Purpose Risk... · Web viewPlease provide contact information for the IRA and COP Survey response....

Inherent Risk Assessment (IRA) and Compliance Oversight Plan (COP) Survey

WECC Reliability & Security OversightEffective March 14, 2018

Table of ContentsPurpose...................................................................................................................3Instructions.............................................................................................................4Survey Contact Information....................................................................................5Attestation..............................................................................................................5Survey Questions.....................................................................................................6

Organizational Characteristics.........................................................................................6Critical Infrastructure Protection (CIP)............................................................................8Transmission Facilities...................................................................................................15Generation Facilities.......................................................................................................16

SAMPLE ONLY – DO NOT SUBMIT

Load ............................................................................................................................... 17Operations......................................................................................................................17Protection Systems.........................................................................................................20Planning and System Changes.......................................................................................22Events and System Restoration......................................................................................23Additional Information....................................................................................................24

Attestation............................................................................................................24

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PurposeAs described in the Electric Reliability Organization (ERO) Enterprise Guide for Compliance Monitoring1, the Western Electricity Coordinating Council (WECC) follows the Risk Based Compliance Oversight Framework which focuses on identifying, prioritizing, and addressing risks to the bulk power system (BPS), enabling WECC to tailor its compliance monitoring approach for each registered entity based on risk.

In order to identify a registered entity’s specific risks to the BPS, WECC gathers entity information to develop a complete understanding of the entity’s characteristics. In addition to information already available to WECC, WECC will use the information provided in survey to complete an Inherent Risk Assessment (IRA) for your registered entity. The results of the IRA are used to develop a Compliance Oversight Plan (COP) specific to your registered entity that identifies a list of NERC Standards and requirements that WECC plans to monitor, possible compliance monitoring tools, and the expected interval of compliance monitoring.

Once the IRA and COP are complete, WECC will share an IRA Summary Report and COP document with your registered entity. The IRA and COP are subject to revision at any time and WECC may ask your registered entity to update the IRA Survey on a periodic basis.

1 ERO Enterprise Guide for Compliance Monitoring, October 2016: http://www.nerc.com/pa/comp/Reliability%20Assurance%20Initiative/ERO%20Enterprise%20Guide%20for%20Compliance%20Monitoring.pdf

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http://www.nerc.com/pa/comp/Reliability%20Assurance%20Initiative/ERO%20Enterprise%20Guide%20for%20Compliance%20Monitoring.pdf

http://www.nerc.com/pa/comp/Reliability%20Assurance%20Initiative/ERO%20Enterprise%20Guide%20for%20Compliance%20Monitoring.pdf


InstructionsThe following instructions apply to the IRA and COP Survey web form located on www.wecc.org. Please DO NOT submit this document.WECC issues the IRA and COP Survey to registered entities on a rolling basis. Once a registered entity has been scheduled for an IRA and COP, WECC will notify the Primary Compliance Contact that the IRA and COP Survey is available for completion. WECC typically allows 90 days for the registered entity to complete the IRA Survey, unless otherwise specified in WECC’s Request for IRA and COP Survey Response.

Please note the following points when completing the IRA and COP Survey.

1. The IRA and COP Survey response should be coordinated through your registered entity’s Primary Compliance Contact or Authorizing Officer, as listed in WebCDMS.

2. WECC will accept one IRA and COP Survey response from each registered entity. 3. Once you begin filling out the IRA and COP Survey, you may save your work and

return at a later time to keep working on the survey. The information stored in your IRA Survey response will remain available under your specific WECC website login only until you complete and submit the form.

4. Questions about the IRA and COP process or survey should be directed to [email protected].

5. A WECC website login is required to access the IRA and COP Survey web form. If you do not have a WECC.org login, please request one at www.wecc.org. Questions about access to the WECC website should be directed to [email protected] or 1-877-937-9722.

6. Once the survey is submitted, the information for the survey will be locked until WECC completes the IRA and COP for your entity. If there is a change in informa-tion or additional information is required to be submitted, please email [email protected].

