days of each recovery plan test or actual recovery. (3.1.1) OR The Responsible Entity has not updated the recovery plan(s) based on any documented lessons learned within 120 calendar days of each recovery plan test or actual recovery. (3.1.2) OR The Responsible Entity has not updated the recovery plan(s) or notified each person or group with a defined role The Responsible Entity has neither documented lessons learned nor documented the absence of any lessons learned within 120 calendar days of each recovery plan test or actual recovery. (3.1.1)
within 90 calendar days of any of the following changes that the responsible entity determines would impact the ability to execute the plan: (3.2) Roles or responsibilities, or Responders, or Technology changes. CIP-010-1 R1. Each Responsible Entity shall implement, in a manner that identifies, assesses, and corrects deficiencies, one or more documented processes that collectively include each of the applicable requirement parts in CIP‐010‐1 Table R1 – Configuration Change Management. The Responsible Entity has documented and implemented a configuration change management process(es) that includes only four of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) OR The Responsible Entity has documented and implemented a configuration change The Responsible Entity has documented and implemented a configuration change management process(es) that includes only three of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) OR The Responsible Entity has documented and implemented a configuration change management process(es) that includes four of the required baseline items listed in 1.1.1 through 1.1.5 and identified deficiencies but did not assess and correct the deficiencies. (1.1) OR The Responsible Entity has documented and implemented a configuration change management process(es) that includes four of the The Responsible Entity has documented and implemented a configuration change management process(es) that includes only two of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) OR The Responsible Entity has documented and implemented a configuration change The Responsible Entity has not documented or implemented any configuration change management process(es). (R1) OR The Responsible Entity has documented and implemented a configuration change management process(es) that includes only one of the required baseline items listed in 1.1.1 through 1.1.5. (1.1) OR The Responsible Entity has documented and
1.4.1 and 1.4.2 for a change(s) that deviates from the existing baseline configuration and identified deficiencies in the verification documentation but did not assess or correct the deficiencies. (1.4.3) OR The Responsible Entity has a process(es) to perform steps in 1.4.1 and 1.4.2 for a change(s) that deviates from the existing baseline configuration but did not identify, assess, or correct the deficiencies in the verification documentation. (1.4.3) changes that deviate from the existing baseline configuration and identified deficiencies but did not assess or correct the deficiencies. (1.2) OR The Responsible Entity has a process(es) that requires authorization and documentation for changes that deviate from the existing baseline configuration but did not identify, assess, or correct the deficiencies. (1.2) OR The Responsible Entity has a process(es) to update baseline configurations within 30 calendar days of completing a change(s) that deviates from the existing baseline configuration and identified OR The Responsible Entity does not have a process(es) to update baseline configurations within 30 calendar days of completing a change(s) that deviates from the existing baseline configuration.(1.3) OR The Responsible Entity does not have a process(es) to determine required security controls in CIP-005 and CIP-007 that could be impacted by a change(s) that deviates from the existing baseline configuration. (1.4.1) OR The Responsible Entity has a process(es) to determine required security controls in CIP-005 and CIP-007 that could be impacted by a change(s) that deviates from the existing baseline configuration but did not verify and document that the
deficiencies but did not assess or correct the deficiencies. (1.3) OR The Responsible Entity has a process(es) to update baseline configurations within 30 calendar days of completing a change(s) that deviates from the existing baseline configuration but did not identify, assess, or correct the deficiencies. (1.3) OR The Responsible Entity has a process(es) to verify that required security controls in CIP-005 and are not adversely affected by a change(s) that deviates from the existing baseline configuration and identified deficiencies in required controls, required controls were not adversely affected following the change. (1.4.2 & 1.4.3) OR The Responsible Entity does not have a process for testing changes in an environment that models the baseline configuration prior to implementing a change that deviates from baseline configuration. (1.5.1) OR The Responsible Entity does not have a process to document the test results and, if using a test environment, document the differences between the test and production environments. (1.5.2)
performed a vulnerability assessment more than 15 months, but less than 18 months, since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 36 months, but less than 39 months, since the last active assessment on one of its applicable BES Cyber Systems. (3.2) The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 39 months, but less than 42 months, since the last active assessment on one of its applicable BES Cyber Systems. (3.2) vulnerability assessment more than 21 months, but less than 24 months, since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 42 months, but less than 45 months, since the last active assessment on one of its applicable BES Cyber Systems. (3.2) vulnerability assessment processes for each of its applicable BES Cyber Systems, but has performed a vulnerability assessment more than 24 months since the last assessment on one of its applicable BES Cyber Systems. (3.1) OR The Responsible Entity has implemented one or more documented active vulnerability assessment processes for Applicable Systems, but has performed an active vulnerability assessment more than 45 months since the last active assessment on one of its applicable BES Cyber Systems.(3.2) OR The Responsible Entity has implemented and documented one or more vulnerability assessment processes for each of its applicable BES Cyber Systems, but did not
damaged could result in instability, uncontrolled separation, or Cascading within an Interconnection performed a subsequent risk assessment but did so after 60 calendar months but less than or equal to 62 calendar months. subsequent risk assessment but did so after 64 calendar months but less than or equal to 66 calendar months; OR The Transmission Owner performed a risk assessment but failed to include Part 1.2. damaged could result in instability, uncontrolled separation, or Cascading within an Interconnection performed a subsequent risk assessment but did so after more than 66 calendar months; OR The Transmission Owner that has not identified in its previous risk assessment any Transmission station and Transmission substations that if rendered inoperable or damaged could result in instability, uncontrolled separation, or Cascading within an Interconnection failed to perform a subsequent risk assessment. CIP-014-2 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 The Transmission Owner had an unaffiliated third party verify the risk assessment performed under The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 but did so more than 100 calendar days but less than or The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 but did so more than
data request issued pursuant to Requirement R1. Requirement R1 but did so in more than 90 calendar days but less than or equal to 100 calendar days following completion of Requirement R1; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 and modified or documented the technical basis for not modifying its identification under Requirement R1 as required by Part 2.3 but did so more than 60 calendar days and less than or equal to 70 calendar days from completion of the third party verification. equal to 110 calendar days following completion of Requirement R1; Or The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 and modified or documented the technical basis for not modifying its identification under Requirement R1 as required by Part 2.3 but did so more than 70 calendar days and less than or equal to 80 calendar days from completion of the third party verification. but did so more than 110 calendar days but less than or equal to 120 calendar days following completion of Requirement R1; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 and modified or documented the technical basis for not modifying its identification under Requirement R1 as required by Part 2.3 but did so more than 80 calendar days from completion of the third party verification; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 120 calendar days following completion of Requirement R1; OR The Transmission Owner failed to have an unaffiliated third party verify the risk assessment performed under Requirement R1; OR The Transmission Owner had an unaffiliated third party verify the risk assessment performed under Requirement R1 but failed to implement procedures for protecting information per Part 2.4.
