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Mandatory Standards Subject to Enforcement

Section 215 of the Federal Power Act requires the Electric Reliability Organization to develop mandatory and enforceable Reliability Standards, which are subject to Federal Energy Regulatory Commission (Commission) review and approval. Commission-approved Reliability Standards become mandatory and enforceable in the U.S. according to the Implementation Plan associated with the Reliability Standard, as approved by the Commission.

The following information explains the terms “Effective Dates” and “Phased-in Implementation Dates” as used in implementation plans and the table below.

Effective Date: The date upon which the Reliability Standard goes into effect. On the Effective Date of a Reliability Standard, the Reliability Standard becomes mandatory and enforceable, and applicable entities are responsible for compliance with the Requirements in the Reliability Standard. An Implementation Plan may also provide for a delayed or “Phased-In Implementation Date” for specific Requirements (or parts) contained within the Reliability Standard for which a longer implementation period is appropriate.

Phased-In Implementation Date (if applicable): The date, following the Effective Date of the Reliability Standard, upon which implementation of a specific Requirement (or part) is first required, as specified in the Implementation Plan for the Reliability Standard. In some instances, there may be a need to provide entities additional time beyond the Reliability Standard’s Effective Date to comply with a particular Requirement (or part). In those instances, the Implementation Plan will provide a Phased-In Implementation Date specific to that Requirement (or part). The “Phased-In Implementation Date” thus represents the later date that entities must begin complying with that particular Requirement (or part).

Detail: When a standard has requirements with different effective dates/inactive dates, a ‘Detail’ link will be shown in this column that links to a pop-up which shows the specific effective date and inactive dates for each of the requirements of that standard. Phased-in Implementation Dates will be included where appropriate.

