2012 SERC CMEP Implementation Plan - SERC Home Page

Section 5: 2012 CMEP Discovery Methods5. Self-ReportRegistered Entities are strongly encouraged to self-report Possible Violations of applicableReliability Standards and initiate mitigating actions as soon as they become aware of such acondition. Self-reports are submitted by Registered Entities through the SERC Portal.Mitigation Plans to address the conditions that gave rise to the Registered Entity’s self-reportmay be submitted via the SERC Portal as soon as receipt of the self-report has beenacknowledged by SERC staff.SERC staff will review and validate the submitted information. Registered Entities areencouraged to conduct a prompt and thorough review of the circumstances associated with theself-report to accurately identify relevant scope and underlying causes. Strong considerationwill be given to reduce associated sanctions and penalties for violations that are promptly andcomprehensively self-reported.6. Exception ReportingTwelve Reliability Standards are designated for Exception Reporting in the ERO CMEP 2012Implementation Plan. Therefore, Registered Entities are required to promptly report anyexceptions to the designated Reliability Standard requirements. Since there is no specific formor template for Exception Reporting, Registered Entities should self-report, as PossibleViolations, any “exceptions” to the Reliability Standard requirements designated for monitoringthrough Exception Reporting, using the SERC Portal Self-Report form. Ror ReliabilityStandards requiring Exception Reporting, submittal by Registered Entities of self-certificationsindicating the Registered Entity is “Compliant” will serve as a declaration by the RegisteredEntity that it has had no exceptions to the designated Reliability Standard requirements duringthe reporting period (a zero-exception report). The Reliability Standards subject to ExceptionReporting are defined in the 2012 CMEP Actively Monitored Reliability Standard list posted onthe NERC Web site at http://www.nerc.com/commondocs.php?cd=3 and in Appendix 3.7. ComplaintAll regulatory authority-approved Reliability Standards or requirements can be the subject of acomplaint regarding a compliance violation by a Registered Entity. Complaints, if validated, caninitiate one of the other compliance monitoring methods in order to determine the full extent ofpotential non-compliance.Complaints may be submitted to SERC using the Complaint Form found on the SERC web site.In addition, NERC maintains a Compliance Hotline that is administered by the Event Analysis &Investigation (EA&I) group. Any person may submit a complaint to report a possible violation ofa Reliability Standard by calling 404-446-2575, sending an e-mail directly to hotline@nerc.net orcompleting the form on https://www.nerc.net/hotline/. Unless specifically authorized by thecomplainant, NERC and Regional Entity staff will withhold the name of the complainant in anycommunications with the violating entity. All information provided will be held as confidential inaccordance with the NERC ROP. EA&I will informally seek additional information regarding thepotential violation of Reliability Standards from the submitter and others, as appropriate. EA&Imay refer the matter for further investigation by NERC or the appropriate Regional Entity.Note: The NERC Compliance Hotline is for reporting complaints or possible complianceviolations of Reliability Standards by an entity. For other questions regarding the NERC CMEPor Reliability Standards, please send an email to compliancefeedback@nerc.net.SERC Compliance Monitoring and Enforcement Program2012 CMEP Implementation PlanNovember 1, 2011 12