but failed to modify or document the technical basis for not modifying its identification under R1 as required by Part 2.3. CIP-014-2 R3. For a primary control center(s) identified by the Transmission Owner according to Requirement R1, Part 1.2 that a) operationally controls an identified Transmission station or Transmission substation verified according to Requirement R2, and b) is not under the operational control of the Transmission Owner: the Transmission Owner shall, within seven calendar days following completion of Requirement R2, notify the Transmission Operator that has operational control of the primary control center of such identification and the date of completion of Requirement R2. The Transmission Owner notified the Transmission Operator that operates the primary control center as specified in Requirement R3 but did so more than seven calendar days and less than or equal to nine calendar days following the completion of Requirement R2; OR The Transmission Owner notified the The Transmission Owner notified the Transmission Operator that operates the primary control center as specified in Requirement R3 but did so more than nine calendar days and less than or equal to 11 calendar days following the completion of Requirement R2; OR The Transmission Owner notified the Transmission Operator that operates the primary control center of the removal from the identification in Requirement R1 but did so more than nine calendar days and less than or equal to 11 calendar days following the verification or the subsequent risk assessment. The Transmission Owner notified the Transmission Operator that operates the primary control center as specified in Requirement R3 but did so more than 11 calendar days and less than or equal to 13 calendar days following the completion of Requirement R2; OR The Transmission Owner notified the Transmission Operator that operates the primary control center of the removal from the identification in Requirement R1 The Transmission Owner notified the Transmission Operator that operates the primary control center as specified in Requirement R3 but did so more than 13 calendar days following the completion of Requirement R2; OR The Transmission Owner failed to notify the Transmission Operator that it operates a control center identified in Requirement R1; OR The Transmission Owner notified the Transmission Operator that operates the primary control center
Transmission Operator that operates the primary control center of the removal from the identification in Requirement R1 but did so more than seven calendar days and less than or equal to nine calendar days following the verification or the subsequent risk assessment. but did so more than 11 calendar days and less than or equal to 13 calendar days following the verification or the subsequent risk assessment. of the removal from the identification in Requirement R1 but did so more than 13 calendar days following the verification or the subsequent risk assessment. OR The Transmission Owner failed to notify the Transmission Operator that operates the primary control center of the removal from the identification in Requirement R1. CIP-014-2 R4. Each Transmission Owner that identified a Transmission station, Transmission substation, or a primary control center in Requirement R1 and verified according to Requirement R2, and each Transmission Operator notified by a Transmission Owner according to Requirement R3, shall conduct an evaluation of the potential threats and vulnerabilities of a physical attack to each of their respective Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 and N/A The Responsible Entity conducted an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 but failed to consider one of Parts 4.1 through 4.3 in the evaluation. The Responsible Entity conducted an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 but failed to consider two of Parts 4.1 through The Responsible Entity failed to conduct an evaluation of the potential physical threats and vulnerabilities to each of its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1; OR The Responsible Entity conducted an evaluation of the
The Responsible Entity developed and implemented a documented physical security plan(s) that covers its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 and verified according to Requirement R2 but failed to include one of Parts through 5.4 in the plan. documented physical security plan(s) that covers its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 and verified according to Requirement R2 but failed to include three of Parts through 5.4 in the plan. station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 and verified according to Requirement R2. OR The Responsible Entity developed and implemented a documented physical security plan(s) that covers its Transmission station(s), Transmission substation(s), and primary control center(s) identified in Requirement R1 and verified according to Requirement 2 but failed to include Parts 5.1 through 5.4 in the plan. CIP-014-2 R6. Each Transmission Owner that identified a Transmission station, Transmission substation, or primary control center in Requirement R1 and verified according to Requirement R2, and each Transmission Operator notified by a Transmission Owner according to Requirement R3, shall have an unaffiliated The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 but did so in more than 100 calendar days but less than or equal to 110 calendar days; OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement The Responsible Entity failed to have an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5
third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5. The review may occur concurrently with or after completion of the evaluation performed under Requirement R4 and the security plan development under Requirement R5. Requirement R5 but did so in more than 90 calendar days but less than or equal to 100 calendar days; OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 and modified or documented the reason for not modifying the security plan(s) as specified in Part 6.3 but did so more than 60 calendar days and less than or equal to 70 calendar days following completion of the third party review. The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 and modified or documented the reason for not modifying the security plan(s) as specified in Part 6.3 but did so more than 70 calendar days and less than or equal to 80 calendar days following completion of the third party review. R5 but did so more than 110 calendar days but less than or equal to 120 calendar days; OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 and modified or documented the reason for not modifying the security plan(s) as specified in Part 6.3 but did so more than 80 calendar days following completion of the third party review; OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security in more than 120 calendar days; OR The Responsible Entity failed to have an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5; OR The Responsible Entity had an unaffiliated third party review the evaluation performed under Requirement R4 and the security plan(s) developed under Requirement R5 but failed to implement procedures for protecting information per Part 6.4.
accordance with Requirement R10. capability in accordance with Requirement R10. COM-001-2 R2. Each Reliability Coordinator shall designate an Alternative Interpersonal Communication capability with the following entities N/A N/A The Reliability Coordinator failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R2, Parts 2.1 or 2.2. The Reliability Coordinator failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R2, Parts 2.1 or 2.2. COM-001-2 R3. Each Transmission Operator shall have Interpersonal Communication capability with the following entities (unless the Transmission Operator detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): N/A N/A The Transmission Operator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R3, Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6, except when the Transmission Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Transmission Operator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R3, Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6, except when the Transmission Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. COM-001-2 R4. Each Transmission Operator shall designate an Alternative Interpersonal Communication N/A N/A The Transmission Operator failed to designate Alternative Interpersonal Communication capability with one of the entities listed in The Transmission Operator failed to designate Alternative Interpersonal Communication capability with two or more of the entities
capability with the following entities: Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4. listed in Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4. COM-001-2 R5. Each Balancing Authority shall have Interpersonal Communication capability with the following entities (unless the Balancing Authority detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): See Standard for additional information. N/A N/A The Balancing Authority failed to have Interpersonal Communication capability with one of the entities listed in Requirement R5, Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except when the Balancing Authority detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Balancing Authority failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R5, Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except when the Balancing Authority detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. COM-001-2 R6. Each Balancing Authority shall designate an Alternative Interpersonal Communication capability with the following entities: See Standard for additional information. N/A N/A The Balancing Authority failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R6, Parts 6.1, 6.2, or 6.3. The Balancing Authority failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R6, Parts 6.1, 6.2, or 6.3. COM-001-2 R7. Each Distribution Provider shall have Interpersonal Communication capability with the following entities N/A N/A The Distribution Provider failed to have Interpersonal Communication capability with one of the entities listed in The Distribution Provider failed to have Interpersonal Communication capability with two or more of the entities
each calendar month. If the test is unsuccessful, the responsible entity shall initiate action to repair or designate a replacement Alternative Interpersonal Communication capability within 2 hours. or designate a replacement Alternative Interpersonal Communication in more than 2 hours and less than or equal to 4 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 4 hours and less than or equal to 6 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 6 hours and less than or equal to 8 hours upon an unsuccessful test. OR The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair or designate a replacement Alternative Interpersonal Communication in more than 8 hours upon an unsuccessful test. COM-001-2 R10. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall notify entities as identified in Requirements R1, R3, and R5, respectively within 60 minutes of the detection of a failure of its Interpersonal Communication capability that lasts 30 minutes or longer. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 60 minutes but less than or equal to 70 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 70 minutes but less than or equal to 80 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 80 minutes but less than or equal to 90 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 90 minutes.
COM-001-2 R11. Each Distribution Provider and Generator Operator that detects a failure of its Interpersonal Communication capability shall consult each entity affected by the failure, as identified in Requirement R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to determine a mutually agreeable action for the restoration of its Interpersonal Communication capability. N/A N/A N/A The Distribution Provider or Generator Operator that detected a failure of its Interpersonal Communication capability failed to consult with each entity affected by the failure, as identified in Requirement R7 for a Distribution Provider or Requirement R8 for a Generator Operator, to determine a mutually agreeable action for the restoration of the Interpersonal Communication capability. COM-001-2.1 R1. Each Reliability Coordinator shall have Interpersonal Communication capability with the following entities (unless the Reliability Coordinator detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): [please see standard for more information] N/A N/A The Reliability Coordinator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R1, Parts 1.1 or 1.2, except when the Reliability Coordinator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Reliability Coordinator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R1, Parts 1.1 or 1.2, except when the Reliability Coordinator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10.
