NERC Reliability Standards - Responsibility Matrix
|NERC Reliability Standards - Responsibilities of the Generator Operator, Scheduling Coordinator, CAISO, and Reliability Coordinator |
|Standard Title |NERC Requirement |Generator Operator Responsibility |Scheduling Coordinator Responsibility|CAISO Responsibility |Reliability Coordinator |Data Required |
| | | | | |Responsibilities | |
|NERC-CIP-001-1 / R2 |Each Reliability Coordinator, Balancing Authority, |The Generator Operator shall have |The Scheduling Coordinator shall have|The CAISO shall have procedures to |The Reliability Coordinator shall|Text data providing information |
| |Transmission Operator, Generator Operator, and Load Serving |procedures for the communications of |procedures for communicating the |communicate the Sabotage event |have procedures to receive |regarding sabotage event |
| |Entity shall have procedures for the communication of |information concerning Sabotage events to |Sabotage event information provided |information provided by the Scheduling |reports from the CAISO regarding | |
| |information concerning sabotage events to appropriate |their Scheduling Coordinator |by the Generator Operator to the |Coordinator to the Reliability |acts of sabotage | |
| |parties in the Interconnection. | |CAISO |Coordinator | | |
|NERC-COM-002-2 / R1 |Each Transmission Operator, Balancing Authority, and |The Generator Operator shall have |The Scheduling Coordinator shall have|The CAISO shall have communications |Reliability Coordinator shall |Systems available to communicate|
| |Generator Operator shall have communications (voice and data|facilities to communicate real-time |communications facilities (e.g. data |facilities to provide information |have facilities to receive |with CAISO, includes SLIC and |
| |links) with appropriate reliability Coordinators, Balancing |emergency conditions to their Scheduling |and voice communications) to provide |regarding real-time emergency |communications of real-time |phone system whereby dispatchers|
| |Authorities, and Transmission Operators. Such communications|Coordinator (e.g. data and voice |information from the Generator |conditions from the Scheduling |emergencies from the CAISO |are available 24-hours per day,|
| |shall be staffed and available for addressing a real-time |communications). Such communications |Operator to the CAISO. Such |Coordinator to the Reliability | |7-days per week |
| |emergency condition. |shall be staffed and available for |communications shall be staffed and |Coordinator. Such communications shall| | |
| | |addressing real-time emergency conditions.|available for addressing real-time |be staffed and available for addressing| | |
| | | |emergency conditions. |real-time emergency conditions. | | |
|NERC-IRO-001-1/R8 |Transmission Operators, Balancing Authorities, Generator |The Generator Operator shall comply with |If notified by the Generator Operator|The CAISO shall receive information on |The Reliability Coordinator shall|Text data providing information |
| |Operators, Transmission Service Providers, Load-Serving |the Reliability Coordinator directives |of its inability to comply with the |the Generator Operator's inability to |receive the notifications from |regarding rationale for not |
| |Entities, and Purchasing-Selling Entities shall comply with |(such directives may be made by the CAISO |Reliability Coordinator’s directive |comply with Reliability Coordinator’s |the CAISO, Scheduling |complying with dispatch order |
| |Reliability Coordinator directives unless such actions would|at the direction of the Reliability |(provided directly by the Reliability|directives from the Scheduling |Coordinator, or Generator | |
| |violate safety, equipment, or regulatory or statutory |Coordinator), unless such actions would |Coordinator or through the CAISO), |Coordinator and notify the Reliability |Operator regarding the | |
| |requirements. Under these circumstances, the Transmission |violate safety, equipment, or regulatory |the Scheduling Coordinator shall |Coordinator if the directive was |Generator’s inability to comply | |
| |Operator, Balancing Authority, Generator Operator, |or statutory requirements. Under these |inform the party which made the |initiated by the Reliability |with their directive. | |
| |Transmission Service Provider, Load-Serving Entity, or |circumstances, the Generator Owner shall |initial directive based upon the |Coordinator. | | |
| |Purchasing-Selling Entity shall immediately inform the |immediately inform the Scheduling |information provided by the Generator| | | |
| |Reliability Coordinator of the inability to perform the |Coordinator and the party which made the |Operator | | | |
