
[Federal Register: June 23, 2010 (Volume 75, Number 120)]
[Proposed Rules]               
[Page 35689-35700]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23jn10-32]                         

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 40

[Docket No. RM09-25-000]

 
System Personnel Training Reliability Standards

June 17, 2010.
AGENCY: Federal Energy Regulatory Commission.

ACTION: Notice of proposed rulemaking.

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SUMMARY: Pursuant to section 215 of the Federal Power Act, the Federal 
Energy Regulatory Commission (Commission) proposes to approve 
Reliability Standards PER-005-1 (System Personnel Training) and PER-
004-2 (Reliability Coordination--Staffing) submitted to the Commission 
for approval by the North American Electric Reliability Corporation, 
the Electric Reliability Organization (ERO) certified by the 
Commission. In addition, pursuant to section 215(d)(5) of the FPA, and 
section 39.5(f) of the Commission's regulations the Commission proposes 
to direct the ERO to develop modifications to proposed Reliability 
Standard PER-005-1 to address certain issues identified by the 
Commission. The proposed Reliability Standards require reliability 
coordinators, balancing authorities, and transmission operators to 
establish a training program for their system operators, verify each of 
their system operator's capability to perform tasks, and provide 
emergency operations training to every system operator.

DATES: Comments are due August 23, 2010.

ADDRESSES: Interested persons may submit comments, identified by Docket 
No. RM09-25-000, by any of the following methods:
     Agency Web Site: http://www.ferc.gov. Documents created 
electronically using word processing software should be filed in native 
applications or print-to-PDF format and not in a scanned format.
     Mail/Hand Delivery. Commenters unable to file comments 
electronically must mail or hand deliver an original and 14 copies of 
their comments to: Federal Energy Regulatory Commission, Secretary of 
the Commission, 888 First Street, NE., Washington, DC 20426.

FOR FURTHER INFORMATION CONTACT: 
Karin L. Larson (Legal Information), Office of the General Counsel, 
Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426. (202) 502-8236.
Kenneth U. Hubona (Technical Information), Office of Electric 
Reliability, Division of Reliability Standards, Federal Energy 
Regulatory Commission, 13511 Label Lane, Suite 203, Hagerstown, MD 
21740. (301) 665-1608.

SUPPLEMENTARY INFORMATION:
    1. Pursuant to section 215 of the Federal Power Act (FPA),\1\ the 
Commission proposes to approve Reliability Standards PER-005-1 (System 
Personnel Training) and PER-004-2 (Reliability Coordination--Staffing), 
developed by the North American Electric Reliability Corporation 
(NERC), the Commission-certified Electric Reliability Organization 
(ERO). The Commission proposes to direct the ERO to develop 
modifications to proposed Reliability Standard PER-005-1 to address 
certain issues identified by the Commission. The proposed Reliability 
Standards require reliability coordinators, balancing authorities, and 
transmission operators to establish a training program for their system 
operators, verify each of their system operator's capability to perform 
tasks, and provide emergency operations training to each system 
operator. The Commission also proposes to approve the retirement of the 
currently effective Reliability Standards PER-002-0 (Operating 
Personnel Training) and PER-004-1 (Reliability Coordination), which are 
superseded by the proposed Reliability Standards PER-005-1 and PER-004-
2.
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    \1\ 16 U.S.C. 824o (2006).
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I. Background

A. System Personnel Training and the August 14, 2003 Blackout

    2. On August 14, 2003, a blackout that began in Ohio affected 
significant portions of the Midwest and Northeast United States, and 
Ontario, Canada (August 14 Blackout). This blackout affected an area 
with an estimated 50 million people and 61,800 megawatts of electric 
load.\2\ The subsequent investigation and report completed by the U.S.-
Canada Power System Outage Task Force (Task Force) reviewed several 
previous major North American outages and concluded that ``inadequate 
training of operating personnel'' was among the factors that the August 
14 Blackout had in common with previous outages.\3\
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    \2\ U.S.-Canada Power System Outage Task Force, Final Report on 
the August 14, 2003 Blackout in the United States and Canada: Causes 
and Recommendations, (April 2004) (Blackout Report), available at 
http://www.ferc.gov/industries/electric/indus-act/blackout.asp.
    \3\ See Blackout Report at 107.
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    3. Specifically, the Task Force summarized that previous outage 
analyses recommended ``enhanced procedures and training for operating 
personnel.'' \4\ This included:
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    \4\ Id. at 110.
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     Thorough programs and schedules for operator training and 
retraining should be vigorously administered.
     A full-scale simulator should be made available to provide 
operating personnel with ``hands-on'' experience in dealing with 
possible emergency or other system conditions.
     Procedures and training programs for system operators 
should include anticipation, recognition, and definition of emergency 
situations.

[[Page 35690]]

     Written procedures and training materials should include 
criteria that system operators can use to recognize signs of system 
stress and mitigating measures to be taken before conditions degrade 
into emergencies * * *.\5\
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    \5\ Id.
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    4. The Blackout Report stated that some reliability coordinators 
and control area operators, i.e., balancing authorities, did not 
receive adequate training in recognizing and responding to system 
emergencies and this ``training deficiency contributed to the lack of 
situational awareness and failure to declare an emergency on August 14 
while operator intervention was still possible (before events began to 
occur at a speed beyond human control).'' \6\ The Blackout Report 
recommended ``[i]mprov[ing] near-term and long-term training and 
certification requirements for operators, reliability coordinators, and 
operator support staff.'' \7\ The Task Force suggested that NERC 
require training for planning staff at control areas and reliability 
coordinators concerning power system characteristics and load, VAR, and 
voltage limits to enable them to develop rules for operating staff to 
follow.\8\ In addition, the Task Force urged NERC to ``require control 
areas and reliability coordinators to train grid operators, IT support 
personnel, and their supervisors to recognize and respond to abnormal 
automation system activity.'' \9\
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    \6\ Id. at 157.
    \7\ Id. at 156, Task Force Recommendation 19.
    \8\ Id. at 156-157, Task Force Recommendation 19.A.
    \9\ Id. at 157, Task Force Recommendation 19.B.
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B. Section 215 of the FPA and Mandatory Reliability Standards

1. Section 215 of the FPA
    5. Section 215 of the FPA requires a Commission-certified ERO to 
develop mandatory and enforceable Reliability Standards, which are 
subject to Commission review and approval. If approved, the Reliability 
Standards are enforced by the ERO, subject to Commission oversight, or 
by the Commission independently.
    6. In July 2006, the Commission certified NERC as the ERO.\10\ 
Concurrent with its 2006 ERO Application, NERC submitted to the 
Commission a petition seeking approval of 107 proposed Reliability 
Standards, including four Personnel Performance, Training and 
Qualifications (PER) Reliability Standards. The PER group of 
Reliability Standards is intended to ensure the safe and reliable 
operation of the interconnected grid through the retention of suitably 
trained and qualified personnel in positions that can impact the 
reliable operation of the Bulk-Power System.
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    \10\ North American Electric Reliability Corp., 116 FERC ] 
61,062 (ERO Certification Order), order on reh'g & compliance, 117 
FERC ] 61,126 (2006), aff'd sub nom., Alcoa, Inc. v. FERC, 564 F.3d 
1342 (DC Cir. 2009).
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    7. On March 16, 2007, the Commission issued Order No. 693, 
approving 83 of the 107 Reliability Standards filed by NERC,\11\ 
including the four PER Reliability Standards: PER-001-0, PER-002-0, 
PER-003-0, and PER-004-1.\12\ In addition, under section 215(d)(5) of 
the FPA, the Commission directed NERC to develop modifications to the 
PER Reliability Standards to address certain issues identified by the 
Commission. At issue in the immediate proceeding are two new PER 
standards that would replace the currently effective Reliability 
Standards PER-002-0 (Operating Personnel Training) and PER-004-1 
(Reliability Coordination--Staffing).
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    \11\ Mandatory Reliability Standards for the Bulk-Power System, 
Order No. 693, Federal Register 72 FR 16,416 (Apr. 4, 2007), FERC 
Stats. & Regs. ] 31,242, order on reh'g, Order No. 693-A, 120 FERC ] 
61,053 (2007).
    \12\ Order No. 693 at P 1330-1417.
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2. Reliability Standard PER-002-0
    8. Currently effective Reliability Standard PER-002-0 requires each 
transmission operator and balancing authority to be staffed with 
adequately trained operating personnel.\13\ Specifically, PER-002-0: 
(1) Directs each transmission operator and balancing authority to have 
a training program for all operating personnel who occupy positions 
that either have primary responsibility, directly or through 
communication with others, for the real-time operation of the Bulk-
Power System or who are directly responsible for complying with the 
NERC Reliability Standards; (2) lists criteria that must be met by the 
training program; and (3) requires that operating personnel receive at 
least five days of training in emergency operations each year using 
realistic simulations.\14\
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    \13\ Id. P 1331.
    \14\ Reliability Standard PER-002-0.
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    9. In Order No. 693, the Commission directed NERC, pursuant to 
section 215(d)(5) of the FPA, to develop the following modifications to 
PER-002-0: (1) Identify the expectations of the training for each job 
function; (2) develop training programs tailored to each job function 
with consideration of the individual training needs of the personnel; 
(3) expand the applicability of the training requirements to include: 
reliability coordinators, local transmission control center operator 
personnel, generator operators centrally-located at a generation 
control center with a direct impact on the reliable operation of the 
Bulk-Power System, and operations planning and operations support staff 
who carry out outage planning and assessments and those who develop 
system operating limits (SOLs), interconnection reliability operating 
limits (IROLs), or operating nomograms for real-time operations; (4) 
use a Systematic Approach to Training methodology for developing new 
training programs; and (5) include the use of simulators by reliability 
coordinators, transmission operators, and balancing authorities that 
have operational control over a significant portion of load and 
generation.\15\
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    \15\ Order No. 693 at P 1393.
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    10. In Order No. 693, the Commission also directed the ERO to 
determine whether it is feasible to develop meaningful performance 
metrics associated with the effectiveness of a training program 
required by currently effective Reliability Standard PER-002-0 and to 
consider whether personnel that support Energy Management System (EMS) 
applications should be included in mandatory training pursuant to the 
Reliability Standard.\16\
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    \16\ Id. P 1394.
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3. Reliability Standard PER-004-1
    11. In Order No. 693, the Commission also approved Reliability 
Standard PER-004-1.\17\ This Reliability Standard requires each 
reliability coordinator to be staffed with adequately trained, NERC-
certified operators, 24 hours a day, seven days a week. Further, PER-
004-1 requires reliability coordinator operating personnel to have a 
comprehensive understanding of the area of the Bulk-Power System for 
which they are responsible.
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    \17\ Id. P 1417.
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    12. Under section 215(d)(5) of the FPA, the Commission directed 
NERC to develop modifications to currently effective Reliability 
Standard PER-004-1 through the Reliability Standards development 
process to: (1) Include formal training requirements for reliability 
coordinators similar to those addressed under the personnel training 
Reliability Standard PER-002-0 and (2) include requirements pertaining 
to personnel credentials for reliability coordinators similar to those 
in PER-003-0.\18\
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    \18\ Id. P 1415, 1417. Currently effective Reliability Standard 
PER-003-0 requires transmission operators, balancing authorities and 
reliability coordinators to have NERC-certified staff for all 
operating positions that have a primary responsibility for real-time 
operations or are directly responsible for complying with the 
Reliability Standards. Id. at 1395.