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mailto:[email protected]




Survey Contact InformationPlease provide contact information for the IRA and COP Survey response.

o Contact Nameo Contact Emailo Personnel Role in the Organizationo Phone

Please provide information about the Registered Entity this IRA and COP Survey response applies to

o Registered Entity Nameo Registered Entity Acronymo NCR IDo Current NERC Registered Functions

AttestationI affirm that I am the entity Compliance Contact or equivalent or have been authorized by such a person to submit these responses.

o Yes

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Survey Questions

Organizational Characteristics1. Do any of the following apply to your Registered entity (applicable to all NERC

Registered Functions)?Check all that apply

o NERC Joint Registration Organization (JRO)o Coordinated Functional Registration (CFR)o Joint ownership with another entityo Performs NERC Registered Functions in a region(s) other than WECCo Participates in a Multi-Region Registered Entity (MRRE) for Coordinated

Oversight

If any of the above apply, please identify and describe the agreement.

2. Does your entity have any agreements (such as delegation agreements, interconnection agreements, assignment agreements and/or contracts) that transfer or share compliance related tasks for BES Elements with another Registered Entity? For instance, operating or maintenance agreements. (applicable to all NERC Registered Functions)

o Yeso No

If yes, please upload an executed copy of the agreements.

3. Does your entity have any agreements that result in the transfer of compliance responsibility for NERC Reliability Standards from one entity to another? (applicable to all NERC Registered Functions)

o Yeso No

If yes,

List the delegated tasks, the entity responsible for performance, and/or the entity responsible for demonstrating NERC compliance.

Please upload an executed copy of the Agreements.

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4. Please describe the results of any operational planning assessments (i.e. TPL studies, internal risk assessments, spare BES equipment, etc.) performed by your entity that identifies risks to the Reliability of the BES due to the loss or degradation of specific BES Elements. (applicable to all NERC Registered Functions)

5. Please describe the results of any organizational assessments of your entity that could indicate a potential risk to the Reliability of the BES (such as loss of key personnel, organizational re-structuring, mergers/acquisitions, etc.) (applicable to all NERC Registered Functions)

6. Please provide a high-level description or upload a high-level organization chart that illustrates your entity’s corporate structure including information about corporate affiliates, parent companies, and/or subsidiaries, as applicable. (applicable to all NERC Registered Functions)

Or

7. Provide a description or upload an organization chart that illustrates your entity’s internal organizational structure as related to NERC compliance. (applicable to all NERC Registered Functions)The following information should be included:

Who (specifically, what role) does your entity’s Compliance Officer report to?

Does your Registered Entity share a compliance department or function with any other Registered Entities?

Describe the functional and organizational structure of the groups responsible for implementing the CIP Standards.

Or

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8. In the last three years, has your entity undergone any major organizational changes such as changes in ownership (i.e. mergers, acquisitions, divestments) or structural change (for example, re-organization of business units)? (applicable to all NERC Registered Functions)

o Yeso No

If yes, describe the change.

Critical Infrastructure Protection (CIP)9. As a Registered Entity, what is the total number of High, Medium, and Low impact

BCS that your entity is responsible for operating, monitoring, or maintaining? (applicable to RC, BA, TOP, TO, GOP, GO, DP)

High #Medium #Low #

10.Does your entity operate, monitor, or maintain any High, Medium or Low impact BCS with an Inter-Control Center Communications Protocol (ICCP) connection? (applicable to RC, BA, TOP, TO, GOP, GO, DP and (Entities with High, Medium and/or Low Impact BCS)

ICCP Connection

High yes/noMedium yes/noLow yes/no

11.If Q10 is yes, how many ICCP (Inter-Control Center Communications Protocol) connections do you have? And, how many of those connections are with separate entities? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

ICCP Connections

With Separate Entities

High # #Medium # #Low # #

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12.Does your entity operate, monitor, or maintain any Medium or Low impact BCS with External Routable Connectivity protocol? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

External Routable Connectivity

Medium yes/noLow yes/no

13.Have you experienced any Cyber Security Incidents in the last three years? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

o Yeso No

If yes, please provide a brief description of each incident.

14.Do you have any High, Medium, and/or Low impact BCS devices which are currently impacted by any NERC Alerts? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

NERC AlertsHigh yes/noMedium yes/noLow yes/noIf yes, please describe the steps taken to monitor and/or remediate the NERC Alert(s).