COM-001-2.1 R2. Each Reliability Coordinator shall designate an Alternative Interpersonal Communication capability with the following entities: [please see standard for more information] N/A N/A The Reliability Coordinator failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R2, Parts 2.1 or 2.2. The Reliability Coordinator failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R2, Parts 2.1 or 2.2. COM-001-2.1 R3. Each Transmission Operator shall have Interpersonal Communication capability with the following entities (unless the Transmission Operator detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): [please see standard for more information] N/A N/A The Transmission Operator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R3, Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6, except when the Transmission Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Transmission Operator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R3, Parts 3.1, 3.2, 3.3, 3.4, 3.5, or 3.6, except when the Transmission Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. COM-001-2.1 R4. Each Transmission Operator shall designate an Alternative Interpersonal Communication capability with the following entities: N/A N/A The Transmission Operator failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4. The Transmission Operator failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R4, Parts 4.1, 4.2, 4.3, or 4.4.
[please see standard for more information] COM-001-2.1 R5. Each Balancing Authority shall have Interpersonal Communication capability with the following entities (unless the Balancing Authority detects a failure of its Interpersonal Communication capability in which case Requirement R10 shall apply): [please see standard for more information] N/A N/A The Balancing Authority failed to have Interpersonal Communication capability with one of the entities listed in Requirement R5, Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except when the Balancing Authority detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. The Balancing Authority failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R5, Parts 5.1, 5.2, 5.3, 5.4, or 5.5, except when the Balancing Authority detected a failure of its Interpersonal Communication capability in accordance with Requirement R10. COM-001-2.1 R6. Each Balancing Authority shall designate an Alternative Interpersonal Communication capability with the following entities: [please see standard for more information] N/A N/A The Balancing Authority failed to designate Alternative Interpersonal Communication capability with one of the entities listed in Requirement R6, Parts 6.1, 6.2, or 6.3. The Balancing Authority failed to designate Alternative Interpersonal Communication capability with two or more of the entities listed in Requirement R6, Parts 6.1, 6.2, or 6.3. COM-001-2.1 R7. Each Distribution Provider shall have Interpersonal Communication capability with the following entities (unless the N/A N/A The Distribution Provider failed to have Interpersonal Communication capability with one of the entities listed in Requirement R7, Parts The Distribution Provider failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement
Distribution Provider detects a failure of its Interpersonal Communication capability in which case Requirement R11 shall apply): [please see standard for more information] 7.1 or 7.2, except when the Distribution Provider detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. R7, Parts 7.1 or 7.2, except when the Distribution Provider detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. COM-001-2.1 R8. Each Generator Operator shall have Interpersonal Communication capability with the following entities (unless the Generator Operator detects a failure of its Interpersonal Communication capability in which case Requirement R11 shall apply): [please see standard for more information] N/A N/A The Generator Operator failed to have Interpersonal Communication capability with one of the entities listed in Requirement R8, Parts 8.1 or 8.2, except when a Generator Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. The Generator Operator failed to have Interpersonal Communication capability with two or more of the entities listed in Requirement R8, Parts 8.1 or 8.2, except when a Generator Operator detected a failure of its Interpersonal Communication capability in accordance with Requirement R11. COM-001-2.1 R9. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall test its Alternative Interpersonal Communication capability at least once The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority tested the Alternative Interpersonal Communication capability but failed to initiate action to repair The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to test the Alternative Interpersonal Communication
each calendar month. If the test is unsuccessful, the responsible entity shall initiate action to repair or designate a replacement Alternative Interpersonal Communication capability within 2 hours. or designate a replacement Alternative Interpersonal Communication in more than 2 hours and less than or equal to 4 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 4 hours and less than or equal to 6 hours upon an unsuccessful test. or designate a replacement Alternative Interpersonal Communication in more than 6 hours and less than or equal to 8 hours upon an unsuccessful test. capability once each calendar month. COM-001-2.1 R10. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall notify entities as identified in Requirements R1, R3, and R5, respectively within 60 minutes of the detection of a failure of its Interpersonal Communication capability that lasts 30 minutes or longer. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 60 minutes but less than or equal to 70 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 70 minutes but less than or equal to 80 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 80 minutes but less than or equal to 90 minutes. The Reliability Coordinator, Transmission Operator, or Balancing Authority failed to notify the entities identified in Requirements R1, R3, and R5, respectively upon the detection of a failure of its Interpersonal Communication capability in more than 90 minutes. COM-001-2.1 R11. Each Distribution Provider and Generator Operator that detects a failure of its Interpersonal Communication capability shall consult each entity affected by the failure, as N/A N/A N/A The Distribution Provider or Generator Operator that detected a failure of its Interpersonal Communication capability failed to consult with each entity affected by the failure, as identified in
Authorities and Transmission Operators through predetermined communication paths of any condition that could threaten the reliability of its area or when firm load shedding is anticipated. communication paths of any condition that could threaten the reliability of its area or when firm load shedding was anticipated. reliability of its area or when firm load shedding was anticipated. COM-002-2 R2. Each Reliability Coordinator, Transmission Operator, and Balancing Authority shall issue directives in a clear, concise, and definitive manner; shall ensure the recipient of the directive repeats the information back correctly; and shall acknowledge the response as correct or repeat the original statement to resolve any misunderstandings. N/A The responsible entity provided a clear directive in a clear, concise and definitive manner and required the recipient to repeat the directive, but did not acknowledge the recipient was correct in the repeated directive. The responsible entity provided a clear directive in a clear, concise and definitive manner, but did not require the recipient to repeat the directive. The responsible entity failed to provide a clear directive in a clear, concise and definitive manner when required. COM-002-4 R1. Each Balancing Authority, Reliability Coordinator, and Transmission Operator shall develop documented communications protocols for its The responsible entity did not specify the instances that require time identification when issuing an oral or written Operating Instruction and the format for that time The responsible entity did not require the issuer and receiver of an oral or written Operating Instruction to use the English language, unless agreed to otherwise, as The responsible entity did not include Requirement R1, Part 1.4 in its documented communication protocols. The responsible entity did not include Requirement R1, Part 1.2 in its documented communications protocols OR
operating personnel that issue and receive Operating Instructions. The protocols shall, at a minimum: identification, as required in Requirement R1, Part 1.5 OR The responsible entity did not specify the nomenclature for Transmission interface Elements and Transmission interface Facilities when issuing an oral or written Operating Instruction, as required in Requirement R1, Part 1.6. required in Requirement R1, Part 1.1. An alternate language may be used for internal operations. The responsible entity did not include Requirement R1, Part 1.3 in its documented communications protocols OR The responsible entity did not develop any documented communications protocols as required in Requirement R1. COM-002-4 R2. Each Balancing Authority, Reliability Coordinator, and Transmission Operator shall conduct initial training for each of its operating personnel responsible for the Real-time operation of the interconnected Bulk Electric System on the documented communications protocols developed in Requirement R1 prior to that individual operator issuing an Operating Instruction. N/A N/A An individual operator responsible for the Real-time operation of the interconnected Bulk Electric System at the responsible entity issued an Operating Instruction, prior to being trained on the documented communications protocols developed in Requirement R1. An individual operator responsible for the Real-time operation of the interconnected Bulk Electric System at the responsible entity issued an Operating Instruction during an Emergency prior to being trained on the documented communications protocols developed in Requirement R1. COM-002-4 R3. Each Distribution Provider and N/A N/A An individual operator at the responsible An individual operator at the responsible
Generator Operator shall conduct initial training for each of its operating personnel who can receive an oral two-party, Operating Instruction prior to that individual operator receiving an oral two-party, Operating Instruction to either: See standard for additional information. entity received an Operating Instruction prior to being trained. entity received an Operating Instruction during an Emergency prior to being trained. COM-002-4 R4. Each Balancing Authority, Reliability Coordinator, and Transmission Operator shall at least once every twelve (12) calendar months: See standard for additional information. The responsible entity assessed adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions and provided feedback to those operating personnel and took corrective action, as appropriate AND The responsible entity assessed the effectiveness of its documented communications protocols in Requirement R1 for its The responsible entity assessed adherence to the documented communications protocols in Requirement R1 by its operating personnel that issue and receive Operating Instructions, but did not provide feedback to those operating personnel OR The responsible entity assessed adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions The responsible entity did not assess adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions OR The responsible entity did not assess the effectiveness of its documented communications protocols in Requirement R1 for its operating personnel that issue and receive Operating Instructions. The responsible entity did not assess adherence to the documented communications protocols in Requirements R1 by its operating personnel that issue and receive Operating Instructions AND The responsible entity did not assess the effectiveness of its documented communications protocols in Requirement R1 for its operating personnel that issue and receive Operating Instructions.