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[[Page 35691]]

II. NERC Petition for Proposed Reliability Standards PER-005-1 and PER-
004-2

    13. In a September 30, 2009 filing (NERC Petition),\19\ NERC 
requests Commission approval of proposed Reliability Standards PER-005-
1 (System Personnel Training) and PER-004-2 (Reliability Coordination--
Staffing), which were developed in response to the Commission's 
directives in Order No. 693 regarding currently effective Reliability 
Standard PER-002-0.\20\ NERC seeks to concurrently retire currently 
effective Reliability Standards PER-002-0 and PER-004-1 upon the 
effective date PER-004-2 and PER-005-1.
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    \19\ North American Electric Reliability Corp., Sept. 30, 2009 
Petition for Approval of Proposed Reliability Standards Regarding 
System Personnel Training (NERC Petition).
    \20\ NERC's Petition addresses only the directives in Order No. 
693 related to existing Reliability Standard PER-002-0, not the 
directives related to PER-004-1. See NERC Petition at 27.
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    14. NERC states that the proposed Reliability Standards ``are a 
significant improvement over the existing Reliability Standards'' and 
recommends Commission approval of the standards as a ``significant step 
in strengthening the quality of operator training programs as necessary 
for the reliability of the [B]ulk-[P]ower [S]ystem.'' \21\
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    \21\ NERC Petition at 5.
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A. Reliability Standard PER-005-1

    15. Proposed Reliability Standard PER-005-1 has the stated purpose 
of ensuring that system operators performing real-time, reliability-
related tasks on the North American bulk electric system are competent 
to perform those reliability-related tasks.\22\ The proposed 
Reliability Standard applies to reliability coordinators, balancing 
authorities and transmission operators. Reliability Standard PER-005-1 
contains three requirements, which NERC describes as follows:
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    \22\ Reliability Standard PER-005-1, Section A.3 (Purpose).
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     Requirement R1 mandates the use of a systematic approach 
to training for both new and existing training programs. The 
requirement further requires applicable entities to create a company-
specific, reliability-related task list relevant to Bulk-Power System 
operation and to design and develop learning objectives and training 
materials based on the task list performed by its System Operators each 
calendar year. Finally, the requirement mandates the training be 
delivered and the training program be evaluated on at least an annual 
basis to assess its effectiveness.
     Requirement R2 requires the verification of a System 
Operator's ability to perform the tasks identified in Requirement R1. 
The requirement also mandates re-verification of a System Operator's 
ability to perform the tasks within a specified time period when 
program content is modified.
     Requirement R3 identifies the number of hours of emergency 
operations training (at least 32 hours) that a System Operator is 
required to obtain every twelve months. The requirement further 
identifies those entities required to use simulation technology such as 
a simulator, virtual technology, or other technology in their emergency 
operations training programs.\23\
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    \23\ NERC Petition at 8-9.
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    NERC states that PER-005-1 is a new Reliability Standard that 
supersedes all of currently effective Reliability Standard PER-002-0 
and supersedes Requirements R2, R3, and R4 of currently effective 
Reliability Standard PER-004-1.
    16. According to NERC, proposed Reliability Standard PER-005-1 
``marks a significant milestone toward achieving FERC priorities as 
articulated in Order No. 693,'' but acknowledges that it does not 
satisfy all of the directives set forth in Order No. 693.\24\ 
Specifically, NERC recognizes that proposed Reliability Standard PER-
005-1 does not establish training obligations for generator operators 
and various operations support personnel as required by Order No. 693, 
stating that ``these will be addressed in a subsequent development 
effort as described in the Reliability Standards Development Plan: 
2009-2011.'' \25\
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    \24\ Id. at 7.
    \25\ Id.
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B. Reliability Standard PER-004-2

    17. Proposed Reliability Standard PER-004-2 modifies PER-004-1 by 
deleting Requirements R2, R3, and R4. According to NERC, more detailed 
and less ambiguous requirements addressing the same issues set forth in 
currently effective Reliability Standard PER-004-1 Requirements R2, R3, 
and R4 are now included in proposed PER-005-1. Proposed Reliability 
Standard PER-004-2 simply carries forward, unchanged, the remaining 
requirements from currently effective PER-004-1, including the 
associated violation risk factor and violation severity level 
assignments. NERC states that Requirement R2 of currently effective 
PER-004-1, which requires reliability coordinator operating personnel 
to complete a minimum of five days per year of training and drills 
using realistic simulations of system emergencies, is now addressed in 
proposed Reliability Standards PER-005-1, Requirement R3. According to 
NERC, Requirements R3 and R4 of currently effective PER-004-1, which 
mandate reliability coordinator operating personnel to have an 
extensive understanding of its reliability coordinator area and other 
operators within that area, are now addressed in proposed Reliability 
Standard PER-005-1, Requirements R1 and R2.

III. Discussion

    18. We agree with NERC that the proposed Reliability Standards PER-
005-1 and PER-004-2 comply with many of the requirements in Order No. 
693 and represent an improvement in training requirements. Accordingly, 
pursuant to section 215(d)(2) of the FPA, the Commission proposes to 
approve Reliability Standards PER-005-1 and PER-004-2, as just, 
reasonable, not unduly discriminatory or preferential, and in the 
public interest. In addition, pursuant to section 215(d)(5) of the FPA, 
the Commission proposes to direct the ERO to develop modifications to 
proposed Reliability Standard PER-005-1 to address certain issues 
identified by the Commission.
    19. It appears that the proposed Reliability Standards adequately 
address a number of the directed modifications set forth in Order No. 
693 regarding the PER Reliability Standards. For example, it appears 
that proposed Reliability Standard PER-005-1 adequately addresses the 
following Order No. 693 directives: (1) Identify the expectations of 
the training for each job function; (2) develop training programs 
tailored to each job function with consideration of the individual 
training needs of the personnel; (3) expand the applicability section 
to include reliability coordinators; (4) incorporate a Systematic 
Approach to Training methodology in the development of training 
programs; and (5) incorporate simulator training into the standard.
    20. Personnel training is important to ensuring the reliability of 
the Bulk-Power System, as recognized in Order No. 693 and the Blackout 
Report.\26\ The ERO has proposed changes to the training standard on 
many issues, including: (1) The Systematic Approach to Training, (2) 
tailoring training for each job function, and (3) simulation training. 
In several of these areas, the Commission is seeking clarification from 
the ERO or industry comment on specific matters and proposes 
improvements that can be made to

[[Page 35692]]

further enhance operator training. Further, we propose to direct the 
ERO to modify PER-005-1 to explicitly address training for local 
control center personnel, as required by Order No. 693. Each of these 
matters is discussed below.
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    \26\ Blackout Report at 156.
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    21. The Commission also seeks comment on the feasibility of the 
proposed effective dates and retirement dates proposed by NERC. 
Additionally, the Commission proposes to defer review of the violation 
risk factor and violation severity level assignments for proposed 
Reliability Standards PER-005-1 and PER-004-2.
    22. Finally, as acknowledged by NERC, certain of the directives 
from Order No. 693 related to the currently effective Reliability 
Standard PER-002-0 are not addressed in proposed Reliability Standard 
PER-005-1. Thus, the Commission seeks comment on the timeframe for the 
ERO to modify PER-005-1 to fully respond to the Commission's directives 
in Order No. 693 regarding expanding the applicability of the training 
requirements.