| |directive so that the Reliability Coordinator may implement |initial directive of the inability to | | | | |
| |alternate remedial actions. |perform the directive. | | | | |
|NERC-IRO-004-1 / R4 |Each Transmission Operator, Balancing Authority, |The Generator Owner/Operator shall provide|The Scheduling Coordinator shall |The CAISO shall notify the Reliability |The Reliability Coordinator shall|Bids and schedules submitted no |
| |Transmission Owner, Generator Owner, Generator Operator, and|the Scheduling Coordinator with projected |submit bids, schedules and other |Coordinator of projected next day unit|receive the notifications of |less than 5 hours prior to |
| |Load-Serving Entity in the Reliability Coordinator Area |next day unit status information per the |plant-related information to the |outages and derates received from the |projected next day unit outage |day-ahead scheduling deadline in|
| |shall provide information required for system studies, such |procedure for notification provided by the|CAISO as required by the ISO Tariff. |Scheduling Coordinator |and derates from the CAISO |the CAISO Tariff.. Outage |
| |as critical facility status, Load, generation, operating |Scheduling Coordinator. |Additionally, to the extent the plant| | |information to be included: |
| |reserve projections, and known Interchange Transactions. | |has declared a next day unit outage | | |Resource ID |
| |This information shall be available by 1200 Central Standard| |or derate, the Scheduling Coordinator| | |Start/End Time |
| |Time for the Eastern Interconnection and 1200 Pacific | |will provide such information to the | | |Derate amount in MWh/h for the |
| |Standard Time for the Western Interconnection. | |CAISO as required by the CAISO | | |outage period |
| | | |Tariff. | | |Reason for outage/derate |
| | | | | | |Text field for comments |
|NERC-PRC-001-1 / R2.1 |If a protective relay or equipment failure reduces system |To the extent a protective relay or |If notified of a reduction in system |The CAISO shall notify the Reliability |The Reliability Coordinator shall|Outage information to be |
| |reliability, the Generator Operator shall notify its |equipment failure at the Generator |reliability by the Generator |Coordinator of reduced reliability |receive the notifications of |included: |
| |Transmission Operator and Host Balancing Authority. The |Operator facility reduces system |Operator, the Scheduling Coordinator |received from the Scheduling |reduced reliability from the |Resource ID |
| |Generator Operator shall take corrective action as soon as |reliability, the Generator Operator shall |shall notify the CAISO of such. |Coordinator |CAISO |Start/End Time |
| |possible. |inform the Scheduling Coordinator of such | | | |Derate amount in MWh/h for the |
| | |conditions | | | |outage period |
| | | | | | |Reason for outage/derate |
| | | | | | |Text field for comments |
|NERC-TOP-001-1 / R7.1 & 7.3 |For a generator outage, the Generator Operator shall notify |The Generator Operator shall notify and |If notified of a unit outage by the |The CAISO shall notify and coordinate |The Reliability Coordinator shall|Outage information to be |
| |and coordinate with the Transmission Operator. The |coordinate with the Scheduling Coordinator|Generator Operator, the Scheduling |with the Reliability Coordinator |receive the notifications of |included: |
| |Transmission Operator shall notify the Reliability |of any unit outages for the Generator |Coordinator shall notify and |regarding outages received from the |outage from the CAISO |Resource ID |
| |Coordinator and other affected Transmission Operators, and |Operators facilities |coordinate such unit outage with the |Scheduling Coordinator | |Start/End Time |
| |coordinate the impact of removing the Bulk Electric System | |CAISO. | | |Derate amount in MWh/h for the |
| |facility. When time does not permit such notification and | | | | |outage period |
| |coordination, or when immediate action is required to | | | | |Reason for outage/derate |
| |prevent a hazard to the public.....notification shall be | | | | |Text field for comments |
| |made at earliest possible time. | | | | | |
|NERC-TOP-001-1 / R3 |Each Transmission Operator, Balancing Authority, and |The Generator Operator shall comply with |If notified of the Generator |The CAISO shall receive information on |The Reliability Coordinator shall|Text data providing information |
| |Generator Operator shall comply with reliability directives |reliability directives issued by the |Operator's inability to comply with |the Generator Operator's inability to |receive the notifications from |regarding rationale for not |
