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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-2 Primary Frequency Response in the ERCOT Region 7/1/2020
BAL-002-3 Disturbance Control Standard – Contingency Reserve for Recovery from a Balancing Contingency Event 4/1/2019 Replaces BAL-002-2(i).
BAL-002-WECC-3 Contingency Reserve 6/28/2021
BAL-003-2 Frequency Response and Frequency Bias Setting 12/1/2020
BAL-004-WECC-3 Automatic Time Error Correction 10/1/2018
BAL-005-1 Balancing Authority Control 1/1/2019 BAL-005-1 will replace BAL-005-0.2b and BAL-006-2
BAL-502-RF-03 Planning Resource Adequacy Analysis, Assessment and Documentation 1/1/2018 Replaces BAL-502-RFC-02
Communications (COM )
COM-001-3 Communications 10/1/2017 Replaces COM-001-2.1
COM-002-4 Operating Personnel Communications Protocols 7/1/2016 Replaces COM-002-3
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-003-8 Cyber Security — Security Management Controls 4/1/2020
CIP-004-6 Cyber Security — Personnel & Training 7/1/2016 Detail See Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-005-6 Cyber Security — Electronic Security Perimeter(s) 10/1/2020 Effective dates delayed due to COVID-19 per FERC Order (https://www.nerc.com/FilingsOrders/us/FERCOrdersRules/order granting motion to defer the implementation dates.pdf).
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 Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-008-6 Cyber Security — Incident Reporting and Response Planning 1/1/2021 Detail
CIP-009-6 Cyber Security — Recovery Plans for BES Cyber Systems 7/1/2016 Detail See Key Resources: http://www.nerc.com/pa/CI/Pages/Transition-Program.aspx
CIP-010-3 Cyber Security — Configuration Change Management and Vulnerability Assessments 10/1/2020 Effective dates delayed due to COVID-19 per FERC Order (https://www.nerc.com/FilingsOrders/us/FERCOrdersRules/order granting motion to defer the implementation dates.pdf).
CIP-011-2 Cyber Security — Information Protection 7/1/2016
CIP-013-1 Cyber Security - Supply Chain Risk Management 10/1/2020 Effective dates delayed due to COVID-19 per FERC Order (https://www.nerc.com/FilingsOrders/us/FERCOrdersRules/order granting motion to defer the implementation dates.pdf).
CIP-014-2 Physical Security 10/2/2015
Emergency Preparedness and Operations (EOP)
EOP-004-4 Event Reporting 4/1/2019 Replaces EOP-004-3
EOP-005-3 System Restoration from Blackstart Resources 4/1/2019 Replaced EOP-005-2
EOP-006-3 System Restoration Coordination 4/1/2019 Replaces EOP-006-2
EOP-008-2 Loss of Control Center Functionality 4/1/2019 Replaces EOP-008-1
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-001-3 Facility Interconnection Requirements 1/1/2019 FAC-001-3 Errata replaces FAC-001-3 FERC approved 2/19/2021
FAC-002-3 Facility Interconnection Studies 4/1/2021
FAC-003-4 Transmission Vegetation Management 10/1/2016 Replaces FAC-003-3
FAC-008-3 Facility Ratings 1/1/2013 Detail Replaces FAC-008-1 and FAC-009-1
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 definition of RAS. This additional time applies only to existing schemes that must transition to RAS due to the revised definition.
FAC-014-2 Establish and Communicate System Operating Limits 4/29/2009 Replaces FAC-014-1
FAC-501-WECC-2 Transmission Maintenance 7/1/2018
Interchange Scheduling and Coordination (INT)
INT-006-5 Evaluation of Interchange Transactions 4/1/2021
INT-009-3 Implementation of Interchange 4/1/2021
Interconnection Reliability Operations and Coordination (IRO)
IRO-001-4 Reliability Coordination – Responsibilities 4/1/2017 IRO-001-4 replaces IRO-001-1.1
IRO-002-7 Reliability Coordination – Monitoring and Analysis 4/1/2021
IRO-006-5 Reliability Coordination — Transmission Loading Relief (TLR) 7/1/2011 Replaces IRO-006-4.1
IRO-006-EAST-2 Transmission Loading Relief Procedure for the Eastern Interconnection 4/1/2016 Replaces IRO-006-EAST-1
IRO-006-WECC-3 Qualified Path Unscheduled Flow (USF) Relief 10/1/2019
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 Replaces IRO-009-1
IRO-010-3 Reliability Coordinator Data Specification and Collection 4/1/2021
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
IRO-018-1(i) Reliability Coordinator Real-time Reliability Monitoring and Analysis Capabilities 4/1/2018 Replaces IRO-018-1
Modeling, Data, and Analysis (MOD )
MOD-001-1a Available Transmission System Capability 4/1/2011 On September 16, 2010, FERC issued an order (in Docket No. RD10-5-000) approving an interpretation of MOD-001-1, creating MOD-001-1a. The effective date of April 1, 2011 did not change.