A. Systematic Approach to Training

    23. In Order No. 693, the Commission directed NERC to develop 
modifications to currently effective Reliability Standard PER-002-0 to 
use a Systematic Approach to Training methodology for developing new 
training programs.\27\ A Systematic Approach to Training is a widely-
accepted methodology that ensures training is efficiently and 
effectively conducted and is directly related to the needs of the 
position in question. To achieve training results, Systematic Approach 
to Training objectives include: management and administration of 
training and qualification programs; development and qualification of 
training staff; trainee entry-level requirements; determination of 
training program content; design and development of training programs; 
conduct of training; trainee examinations and evaluations; and training 
program evaluation.
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    \27\ Order No. 693 at P 1382.
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    24. NERC states that proposed Reliability Standard PER-005-1, 
Requirement R1 satisfies this directive as it requires each reliability 
coordinator, balancing authority, and transmission operator to use a 
Systematic Approach to Training to establish company-specific, 
reliability-related tasks performed by its system operators. 
Specifically, Requirement R1 provides that ``each Reliability 
Coordinator, Balancing Authority and Transmission Operator shall use a 
systematic approach to training to establish a training program* * *.'' 
\28\
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    \28\ See NERC Petition at Exhibit A, PER-005-1, R1.
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Commission Proposal
    25. Based on the Commission's understanding of Systematic Approach 
to Training, we agree with NERC that proposed Reliability Standard PER-
005-1, Requirement R1 meets the Commission's directive to ``develop a 
modification to PER-002-2 (or a new Reliability Standard) that uses the 
SAT methodology.'' \29\ Requirement R1 and the corresponding sub-
requirements mandate that each reliability coordinator, balancing 
authority, and transmission operator use a Systematic Approach to 
Training to establish its training program. Thus, NERC appears to have 
complied with the Order No. 693 directive to adopt a Systematic 
Approach to Training.
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    \29\ See Order No. 693 at P 1380.
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    26. However, the generic reference to Systematic Approach to 
Training contained in proposed PER-005-1, Requirement R1 raises the 
question whether certain Order No. 693 directives and whether certain 
specific training requirements that are explicitly set forth in the 
currently effective Reliability Standards PER-002-0 and PER-004-1, 
which are to be retired, are fully and adequately captured under the 
Systematic Approach to Training umbrella. The Commission questions 
whether the following three, currently effective training requirements 
are incorporated in proposed Reliability Standard PER-005-1: (i) 
Understanding of reliability coordinator area, (ii) continual training, 
and (iii) training staff identity and competency. As discussed in 
detail below, we seek comment on our understanding of the carryover of 
these three currently enforceable compliance obligations.
1. Understanding of Reliability Coordinator Area
    27. Requirements R3 and R4 of currently effective PER-004-1 provide 
that reliability coordinator operating personnel ``shall have a 
comprehensive understanding of the Reliability Coordinator Area and 
interactions with neighboring Reliability Coordinator areas'' and 
``shall have an extensive understanding of the Balancing Authorities, 
Transmission Operators, and Generation Operators within the Reliability 
Coordinator Area, including the operating staff, operating practices 
and procedures * * *.'' \30\ NERC states that these two requirements 
are supplanted by and are addressed more fully in proposed Reliability 
Standard PER-005-1, Requirements R1 and R2.\31\ Requirements R1 and R2 
of proposed Reliability Standard PER-005-1 state:
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    \30\ Currently effective Reliability Standard PER-004-1, 
available at http://www.nerc.com/files/PER-004-1.pdf.
    \31\ NERC Petition at 26 (stating that PER-004-001, Requirements 
R3 and R4 are removed because they are more fully addressed by 
Requirements R1 and R2 of PER-005-1).

    R1. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall use a systematic approach to training to 
establish a training program for the BES company-specific 
reliability-related tasks performed by its System Operators and 
shall implement the program.
    R1.1. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall create a list of BES company-specific 
reliability-related tasks performed by its System Operators.
    R1.1.1. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall update its list of BES company-specific 
reliability-related tasks performed by its System Operators each 
calendar year to identify new or modified tasks for inclusion in 
training.
    R1.2. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall design and develop learning objectives 
and training materials based on the task list created in R1.1.
    R1.3. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall deliver the training established in 
R1.2.
    R1.4. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall conduct an annual evaluation of the 
training program established in R1, to identify any needed changes 
to the training program and shall implement the changes identified.
    R2. Each Reliability Coordinator, Balancing Authority and 
Transmission Operator shall verify each of its System Operator's 
capabilities to perform each assigned task identified in R1.1 at 
least one time.

    28. The text from currently effective Reliability Standard PER-004-
1, Requirements R3 and R4 requiring reliability coordinator operating 
personnel to have a comprehensive understanding of the reliability 
coordinator area, is not explicitly restated in proposed PER-005-1, 
Requirements R1 and R2. NERC states that Requirements R3 and R4 of 
currently effective Reliability Standard PER-004-1 are removed 
``because they are more fully addressed by Requirements R1 and R2 of 
PER-005-1.'' \32\ NERC's statement implies that Requirements R1 and R2 
of proposed Reliability Standard PER-005-1 retain

[[Page 35693]]

an obligation for reliability coordinator operating personnel to have a 
comprehensive understanding of the reliability coordinator area and 
interactions with neighboring reliability coordinator areas, and 
entities that fail to do so could be subject to an enforcement action. 
However, this is not clear from either the proposed Reliability 
Standard or from NERC's petition. Thus, the Commission seeks an 
explanation from NERC, and comment from the general public, whether ``a 
comprehensive understanding of the reliability coordinator area'' is an 
enforceable requirement under proposed Reliability Standard PER-005-1 
and whether this requirement is clear or should be more explicit.
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    \32\ Id.
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2. Continual Training
    29. The currently effective Reliability Standard PER-002-0, 
Requirement R3.2 explicitly mandates that ``the training program must 
include a plan for the initial and continuing training of Transmission 
Operators and Balancing Authorities operating personnel.'' NERC states 
that the requirements of PER-002-0 ``have been completely replaced and 
supplanted by the specific provision of proposed new Reliability 
Standard PER-005-1.'' \33\ NERC's statement implies that the Systematic 
Approach to Training requirements set forth in proposed PER-005-1 
retains an obligation of continuing training, and entities that fail to 
do so could be subject to an enforcement action. The Commission seeks 
an explanation from NERC, and comment from the general public, whether 
continuing training is an enforceable requirement under proposed 
Reliability Standard PER-005-1 and whether this requirement is clear or 
should be more explicit.
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    \33\ Id. at 27.
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3. Training Staff Identity and Competency
    30. Similarly, currently effective Reliability Standard PER-002-0, 
Requirement R3.4 requires a training program in which ``[t]raining 
staff must be identified, and the staff must be competent in both 
knowledge of system operations and instructional capabilities.'' Since 
this requirement is not explicitly provided in PER-005-1, we seek 
clarification as to how and whether the Systematic Approach to Training 
requires training staff to be identified, and, if not, the mechanism by 
which training staff will be identified and its competency ensured. The 
Commission also seeks comment whether this should be made explicit so 
that entities clearly understand their compliance obligations.

B. Training Expectations for Each Job Function/Tailored Training

    31. In Order No. 693, the Commission directed NERC to develop a 
modification to currently effective Reliability Standard PER-002-0 that 
identifies the expectations of the training for each job function and 
develops training programs tailored to each job function with 
consideration of the individual training needs of the personnel. 
Proposed Reliability Standard PER-005-1, Requirement R1.2 mandates 
applicable entities to ``design and develop learning objectives and 
training materials based on the task list created in R1.1.'' \34\
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    \34\ Id. at 27 (quoting proposed Reliability Standard PER-005-1, 
Requirement R1.2).
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Commission Proposal
    32. The Commission believes that NERC has complied with our 
directive to require entities to identify the expectations of the 
training for each job function and develop training programs tailored 
to each job function with consideration of the individual training 
needs of the personnel. Based on our review of the Systematic Approach 
to Training methodology used by the Department of Energy, we understand 
that a Systematic Approach to Training would assess factors such as 
educational, technical, experience, and medical requirements that 
candidates must possess before entering a given training program.\35\ 
With the above understanding, we believe that the Systematic Approach 
to Training methodology, as proposed in Reliability Standard PER-005-1, 
satisfies the Commission directive to develop a modification that 
identifies the expectations of the training for each job function and 
develops training programs tailored to each job function with 
consideration of the individual training needs of the personnel. We 
also understand that Requirement R1.2 of proposed Reliability Standard 
PER-005-1 requires that the learning objectives and training materials 
be developed with consideration of the individual needs of each 
operator. We seek comment on this understanding.
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    \35\ U.S. Department of Energy's Standard, DOE-STD-1070, 
Guidelines for Evaluation of Nuclear Facility Training Programs at 
Appendix--Objectives and Criteria, Objective 3 (June 1994), 
available at http://www.hss.energy.gov/nuclearsafety/ns/techstds/
standard/std1070/std1070.html.
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C. Simulation Training

    33. In Order No. 693, the Commission directed NERC to develop a 
requirement mandating simulator training for reliability coordinators, 
transmission operators and balancing authorities that have operational 
control over a significant portion of load and generation.\36\ The 
Commission acknowledged concerns regarding the high cost to develop and 
maintain full-scale simulators, and took them into consideration. We 
stated that we did not require that entities must develop and maintain 
full-scale simulators, but rather they should have access to training 
on simulators. Further, because the cost is likely to outweigh the 
reliability benefits for small entities, the Commission stated that 
small entities should continue to use training aids such as generic 
operator training simulators and realistic table-top exercises. 
Therefore, the Commission directed the ERO to develop a requirement for 
the use of simulators dependent on an entity's role and size.
---------------------------------------------------------------------------

    \36\ Order No. 693 at P 1390-91.
---------------------------------------------------------------------------

    34. NERC explains that because ``the implementation cost of a full-
fledged system-specific simulator can be significant * * * the use of a 
simulator is only required for entities managing facilities having a 
significant impact on the bulk power system (Requirement R3.1) * * *.'' 
\37\ Thus, NERC states that proposed PER-005-1, Requirement R3.1 
satisfies this directive as it requires:
---------------------------------------------------------------------------

    \37\ NERC Petition at 17.

