Balancing Authority – Actively Monitored Standards

Below is a summary of NERC standards being actively monitored for a Balancing Authority (BA). Currently, the Electric Reliability Council of Texas (ERCOT) is the region’s sole BA.

This summary is being provided to you as a courtesy. Texas Reliability Entity, Inc. (Texas RE) recommends that you refer to the 2010 Compliance Monitoring and Enforcement Program Requirements (CMEP) Spreadsheet on the NERC website for the complete set of standards and requirements that are actively monitored. To find the spreadsheet, go to Compliance, then Resources. Select Resource Documents on the left navigation bar. From the list, select 2010 Actively Monitored Reliability Standards.

To find the NERC Reliability Standards, visit Reliability Standards on the NERC site.

To find the Texas RE implementation plan for its NERC CMEP program, please visit the Compliance page.

Key:

Compliance Audit

Self-Certification

Planned Spot Check

Exception Reporting

Requirement

Resource and Demand Balancing
BAL-001-0.1a Monthly Periodic Data Submittals	Real Power Balancing Control Performance	R1., R2., R3., R4.
BAL-002-0 Quarterly Periodic Data Submittals	Disturbance Control Performance	R1., R1.1., R3., R3.1., R4., R4.1., R4.2., R6., R6.1., R6.2.
BAL-003-0.1b Annual Periodic Data Submittals	Frequency Response and Bias	R1., R1.1., R1.2., R2., R2.1., R2.2., R3., R4., R4.1., R4.2., R5., R5.1., R6.
BAL-004-0	Time Error Correction	R3., R3.1., R3.2., R4.1.
BAL-005-0.1b	Automatic Generation Control	R2., R3., R4., R5., R6., R7., R8., R8.1., R9., R9.1., R10., R11., R12., R12.1., R12.2., R12.3., R13., R14., R15., R16., R17.
BAL-006-1	Inadvertent Interchange	R1., R2., R3., R4., R4.1., R4.1.1., R4.1.2., R4.2., R4.3., R5.

Critical Infrastructure Protection
CIP-001-1	Sabotage Reporting	R1., R2., R3., R4.
CIP-002-1	Critical Cyber Asset Identification	R1., R1.1., R1.2., R1.2.1., R1.2.2., R1.2.3., R1.2.4., R1.2.5., R1.2.6., R1.2.7., R2., R3., R3.1., R3.2., R3.3., R4. See Implementation Table
CIP-003-1	Security Management Controls	R1., R1.1., R1.2., R1.3., R2., R2.1., R2.2., R2.3., R3., R3.1., R3.2., R3.3., R4., R4.1., R4.2., R4.3., R5., R5.1., R5.1.1., R5.1.2., R5.2., R5.3., R6. See Implementation Table
CIP-004-1	Personnel & Training	R1., R2., R2.1., R2.2., R2.2.1., R2.2.2., R2.2.3., R2.2.4., R2.3., R3., R3.1., R3.2., R3.3., R4., R4.1., R4.2. See Implementation Table
CIP-005-1	Electronic Security Perimeter(s)	R1., R1.1., R1.2., R1.3., R1.4., R1.5., R1.6., R2., R2.1., R2.2., R2.3., R2.4., R2.5., R2.5.1., R2.5.2., R2.5.3., R2.5.4., R2.6., R3., R3.1., R3.2., R4., R4.1., R4.2., R4.3., R4.4., R4.5., R5., R5.1., R5.2., R5.3. See Implementation Table
CIP-006-1	Physical Security of Critical Cyber Assets	R1., R1.1., R1.2., R1.3., R1.4., R1.5., R1.6., R1.7., R1.8., R1.9., R2., R2.1., R2.2., R2.3., R2.4., R3., R3.1., R3.2., R4., R4.1., R4.2., R4.3., R5., R6., R6.1., R6.2., R6.3. See Implementation Table
CIP-007-1	Systems Security Management	R1., R1.1., R1.2., R1.3., R2., R2.1., R2.2., R2.3., R3., R3.1., R3.2., R4., R4.1., R4.2., R5., R5.1., R5.1.1., R5.1.2., R5.1.3., R5.2., R5.2.1., R5.2.2., R5.2.3., R5.3., R5.3.1., R5.3.2., R5.3.3., R6., R6.1., R6.2., R6.3., R6.4., R6.5., R7., R7.1., R7.2., R7.3., R8., R8.1., R8.2., R8.3., R8.4., R9. See Implementation Table
CIP-008-1	Incident Reporting and Response Planning	R1., R1.1., R1.2., R1.3., R1.4., R1.5., R1.6., R2. See Implementation Table
CIP-009-1	Recovery Plans for Critical Cyber Assets	R1., R1.1., R1.2., R2., R3., R4., R5. See Implementation Table