operating personnel that issue and receive Operating Instructions and modified its documented communication protocols, as necessary AND The responsible entity exceeded twelve (12) calendar months between assessments. and provided feedback to those operating personnel but did not take corrective action, as appropriate OR The responsible entity assessed the effectiveness of its documented communications protocols in Requirement R1 for its operating personnel that issue and receive Operating Instructions, but did not modify its documented communication protocols, as necessary. COM-002-4 R5. Each Balancing Authority, Reliability Coordinator, and Transmission Operator that issues an oral Operating Instruction during an Emergency, excluding written or oral to multiple-party burst Operating Instructions, shall either: See standard N/A The responsible entity that issued an Operating Instruction during an Emergency did not take one of the following actions: • Confirmed the receiver’s response if the repeated information was correct (in accordance with Requirement R6). N/A The responsible entity that issued an Operating Instruction during an Emergency did not take one of the following actions: • Confirmed the receiver’s response if the repeated information was correct (in accordance with Requirement R6).
for additional information. • Reissued the Operating Instruction if the repeated information was incorrect or if requested by the receiver. • Took an alternative action if a response was not received or if the Operating Instruction was not understood by the receiver. • Reissued the Operating Instruction if the repeated information was incorrect or if requested by the receiver. • Took an alternative action if a response was not received or if the Operating Instruction was not understood by the receiver. AND Instability, uncontrolled separation, or cascading failures occurred as a result. COM-002-4 R6. Each Balancing Authority, Distribution Provider, Generator Operator, and Transmission Operator that receives an oral two-party, Operating Instruction during an Emergency, excluding written or oral to multiple-party burst Operating Instructions, shall either: See standard N/A The responsible entity did not repeat, not necessarily verbatim, the Operating Instruction during an Emergency and receive confirmation from the issuer that the response was correct, or request that the issuer reissue the Operating Instruction when receiving an Operating Instruction. N/A The responsible entity did not repeat, not necessarily verbatim, the Operating Instruction during an Emergency and receive confirmation from the issuer that the response was correct, or request that the issuer reissue the Operating Instruction when receiving an Operating Instruction AND
for additional information. Instability, uncontrolled separation, or cascading failures occurred as a result. COM-002-4 R7. Each Balancing Authority, Reliability Coordinator, and Transmission Operator that issues a written or oral single-party to multiple-party burst Operating Instruction during an Emergency shall confirm or verify that the Operating Instruction was received by at least one receiver of the Operating Instruction. N/A The responsible entity that that issued a written or oral to multiple-party burst Operating Instruction during an Emergency did not confirm or verify that the Operating Instruction was received by at least one receiver of the Operating Instruction. N/A The responsible entity that that issued a written or oral to multiple-party burst Operating Instruction during an Emergency did not confirm or verify that the Operating Instruction was received by at least one receiver of the Operating Instruction AND Instability, uncontrolled separation, or cascading failures occurred as a result. Complete Violation Severity Level Matrix (EOP) Encompassing All Commission-Approved Reliability Standards Standard Number Requirement Number Text of Requirement Lower VSL Moderate VSL High VSL Severe VSL R1. Balancing Authorities shall have operating agreements with adjacent Balancing Authorities that shall, at a minimum, contain provisions for emergency assistance, including provisions to obtain The Balancing Authority failed to demonstrate the existence of the The Balancing Authority failed to demonstrate the The Balancing Authority failed to demonstrate the existence of the The Balancing Authority failed to demonstrate the
emergency assistance from remote Balancing Authorities. necessary operating agreements for less than 25% of the adjacent BAs. Or less than 25% of those agreements do not contain provisions for emergency assistance. existence of the necessary operating agreements for 25% to 50% of the adjacent BAs. Or 25 to 50% of those agreements do not contain provisions for emergency assistance. necessary operating agreements for 50% to 75% of the adjacent BAs. Or 50% to 75% of those agreements do not contain provisions for emergency assistance. existence of the necessary operating agreements for 75% or more of the adjacent BAs. Or more than 75% of those agreements do not contain provisions for emergency assistance. R2. Each Transmission Operator and Balancing Authority shall: The Transmission Operator or Balancing Authority failed to comply with one (1) of the The Transmission Operator or Balancing Authority failed to comply with two (2) of the N/A The Transmission Operator or Balancing Authority has failed to comply with three (3) of the sub-components. R2.1 Develop, maintain, and implement a set of plans to mitigate operating emergencies for insufficient generating capacity. The Transmission Operator or Balancing Authority’s emergency plans to mitigate insufficient generating capacity are missing minor details or minor program/procedural elements. The Transmission Operator or Balancing Authority's has demonstrated the existence of emergency plans to mitigate insufficient generating capacity emergency plans but the plans are not maintained. The Transmission Operator or Balancing Authority's emergency plans to mitigate insufficient generating capacity emergency plans are neither maintained nor implemented. The Transmission Operator or Balancing Authority has failed to develop emergency mitigation plans for insufficient generating capacity. R2.2 Develop, maintain, and implement a set of plans to mitigate operating emergencies on the transmission system. The Transmission Operator or Balancing Authority’s plans to mitigate transmission system emergencies are missing minor details or minor program/procedural elements. The Transmission Operator or Balancing Authority's has demonstrated the existence of transmission system emergency plans but are not maintained. The Transmission Operator or Balancing Authority's transmission system emergency plans are neither maintained nor implemented. The Transmission Operator or Balancing Authority has failed to develop, maintain, and implement operating emergency mitigation plans for emergencies on the transmission system. components.