    Each Reliability Coordinator, Balancing Authority and 
Transmission Operator that has operational authority or control over 
Facilities with established IROLs or has established operating 
guides or protection systems to mitigate IROL violations shall 
provide each System Operator with emergency operations training 
using simulation technology such as a simulator, virtual technology, 
or other technology that replicates the operational behavior of the 
BES during normal and emergency conditions.\38\
---------------------------------------------------------------------------

    \38\ Id. at 32.
---------------------------------------------------------------------------

Commission Proposal
    35. As required in Order No. 693, proposed Reliability Standard 
PER-005-1 requires the use of simulator training. It appears that 
proposed PER-005-1, Requirement R3.1 would enhance the existing 
requirements governing simulation training by providing operating 
personnel with hands-on simulation training experience in dealing with 
possible emergencies or other system conditions. In addition, the 
proposed Reliability Standard appears to take into account the size of 
the entity, as allowed by Order No. 693, by requiring such training 
only for entities which have operational authority or control over 
facilities with established IROLs or have established operating

[[Page 35694]]

guides or protection systems to mitigate IROL violations.
    36. However, we ask for clarification from NERC concerning the 
simulation requirement. The Blackout Report found that some reliability 
coordinators and control area operators had not received adequate 
system emergency training, that ``[m]ost notable was the lack of 
realistic simulations and drills to train and verify the capabilities 
of operating personnel,'' and that this training deficiency contributed 
to the lack of situational awareness and failure to declare an 
emergency while operator intervention was still possible.\39\ 
Requirement R3.1 requires the simulation technology to ``replicate[] 
the operational behavior of the [bulk electric system] during normal 
and emergency conditions.'' By requiring the technology to replicate 
the operational behavior of the Bulk-Power System, it appears that this 
provision requires the use of simulators specific to an operator's own 
system. We ask NERC for clarification on this issue. We also ask for 
comments on this provision from other interested persons.
---------------------------------------------------------------------------

    \39\ Blackout Report at 157 (emphasis added).
---------------------------------------------------------------------------

    37. The Commission believes that system-customized simulator 
training would further the Blackout Report goal of providing 
``realistic simulations.'' Because each system is topologically 
unique,\40\ training on a simulator specific to one's own system 
(``custom simulation'') would necessarily better prepare an operator on 
that system than generic simulation training. Custom simulation is 
considered to be highly effective because it provides trainees with 
realistic and relevant contexts in which to test and develop their 
understanding, knowledge and competence. An advantage of custom 
simulation is that it trains operators on specific control strategies 
for their own system. In other words, it would allow the system 
operator to better understand how his actions and reactions will affect 
the particular assets and environment in which the operator works. In 
short, simulation training that utilizes an environment that resembles 
the expected system conditions during emergency, results in more 
effective troubleshooting during emergencies as it better prepares the 
operators to identify changes and symptoms, correctly locate the 
problem, and take necessary action to fix the problem. While a more 
generic simulator can teach the skills needed for operating a power 
system and responding to emergency conditions, it does not familiarize 
the operator with the specifics of his system and how that system 
responds to specific events that give rise to emergencies. Greater 
knowledge of and experience in dealing with the specific system give 
the operator a more solid grasp of the behavior of that system and a 
feel for its response to various conditions and, therefore, better 
prepare the operator to deal with emergencies on that system.
---------------------------------------------------------------------------

    \40\ The properties of each system are unique, properties such 
as the location and capabilities of generator units and capacitor 
banks, typical transmission line loadings, location and function of 
special protection systems, if any, normal substation configuration, 
and other elements. The interaction of these elements impact an 
operator's options in an emergency.
---------------------------------------------------------------------------

    38. Some entities may currently use vendor-provided emergency 
system simulator training to provide operating personnel with ``hands-
on'' training experience. In some instances the emergency conditions 
embedded in the vendor training programs may not be specific to the 
entity's own system and operations. In Order No. 693, the Commission, 
citing commenters' concerns regarding the high cost to develop and 
maintain full-scale simulators, concluded that the directive does not 
mean that entities subject to the simulation training requirement must 
develop and maintain full-scale simulators but rather they should have 
access to training on simulators.\41\ As such, we would not expect an 
entity to necessarily use a simulator that replicates its own hardware, 
but we believe that there may be other tools that would allow an entity 
to input its own system files to a vendor simulator so the vendor 
simulator would run that entity's system's power flows over a range of 
operating conditions and test operator response.
---------------------------------------------------------------------------

    \41\ Order No. 693 at P 1390-91.
---------------------------------------------------------------------------

    39. Therefore, we seek comment on whether the Reliability Standard 
should require the simulation technology to realistically replicate an 
entity's own topology and operating conditions. If the proposed 
language ``replicates the operational behavior of the [bulk electric 
system],'' contemplates use of simulators not specific to one's own 
system, we ask whether operators trained on simulators that replicate 
systems other than their own will be adequately trained to respond to 
emergency conditions on their own system. For example, we seek comment 
on whether training on simulators that replicate a different system 
provide operating personnel emergency system training with sufficiently 
realistic simulations to enable them to act in an actual emergency. We 
seek comment on the feasibility and practicality (including cost 
considerations) of requiring use of simulation technology that 
realistically replicates the entity's own topology and operating 
conditions.

D. Local Transmission Control Center Operator Personnel

    40. In Order No. 693, the Commission directed NERC to modify 
currently effective Reliability Standard PER-002-0 to include formal 
training for local transmission control center operating personnel.\42\ 
Specifically, the Commission concluded that ``[w]hile PER-002-0 applies 
to transmission operators, it is important for reliability that 
personnel involved in decision making and implementation receive proper 
training.'' \43\ Because local transmission control center personnel 
are responsible for implementing instructions that affect the 
reliability of the Bulk-Power System, we directed the ERO to modify 
PER-002-0 to include training for such personnel tailored to the needs 
of the positions.
---------------------------------------------------------------------------

    \42\ Id. P 1343.
    \43\ Id. P 1342.
---------------------------------------------------------------------------

    41. Proposed Reliability Standard PER-005-1 does not explicitly 
include a requirement that covers formal training for local 
transmission control center operator personnel. NERC's Petition states 
that the NERC Reliability Functional Model accurately captures the list 
of functions that a Transmission Operator performs, and therefore 
includes those performed by local control center personnel. NERC 
concludes that, if all entities are properly registered in the NERC 
Compliance Registry, the Commission's directive to include formal 
training for local transmission control center operator personnel 
``will be appropriately addressed because the Transmission Operator has 
the ultimate responsibility to ensure that its functional 
responsibilities are met, even if through other entities.'' \44\
---------------------------------------------------------------------------

    \44\ NERC Petition at 30.
---------------------------------------------------------------------------

Commission Proposal
    42. The Commission is concerned with NERC's conclusion that local 
transmission control center personnel will receive training because 
this conclusion relies on the transmission operator requiring training 
for another entity's personnel. Moreover, NERC's response to this 
directive reasserts the same arguments we rejected in Order No. 693:

    The Commission disagrees with those commenters who contend that, 
because operators at local control centers take direction from NERC-
certified operators at the ISO or RTO, they do not need to be 
addressed by the training requirements of PER-002-0. Rather, as 
discussed above, these

[[Page 35695]]

operators maintain authority to act independently to carry out tasks 
that require real-time operation of the Bulk-Power System including 
protecting assets, protecting personnel safety, adhering to 
regulatory requirements and establishing stable islands during 
system restoration.\45\
---------------------------------------------------------------------------

    \45\ Order No. 693 at P 1347.

---------------------------------------------------------------------------
    Thus the Commission concluded:

    Whether the RTO or the local control center is ultimately 
responsible for compliance is a separate issue * * *, regardless of 
which entity registers for that responsibility, these local control 
center employees must receive formal training consistent with their 
roles, responsibilities and tasks.\46\
---------------------------------------------------------------------------

    \46\ Id. P 1343 (emphasis added).