MOD-004-1 Capacity Benefit Margin 4/1/2011
MOD-008-1 Transmission Reliability Margin Calculation Methodology 4/1/2011
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 Replaces MOD-028-1
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-031-3 Demand and Energy Data 4/1/2021
MOD-032-1 Data for Power System Modeling and Analysis 7/1/2015 Detail
MOD-033-2 Steady-State and Dynamic System Model Validation 4/1/2021
Nuclear (NUC)
NUC-001-4 Nuclear Plant Interface Coordination 4/1/2021
Personnel Performance, Training, and Qualifications (PER )
PER-003-2 Operating Personnel Credentials 7/1/2019
PER-005-2 Operations Personnel Training 7/1/2016 Replaces PER-005-1
PER-006-1 Specific Training for Personnel 4/1/2021 Effective dates delayed to April 1, 2021 due to COVID-19 per FERC Order (https://www.nerc.com/FilingsOrders/us/FERCOrdersRules/order granting motion to defer the implementation dates.pdf).
Protection and Control (PRC)
PRC-002-2 Disturbance Monitoring and Reporting Requirements 7/1/2016 Detail Entities will be required to establish 50% compliance with Requirements R2-R4 and R6-R11 by January 1, 2021. See Implementation Plan for additional effective date information.
PRC-004-6 Protection System Misoperation Identification and Correction 4/1/2021
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-006-5 Automatic Underfrequency Load Shedding 4/1/2021
PRC-006-NPCC-2 Automatic Underfrequency Load Shedding 4/1/2020 Detail
PRC-006-SERC-02 Automatic Underfrequency Load Shedding Requirements 1/1/2018 Replaces PRC-006-SERC-01
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 Replaces PRC-010-1
PRC-011-0 Undervoltage Load Shedding System Maintenance and Testing 6/18/2007
PRC-012-2 Remedial Action Schemes 1/1/2021 Detail PRC-012-2 will replace PRC-015-1 and PRC-016-1. PRC-012-1, PRC-013-1 and PRC-014-1 are withdrawn the date PRC-012-2 goes into effect.
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 definition.
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-025-2 Generator Relay Loadability 7/1/2018 Detail Entities will be required to establish compliance with Requirement R1 Attachment 1: Relay Settings, Table 1 Options 5b, 14b, 15b, and 16b by January 1, 2021, where the entity has determined that replacement or removal of the applicable relay is not needed. Refer to the Implementation Plan for Phased-in Compliance details.
PRC-026-1 Relay Performance During Stable Power Swings 1/1/2018 Detail Requirement R1 is effective 1/1/2018. Requirements R2, R3 and R4 are effective 1/1/2020.
PRC-027-1 Coordination of Protection Systems for Performance During Faults 4/1/2021 Effective dates delayed to April 1, 2021 due to COVID-19 per FERC Order (https://www.nerc.com/FilingsOrders/us/FERCOrdersRules/order granting motion to defer the implementation dates.pdf).
Transmission Operations (TOP)
TOP-001-5 Transmission Operations 4/1/2021
TOP-002-4 Operations Planning 4/1/2017 TOP-002-4 replaces TOP-002-2.1b
TOP-003-4 Operational Reliability Data 4/1/2021
TOP-010-1(i) Real-time Reliability Monitoring and Analysis Capabilities 4/1/2018 Replaces TOP-010-1
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.
TPL-007-4 Transmission System Planned Performance for Geomagnetic Disturbance Events 10/1/2020 Detail
Voltage and Reactive (VAR)
VAR-001-5 Voltage and Reactive Control 1/1/2019
VAR-002-4.1 Generator Operation for Maintaining Network Voltage Schedules 9/26/2017 VAR-002-4.1 replaces VAR-002-4. VAR-002-4 became effective 5/29/2015; VAR-002-4.1 replaced VAR-002-4 9/26/2017 due to an errata approved by FERC.
VAR-501-WECC-3.1 Power System Stabilizer (PSS) 9/26/2017 VAR-501-WECC-3 became effective 7/1/2017; VAR-501-WECC-3.1 replaced VAR-501-WECC-3 on 9/26/2017 due to an errata approved by FERC. Requirement R3 has an effective date of July 1, 2017 for first-time service after regulatory approval; R3 has an effective date of July 1, 2022 for units placed in service prior to final regulatory approval.



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