R2.3 Develop, maintain, and implement a set of plans for load shedding. The Transmission Operator or Balancing Authority’s load shedding plans are missing minor details or minor program/procedural elements. The Transmission Operator or Balancing Authority's has demonstrated the existence of load shedding plans but are not maintained. The Transmission Operator or Balancing Authority's load shedding plans are partially compliant with the requirement but are neither maintained nor implemented. The Transmission Operator or Balancing Authority has failed to develop, maintain, and implement load shedding plans. R3. Each Transmission Operator and Balancing Authority shall have emergency plans that will enable it to mitigate operating emergencies. At a minimum, Transmission Operator and Balancing Authority emergency plans shall include: The Transmission Operator or Balancing Authority failed to comply with one (1) of the The Transmission Operator or Balancing Authority failed to comply with two (2) of the The Transmission Operator or Balancing Authority has failed to comply with three (3) of the sub-components. The Transmission Operator or Balancing Authority has failed to comply with all four (4) of the sub-components. R3.1. Communications protocols to be used during emergencies. The Transmission Operator or Balancing Authority’s communication protocols included in the emergency plan are missing minor program/procedural elements. N/A N/A The Transmission Operator or Balancing Authority has failed to include communication protocols in its emergency plans to mitigate operating emergencies. R3.2. A list of controlling actions to resolve the emergency. Load reduction, in sufficient quantity to resolve the emergency within NERC-established timelines, shall be one of the controlling actions. The Transmission Operator or Balancing Authority’s list of controlling actions has resulted in meeting the intent of the requirement but is missing minor program/procedural elements. N/A The Transmission Operator or Balancing Authority provided a list of controlling actions, however the actions fail to resolve the emergency within NERC-established timelines. The Transmission Operator or Balancing Authority has failed to provide a list of controlling actions to resolve the emergency. R3.3. The tasks to be coordinated with and among adjacent Transmission Operators and Balancing Authorities. The Transmission Operator or Balancing Authority has demonstrated N/A N/A The Transmission Operator or Balancing Authority has failed to
coordination with Transmission Operators and Balancing Authorities but is missing minor program/procedural elements. demonstrate the tasks to be coordinated with adjacent Transmission Operator and Balancing Authorities as directed by the requirement. R3.4. Staffing levels for the emergency. The Transmission Operator or Balancing Authority’s emergency plan does not include staffing levels for the emergency. N/A N/A N/A R4. Each Transmission Operator and Balancing Authority shall include the applicable elements in Attachment 1-EOP-001 when developing an emergency plan. The Transmission Operator and Balancing Authority’s emergency plan has complied with 90% or more of the number of sub-components. The Transmission Operator and Balancing Authority’s emergency plan has complied with 70% to 90% of the number of The Transmission Operator and Balancing Authority’s emergency plan has complied with between 50% to 70% of the number of subcomponents. The Transmission Operator and Balancing Authority’s emergency plan has complied with 50% or less of the number of sub-components. R5. The Transmission Operator and Balancing Authority shall annually review and update each emergency plan. The Transmission Operator and Balancing Authority shall provide a copy of its updated emergency plans to its Reliability Coordinator and to neighboring Transmission Operators and Balancing Authorities. The Transmission Operator and Balancing Authority is missing minor program/procedural elements. The Transmission Operator and Balancing Authority has failed to annually review one of it's emergency plans. The Transmission Operator and Balancing Authority has failed to annually review two of its emergency plans or communicate with one of it's neighboring Balancing Authorities. The Transmission Operator and Balancing Authority has failed to annually review and/or communicate any emergency plans with its Reliability Coordinator, neighboring Transmission Operators or Balancing Authorities. R6. The Transmission Operator and Balancing Authority shall coordinate its emergency plans with other Transmission Operators The Transmission Operator and/or the Balancing Authority The Transmission Operator and/or the Balancing Authority The Transmission Operator and/or the Balancing Authority The Transmission Operator and/or the Balancing Authority
and Balancing Authorities as appropriate. This coordination includes the following steps, as applicable: failed to comply with one (1) of the subcomponents. failed to comply with two (2) of the subcomponents. has failed to comply with three (3) of the sub-components. has failed to comply with four (4) or more of the R6.1. The Transmission Operator and Balancing Authority shall establish and maintain reliable communications between interconnected systems. The Transmission Operator or Balancing Authority has failed to establish and maintain reliable communication between interconnected systems. N/A N/A N/A R6.2. The Transmission Operator and Balancing Authority shall arrange new interchange agreements to provide for emergency capacity or energy transfers if existing agreements cannot be used. The Transmission Operator or Balancing Authority has failed to arrange new interchange agreements to provide for emergency capacity or energy transfers with required entities when existing agreements could not be used. N/A N/A N/A R6.3. The Transmission Operator and Balancing Authority shall coordinate transmission and generator maintenance schedules to maximize capacity or conserve the fuel in short supply. (This includes water for hydro generators.) The Transmission Operator or Balancing Authority has failed to coordinate transmission and generator maintenance schedules to maximize capacity or conserve fuel in short supply. N/A N/A N/A R6.4. The Transmission Operator and Balancing Authority shall arrange deliveries of electrical energy or fuel from remote systems through normal operating channels. The Transmission Operator or Balancing Authority has failed to arrange N/A N/A N/A
for deliveries of electrical energy or fuel from remote systems through normal operating channels. EOP-002-3.1 R1. Each Balancing Authority and Reliability Coordinator shall have the responsibility and clear decision-making authority to take whatever actions are needed to ensure the reliability of its respective area and shall exercise specific authority to alleviate capacity and energy emergencies. N/A N/A N/A The Balancing Authority or Reliability Coordinator does not have responsibility and clear authority to take whatever actions are needed to ensure the reliability of its respective area OR The Balancing Authority or Reliability Coordinator did not exercise its authority to alleviate capacity and energy emergencies. EOP-002-3.1 R2. Each Balancing Authority shall, when required and as appropriate, take one or more actions as described in its capacity and energy emergency plan, to reduce risks to the interconnected system. N/A N/A N/A The Balancing Authority did not implement its capacity and energy emergency plan, when required and as appropriate, to reduce risks to the interconnected system. EOP-002-3.1 R3. A Balancing Authority that is experiencing an operating capacity or energy emergency shall communicate its current and future system conditions to its Reliability N/A N/A The Balancing Authority communicated its current and future The Balancing Authority has failed to communicate its current and future
Coordinator and neighboring Balancing Authorities. system conditions to its Reliability Coordinator but did not communicate to one or more of its neighboring Balancing Authorities. system conditions to its Reliability Coordinator and neighboring Balancing Authorities. EOP-002-3.1 R4. A Balancing Authority anticipating an operating capacity or energy emergency shall perform all actions necessary including bringing on all available generation, postponing equipment maintenance, scheduling interchange purchases in advance, and being prepared to reduce firm load. N/A N/A N/A The Balancing Authority has failed to perform the necessary actions as required and stated in the requirement. EOP-002-3.1 R5. A deficient Balancing Authority shall only use the assistance provided by the Interconnection’s frequency bias for the time needed to implement corrective actions. The Balancing Authority shall not unilaterally adjust generation in an attempt to return Interconnection frequency to normal beyond that supplied through frequency bias action and Interchange Schedule changes. Such unilateral adjustment may overload transmission facilities. N/A N/A The Balancing Authority used the assistance provided by the Interconnection’s frequency bias for more time than needed to implement corrective actions. The Balancing Authority used the assistance provided by the Interconnection’s frequency bias for more time than needed to implement corrective actions and unilaterally adjust generation in an attempt to return Interconnection frequency to normal beyond that supplied through frequency bias action and Interchange Schedule changes. EOP-002-3.1 R6. If the Balancing Authority cannot comply with the Control Performance and Disturbance Control Standards, then it shall immediately implement remedies to do so. These remedies include, but are not limited to: The Balancing Authority failed to comply with one of the sub-components. The Balancing Authority failed to comply with 2 of the sub-components. The Balancing Authority failed to comply with of the sub-components. The Balancing Authority failed to comply with more than 3 of the