15.How many High, Medium, or Low Impact rated Control Centers and/or Backup Control Centers have you identified? (applicable to RC, BA, TOP, GOP) and (Entities with High, Medium and/or Low Impact BCS)

Control Center

Backup Control Center

High # #Medium # #Low # #

16.How many physical locations have you identified with Medium, or Low Impact BES Assets? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with Medium and/or Low Impact BCS)

Physical Locations

Medium #

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Low #

17.Do you have High, Medium or Low Impact rated BES Cyber Systems that are accessible via Interactive Remote Access? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

Interactive Remote Access

High yes/noMedium yes/noLow Yes/no

If yes, do you allow Interactive Remote Access by third party vendors and/or contractors?

o Yeso No

18.Do you have High, Medium, or Low Impact rated BES Cyber Systems that are electronically accessible via dial-up connection(s)? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

Dial-Up Connections

High yes/noMedium yes/noLow yes/no

19.Do you allow unescorted physical access by third-party vendors and/or contractors to High or Medium Impact rated BES Cyber Assets? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium)

Third-Party Access

High yes/noMedium yes/no

20.Do you allow third-party vendors and/or contractors to use Transient Cyber Assets or removable media to access the High or Medium Impact rated BES Cyber Systems, BES Cyber Assets, and/or Protected Cyber Assets (PCAs) (either physically or electronically)? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

Transient Cyber Assets

High yes/noMedium yes/no

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If yes, are the Transient Cyber Assets or removable media maintained by you, as the registered entity?

o Yeso No

21.How do you perform your baseline configuration management for High or Medium Impact BCS and their Protected Cyber Assets (PCA)? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)Check all that apply

Manual AutomatedHigh checkboxMedium checkbox

22.Are your BES Cyber Assets within an Electronic Security Perimeter (ESP) permitted to make system-to-system connections (other than interactive remote access) directly to systems on the internet? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o Yeso No

23.Do you have High or Medium Impact BES Assets that are shared with other Registered Entities? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o Yeso No

If yes,

List the number of shared BES Assets

Shared BES Assets

High #Medium #

Please provide a list all Assets and locations of the Assets.

Who is responsible for maintenance and compliance on these Assets?

24.List how many Electronic Security Perimeters (ESPs) you have and how many Electronic Access Points (EAPs) are at each. (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

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25.Has the management for your NERC CIP operations (or delegates for the operations) changed in the past three years? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

o Yeso No

If yes, explain the changes.

26.Have there been any changes to the design of your CIP Network, Electronic Security Perimeter (ESP), Physical Security Perimeters (PSPs) or Electronic Access Points (EAPs) in the past three years? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o Yeso No

If yes, please describe the changes.

27.Do you monitor external service provider activity to detect potential Cyber Security Incidents? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o Yeso No

If yes, please describe the type of external service provider(s) you use and how you monitor their activity.

28.Is network activity monitored to detect potential Cyber Security Incidents? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

o Yeso No

If yes, please describe how you monitor the activity.

29.What operating systems are used by BCA (BES Cyber Asset), PCA (Protected Cyber Assets), EACMS (Electronic Access Control or Monitoring Systems) and PACS (Physical Access Control Systems) components, as applicable, within each BES

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Cyber System? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

30.Do you use legacy hardware on your BCAs (BES Cyber Assets) or PCAs (Protected Cyber Assets)? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High, Medium and/or Low Impact BCS)

o Yeso No

If yes,

Do you still have vendor support for those systems? o Yeso No

What plans do you have to replace the legacy systems?

31.Does your entity run EMS/SCADA? (applicable to RC, BA, TOP, TO, GOP, GO, DP)o Yeso No

If yes,

What platform are you running EMS/SCADA on?

Is your EMS/SCADA running on a platform that is different from what your vendor recommends?

o Yeso No

If yes, please explain.

Is your EMS/SCADA software the most current version approved/released by the vendor?

o Yeso No

If no, how many versions of software have been approved/released since your last EMS/SCADA upgrade?

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How many software versions does your EMS/SCADA vendor support (i.e., current version only, current version and one previous version, etc.)?

