2012 SERC CMEP Implementation Plan - SERC Home Page

Section 5: 2012 CMEP Discovery Methods TPL-002-0a TPL-003-0a TPL-004-0Standards Requiring Exception Reporting: PER-003-0 TOP-005-1.1 TOP-007-0Since there is no specific form or template for Exception Reporting, RegisteredEntities should self-report, as Possible Violations, any “exceptions” to the ReliabilityStandard requirements designated for monitored through Exception Reporting, usingthe SERC Portal Self-Report form. Submittal by Registered Entities of selfcertificationsfor these Standards indicating the Registered Entity is “Compliant” willserve as a declaration by the Registered Entity that it has had no exceptions to thedesignated Reliability Standard requirements during the reporting period (a zeroexceptionreport).Within SERC, all requirements of the Actively Monitored Reliability Standards must be selfcertifiedto by applicable Registered Entities, not just the requirements included in theRequirements Detail Tab of the NERC Actively Monitored Reliability Standards spreadsheet.SERC has two major filings for annual self-certifications targeted for June 1 and October 1. Forthe June 1 and October 1 annual self-certification filings, the associated forms are “posted” tothe Portal approximately two months ahead of the scheduled due date. For the calendar yearself-certifications (CIP-002 through CIP-009, IRO-004, TOP-007, PER-002, PER-003) and theannual self-certifications of monthly and quarterly data submittals, forms are posted afterDecember 31. SERC requires at least one individual from each Registered Entity to beidentified as an authorized signatory. The authorized signatory is a role which should be givento the representative(s) who will be certifying to compliance submittals. Self-certification mustbe approved by the Registered Entity’s authorized signatory prior to being accepted by SERC.A systematic notification process to the Registered Entity’s primary compliance contact, withpossible escalation of notices to the primary compliance officer or CEO contact, will be initiatedfor any late submittals.A reporting period will be defined for each Reliability Standard monitored by self-certification.The reporting period is a 12 month period of time prior to posting of the form. The selfcertificationwill be an attestation by the Registered Entity for all FERC-approved versions of theReliability Standard in effect during the defined reporting period. The response to thecertification should accurately reflect the Registered Entity's compliance status for the entirereporting period and is subject to validation by SERC through spot check or any othercompliance monitoring method.The scheduled filing dates for self-certifications are listed in Appendix 3.a. CIP-002-3 through CIP-009-3 Reliability StandardsAnnual self-certifications for the CIP-002-3 through CIP-009-3 Reliability Standards (CIPStandards) for the 2011 CMEP will be conducted by SERC in January 2012 and willcover the period from October 1, 2010 through the earlier of December 31, 2011 or thedate Version 3 of the CIP Standards is superseded. Self-certifications of the CIPSERC Compliance Monitoring and Enforcement Program2012 CMEP Implementation PlanNovember 1, 2011 10