    Simply put, the Commission already rejected the concept of relying 
on the transmission operator's obligation to train its personnel to 
ensure that local transmission control center operator personnel 
receive training. The Commission's objective, as stated in Order No. 
693, is to ensure that there are no gaps in responsibility for 
providing formal training to local transmission control center 
employees. Sub-requirement R1.1 of the proposed Reliability Standard 
PER-005-1 states that each ``Transmission Operator shall * * * 
establish a training program for the BES company-specific * * * tasks 
performed by its System Operators and shall implement the program.'' 
\47\ The language of this sub-requirement provides that the 
Transmission Operator is only required to implement a training program 
for operators within its company. It is unclear to the Commission how 
the Transmission Operator could then require a local control center 
operator to receive training, particularly if that operator is within 
another entity, as suggested by NERC. A clear statement in the proposed 
Reliability Standard that incorporates local transmission control 
center operator personnel would satisfy the Commission's directive. We 
propose to direct NERC to modify proposed Reliability Standard PER-005-
1 to include a provision that explicitly addresses training for local 
transmission control center personnel, consistent with the Commission's 
directive in Order No. 693.
---------------------------------------------------------------------------

    \47\ Proposed Reliability Standard PER-005-1, Requirement R1.1 
(emphasis added).
---------------------------------------------------------------------------

E. Performance Metrics

    43. In Order No. 693, the Commission directed NERC to determine 
``whether it is feasible to develop meaningful performance metrics 
associated with the effectiveness of a training program * * *, and if 
so, develop such performance metrics.'' \48\ In response, NERC states 
that the Systematic Approach to Training methodology, as set forth in 
proposed Reliability Standard PER-005-1, sub-requirement R1.4, requires 
each reliability coordinator, balancing authority and transmission 
operator to conduct an annual evaluation of the training program and 
assess whether system operators are receiving effective training. NERC 
concludes that this ``provides a meaningful assessment of the training 
program'' while ``[a]n evaluation of how System Operators perform 
during infrequent, actual events on the system would not provide useful 
metrics on an ongoing basis.'' \49\ NERC also states that proposed 
Reliability Standard PER-005-1 is a training standard, and is not 
intended to address individual system operator performance apart from 
the requirements associated with the company-specific reliability-
related tasks identified in Requirement R1.
---------------------------------------------------------------------------

    \48\ Order No. 693 at P 1394. Generally, performance metrics are 
a system of parameters or means of quantitative and periodic 
assessment of a process that is to be measured. See e.g., NERC Staff 
White Paper, Toward Ensuring Reliability: Reliability Performance 
Metrics (December 2007).
    \49\ NERC Petition at 33-34.
---------------------------------------------------------------------------

Commission Proposal
    44. Order No. 693 did not specifically require NERC to provide 
metrics for the training standard, but required NERC to explore the 
feasibility of developing meaningful metrics for assessing the 
effectiveness of training programs. As a part of this directive, we 
stated that metrics could be used to ``continually improve an 
applicable entity's performance and the Reliability Standard itself.'' 
\50\ The Commission is encouraged that the proposed Reliability 
Standard includes a requirement for each applicable entity to annually 
evaluate its training program to identify and implement needed changes. 
This is an important part of keeping each individual training program 
current, and an improvement over the currently effective reliability 
standard. We agree with NERC that this provides a meaningful assessment 
of the training program.
---------------------------------------------------------------------------

    \50\ Order No. 693 at P 1379.
---------------------------------------------------------------------------

    45. However, the Commission also stated that ``if quantifiable 
performance metrics can be developed to gauge the effectiveness of a 
Reliability Standard, these performance metrics should be developed.'' 
\51\ While NERC evaluated whether metrics were needed to assess each 
individual program, we are not satisfied that NERC evaluated whether 
performance metrics could be devised to evaluate the Reliability 
Standard. While NERC states that ``[a]n evaluation of how System 
Operators perform during infrequent, actual events on the system would 
not provide useful metrics on an ongoing basis,'' \52\ it provides no 
explanation of this statement. The Commission questions whether metrics 
could be developed to establish specific parameters and measurements 
that would allow, among other things, the monitoring of trends and the 
comparison of performance across entities. Further, the Commission 
believes that meaningful performance metrics could include a global 
metric that could be used to compare the competency of system operators 
to perform reliability-related tasks from one entity to another in 
order to assess whether a particular entity's training program is 
producing adequately trained personnel. In addition, the results from 
such a metric could be used to identify areas in which a particular 
reliability requirement may need to be improved. These objectives go 
beyond the annual evaluation set forth in proposed Reliability Standard 
PER-005-1, sub-requirement R1.4, and NERC has not provided an 
explanation of whether it has evaluated whether such metrics are 
feasible.
---------------------------------------------------------------------------

    \51\ Id. (emphasis added).
    \52\ NERC Petition at 33-34.
---------------------------------------------------------------------------

    46. NERC suggests that an evaluation of how system operators 
perform during infrequent, actual events on the system would not 
provide a useful metric. While actual system disturbances that result 
in significant operating events such as IROL violations or loss of load 
may not be frequent, contingencies, frequency decline, overloaded 
transmission lines and voltage excursions, among other operating 
events, occur regularly and actions to mitigate these circumstances are 
what prevent more significant disturbances. Operator actions with 
regard to these more regular events seem noteworthy and may provide 
indicators of the effectiveness of training programs.
    47. We seek comment from NERC on whether it considered metrics to 
evaluate the effectiveness of the Reliability Standard, in addition to 
its consideration of metrics to evaluate the effectiveness of an 
individual entity's training program. In addition, we seek comment on 
possible performance metrics that could be used to assess whether 
proposed Reliability Standard PER-005-1 achieves its stated purpose 
``[t]o ensure that System Operators performing real-time, reliability-
related tasks on the North American Bulk Electric System * * * are 
competent to

[[Page 35696]]

perform those reliability-related tasks.'' Accordingly, we propose to 
direct that the ERO evaluate the feasibility of developing meaningful 
performance metrics to evaluate the effectiveness of the Reliability 
Standard related to operator training.

F. Effective and Retirement Dates

    48. With respect to proposed Reliability Standard PER-005-1, NERC 
proposes staggered effective dates, i.e., the mandatory compliance date 
after an allotted implementation period, for each of the standard's 
requirements and sub-requirements. Specifically, NERC proposes: 
Compliance with PER-005-1, Requirements R1 and R2 would be mandatory on 
the first day of the first calendar quarter, 24 months after regulatory 
approval; compliance with Requirement R3 would be mandatory on the 
first day of the first calendar quarter after regulatory approval; and 
compliance with sub-requirement R3.1 would be mandatory on the first 
day of the first calendar quarter 36 months after regulatory approval. 
NERC proposes to retire currently effective PER-002-0 because the PER-
002-0 requirements will be superseded by proposed PER-005-1. Thus NERC 
states that retirement of PER-002-0 is necessary to avoid redundancy, 
conflict, and confusion regarding the mandatory training standards. 
Notwithstanding the proposed staggered effective dates of the 
requirements in PER-005-1, NERC proposes to retire PER-002-0 upon the 
``effective date of PER-005-1.'' \53\
---------------------------------------------------------------------------

    \53\ Id. at 27 and 42.
---------------------------------------------------------------------------

    49. With respect to proposed Reliability Standard PER-004-2, the 
proposed effective date section set forth in proposed Reliability 
Standard PER-004-2 states:
    Effective Date:
     Retire Requirement 2 when PER-005-1 Requirement 3 becomes 
effective.
     Retire Requirements 3 and 4 when PER-005-1 Requirements 1 
and 2 become effective.

NERC's Petition states that it seeks Commission approval to retire 
existing Reliability Standard PER-004-1 upon the effective date of 
proposed Reliability Standard PER-004-2 and PER-005-1.\54\
---------------------------------------------------------------------------

    \54\ Id. at 1 and 42.
---------------------------------------------------------------------------

Commission Proposal
    50. The Commission is concerned that the proposed effective and 
retirement dates may not be appropriate. The Commission previously has 
approved the use of staggered effective dates in conjunction with new 
Reliability Standards. However, in this case, where the proposed 
Reliability Standards modify currently effective standards, we are 
concerned that a staggered effective date may create a gap in 
compliance and enforceability.
    51. NERC states that proposed Reliability Standard PER-005-1 is 
intended to supersede existing Reliability Standard PER-002-0 ``upon 
the effective date of PER-005-1.'' First, it is not clear whether NERC 
intended that PER-002-0 be retired when the first requirement in PER-
005-1 becomes effective, or when all requirements in PER-005-1 become 
effective. If PER-002-0 is retired when only certain requirements are 
effective in PER-005-1, the Commission is concerned that this may 
create a gap in training requirements as NERC proposes to make the 
various requirements in PER-005-1 mandatory and enforceable in three 
stages over a three year period. We seek an explanation from NERC on 
whether its proposed effective date for PER-005-1 and retirement date 
for PER-002-0 will create a gap in compliance and further seek comment 
on alternative approaches to avoid any such gap. If NERC intends for 
PER-002-0 to be retired after all of PER-005-1's requirements are in 
effect, the Commission is concerned that this may result in overlapping 
and potentially conflicting requirements that could unintentionally 
introduce confusion in compliance expectations during certain 
timeframes. We also request industry comment on the length of the lead-
time before the various requirements in PER-005-1 become mandatory and 
enforceable, which, as currently proposed, is as long as three years 
and, more specifically, comment on the need for the proposed two- and 
three-year lead-times.
    52. With respect to proposed Reliability Standard PER-004-2 and the 
retirement of currently effective PER-004-1, as the Commission 
understands the text in proposed Reliability Standard PER-004-2, NERC 
proposes to retire Requirements R2, R3, and R4 of currently effective 
Reliability Standard PER-004-1 concurrent with the dates the related 
requirements in proposed PER-005-1 become effective.\55\ In other 
words, NERC proposes to stagger the retirement of currently effective 
PER-004-1. The Commission seeks comment on the feasibility of using a 
staggered retirement date as well as possible alternative approaches.
---------------------------------------------------------------------------