United States
Mandatory Standards Subject to Enforcement

Standard
Number
Title Effective Date of
Standard
Phased-in Implementation Date (if applicable) Notes
Resource and Demand Balancing (BAL)
BAL-001-2 Real Power Balancing Control Performance 7/1/2016 Replaced BAL-001-1
BAL-001-TRE-1 Primary Frequency Response in the ERCOT Region 4/1/2014 Please see the implementation plan for specific compliance dates and timeframes.
BAL-002-1 Disturbance Control Performance 4/1/2012 Replaced by BAL-002-2
BAL-002-WECC-2a Contingency Reserve 1/24/2017 Replaces BAL-002-WECC-2
BAL-003-1.1 Frequency Response and Frequency Bias Setting 11/13/2015 Detail
BAL-004-0 Time Error Correction 6/18/2007 The retirement of BAL-004-0 is contingent upon the retirement of NAESB WEQ-006 Manual Time Error Correction Business Practice Standard.
BAL-004-WECC-02 Automatic Time Error Correction (ATEC) 4/1/2014
BAL-005-0.2b Automatic Generation Control 9/13/2012 Detail
BAL-006-2 Inadvertent Interchange 4/1/2011
BAL-502-RFC-02 Planning Resource Adequacy Analysis, Assessment and Documentation 5/23/2011
Communications (COM )
COM-001-2.1 Communications 11/13/2015
COM-002-4 Operating Personnel Communications Protocols 7/1/2016
Critical Infrastructure Protection (CIP)
CIP-002-5.1a Cyber Security — BES Cyber System Categorization 12/27/2016 CIP-002-5.1a replaced CIP-002-5.1
CIP-003-6 Cyber Security — Security Management Controls 7/1/2016 Detail See CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-004-6 Cyber Security — Personnel & Training 7/1/2016 Detail See Implementation Plan for Compliance dates. See also CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-005-5 Cyber Security — Electronic Security Perimeter(s) 7/1/2016
CIP-006-6 Cyber Security — Physical Security of BES Cyber Systems 7/1/2016 Detail See Implementation Plan for Compliance dates. See also CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-007-6 Cyber Security — System Security Management 7/1/2016 Detail See Implementation Plan for Compliance dates. See also CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-008-5 Cyber Security — Incident Reporting and Response Planning 7/1/2016 Detail See CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-009-6 Cyber Security — Recovery Plans for BES Cyber Systems 7/1/2016 Detail See Implementation Plan for Compliance dates. See also CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-010-2 Cyber Security — Configuration Change Management and Vulnerability Assessments 7/1/2016 Detail See Implementation Plan for Compliance dates. See also CIP V5 Effective Dates here under Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-011-2 Cyber Security — Information Protection 7/1/2016 See Implementation Plan for Compliance dates.
CIP-014-2 Physical Security 10/2/2015
Emergency Preparedness and Operations (EOP)
EOP-004-3 Event Reporting 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised definition of RAS. This additional time applies only to existing schemes that must transition to RAS due to the revised definition. EOP-004-3 replaces EOP-004-2
EOP-005-2 System Restoration from Blackstart Resources 7/1/2013 Detail
EOP-006-2 System Restoration Coordination 7/1/2013
EOP-008-1 Loss of Control Center Functionality 7/1/2013
EOP-010-1 Geomagnetic Disturbance Operations 4/1/2015 Detail A FERC order was issued on June 19, 2014, approving EOP-010-1. Requirement 2 of Reliability Standard EOP-010-1 will not become effective until the first day following retirement of Reliability Standard IRO-005-3.1a.
EOP-011-1 Emergency Operations 4/1/2017 EOP-011-1 consolidates the requirements in three existing Reliability Standards: EOP-001-2.1b, EOP-002-3.1 and EOP-003-2 into a single Reliability Standard.
Facilities Design, Connections, and Maintenance (FAC )
FAC-001-2 Facility Interconnection Requirements 1/1/2016
FAC-002-2 Facility Interconnection Studies 1/1/2016
FAC-003-4 Transmission Vegetation Management 10/1/2016
FAC-008-3 Facility Ratings 1/1/2013 Detail
FAC-010-3 System Operating Limits Methodology for the Planning Horizon 4/1/2017 Detail Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised def. FAC-010-3 replaces FAC-010-2.1
FAC-011-3 System Operating Limits Methodology for the Operations Horizon 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised def
FAC-013-2 Assessment of Transfer Capability for the Near-Term Transmission Planning Horizon 4/1/2013 Detail
FAC-014-2 Establish and Communicate System Operating Limits 4/29/2009
FAC-501-WECC-1 Transmission Maintenance 7/1/2011
Interchange Scheduling and Coordination (INT)
INT-004-3.1 Dynamic Transfers 11/26/2014 Replaced INT-004-3. Requirement R3 will become effective on the first calendar day two calendar quarters after the NAESB Electric Industry Registry is able to accept Pseudo-Tie registrations. All existing and future Pseudo-Ties are to be registered in the NAESB Electric Industry Registry. The retirement date for INT-004-3 and the enforcement date for INT-004-3.1 have been coordinated to ensure seamless transition from the original to the errata Reliability Standard on the date of Commission approval for the errata Reliability Standard.
INT-006-4 Evaluation of Interchange Transactions 10/1/2014 Replaced INT-006-3
INT-009-2.1 Implementation of Interchange 11/26/2014 Replaced INT-009-2. The retirement date for INT-009-2 and the enforcement date for INT-009-2.1 have been coordinated to ensure seamless transition from the original to the errata Reliability Standard on the date of Commission approval for the errata Reliability Standard.
INT-010-2.1 Interchange Initiation and Modification for Reliability 11/26/2014 Replaced INT-010-2. The retirement date for INT-010-2 and the enforcement date for INT-010-2.1 have been coordinated to ensure seamless transition from the original to the errata Reliability Standard on the date of Commission approval for the errata Reliability Standard.
Interconnection Reliability Operations and Coordination (IRO)
IRO-001-4 Reliability Coordination – Responsibilities 4/1/2017 IRO-001-4 replaces IRO-001-1.1
IRO-002-4 Reliability Coordination – Monitoring and Analysis 4/1/2017 IRO-002-4 replaces IRO-002-2
IRO-006-5 Reliability Coordination — Transmission Loading Relief (TLR) 7/1/2011
IRO-006-EAST-2 Transmission Loading Relief Procedure for the Eastern Interconnection 4/1/2016