32.Do you have any virtualized environments within your Electronic Security Perimeter(s) (ESP)? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

33.Have you identified any Transmission Facility for which CIP-014 applies? (applicable to TO, TOP) and (Entities with High and/or Medium Impact BCS)

34.Is your Cyber Vulnerability Assessment (CVA) performed by an external vendor or through an internal process? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o External Vendoro Internal Process

35.Please describe what items are evaluated in your Cyber Vulnerability Assessment (CVA). For instance, ports and services, known vulnerabilities, etc. (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o Do you have a threat and vulnerability identification program in place? (applicable to RC, BA, TOP, TO, GOP, GO, DP) and (Entities with High and/or Medium Impact BCS)

o Yeso No

If yes, please explain your program.

Transmission Facilities36.Please provide a geographical description of your transmission system including

types of terrain (desert, forested, agricultural, etc.) and the areas with high growth rates for vegetation. If entity is a GO, describe physical characteristics of any generation facility interconnection lines that are greater than one mile in length. (applicable to TO, GO)

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37.Please upload a one-line diagram of your system. (applicable to TO, TOP, GO, GOP, DP, DP UFLS)

38.What is the maximum voltage level, in kV, of the BES elements that your entity is responsible for operating, monitoring, planning, coordinating, or maintaining? (applicable to RC, BA, TOP, TO, TP, PC, GO, DP)

kV

39.What are the combined length of transmission lines, in miles for the following voltage levels, that your entity is responsible for operating, planning, coordinating, or maintaining? (applicable to RC, BA, TOP, TO, TP, PC, GO)

kV 115 138 161 230 345 500 DCmiles

40.Please provide a list of tie-lines that your entity has with other Registered Entities. (applicable to BA, TO, TOP, DP, GO, GOP)

Include in the list

The name of the Registered Entity that has a tie-line with your entity The number of tie-lines the Registered Entity has with your entity for the

specified Functional Registrations The number of tie-lines the Registered Entity has with your entity at each

voltage level.

Ties with Registered Function Ties at Specified Voltages (kV)Entity Name BA TO TO

P GO GOP DP 115 138 161 230 345 500 DC

# # # # # # # # # # # # # + Additional Rows

41.Does your entity own or operate elements of an IROL, Flowgate, Major WECC Transfer Path, or system restoration cranking path? (applicable to RC, BA, TOP, TO, TP)

o Yeso No

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Generation Facilities42.In the table below, please provide the following detailed information for the BES

generators which are owned or operated (wholly or jointly) by your Registered Entity. (applicable to GO, GOP)

Facility – enter the name or identifier of the generating unit(s) Type – enter a description of the configuration of the generating unit(s),

such as: once-through boiler, 2x1 combined cycle, simple cycle, pumped storage, run of river, etc.

Fuel – enter the primary source of fuel for the generating unit(s), such as: coal, natural gas, oil, nuclear, wind, water, etc.

Rating – enter the total nameplate rating (in MVA) for the generating unit(s) Ownership – enter the percent owned by your Registered Entity BA – enter the Registered Entity that is the BA for the generating unit(s) TOP – enter the Registered Entity that is the TOP for the generating unit(s) GO – enter the Registered Entity that is the GO for the generating unit(s) GOP – enter the Registered Entity that is the GOP for the generating unit(s) Use – identify the primary use for the generating unit(s), such as: Baseload,

peaking, reserve sharing, Blackstart, etc.

Facility Type Fuel

Rating

Ownership BA TOP GO GOP Use

text text text MVA % text text text text text+Additional Rows

43.What is the total capacity of the BES generation, in MW, in your Balancing Authority Area (including Pseudo Tie Generation)? (applicable to BA)

MW

44.What is the percentage of non-dispatchable generation (such as wind and solar, including non-BES), in MW, that your entity balances? (applicable to BA)

%

Load45.What is the maximum load, in MW, that your entity is responsible for balancing?

(applicable to BA)

MW

46.What is the maximum real power capacity, in MW, that your entity is responsible for delivering? (applicable to TO, TSP, DP, RP)

MW

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47.What is the peak capacity (load and transfers), in MW, on the transmission system that your entity is responsible for monitoring or operating? (applicable to RC, BA, TOP)

MW

48.For the system you are responsible for planning, monitoring, or operating, please provide your load profile curves for the last three years and projected for the next three years. (applicable to RC, BA, TOP, TO, TSP, DP, RP)

If there have been significant changes in the past three years or expected in the next three years, please describe the changes in load profile that your entity has experienced and how you are managing those changes.