    \55\ The effective date language in proposed PER-004-2 is not 
clear. The Commission read the language with the assumption that the 
reference to ``Requirement 2'' in the text ``Retire Requirement 2 
upon the effective date of PER-005-1 Requirement 3'' refers to 
Requirement 2 of PER-004-1.
---------------------------------------------------------------------------

G. Violation Risk Factors/Violation Severity Levels

    53. To determine a base penalty amount for a violation of a 
requirement within a Reliability Standard, NERC must first determine an 
initial range for the base penalty amount. To do so, NERC assigns a 
violation risk factor to each requirement and sub-requirement of a 
Reliability Standard that relates to the expected or potential impact 
of a violation of the requirement on the reliability of the Bulk-Power 
System. NERC may propose either a lower, medium or high violation risk 
factor for each mandatory Reliability Standard requirement.\56\ The 
Commission has established guidelines for evaluating the validity of 
each violation risk factor assignment.\57\
---------------------------------------------------------------------------

    \56\ The specific definitions of high, medium and lower are 
provided in North American Electric Reliability Corp., 119 FERC ] 
61,145, at P 9 (2007), order on reh'g, 120 FERC ] 61,145 (2007) 
(Violation Risk Factor Rehearing Order).
    \57\ See Violation Risk Factor Rehearing Order, 120 FERC ] 
61,145 at P 8-13. The guidelines are: (1) Consistency with the 
conclusions of the Blackout Report; (2) consistency within a 
Reliability Standard; (3) consistency among Reliability Standards; 
(4) consistency with NERC's definition of the violation risk factor 
level; and (5) treatment of requirements that co-mingle more than 
one obligation.
---------------------------------------------------------------------------

    54. NERC also will assign each requirement and sub-requirement one 
of four violation severity levels--low, moderate, high, and severe--as 
measurements for the degree to which the requirement was violated in a 
specific circumstance. On June 19, 2008, the Commission issued an order 
establishing four guidelines for the development of violation severity 
levels.\58\
---------------------------------------------------------------------------

    \58\ North American Electric Reliability Corp., 123 FERC ] 
61,284, at P 20-35 (2008) (Violation Severity Level Order), order on 
reh'g & compliance, 125 FERC ] 61,212 (2008). The guidelines provide 
that violation severity level assignments should: (1) Not lower the 
current level of compliance; (2) ensure uniformity and consistency 
in the determination of penalties; (3) be consistent with the 
corresponding requirement; and (4) be based on a single violation.
---------------------------------------------------------------------------

    55. With respect to proposed Reliability Standard PER-005-1, NERC 
proposes to assign violation risk factors only to the main requirements 
and did not propose violation risk factors for any of the sub-
requirements.\59\ NERC assigns

[[Page 35697]]

Requirement R1 a ``medium'' violation risk factor, Requirement R2 a 
``high'' violation risk factor, and Requirement R3 a ``medium'' 
violation risk factor. The NERC Petition proposes violation severity 
levels for Requirements R1, R2, and R3 of proposed Reliability Standard 
PER-005-1. NERC did not propose violation severity levels for any of 
the sub-requirements. With respect to proposed Reliability Standard 
PER-004-2, NERC proposes to carry forward the violation risk factors 
and violation severity levels currently assigned to the existing 
Reliability Standard PER-004-1. NERC requests approval for the proposed 
violation risk factors and violation severity levels subject to the 
outcome of the proceedings in Docket Nos. RR08-4-000 and related sub-
dockets.\60\
---------------------------------------------------------------------------

    \59\ We note that in Version Two Facilities Design, Connections 
and Maintenance Reliability Standards, Order No. 722, 126 FERC ] 
61,255, at P 45 (2009), the ERO proposed to develop violation risk 
factors and violation severity levels for Requirements but not sub-
requirements. The Commission denied the proposal as ``premature'' 
and, instead, encouraged the ERO to ``develop a new and 
comprehensive approach that would better facilitate the assignment 
of violation severity levels and violation risk factors.'' As 
directed, on March 5, 2010, NERC submitted a comprehensive approach 
that is currently pending with the Commission in Docket No. RR08-4-
005.
    \60\ NERC Petition at 42.
---------------------------------------------------------------------------

Commission Proposal
    56. In its March 5, 2010 filing in Docket No. RR08-4-005, NERC 
incorporated by reference its informational filing submitted in 
response to Version Two Facilities Design, Connections and Maintenance 
Reliability Standards, Order No. 722, 126 FERC ] 61,255, at P 45 
(2009), in which NERC proposed the novel approach of assigning 
violation risk factors and violation severity levels only to a 
Reliability Standard's Requirements, but not the sub-requirements. 
Because the violation risk factors and violation severity levels for 
both proposed Reliability Standard PER-005-1 and PER-004-2 are impacted 
by the NERC's pending petition, we propose to defer discussion on the 
proposed violation risk factors and violation severity levels assigned 
to PER-005-1 and PER-004-2 until after we act on the ERO's petition in 
Docket No. RR08-4-005.

H. Unaddressed Directives

    57. In Order No. 693, the Commission directed NERC to expand the 
applicability of currently effective Reliability Standard PER-002-0 to 
include (i) generator operators centrally-located at a generation 
control center with a direct impact on the reliable operation of the 
Bulk-Power System, and (ii) operations planning and operations support 
staff who carry out outage planning and assessments and those who 
develop SOLs, IROLs or operating nomograms for real-time 
operations.\61\ The Commission also directed the ERO, in part, to 
consider ``whether personnel that support [Energy Management System] 
applications * * * should be included in mandatory training'' \62\ 
requirements set forth in Reliability Standard PER-002-0.
---------------------------------------------------------------------------

    \61\ Order No. 693 at P 1393.
    \62\ Id. P 1394.
---------------------------------------------------------------------------

    58. In Order No. 693, with regard to the directive to expand the 
applicability of the training requirements in currently effective PER-
002-0 to include generator operators, the Commission stated, ``it is 
essential that generator operator personnel have appropriate 
training.'' \63\ The Commission further noted that in the event 
communication is lost, the generator operator personnel must have had 
sufficient training to take appropriate action to ensure reliability of 
the Bulk-Power System. Thus, we directed the ERO to modify currently 
effective Reliability Standard PER-002-0 to apply to generator 
operators.\64\
---------------------------------------------------------------------------

    \63\ Id. P 1359.
    \64\ Id.
---------------------------------------------------------------------------

    59. With regard to the directive to expand the applicability of the 
training requirements in currently effective PER-002-0 to include 
operations planning and operations support staff, the Commission 
directed the ERO to modify currently effective Reliability Standard 
PER-002-0 to apply to operations planning and support staff personnel 
who carry out outage coordination and assessments in accordance with 
Reliability Standards IRO-004-1 and TOP-002-2, and those who determine 
SOLs and IROLs or operating nomograms in accordance with Reliability 
Standards IRO-005-1 and TOP-004-0.\65\
---------------------------------------------------------------------------

    \65\ Id. P 1372 (citations omitted).
---------------------------------------------------------------------------

    60. With regard to the directive to consider Energy Management 
System (EMS) support personnel, the Commission noted that EMS support 
personnel can also have an impact on the reliable operation of the 
Bulk-Power System. These are the personnel responsible for ensuring 
that critical EMS reliability applications, such as state estimation, 
contingency analysis and alarm processing packages, are available, 
contain up-to-date system data and produce useable results. Because the 
impact of these employees upon Reliable Operation is not as clear, we 
directed the ERO to consider, through the Reliability Standards 
development process, whether personnel that perform these additional 
functions should be included in mandatory training pursuant to PER-002-
0.\66\
---------------------------------------------------------------------------

    \66\ Id. P 1373.
---------------------------------------------------------------------------

    61. In response to these Order No. 693 directives, NERC 
acknowledges that proposed Reliability Standard PER-005-1 does not 
establish training obligations for generator operators and operations 
planning and operations support staff.\67\ Also, NERC recognizes that 
it did not address the Order No. 693 directives related to EMS support 
personnel.\68\
---------------------------------------------------------------------------

    \67\ NERC Petition at 30.
    \68\ Id. at 34.
---------------------------------------------------------------------------

    62. NERC states that it omitted generator operators,\69\ operations 
planning, and operations support staff from the scope of the 
development of proposed Reliability Standard PER-005-1 because the 
inclusion of those personnel would have required an expansion of the 
standard drafting team roster to ensure that those disciplines were 
fairly represented on the drafting team.\70\ NERC states that it 
instead chose to complete the core activities it identified in the 
project scope rather than delay the completion with an enlarged scope. 
Accordingly, NERC states that it plans to address the expansion of the 
training standard (PER-005-1) in a subsequent drafting project, Project 
2010-01--Support Personnel Training.\71\ Likewise, NERC also states 
that it has deferred compliance with the Commission's directives to 
consider the inclusion of EMS support personnel into the training 
standard to Project 2010-01--Support Personnel Training.
---------------------------------------------------------------------------