IRO-006-TRE-1 IROL and SOL Mitigation in the ERCOT Region 7/1/2012
IRO-006-WECC-2 Qualified Transfer Path Unscheduled Flow (USF) Relief 7/1/2014
IRO-008-2 Reliability Coordinator Operational Analyses and Real-time Assessments 4/1/2017 IRO-008-2 replaces IRO-008-1
IRO-009-2 Reliability Coordinator Actions to Operate Within IROLs 1/1/2016
IRO-010-2 Reliability Coordinator Data Specification and Collection 1/1/2017 Detail
IRO-014-3 Coordination Among Reliability Coordinators 4/1/2017 IRO-014-3 replaces IRO-014-1
IRO-017-1 Outage Coordination 4/1/2017
Modeling, Data, and Analysis (MOD )
MOD-001-1a Available Transmission System Capability 4/1/2011
MOD-004-1 Capacity Benefit Margin 4/1/2011
MOD-008-1 Transmission Reliability Margin Calculation Methodology 4/1/2011
MOD-020-0 Providing Interruptible Demands and Direct Control Load Management Data to System Operators and Reliability Coordinators 6/18/2007
MOD-025-2 Verification and Data Reporting of Generator Real and Reactive Power Capability and Synchronous Condenser Reactive Power Capability 7/1/2016 Please see the Implementation Plan for specific compliance dates and timeframes.
MOD-026-1 Verification of Models and Data for Generator Excitation Control System or Plant Volt/Var Control Functions 7/1/2014 Detail Please see the Implementation Plan for specific compliance dates and timeframes.
MOD-027-1 Verification of Models and Data for Turbine/Governor and Load Control or Active Power/Frequency Control Functions 7/1/2014 Detail
MOD-028-2 Area Interchange Methodology 10/1/2013
MOD-029-2a Rated System Path Methodology 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised definition of RAS. This additional time applies only to existing schemes that must transition to RAS due to the revised definition. MOD-029-2a replaces MOD-029-1a
MOD-030-3 Flowgate Methodology 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised definition of RAS. This additional time applies only to existing schemes that must transition to RAS due to the revised definition. MOD-030-3 replaces MOD-030-2
MOD-031-2 Demand and Energy Data 10/1/2016
MOD-032-1 Data for Power System Modeling and Analysis 7/1/2015 Detail Please see the implementation plan for specific compliance dates and timeframes.
Nuclear (NUC)
NUC-001-3 Nuclear Plant Interface Coordination 1/1/2016
Personnel Performance, Training, and Qualifications (PER )
PER-003-1 Operating Personnel Credentials 10/1/2012
PER-004-2 Reliability Coordination — Staffing 4/1/2011 Please note: The effective date in the standard refers to the retirements in PER-004-1.
PER-005-2 Operations Personnel Training 7/1/2016
Protection and Control (PRC)
PRC-001-1.1(ii) System Protection Coordination 5/29/2015
PRC-002-2 Disturbance Monitoring and Reporting Requirements 7/1/2016 Detail See Implementation Plan for phased-in compliance dates.
PRC-004-5(i) Protection System Misoperation Identification and Correction 4/2/2017
PRC-004-WECC-2 Protection System and Remedial Action Scheme Misoperation 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised definition. PRC-004-WECC-2 replaces PRC-004-WECC-1
PRC-005-1.1b Transmission and Generation Protection System Maintenance and Testing 11/25/2013
PRC-005-6 Protection System, Automatic Reclosing, and Sudden Pressure Relaying Maintenance 1/1/2016 Please see the implementation plan for guidance on phased-in enforcement dates.
PRC-006-2 Automatic Underfrequency Load Shedding 10/1/2015
PRC-006-NPCC-1 Automatic Underfrequency Load Shedding 7/1/2015 Detail
PRC-006-SERC-01 Automatic Underfrequency Load Shedding Requirements 4/1/2014 Detail See the implementation plan for guidance on phased-in enforcement dates
PRC-008-0 Implementation and Documentation of Underfrequency Load Shedding Equipment Maintenance Program 6/18/2007
PRC-010-2 Undervoltage Load Shedding 4/2/2017
PRC-011-0 Undervoltage Load Shedding System Maintenance and Testing 6/18/2007
PRC-015-1 Remedial Action Scheme Data and Documentation 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised def
PRC-016-1 Remedial Action Scheme Misoperations 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised def
PRC-017-1 Remedial Action Scheme Maintenance and Testing 4/1/2017
PRC-018-1 Disturbance Monitoring Equipment Installation and Data Reporting 6/18/2007
PRC-019-2 Coordination of Generating Unit or Plant Capabilities, Voltage Regulating Controls, and Protection 7/1/2016 Please see the Implementation Plan for Version 1 for specific compliance dates and timeframes.
PRC-023-4 Transmission Relay Loadability 4/1/2017 Entities with newly classified “Remedial Action Scheme” (RAS) resulting from the application of the revised definition must be fully compliant with all Reliability Standards applicable RAS twenty-four (24) months from the Effective Date of the revised def
PRC-024-2 Generator Frequency and Voltage Protective Relay Settings 7/1/2016 Please see the Implementation Plan for Version 1 for specific compliance dates and timeframes.
PRC-025-1 Generator Relay Loadability 10/1/2014 See Implementation Plan for specific compliance dates.
Transmission Operations (TOP)
TOP-001-3 Transmission Operations 4/1/2017 TOP-001-3 replaces TOP-001-1a
TOP-002-4 Operations Planning 4/1/2017 TOP-002-4 replaces TOP-002-2.1b
TOP-003-3 Operational Reliability Data 1/1/2017 Detail For the Requirement R3 and R4 VSLs only, the intent of the SDT is to start with the Severe VSL first and then to work your way to the left until you find the situation that fits. In this manner, the VSL will not be discriminatory by size of entity. If a small entity has just one affected reliability entity to inform, the intent is that that situation would be a Severe violation.
Transmission Planning (TPL)
TPL-001-4 Transmission System Planning Performance Requirements 1/1/2015 Detail TPL-001-4 was adopted by the Board of Trustees as TPL-001-3, but a discrepancy in numbering was identified and corrected prior to filing with the regulatory agencies.
Voltage and Reactive (VAR)
VAR-001-4.1 Voltage and Reactive Control 11/13/2015
VAR-002-4 Generator Operation for Maintaining Network Voltage Schedules 5/29/2015
VAR-002-WECC-2 Automatic Voltage Regulators (AVR) 4/1/2015
VAR-501-WECC-2 Power System Stabilizer (PSS) 4/1/2015



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