EOP-002-3.1 R7.1. Manually shed firm load without delay to return its ACE to zero; and N/A N/A N/A The Balancing Authority did not manually shed firm load without delay to return it’s ACE to zero. EOP-002-3.1 R7.2. Request the Reliability Coordinator to declare an Energy Emergency Alert in accordance with Attachment 1-EOP-002 “Energy Emergency Alerts.” The Balancing Authority’s implementation of an Energy Emergency Alert has missed minor program/procedural elements in Attachment N/A N/A The Balancing Authority has failed to meet one or more of the requirements of Attachment EOP-002-3.1 R8. A Reliability Coordinator that has any Balancing Authority within its Reliability Coordinator area experiencing a potential or actual Energy Emergency shall initiate an Energy Emergency Alert as detailed in Attachment 1-EOP-002 “Energy Emergency Alerts.” The Reliability Coordinator shall act to mitigate the emergency condition, including a request for emergency assistance if required. The Reliability Coordinator’s implementation of an Energy Emergency Alert has missed minor program/procedural elements in Attachment N/A N/A The Reliability Coordinator has failed to meet one or more of the requirements of Attachment EOP-002-3.1 R9. When a Transmission Service Provider expects to elevate the transmission service priority of an Interchange Transaction from Priority 6 (Network Integration Transmission Service from Non-designated Resources) to Priority 7 (Network Integration Transmission Service from designated Network Resources) as permitted in its transmission tariff: The Reliability Coordinator failed to comply with one (1) of the The Reliability Coordinator failed to comply with two (2) of the The Reliability Coordinator has failed to comply with three (3) of the The Reliability Coordinator has failed to comply with all four (4) of the EOP-002-3.1 R9.1. The deficient Load-Serving Entity shall request its Reliability Coordinator to N/A N/A N/A The Load-Serving Entity failed to request
determine that an under-voltage load shedding scheme is required. undervoltage conditions as directed by the requirement. EOP-003-2 R3. Each Transmission Operator and Balancing Authority shall coordinate load shedding plans, excluding automatic under-frequency load shedding plans, among other interconnected Transmission Operators and Balancing Authorities. The responsible entity did not coordinate load shedding plans, as directed by the requirement, affecting 5% or less of its required entities. The responsible entity did not coordinate load shedding plans, as directed by the requirement, affecting more than 5% up to (and including) 10% of its required entities. The responsible entity did not coordinate load shedding plans, as directed by the requirement, affecting more than 10%, up to (and including) 15% or less, of its required entities. The responsible entity did not coordinate load shedding plans, as directed by the requirement, affecting more than 15% of its required entities. EOP-003-2 R4. A Transmission Operator shall consider one or more of these factors in designing an automatic under voltage load shedding scheme: voltage level, rate of voltage decay, or power flow levels. N/A N/A N/A The Transmission Operator failed to consider at least one of the three elements voltage level, rate of voltage decay, or power flow levels) listed in the requirement. EOP-003-2 R5. A Transmission Operator or Balancing Authority shall implement load shedding, excluding automatic under-frequency load shedding, in steps established to minimize the risk of further uncontrolled separation, loss of generation, or system shutdown. N/A N/A N/A The Transmission Operator or Balancing Authority failed to implement load shedding in steps established to minimize the risk of further uncontrolled separation, loss of generation, or system shutdown. EOP-003-2 R6. After a Transmission Operator or Balancing Authority Area separates from the Interconnection, if there is insufficient generating capacity to restore system N/A N/A N/A The Transmission Operator or Balancing Authority failed to shed additional load
The Responsible Entity validated 75% but less than 100% of the contact information contained in the Operating Plan. The Responsible Entity validated 50% and less than 75% of the contact information contained in the Operating Plan. The Responsible Entity validated 25% and less than 50% of the contact information contained in the Operating Plan. The Responsible Entity validated less than 25% of contact information contained in the Operating Plan. EOP-005-2 R1. Each Transmission Operator shall have a restoration plan approved by its Reliability Coordinator. The restoration plan shall allow for restoring the Transmission Operator’s System following a Disturbance in which one or more areas of the Bulk Electric System (BES) shuts down and the use of Blackstart Resources is required to restore the shut down area to service, to a state whereby the choice of the next Load to be restored is not driven by the need to control frequency or voltage regardless of whether the Blackstart Resource is located within the Transmission Operator’s System. The restoration plan shall include: [please see standard for more information] The Transmission Operator has an approved plan but failed to comply with one of the within the requirement. The Transmission Operator has an approved plan but failed to comply with two of the within the requirement. The Transmission Operator has an approved plan but failed to comply with three of the within the requirement. The Transmission Operator does not have an approved restoration plan. EOP-005-2 R2. Each Transmission Operator shall provide the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. The Transmission Operator failed to provide one of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR The Transmission Operator failed to provide two of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR The Transmission Operator failed to provide three of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR The Transmission Operator failed to provide four or more of the entities identified in its approved restoration plan with a description of any changes to their roles and specific tasks prior to the implementation date of the plan. OR
The Transmission Operator provided the information to all entities but was up to 10 calendar days late in doing so. The Transmission Operator provided the information to all entities but was more than 10 and less than or equal to 20 calendar days late in doing so. The Transmission Operator provided the information to all entities but was more than 20 and less than or equal to 30 calendar days late in doing so. The Transmission Operator provided the information to all entities but was more than 30 calendar days late in doing so. EOP-005-2 R3. Each Transmission Operator shall review its restoration plan and submit it to its Reliability Coordinator annually on a mutually agreed predetermined schedule. [please see standard for more information] The Transmission Operator submitted the reviewed restoration plan or confirmation of no change within 30 calendar days after the pre-determined schedule. The Transmission Operator submitted the reviewed restoration plan or confirmation of no change more than 30 and less than or equal to 60 calendar days after the schedule. The Transmission Operator submitted the reviewed restoration plan or confirmation of no change more than 60 and less than or equal to 90 calendar days after the pre-determined schedule. The Transmission Operator submitted the reviewed restoration plan or confirmation of no change more than 90 calendar days after the pre-determined schedule. EOP-005-2 R4. Each Transmission Operator shall update its restoration plan within 90 calendar days after identifying any unplanned permanent System modifications, or prior to implementing a planned BES modification, that would change the implementation of its restoration plan. [please see standard for more information] The Transmission Operator failed to update and submit its restoration plan to the Reliability Coordinator within 90 calendar days of an unplanned change. The Transmission Operator failed to update and submit its restoration plan to the Reliability Coordinator within more than 90 calendar days but less than120 calendar days of an unplanned change. The Transmission Operator has failed to update and submit its restoration plan to the Reliability Coordinator within more than 120 calendar days but less than 150 calendar days of unplanned change. The Transmission Operator has failed to update and submit its restoration plan to the Reliability Coordinator within more than 150 calendar days of an unplanned change. OR The Transmission Operator failed to update and submit its restoration plan to the Reliability Coordinator prior to a planned BES modification.
EOP-005-2 R5. Each Transmission Operator shall have a copy of its latest Reliability Coordinator approved restoration plan within its primary and backup control rooms so that it is available to all of its System Operators prior to its implementation date. N/A N/A N/A The Transmission Operator did not make the latest Reliability Coordinator approved restoration plan available in its primary and backup control rooms prior to its implementation date. EOP-005-2 R6. Each Transmission Operator shall verify through analysis of actual events, steady state and dynamic simulations, or testing that its restoration plan accomplishes its intended function. This shall be completed every five years at a minimum. Such analysis, simulations or testing shall verify: [please see standard for more information] The Transmission Operator performed the verification within the required timeframe but did not comply with one of the The Transmission Operator performed the verification within the required timeframe but did not comply with two of the The Transmission Operator performed the verification but did not complete it within the five calendar year period. The Transmission Operator did not perform the verification or it took more than six calendar years to complete the verification. OR The Transmission Operator performed the verification within the required timeframe but did not comply with any of the sub-requirements. EOP-005-2 R7. Following a Disturbance in which one or more areas of the BES shuts down and the use of Blackstart Resources is required to restore the shut down area to service, each affected Transmission Operator shall implement its restoration plan. If the restoration plan cannot be executed as expected the Transmission Operator shall utilize its restoration strategies to facilitate restoration. N/A N/A N/A The Transmission Operator did not implement its restoration plan following a Disturbance in which Blackstart Resources have been utilized in restoring the shut down area of the BES. Or, if the restoration plan cannot be executed as expected, the requirements. requirements.