| |issued by the Reliability Coordinator, and each Balancing |Reliability Coordinator and Transmission |the Reliability Coordinator or |comply with CAISO directives from the |the CAISO, Scheduling |complying with dispatch order |
| |Authority and Generator Operator shall comply with |Operator, unless such actions would |Transmission Operator’s directive, |Scheduling Coordinator or Generator |Coordinator, or Generator | |
| |reliability directives issued by the Transmission Operator, |violate safety, equipment, regulatory or |the Scheduling Coordinator shall |Operator if the directive was |Operator regarding the | |
| |unless such actions would violate safety, equipment, |statutory requirements. Under these |inform the CAISO or the party which |communicated directly to the Generator |Generator’s inability to comply | |
| |regulatory or statutory requirements. Under these |circumstances,, the Generator Operator |communicated the directive to the |operator and notify the Reliability |with their directive.. | |
| |circumstances the Transmission Operator, Balancing Authority|shall immediately inform their Scheduling |Generator Operator, of the |Coordinator if the directive was | | |
| |or Generator Operator shall immediately inform the |Coordinator and the party which |information provided by the Generator|initiated by the Reliability | | |
| |Reliability Coordinator or Transmission Operator of the |communicated the directive to the |Operator |Coordinator. | | |
| |inability to perform the directive so that the Reliability |Generator Operator | | | | |
| |Coordinator or Transmission Operator can implement alternate| | | | | |
| |remedial actions. | | | | | |
|NERC-TOP-001-1 / R6 |Each Transmission Operator, Balancing Authority, and |The Generator Operator shall render all |If requested by the CAISO or the |The CAISO shall request from the |The Reliability Coordinator shall|All available emergency |
| |Generator Operator shall render all available emergency |available emergency assistance to others |Reliability Coordinator, the |Scheduling Coordinator or Generator |request from the Scheduling |assistance. |
| |assistance to others as requested, provided that the |as requested, provided that the requesting|Scheduling Coordinator shall request |Operator emergency assistance as |Coordinator or Generator Operator| |
| |requesting entity has implemented its comparable emergency |entity has implemented its comparable |emergency assistance as requested by |necessary. |emergency assistance as | |
| |procedures, unless such actions would violate safety, |emergency procedures, unless such actions |the CAISO or Reliability Coordinator.| |necessary. | |
| |equipment, or regulatory or statutory requirements. |would violate safety, equipment, or | | | | |
| | |regulatory or statutory requirements. The| | | | |
| | |Generator Operator shall provide such | | | | |
| | |service as requested by the Scheduling | | | | |
| | |Coordinator, CAISO, or Reliability | | | | |
| | |Coordinator. If requested by an entity | | | | |
| | |other than the Scheduling Coordinator, the| | | | |
| | |Generator Operator shall notify their | | | | |
| | |Scheduling Coordinator. | | | | |
|NERC-TOP-002-2 / R3 |Each Load Serving Entity and Generator Operator shall |The Generator Operator shall provide the |The Scheduling Coordinator shall |The CAISO shall receive bids, |NA |Bids and schedules submitted at |
| |coordinate (where confidentiality agreements allow) its |Scheduling Coordinator its current-day, |submit bids, schedules and other |schedules, and current-day, next-day or| |least one hour before the |
| |current-day, next-day, and seasonal operations with its Host|next-day and seasonal unit status and |plant-related information to the |seasonal unit outage or derate | |current day and 5 hours before |
| |Balancing Authority and Transmission Service Provider. Each|outage plans. |CAISO as required by the CAISO |information from the Scheduling | |the day-ahead deadline specified|
| |Balancing Authority and Transmission Service Provider shall | |Tariff. Additionally, to the extent |Coordinator | |in the CAISO Tariff.. Outage |
| |coordinate its current-day, next-day, and seasonal | |the plant has declared a current-day,| | |information to be included: |
| |operations with its Transmission Operator. | |next-day or seasonal outage or | | |Resource ID |
| | | |derate, the Scheduling Coordinator | | |Start/End Time |
| | | |will provide such information to the | | |Derate amount in MWh/h for the |
| | | |CAISO | | |outage period |
| | | | | | |Reason for outage/derate |
| | | | | | |Text field for comments |
|NERC-TOP-002-2 / R13 |At the request of the Balancing Authority or Transmission |The Generator Operator shall perform the |The Scheduling Coordinator shall |The CAISO shall receive the results of |NA |Availability data as shown |