Communications
COM-001-1.1	Telecommunications	R1., R1.1., R1.2., R1.3., R1.4., R2., R3., R4., R5.
COM-002-2	Communications and Coordination	R1., R1.1., R2.

Emergency Preparedness and Operations
EOP-001-0	Emergency Operations Planning	R1., R3., R3.1., R3.2., R3.3., R3.4., R4., R4.1., R4.2., R4.3., R4.4., R5., R6., R7., R7.1., R7.2., R7.3., R7.4.
EOP-002-2.1	Capacity and Energy Emergencies	R1., R2., R3., R4., R5., R6., R6.1., R6.2., R6.3., R6.4., R6.5., R6.6., R7., R7.1., R7.2.
EOP-003-1	Load Shedding Plans	R1., R2., R3., R4., R5., R6., R7., R8.
EOP-004-1	Disturbance Reporting	R2., R3., R3.1., R3.2., R3.3., R3.4.
EOP-005-1	System Restoration Plans	R1., R5., R6., R7., R11., R11.1., R11.2., R11.3.
EOP-008-0	Plans for Loss of Control Center Functionality	R1., R1.1., R1.2., R1.3., R1.4., R1.5., R1.6., R1.7., R1.8.

Interchange Scheduling and Coordination
INT-001-3	Interchange Information	R2., R2.1., R2.2.
INT-003-2	Interchange Transaction Implementation	R1., R1.1., R1.1.1., R1.1.2., R1.2.
INT-004-2	Dynamic Interchange Transaction Modifications	R1.
INT-006-2	Response to Interchange Authority	R1., R1.1., R1.1.1., R1.1.2., R1.1.3.
INT-009-1	Implementation of Interchange	R1.
INT-010-1	Interchange Coordination Exemptions	R1.

Interconnection Reliability Operations and Coordination
IRO-001-1.1	Reliability Coordination - Responsibilities and Authorities	R8.
IRO-002-1	Reliability Coordination - Facilities	R3.
IRO-004-1	Reliability Coordination - Operations Planning	R3., R4., R7.
IRO-005-2	Reliability Coordination - Current-Day Operations	R8., R13.
IRO-006-4	Reliability Coordination - Transmission Loading Relief	R5.

Personnel Performance, Training, and Qualifications
PER-001-0	Operating Personnel Responsibility and Authority	R1.
PER-002-0	Operating Personnel Training	R1., R2., R2.1., R2.2., R3., R3.1., R3.2., R3.3., R3.4., R4.
PER-003-0	Operating Personnel Credentials	R1., R1.1., R1.2.

Protection and Control
PRC-001-1	System Protection Coordination	R1., R6.

Transmission Operations
TOP-001-1	Reliability Responsibilities and Authorities	R3., R6., R7., R7.1., R8.
TOP-002-2	Normal Operations Planning	R1., R2., R3., R4., R5., R6., R7., R8., R9., R10., R17., R18., R19.
TOP-003-0	Planned Outage Coordination	R2., R3.
TOP-005-1.1	Operational Reliability Information	R1., R3.
TOP-006-1	Monitoring System Conditions	R1., R1.2., R2., R3., R4., R5., R6., R7.