Transmission Operator did not utilize its restoration plan strategies to facilitate restoration. EOP-005-2 R8. Following a Disturbance in which one or more areas of the BES shuts down and the use of Blackstart Resources is required to restore the shut down area to service, the Transmission Operator shall resynchronize area(s) with neighboring Transmission Operator area(s) only with the authorization of the Reliability Coordinator or in accordance with the established procedures of the Reliability Coordinator. N/A N/A N/A The Transmission Operator resynchronized without approval of the Reliability Coordinator or not in accordance with the established procedures of the Reliability Coordinator following a Disturbance in which Blackstart Resources have been utilized in restoring the shut down area of the BES to service. EOP-005-2 R9. Each Transmission Operator shall have Blackstart Resource testing requirements to verify that each Blackstart Resource is capable of meeting the requirements of its restoration plan. These Blackstart Resource testing requirements shall include: [please see standard for more information] N/A N/A N/A The Transmission Operator’s Blackstart Resource testing requirements do not address one or more of the of Requirement R9. EOP-005-2 R10. Each Transmission Operator shall include within its operations training program, annual System restoration training for its System Operators to assure the proper execution of its restoration plan. This training program shall include training on The Transmission Operator’s training does not address one of the of Requirement R10. The Transmission Operator’s training does not address two of the of Requirement R10. The Transmission Operator’s training does not address three or more of the of Requirement R10. The Transmission Operator has not included System restoration training in its operations training program.
the following: [please see standard for more information] EOP-005-2 R11. Each Transmission Operator, each applicable Transmission Owner, and each applicable Distribution Provider shall provide a minimum of two hours of System restoration training every two calendar years to their field switching personnel identified as performing unique tasks associated with the Transmission Operator’s restoration plan that are outside of their normal tasks. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train 5% or 10%less of the personnel required by Requirement R11 within a two calendar year period. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train more than 5% and up to 10% of the personnel required by Requirement R11 within a two calendar year period. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train more than 10% and up to 15% of the personnel required by Requirement R11 within a two calendar year period. The Transmission Operator, applicable Transmission Owner, or applicable Distribution Provider failed to train more than 15% the personnel required by Requirement R11 within a two calendar year period. EOP-005-2 R12. Each Transmission Operator shall participate in its Reliability Coordinator’s restoration drills, exercises, or simulations as requested by its Reliability Coordinator. N/A N/A N/A The Transmission Operator has failed to comply with a request for their participation from the Reliability Coordinator. EOP-005-2 R13. Each Transmission Operator and each Generator Operator with a Blackstart Resource shall have written Blackstart Resource Agreements or mutually agreed upon procedures or protocols, specifying the terms and conditions of their arrangement. Such Agreements shall include references to the Blackstart Resource testing N/A The Transmission Operator and Generator Operator with a Blackstart Resource do not reference Blackstart Resource Testing requirements in their written Blackstart Resource Agreements or mutually agreed upon procedures or protocols. N/A The Transmission Operator and Generator Operator with a Blackstart resource do not have a written Blackstart Resource Agreement or mutually agreed upon procedure or protocol.
R16.2. Each Generator Operator shall provide the blackstart test results within 30 calendar days following a request from its Reliability Coordinator or Transmission Operator. records as requested for 31 to 60 calendar days of the request. EOP-005-2 R17. Each Generator Operator with a Blackstart Resource shall provide a minimum of two hours of training every two calendar years to each of its operating personnel responsible for the startup of its Blackstart Resource generation units and energizing a bus. The training program shall include training on the following: [please see standard for more information] The Generator Operator with a Blackstart Resource did not train less than or equal to 10% of the personnel required by Requirement R17 within a two calendar year period. The Generator Operator with a Blackstart Resource did not train more than 10% and less than or equal to 25% of the personnel required by Requirement R17 within a two calendar year period. The Generator Operator with a Blackstart Resource did not train more than 25% and less than or equal to 50% of the personnel required by Requirement R17 within a two calendar year period. The Generator Operator with a Blackstart Resource did not train more than 50% of the personnel required by Requirement R17 within a two calendar year period. EOP-005-2 R18. Each Generator Operator shall participate in the Reliability Coordinator’s restoration drills, exercises, or simulations as requested by the Reliability Coordinator. N/A N/A N/A The Generator Operator failed to participate in the Reliability Coordinator’s restoration drills, exercises, or simulations as requested by the Reliability Coordinator. EOP-006-2 R1. Each Reliability Coordinator shall have a Reliability Coordinator Area restoration plan. The scope of the Reliability Coordinator’s restoration plan starts when Blackstart Resources are utilized to a shut down area of the Bulk Electric System (BES), or separation has occurred between neighboring Reliability Coordinators, or an energized island has been formed on the BES within the The Reliability Coordinator failed to include one of Requirement R1 within its restoration plan. The Reliability Coordinator failed to include two of Requirement R1 within its restoration plan. The Reliability Coordinator failed to include three of the sub-requirements of Requirement R1 within its restoration plan. The Reliability Coordinator failed to include four or more of the within its restoration plan.
within 60 calendar days. within 90 calendar days. EOP-006-2 R5. Each Reliability Coordinator shall review the restoration plans required by EOP-005 of the Transmission Operators within its Reliability Coordinator Area. The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of receipt but did review and approve/disapprove the plans within 45 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval within 30 calendar days of receipt but did notify the Transmission Operator of its approval or disapproval with reasons within 45 The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of receipt but did review and approve/disapprove the plans within 60 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval within 30 calendar days of receipt, but did notify the Transmission Operator of its approval or The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators within 30 calendar days of receipt but did review and approve/disapprove the plans within 90 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval within 30 calendar days of receipt but did notify the Transmission Operator of its approval or disapproval with reasons within 90 calendar days of receipt. The Reliability Coordinator did not review and approve/disapprove the submitted restoration plans from its Transmission Operators and neighboring Reliability Coordinators for more than 90 calendar days of receipt. OR The Reliability Coordinator failed to notify the Transmission Operator of its approval or disapproval with stated reasons for disapproval for more than 90 calendar days of receipt. .
