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2011 SERC CMEP Implementation Plan - SERC Home Page

2011 SERC CMEP Implementation Plan - SERC Home Page

Section 4: Reliability

Section 4: Reliability Standards Subject to 2011 CMEP ImplementationRegional Entities are authorized and obligated to implement the NERC annualimplementation plan. Regional Entity staff may increase the scope of complianceactivities related to the NERC program, but cannot reduce the scope of complianceactivities without NERC consent. Where Regional Entities determine that a reducedscope is appropriate, the Regional Entity will submit the reduced scope rational andproposed audit notification letter for the entity to be audited to NERC ComplianceOperations at least 90 days prior to the audit for approval.Registered Entities must be in compliance with all applicable Reliability Standards at alltimes. NERC and the Regional Entities encourage aggressive self-assessments andanalysis and self reporting of noncompliance by Registered Entities. Registered Entitiesare further encouraged to draft Mitigation Plans upon identification and self reporting ofpossible violations, prior to the required submission timeline per the CMEP. MitigationPlans are not an admission of a violation and are treated as voluntary corrective action.Mitigation Plans duly prepared and promptly submitted to the Regional Entity will beused to demonstrate a positive, proactive culture of compliance in any potentialenforcement action.The overall monitoring scope of the 2011 implementation program is based on ReliabilityStandards that are anticipated to be in effect in 2011 as of the date on which this plan isapproved. To the extent new or revised Reliability Standards are adopted, approved bythe regulatory authority, or in effect during the course of 2011; NERC will work with theRegional Entities to determine whether the 2011 program needs to be amended toinclude them.All NERC Reliability Standards identified in the 2011 implementation program are listedin the 2011 CMEP Actively Monitored Reliability Standard list posted on the NERC Website at the following link: http://www.nerc.com/commondocs.php?cd=3The 2011 Actively Monitored Reliability Standards list includes several worksheets. Adescription of each is listed below:• Summary Tabs: Quick reference listings of the Reliability Standards andrequirements identified for compliance audits, self-certifications and spot checksrequired by NERC in 2011 and mandatory effective dates for Standards. Thesetabs are designed to give the user a quick reference of the implementation planlists. There are also comparisons of the number of Reliability Standards andrequirements monitored in the 2007, 2008, 2009, and 2010 programs.• Requirements Detail Tab: A detailed list of the requirements included in the2011 implementation plan.• Revision History: The revision history that will allow users, owners andoperators of the BES to see all of the changes to the 2011 Actively MonitoredReliability Standards spreadsheets.Additional Standards Added to the Monitoring Scope for SERC Registered EntitiesIn addition to the 2011 Actively Monitored Reliability Standards set forth in the sectionabove, SERC will include in the set of Reliability Standards subject to Self-Certificationthe following, consistent with prior years’ SERC Compliance Monitoring andEnforcement Program Annual Plans, the following Reliability Standards:SERC Compliance Monitoring and Enforcement Program2011 Implementation PlanDecember 1, 2010 (Rev. December 10, 2010) 9

Section 4: Reliability Standards Subject to 2011 CMEP Implementation• Standards for Which Periodic Data Submittal is Required: BAL-002-0 BAL-003-0.1b (Collected by Reliability Services) EOP-009-0 (Collected by Reliability Services) PRC-007-0 (Collected by Reliability Assessments) PRC-015-0 (Collected by Reliability Assessments) PRC-016-0.1 (Collected by Reliability Services) PRC-021-1 (Collected by Reliability Assessments) TPL-004-0• Standards Requiring Exception Reporting: BAL-004-0 EOP-004-1 INT-001-3 INT-003-2 IRO-006-4.1 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 theReliability Standard requirements designated for monitored through ExceptionReporting, using the SERC Portal Self-Report form. Submittal by RegisteredEntities of self-certifications for these Standards indicating the RegisteredEntity is “Compliant” will serve as a declaration by the Registered Entity that ithas had no exceptions to the designated Reliability Standard requirementsduring the reporting period (a zero-exception report).Within SERC, all requirements of the Actively Monitored Reliability Standards must beself-certified to by applicable Registered Entities, not just the requirements included inthe Requirements Detail Tab of the NERC Actively Monitored Reliability Standardsspreadsheet.SERC Compliance Monitoring and Enforcement Program2011 Implementation PlanDecember 1, 2010 (Rev. December 10, 2010) 10

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