    \69\ NERC's Petition actually references generator ``owners'' 
which appears to be a typographical error.
    \70\ NERC Petition at 30.
    \71\ Id. (identifying NERC Project 2010-01--Support Personnel 
Training, which is part of NERC's Reliability Standards Development 
Plan: 2009-2011, to address these directives).
---------------------------------------------------------------------------

Commission Proposal
    63. NERC is continuing to work to expand applicability of proposed 
Reliability Standard PER-005-1 to include generator operators and 
operations planning and operations support staff, as required in Order 
No. 693. We appreciate that NERC felt that the inclusion of generator 
owners, operations planning, and operations support staff in the 
standards proposed here would have necessitated expansion of the 
Standard Drafting Team roster to ensure these disciplines were fairly 
represented and that this would have delayed the completion of this 
important set of standards.
    64. With respect to operations planning and operations support 
staff, the Commission stated that PER-002-0 should apply to operations 
planning and operations support staff that have a direct impact on the 
reliable operation of the Bulk-Power System.\72\ Recommendation 19 of 
the Blackout Report identified training deficiencies as contributing to 
the August 14, 2003

[[Page 35698]]

blackout and states that NERC should require training for the planning 
staff at control areas and IT support personnel.\73\
---------------------------------------------------------------------------

    \72\ Order No. 693 at P 1372.
    \73\ Blackout Report at 157.
---------------------------------------------------------------------------

    65. Regarding generator operator personnel, in Order No. 693, the 
Commission stated that it is essential that generator operator 
personnel have appropriate training to understand instructions from a 
balancing authority, particularly in an emergency situation in which 
instructions may be succinct and require immediate action. Further, we 
noted that if communication is lost, the generator operator personnel 
should have had sufficient training to take appropriate action to 
ensure reliability of the Bulk-Power System.\74\ Since the issuance of 
Order No. 693, System Disturbance reports from NERC's Web site indicate 
that there have been disturbances caused by human errors at generating 
stations.\75\
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    \74\ Order No. 693 at P 1359.
    \75\ See e.g., NERC System Disturbance Reports dated May 21, 
2007 and August 13, 2007, available at http://www.nerc.com/files/
disturb07.pdf.
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    66. For the reasons enumerated in Order No. 693, we continue to 
believe that requiring a comprehensive training program is important, 
specifically one that includes training for generator operators and for 
operations planning and operations support staff. NERC must also 
consider applicability to support personnel for EMS applications as 
directed in Order No. 693.
    67. NERC indicates that it intends to address the expansion of the 
training standard in Project 2010-01--Support Personnel Training, which 
is slated to be initiated in 2010.\76\ In the Reliability Standards 
Development Plan: 2010-2012, NERC states that the Support Personnel 
Training standard ``is a priority project as it was proposed in support 
of a 2003 blackout recommendation.'' \77\ NERC previously targeted a 
completion date of the fourth quarter of 2011 for the expansion of the 
training standard.\78\ More recently, NERC has stated that the 
completion date for this standard is ``to be determined.'' \79\ Given 
the continuing need to require training for generator operators and 
operations support and operations planning personnel the Commission 
believes the previously announced targeted date (i.e., fourth quarter 
of 2011) is a reasonable deadline for completion of this work. We seek 
comments from NERC and other interested persons on whether completion 
of this work by the fourth quarter of 2011 is reasonable, or whether, 
for good cause, another timeline for completion of this work would be 
necessary.
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    \76\ NERC Petition at 30 (identifying NERC Project 2010-01--
Support Personnel Training, to address these directives). See also, 
NERC Standards Under Development Anticipated Posting Schedule 
(updated 3/3/2010), available at http://www.nerc.com/docs/standards/
sar/Project Summary Calendar.xls-2010-04-07.
    \77\ Reliability Standards Development Plan: 2010-2012, Volume 
I--Overview at 9 (filed with the Commission at North American 
Electric Reliability Corporation Informational Filing of 2010 
Development Plan, Docket Nos. RM05-17-000, RM05-25-000, and RM06-16-
000 (Dec. 2, 2009)).
    \78\ Reliability Standards Development Plan: 2009-2011, Volume 
II, List of Projects at 202 (dated Sept. 22, 2008).
    \79\ Reliability Standards Development Plan: 2010-2012, Volume 
II, List of Projects at 136 (dated Oct. 7, 2009).
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    68. In Order No. 693, the Commission also directed NERC to consider 
in the Reliability Standards Development Process certain issues 
regarding personnel that support EMS applications. NERC deferred 
consideration of this matter to Project 2010-1. In their comments 
regarding the timeline for completing the expansion of the personnel 
training standard, NERC and other interested persons should also 
discuss whether the issues identified in Order No. 693 regarding 
personnel that support EMS applications should be addressed on the same 
timeline (i.e., completed by the fourth quarter of 2011).

I. Summary

    69. We propose to approve proposed Reliability Standards PER-005-1 
and PER-004-2 as just, reasonable, not unduly discriminatory or 
preferential, and in the public interest. Under section 215(d)(5) of 
the FPA, the Commission proposes to direct the ERO to develop 
modifications to proposed Reliability Standard PER-005-1 to address 
certain issues identified by the Commission. We also seek comment from 
the ERO and other interested entities regarding the Commission's 
specific concerns discussed above. The Commission may determine after 
considering such comments that it is appropriate to direct the ERO to 
develop additional modifications to PER-005-1.
    70. In addition, the Commission proposes to defer review of the 
violation risk factor and violation severity level assignments for 
proposed Reliability Standards PER-005-1 and PER-004-2 until the 
Commission acts on NERC's March 5, 2010 filing pending in Docket No. 
RR08-4-005.

IV. Information Collection Statement

    71. The Office of Management and Budget (OMB) regulations require 
approval of certain information collection requirements imposed by 
agency rules.\80\ Upon approval of a collection(s) of information, OMB 
will assign an OMB control number and an expiration date. Respondents 
subject to the filing requirements of this rule will not be penalized 
for failing to respond to these collections of information unless the 
collections of information display a valid OMB control number. The 
Paperwork Reduction Act (PRA) \81\ requires each Federal agency to seek 
and obtain OMB approval before undertaking a collection of information 
directed to ten or more persons, or continuing a collection for which 
OMB approval and validity of the control number are about to 
expire.\82\
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    \80\ 5 CFR 1320.11 (2009).
    \81\ 44 U.S.C. 3501-20 (2006).
    \82\ 44 U.S.C. 3502(3)(A)(i) (2006), 44 U.S.C. 3507(a)(3) 
(2006).
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    72. The Commission is submitting these reporting and recordkeeping 
requirements to OMB for its review and approval under section 3507(d) 
of the PRA. Comments are solicited on the Commission's need for this 
information, whether the information will have practical utility, the 
accuracy of provided burden estimates, ways to enhance the quality, 
utility, and clarity of the information to be collected, and any 
suggested methods for minimizing the respondent's burden, including the 
use of automated information techniques.
    73. This Notice of Proposed Rulemaking (NOPR) proposes to approve 
two new Reliability Standards, PER-004-2 and PER-005-1 governing 
training, which standards will replace currently effective Reliability 
Standards PER-002-0 and PER-004-1 approved by the Commission in Order 
No. 693. Rather than creating entirely new training requirements, the 
proposed Reliability Standard PER-005-1 instead modifies and improves 
the existing Reliability Standards governing personnel training.\83\ 
Thus this proposed rulemaking does not impose entirely new burdens on 
the effected entities. For example, the currently effective training 
Reliability Standard, PER-002-0, requires transmission operators and 
balancing authorities to create training program objectives, develop a 
plan for the initial and continued training, and maintain training 
records. Similarly, proposed training Reliability Standard, PER-005-1, 
which supersedes PER-002-0, requires transmission operators,

[[Page 35699]]

balancing authorities and reliability coordinators to establish a 
training program (using a systematic approach to training), verify the 
trainee's capabilities to perform task for which they receive training, 
and maintain training records. Accordingly, the recordkeeping 
requirements imposed by proposed Reliability Standard PER-005-1, are 
more specific but not necessarily more expansive than currently 
effective Reliability Standard PER-002-0's recordkeeping requirements. 
However, proposed Reliability Standard PER-005-1 does enlarge the scope 
of the affected entities to include reliability coordinators.
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    \83\ Proposed Reliability Standard PER-004-2 does not add any 
new requirements, rather it restates and carries forward the two 
remaining requirements from PER-004-1 that are not superseded by 
proposed Reliability Standard PER-005-1.
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    74. Like the currently effective training Reliability Standards, 
PER-002-0 and PER-004-1, proposed Reliability Standards PER-004-2 and 
PER-005-1 do not require responsible entities to file information with 
the Commission. However, these Reliability Standards do require 
applicable entities to develop and maintain certain information, 
subject to audit by a Regional Entity such as documentation to show a 
development and delivery of a training program for system operators, 
verification of system operator capabilities to perform tasks, and 
training records to show compliance with requirements.
    75. Public Reporting Burden: Our estimate below regarding the 
number of respondents is based on the NERC compliance registry as of 
May 12, 2010. Because under the proposed Reliability Standards the 
scope of applicability is enlarged to include reliability coordinators, 
but otherwise continue to impose training requirements on transmission 
operators and balancing authorities, the Commission considers the 
reporting burden only with respect to reliability coordinators. 
According to the NERC compliance registry, there are sixteen entities 
registered as reliability coordinators. However, under NERC's 
compliance registration program, entities may be registered for 
multiple functions. Thus, of the sixteen entities registered as 
reliability coordinators, nine are also registered as balancing 
authorities and, as such, must comply with currently effective 
Reliability Standards governing system operator training. Given these 
additional parameters, the Commission estimates that the Public 
Reporting burden for the requirements contained in the NOPR is as 
follows:

----------------------------------------------------------------------------------------------------------------
                                                                                   Recordkeeping   Total annual
                 Data collection                    No. of new        No. of      \84\ hours per   recordkeeping
                                                    respondents      responses      respondent         hours
----------------------------------------------------------------------------------------------------------------
PER-005-1, R1.1: RCs, TOs, and BAs must create a          \85\ 7               7              40             280
 list of bulk electric system reliability-
 related tasks performed by system operators....
PER-005-1, R1.2: RCs, TOs, and BAs shall design                7               7              60             420
 and develop learning objectives and training
 materials based on its task list...............
PER-005-1, R2: RCs, TOs, and BAs shall verify                  7               7              80             560
 system operators' ability to perform each
 assigned task from applicable task list........
PER-005-1, M1: RCs, TOs, and BAs must have                     7               7              50             350
 available for inspection evidence of using a
 systematic approach to training to establish
 and implement a training program...............
PER-005-1, M1.1: RCs, TOs, and BAs must have                   7               7              10              70
 available for inspection its company-specific,
 reliability-related task list..................
PER-005-1, M1.2: RCs, TOs, and BAs must have                   7               7              10              70
 available for inspection its learning
 objectives and training materials..............
PER-005-1, M1.3: RCs, TOs, and BAs must have                   7               7              10              70
 available for inspection system operator
 training records...............................
PER-005-1, M1.4: RCs, TOs, and BAs must have                   7               7              25             175
 available for inspection evidence that it
 performed an annual training program evaluation
PER-005-1, M2: RCs, TOs, and BAs must have                     7               7              20             140
 available for inspection evidence that it
 verified that its system operators can perform
 each assigned task from the training task list.
PER-005-1, M3: RCs, TOs, and BAs must have                     7               7              20             140
 available for inspection their training records
 evidencing that each system operator received
 32 hours of emergency operations training......
PER-005-1, M3.1: RCs, TOs, and BAs must have                   7               7              20             140
 available for inspection training records
 evidencing that each system operator received
 emergency training using simulation technology.
                                                 ---------------------------------------------------------------
    Total.......................................  ..............  ..............  ..............           2415
----------------------------------------------------------------------------------------------------------------
\84\ The proposed Reliability Standards do not impose any reporting requirements
\85\ Only seven of the 16 registered reliability coordinators are not currently subject to training requirements
  as balancing authorities.

     Total Annual hours for Collection: (Reporting + 
recordkeeping) = hours.
    Information Collection Costs: The Commission seeks comments on the 
costs to comply with the reporting and recordkeeping burden associated 
with the proposed Reliability Standards. It has projected the average 
annualized cost to be the total annual hours.
    Recordkeeping = 2415 hours @ $120/hour = $289,800.
     Total costs = $289,800.
     Title: Mandatory Reliability Standards for the Bulk-Power 
System.
     Action: Proposed Collection of Information.
     OMB Control No: 1902-0244.
     Respondents: Business or other for profit, and/or not for 
profit institutions.
     Frequency of Responses: On occasion.
     Necessity of the Information: This proposed rule would 
approve revised Reliability Standards that modify the existing 
requirement for entities to develop training programs and train certain 
personnel. The proposed Reliability Standards require entities to 
maintain their training materials and training records subject to 
review by the Commission and NERC to ensure compliance with the 
Reliability Standards.
     Internal review: The Commission has reviewed the 
requirements pertaining to the proposed Reliability Standards for the 
Bulk-Power System and determined that the proposed

[[Page 35700]]

requirements are necessary to meet the statutory provisions of the 
Energy Policy Act of 2005. These requirements conform to the 
Commission's plan for efficient information collection, communication 
and management within the energy industry. The Commission has assured 
itself, by means of internal review, that there is specific, objective 
support for the burden estimates associated with the information 
requirements.
    76. Interested persons may obtain information on the reporting 
requirements by contacting: Federal Energy Regulatory Commission, 888 
First Street, NE., Washington, DC 20426 [Attention: Michael Miller, 
Office of the Executive Director, Phone: (202) 502-8415, fax: (202) 
273-0873, e-mail: DataClearance@ferc.gov]. Comments on the requirements 
of the proposed rule may also be sent to the Office of Information and 
Regulatory Affairs, Office of Management and Budget, Washington, DC 
20503 [Attention: Desk Officer for the Federal Energy Regulatory 
Commission], e-mail: oira_submission@omb.eop.gov. Please reference OMB 
Control No. 1902-0244 and the docket number of this proposed rulemaking 
in your submission.

V. Environmental Analysis

    77. The Commission is required to prepare an Environmental 
Assessment or an Environmental Impact Statement for any action that may 
have a significant adverse effect on the human environment.\86\ The 
actions proposed here fall within the categorical exclusion in the 
Commission's regulations for rules that are clarifying, corrective or 
procedural, for information gathering, analysis, and dissemination.\87\ 
Accordingly, neither an environmental impact statement nor 
environmental assessment is required.
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    \86\ Order No. 486, Regulations Implementing the National 
Environmental Policy Act, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & 
Regs. ] 30,783 (1987).
    \87\ 18 CFR 380.4(a)(5) (2009).
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VI. Regulatory Flexibility Act Analysis

    78. The Regulatory Flexibility Act of 1980 (RFA) \88\ generally 
requires a description and analysis of final rules that will have 
significant economic impact on a substantial number of small entities. 
Most of the entities, i.e., reliability coordinators, transmission 
operators, and balancing authorities, to which the requirements of this 
rule would apply do not fall within the definition of small 
entities.\89\ Moreover, the proposed Reliability Standards reflect a 
continuation of existing training requirements for transmission 
operators and balancing authorities and are ``new'' only with respect 
to reliability coordinators.
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    \88\ 5 U.S.C. 601-12 (2006).
    \89\ The RFA definition of ``small entity'' refers to the 
definition provided in the Small Business Act (SBA), which defines a 
``small business concern'' as a business that is independently owned 
and operated and that is not dominant in its field of operation. See 
15 U.S.C. 632. According to the SBA, a small electric utility is 
defined as one that has a total electric output of less than four 
million MWh in the preceding year.
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    79. As indicated above, based on available information regarding 
NERC's compliance registry, approximately seven entities will be 
responsible for compliance with proposed Reliability Standards PER-004-
2 and PER-005-1 that were not already subject to the existing 
Reliability Standards comprising the same base training requirements as 
contained in the new Reliability Standards. The Commission does not 
consider this a substantial number. Further, few if any of the seven 
reliability coordinators are small entities. Based on the foregoing, 
the Commission certifies that this Rule will not have a significant 
impact on a substantial number of small entities. Accordingly, no 
regulatory flexibility analysis is required.

VII. Comment Procedures

    80. The Commission invites interested persons to submit comments on 
the matters and issues proposed in this notice to be adopted, including 
any related matters or alternative proposals that commenters may wish 
to discuss. Comments are due August 23, 2010. Comments must refer to 
Docket No. RM09-25-000, and must include the commenter's name, the 
organization they represent, if applicable, and their address in their 
comments.
    81. The Commission encourages comments to be filed electronically 
via the eFiling link on the Commission's Web site at http://
www.ferc.gov. The Commission accepts most standard word processing 
formats. Documents created electronically using word processing 
software should be filed in native applications or print-to-PDF format 
and not in a scanned format. Commenters filing electronically do not 
need to make a paper filing.
    82. Commenters that are not able to file comments electronically 
must send an original and 14 copies of their comments to: Federal 
Energy Regulatory Commission, Secretary of the Commission, 888 First 
Street NE., Washington, DC 20426.
    83. All comments will be placed in the Commission's public files 
and may be viewed, printed, or downloaded remotely as described in the 
Document Availability section below. Commenters on this proposal are 
not required to serve copies of their comments on other commenters.

VIII. Document Availability

    84. In addition to publishing the full text of this document in the 
Federal Register, the Commission provides all interested persons an 
opportunity to view and/or print the contents of this document via the 
Internet through FERC's Home Page (http://www.ferc.gov) and in FERC's 
Public Reference Room during normal business hours (8:30 a.m. to 5 p.m. 
Eastern time) at 888 First Street, NE., Room 2A, Washington, DC 20426.
    85. From FERC's Home Page on the Internet, this information is 
available on eLibrary. The full text of this document is available on 
eLibrary in PDF and Microsoft Word format for viewing, printing, and/or 
downloading. To access this document in eLibrary, type the docket 
number excluding the last three digits of this document in the docket 
number field.
    86. User assistance is available for eLibrary and the FERC's Web 
site during normal business hours from FERC Online Support at 202-502-
6652 (toll free at 1-866-208-3676) or e-mail at 
ferconlinesupport@ferc.gov, or the Public Reference Room at (202) 502-
8371, TTY (202)502-8659. E-mail the Public Reference Room at 
public.referenceroom@ferc.gov.

    By direction of the Commission.
Kimberly D. Bose,
Secretary.
[FR Doc. 2010-15148 Filed 6-22-10; 8:45 am]
BILLING CODE 6717-01-P