Operations49.In the table below, please identify the Registered Entity that is the Balancing

Authority (BA), Transmission Operator (TOP), Planning Coordinator (PC), Resource Planner (RP), and Transmission Planner (TP) for your entity’s Facilities. In the Facility Name column, you may refer to “All Facilities” or add additional rows to specify individual facility name(s), as applicable. (applicable to all NERC Registered Functions)

Facility Name

BA TOP PC RP TP

List “All Facilities” or specify individual facility name(s)

Entity Name

Entity Name

Entity Name

Entity Name

Entity Name

+ Additional rows

50.Please identify your Generator Operator (GOP). (applicable to GO)

51.Does your entity provide Planning Coordinator (PC), Resource Planner (RP), and Transmission Planner (TP) functions for another Registered Entity? (applicable to PA, TP, RP)

o Yes

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o No

If yes, please list the Registered Entities that your entity performs the Planning Coordinator, Resource Planner, and Transmission Planner functions for. In the Facility Name column, you may refer to “All Facilities” or add additional rows to specify individual facility name(s), as applicable.

Entity Name Facility Name PC RP TPEntity Name List “All

Facilities” or specify individual facility name(s)

x x x

+ Additional rows

52.As a Distribution Provider (DP), do you own or operate any BES assets? (applicable to DP)

o Yeso No

If yes, describe the operations and maintenance responsibility of said assets.

53.For your entity, what is the percentage of System or Generator Operators that have less than 5 years of system operator experience? (applicable to RC, BA, TOP, GOP)

MW

54.What process do you use to ensure that your planning studies and operating studies use the same assumptions? (applicable to PA, TP, TOP, BA, RC)

55.Does your entity have monitoring and situational awareness tools? (applicable to RC, BA, TOP, GOP)

o Yeso No

If yes, what type of monitoring and situational awareness tools do you use?

If no, what are the total number of transmission lines for the following voltage levels, that your entity is responsible for operating or monitoring?

kV 115 138 161 230 345 500 DClines

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56.What types of reactive resources does your entity own, operate, or maintain? (applicable to TOP, TO, GOP, GO)Check all that apply:

o BES Generating unito Transmission capacitor banko Transmission reactoro Synchronous condensero Static VAR compensatoro Load tapping transformer with a low-side voltage more than 100kVo DVAR systemo Other (please specify)

57.Has your Reliability Coordinator or Planning Authority identified IROL in your system while performing Operational Planning Analysis or Real-time Assessments? (applicable to TOP)

o Yeso No

If yes, describe the system conditions for which the IROL would be in effect.

58.Does your entity participate in a Reserve Sharing Group? (applicable to BA)o Yeso No

If yes,

Identify the Reserve Sharing Group

Identify the capacity of the largest generating unit within the Reserve Sharing Group

MW

Protection Systems59.In the past three years, have any changes been made to protection systems that

would require coordination with neighboring entities? (applicable to TO, GO, DP, DP UFLS)

o Yeso No


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60.Has your entity planned any changes within the next five years to Protection System modifications, additions, or retirements that will have an impact to UFLS, UVLS, or RAS equipment or require coordination with other Registered Entities? (applicable to TO, GO, DP, DP UFLS)

o Yeso No


61.For PRC-005-6 which methodology is your entity using for Protection System device maintenance? (applicable to TO, GO, DP)Check all that apply

o Performance-based methodologyo Time-based methodology

62.Do you own or are you responsible for designing any Remedial Action Schemes (RAS)? (applicable to RC, TOP, TO, GO, DP)

o Yeso No

If yes, do you own or are you responsible for designing any RAS that is needed to meet the requirements of your Planning Coordinator and Transmission Planner’s studies (TPL studies)?

o Yeso No

63.Do you own or operate equipment that is part of a Remedial Action Scheme (RAS)? (applicable to RC, TOP, TO, GO, DP)

o Yeso No

If yes, does your entity own or operate equipment that is part of a RAS that is needed to meet the requirements of your Planning Coordinator and Transmission Planner’s studies (TPL studies)?