expected, the Reliability Coordinator did not utilize its restoration plan strategies to facilitate System restoration. EOP-006-2 R8. The Reliability Coordinator shall coordinate or authorize resynchronizing islanded areas that bridge boundaries between Transmission Operators or Reliability Coordinators. If the resynchronization cannot be completed as expected the Reliability Coordinator shall utilize its restoration plan strategies to facilitate resynchronization. N/A N/A N/A The Reliability Coordinator did not coordinate or authorize resynchronizing islanded areas that bridge boundaries between Transmission Operators or Reliability Coordinators. OR If the resynchronization could not be completed as expected, the Reliability Coordinator did not utilize its restoration plan strategies to facilitate resynchronization. EOP-006-2 R9. Each Reliability Coordinator shall include within its operations training program, annual System restoration training for its System Operators to assure the proper execution of its restoration plan. This N/A N/A The Reliability Coordinator included the annual System restoration training within its operations The Reliability Coordinator did not include the annual System restoration training within its
one of its control locations. EOP-008-1 R3. Each Reliability Coordinator shall have a backup control center facility (provided through its own dedicated backup facility or at another entity’s control center staffed with certified Reliability Coordinator operators when control has been transferred to the backup facility) that provides the functionality required for maintaining compliance with all Reliability Standards that depend on primary control center functionality. To avoid requiring a tertiary facility, a backup facility is not required during: Planned outages of the primary or backup facilities of two weeks or less Unplanned outages of the primary or backup facilities. N/A N/A N/A The Reliability Coordinator does not have a backup control center facility (provided through its own dedicated backup facility or at another entity’s control center staffed with certified Reliability Coordinator operators when control has been transferred to the backup facility) that provides the functionality required for maintaining compliance with all Reliability Standards that depend on primary control center functionality. EOP-008-1 R4. Each Balancing Authority and Transmission Operator shall have backup functionality (provided either through a facility or contracted services staffed by applicable certified operators when control has been transferred to the backup functionality location) that includes monitoring, control, logging, and alarming sufficient for maintaining compliance with all Reliability Standards that depend on a Balancing Authority and Transmission Operator’s primary control center functionality respectively. To avoid requiring tertiary functionality, backup functionality is not required during: N/A N/A N/A The responsible entity does not have backup functionality (provided either through a facility or contracted services staffed by applicable certified operators when control has been transferred to the backup functionality location) that includes monitoring, control, logging, and alarming
Planned outages of the primary or backup functionality of two weeks or less Unplanned outages of the primary or backup functionality sufficient for maintaining compliance with all Reliability Standards that depend on a Balancing Authority and Transmission Operator’s primary control center functionality respectively. EOP-008-1 R5. Each Reliability Coordinator, Balancing Authority, and Transmission Operator, shall annually review and approve its Operating Plan for backup functionality. R5.1. An update and approval of the Operating Plan for backup functionality shall take place within sixty calendar days of any changes to any part of the Operating Plan described in Requirement R1. The responsible entity did not update and approve its Operating Plan for backup functionality for more than 60 calendar days and less than or equal to 70 calendar days after a change to any part of the Operating Plan described in Requirement R1. The responsible entity did not update and approve its Operating Plan for backup functionality for more than 70 calendar days and less than or equal to 80 calendar days after a change to any part of the Operating Plan described in Requirement R1. The responsible entity did not update and approve its Operating Plan for backup functionality for more than 80 calendar days and less than or equal to 90 calendar days after a change to any part of the Operating Plan described in Requirement R1. The responsible entity did not have evidence that its Operating Plan for backup functionality was annually reviewed and approved. OR, The responsible entity did not update and approve its Operating Plan for backup functionality for more than 90 calendar days after a change to any part of the Operating Plan described in Requirement R1. EOP-008-1 R6. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have primary and backup functionality that do not depend on each other for the control center functionality required N/A N/A N/A The responsible entity has primary and backup functionality that do depend on each other for the control center
showing how it will re-establish primary or backup functionality. plan to its Regional Entity showing how it will re-establish primary or backup functionality but the plan was submitted more than six calendar months but less than or equal to seven calendar months after the date when the functionality was lost. plan to its Regional Entity showing how it will re-establish primary or backup functionality but the plan was submitted in more than seven calendar months but less than or equal to eight calendar months after the date when the functionality was lost. Regional Entity showing how it will primary or backup functionality but the plan was submitted in more than eight calendar months but less than or equal to nine calendar months after the date when the functionality was lost. submit a plan to its Regional Entity showing how it will re-establish primary or backup functionality for more than nine calendar months after the date when the functionality was lost. EOP-010-1 R1. Each Reliability Coordinator shall develop, maintain, and implement a GMD Operating Plan that coordinates GMD Operating Procedures or Operating Processes within its Reliability Coordinator Area. At a minimum, the GMD Operating Plan shall include: [please see standard for more information] The Reliability Coordinator had a GMD Operating Plan, but failed to maintain it. N/A The Reliability Coordinator's GMD Operating Plan failed to include one of the required elements as listed in Requirement R1, parts 1.1 or 1.2. The Reliability Coordinator did not have a GMD Operating Plan OR The Reliability Coordinator failed to implement a GMD Operating Plan within its Reliability Coordinator Area. EOP-010-1 R2. Each Reliability Coordinator shall disseminate forecasted and current space weather information to functional entities identified as recipients in the Reliability Coordinator's GMD Operating Plan. [please see standard for more information] N/A N/A N/A The Reliability Coordinator failed to disseminate forecasted and current space weather information to all functional entities identified as recipients in the Reliability Coordinator's GMD Operating Plan.
EOP-010-1 R3. Each Transmission Operator shall develop, maintain, and implement a GMD Operating Procedure or Operating Process to mitigate the effects of GMD events on the reliable operation of its respective system. At a minimum, the Operating Procedure or Operating Process shall include: [please see standard for more information] The Transmission Operator had a GMD Operating Procedure or Operating Process, but failed to maintain it. The Transmission Operator's GMD Operating Procedure or Operating Process failed to include one of the required elements as listed in Requirement R3, parts 3.1 through 3.3. The Transmission Operator's GMD Operating Procedure or Operating Process failed to include two or more of the required elements as listed in Requirement R3, parts 3.1 through 3.3. The Transmission Operator did not have a GMD Operating Procedure or Operating Process OR The Transmission Operator failed to implement its GMD Operating Procedure or Operating Process. EOP-011-1 R1. Each Transmission Operator shall develop, maintain, and implement one or more Reliability Coordinator-reviewed Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area. The Operating Plan(s) shall include the following, as applicable: [please see standard for more information] The Transmission Operator developed a Reliability Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area but failed to maintain it. The Transmission Operator developed an Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area but failed to have it reviewed by its Reliability Coordinator. The Transmission Operator failed to develop an Operating Plan(s) to mitigate operating Emergencies in its Transmission Operator Area. OR The Transmission Operator developed a Reliability Coordinator-reviewed Operating Plan(s) to mitigate operating Emergencies in its Transmission s Operator Area but failed to implement it. EOP-011-1 R2. Each Balancing Authority shall develop, maintain, and implement one or more Reliability Coordinator-reviewed Operating Plan(s) to mitigate Capacity Emergencies and Energy Emergencies within its Balancing Authority Area. The Operating N/A The Balancing Authority developed a Reliability Operating Plan(s) to mitigate The Balancing Authority developed an Operating Plan(s) to mitigate operating Emergencies within its Balancing Authority The Balancing Authority failed to develop an Operating Plan(s) to mitigate operating Emergencies within
Operators in its Reliability Coordinator Area, and neighboring Reliability Coordinators. Reliability Coordinators, Balancing Authorities and Transmission Operators but failed to notify within 30 minutes from the time of receiving notification. Authority failed to notify neighboring Reliability Coordinators, Balancing Authorities and Transmission Operators. EOP-011-1 R6. Each Reliability Coordinator that has a Balancing Authority experiencing a potential or actual Energy Emergency within its Reliability Coordinator Area shall declare an Energy Emergency Alert, as detailed in Attachment 1. N/A N/A N/A The Reliability Coordinator that had a Balancing Authority experiencing a potential or actual Energy Emergency within its Reliability Coordinator Area failed to declare an Energy Emergency Alert.
to interconnect to the interconnected Transmission systems. FAC-001-1 R3. Each Transmission Owner and each applicable Generator Owner (in accordance with Requirement R2) shall address the following items in its Facility connection requirements: [See standard pdf for The responsible entity’s Facility connection requirements failed to address one of the parts listed in Requirement R3, parts 3.1.1 through 3.1.16. The responsible entity’s Facility connection requirements failed to address two of the parts listed in Requirement R3, parts 3.1.1 through 3.1.16. The responsible entity’s Facility connection requirements failed to address three of the parts listed in Requirement R3, parts 3.1.1 through 3.1.16. The responsible entity’s Facility connection requirements failed to address four or more of the parts listed in Requirement R3, parts 3.1.1 through 3.1.16. FAC-001-1 R4. The Transmission Owner shall maintain and update its Facility connection requirements as required. The Transmission Owner shall make documentation of these requirements available to the users of the transmission system, the Regional Entity, and ERO on request (five business days). The responsible entity made the requirements available more than five business days but less than or equal to 10 business days after a request. The responsible entity made the requirements available more than 10 business days but less than or equal to 20 business days after a request. The responsible entity made the requirements available more than 20 business days less than or equal to 30 business days after a request. The responsible entity made the requirements available more than 30 business days after a request. FAC-001-2 R1. Each Transmission Owner shall document Facility interconnection requirements, update them as needed, and make them available upon request. Each Transmission Owner’s Facility interconnection requirements shall address interconnection requirements for: [See Standard pdf for further information] N/A The Transmission Owner documented Facility interconnection requirements and updated them as needed, but failed to make them available upon request. OR The Transmission Owner documented Facility interconnection requirements, but failed to update them as needed and failed to make them available upon request. OR The Transmission Owner documented The Transmission Owner did not document Facility interconnection