o Yeso No

64.How much load, in MW, is subject to Underfrequency Load Shed (UFLS) in your system (based on peak load)? (applicable to BA, TO, DP, DP UFLS)

MW

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65.Does your entity have Underfrequency Load Shedding (UFLS) that is centrally operated without any human intervention? (applicable to TO, DP, DP UFLS)

o Yeso No

66.Please list the amount of load in MW that you are responsible to shed as per your Planning Authority (PA) or per the WECC Off Nominal Frequency program. (applicable to BA)

MW

67.Does your entity have Undervoltage Load Shedding (UVLS) designed to protect the BES against voltage instability or voltage collapse? (applicable to TO, GO, DP)

o Yeso No

68.Are you required to participate in an Undervoltage Load Shedding (UVLS) program per your Transmission Planner (TP) or Planning Coordinator (PC)? (applicable to TO, DP)

o Yeso No

69.If applicable, how much load (in MW) are subject to Undervoltage Load Shedding (UVLS) at peak load? (applicable to TOP, TO, DP)

MW

70.Has your entity experienced any of the following in the past three years? (applicable to TO, GO, DP, DP UFLS)Check all that apply

o UVLS operation o UFLS operationo RAS operationo Manual or automatic firm load shed

If any of the above apply, please describe the operation.

Planning and System Changes71.Has your entity experienced any transient with its BES elements associated with

Geomagnetic Disturbance (GMD) in the last three years that has resulted in an outage? (Applicable to TO, GO)

o Yes

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o No

72.In the attached spreadsheet, please list the Transmission Elements, Real Power resources, Reactive Power resources, Distribution Resources, and Control Centers that your entity has changed in the last three years (added, removed, modified, or relocated), or is planning to change (add, remove, modify, or relocate) in the next three years, to the BES. (applicable to TO, TOP, GO, GOP, PA, TP)Include in the list:

The type of facility or element The status of the change Identification of the facility or element The date of the change The purpose of the change The Registered Entity with compliance responsibilities for the facility or

element Affected Registered Entities for Protection Systems changes The highest transmission voltage level for applicable facilities or elements The nameplate capacity for applicable generating facilities BESnet Inclusions or Exclusions

o The applied Inclusion(s) or Exclusion(s)o The rationale for the applied Inclusion(s) or Exclusion(s)

Events and System Restoration73.In the last three years, has your entity experienced any of the following conditions?

(applicable to RC, BA, TOP, TO, GOP, GO, DP)Check all that apply

o An Emergency or BES Emergency (as defined by the NERC Glossary of Terms)

o Reportable Cyber Security Incident identified under CIP-008-5o Capacity Emergency or Energy Emergencyo A reportable event as described within the NERC Event Analysis Programo Any other condition where your entity was operating in accordance with

established emergency procedures If any of the above apply, please provide the following information:

Date

Time Location

Summary of Events

Was Event Analysis

completed? (Y/N)

Was a Compliance

Self-Assessment

Was the Root

Cause identifie

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completed? (Y/N) d? (Y/N)

+ Additional Rows

74.Has your entity experienced any of the following exceedances in the past three years? (RC, TOP)

o System Operating Limit (SOL) exceedance (aside from momentary excursion less than five minutes)

o Interconnection Reliability Operating Limit (IROL) exceedance

If yes, please provide the following information for each instance:

Describe the IROL or SOL exceedance How many times an exceedance occurred The duration of each exceedance Whether any Operating Instructions were issued or received as a result

of the exceedance Whether the exceedance occurred on a WECC Major Transfer Path

75.Does your entity own or operate resources that have been identified in a TOP or RC restoration plan? (applicable to TOP, GO, GOP, DP)

o Yeso No

If yes,

Does your entity own or operate any Blackstart Resource(s)?o Yeso No

Does your entity provide switching or other restoration activities based on the direction from a different entity responsible for the restoration plan?

o Yeso No

For a system restoration event, is your entity responsible for independent actions coordinated with the RC?

o Yeso No

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Additional Information76.If you have any additional information you’d like to share with WECC, please use

the space below.

Or

AttestationThe individual listed below is the entity Compliance Contact or equivalent and affirms that they have reviewed these responses and that the information provided is true and accurate to the best of their knowledge.

Compliance Contact Name

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