| |Operator, a Generator Operator shall perform generating real|real and reactive capability verifications|notify the CAISO (i.e. Balancing |the requested real capability | |below: |
| |and reactive capability verification that shall include, |as requested. Additionally, the Generator|Authority) of the results of the |verifications from the Scheduling | |Resource ID |
| |among other variables, weather, ambient air and water |Operator shall notify the Scheduling |requested real capability |Coordinator. | |MWh/h |
| |conditions, and fuel quality and quantity, and provide the |Coordinator of the results of the real |verification of the resource as | | |Start/End time of period for |
| |results to the Balancing Authority or Transmission Operator |capability verification. |provided by the Generator Operator. | | |which declaration is made |
| |operating personnel as requested. | | | | |Reason for outage/derate if less|
| | |NOTE: Results of reactive capability | | | |than 100% available |
| | |verifications should be communicated to | | | |Text field for comments |
| | |the relevant Transmission Owner. | | | | |
|NERC-TOP-002-2 / R14 and |Generator Operators shall, without any intentional time |The Generator Operator shall, without any |The Scheduling Coordinator shall |The CAISO shall receive notifications |NA |Availability data as shown |
|R14.1 |delay, notify their Balancing Authority and Transmission |intentional time delay, notify the |notify the CAISO as required by the |of changes in real output capability | |below: |
| |Operator of changes in capabilities and characteristics |Scheduling Coordinator of any changes in |CAISO Tariff of any changes in real |from the Scheduling Coordinator | |Resource ID |
| |including but not limited to: |real output capabilities |output capability as provided to them| | |MWh/h |
| |Changes in real output capabilities. | |by the Generator Operator | | |Start/End time of period for |
| | | | | | |which declaration is made |
| | | | | | |Reason for outage/derate if less|
| | | | | | |than 100% available |
| | | | | | |Text field for comments |
|NERC-TOP-002-2 / R15 |Generation Operators shall, at the request of the Balancing |The Generator Operator shall upon request |The Scheduling Coordinator shall bid |The CAISO shall receive bids, |NA |Bids and schedules submitted in |
| |Authority or Transmission Operator, provide a forecast of |provide estimates of projected outages or |or schedule the resource with the |schedules, and outage or derate | |accord with timeframes specified|
| |expected real power output to assist in operations planning |derates to their Scheduling Coordinator |CAISO according to the Scheduling |information from the Scheduling | |in the CAISO Tariff.. Outage |
| |(e.g., a seven-day forecast of real output). | |Coordinators needs and the plant's |Coordinator | |information to be included: |
| | | |status. Additionally, to the extent | | |Resource ID |
| | | |the plant has provided estimates of | | |Start/End Time |
| | | |outages or derates, the Scheduling | | |Derate amount in MWh/h for the |
| | | |coordinator will provide such | | |outage period |
| | | |information to the CAISO as required | | |Reason for outage/derate |
| | | |by the CAISO Tariff. | | |Text field for comments |
| | | | | | | |
|NERC-TOP-003-0 / R1.1 |Each Generator Operator shall provide outage information |The Generator Operator shall provide daily|The Scheduling Coordinator shall |The CAISO shall receive planned outage |NA |Outage information to be |
| |daily to its Transmission Operator for scheduled generator |to its Scheduling Coordinator for |provide notification of planned unit |or derate information from the | |included: |
| |outages planned for the next day (any foreseen outage of a |generator outages planned for the next day|outages or derates to the extent they|Scheduling Coordinator | |Resource ID |
| |generator greater than 50 MW). The Transmission Operator |(any foreseen outages of a generator |have received such information from | | |Start/End Time |
| |shall establish the outage reporting requirements. |greater than 50 MW), per the outage |the Generator Operator to the CAISO | | |Derate amount in MWh/h for the |
| | |reporting requirements established in the |as required by the CAISO Tariff. | | |outage period |
| | |CAISO tariff | | | |Reason for outage/derate |
| | | | | | |Text field for comments |
|NERC-TOP-003-0 / R1.3 |Such information shall be available by 1200 Central Standard|The Generator Operator shall notify the |The Scheduling Coordinator shall |The CAISO shall receive planned outage |NA |Outage information to be |
| |Time for the Eastern Interconnection and 1200 Pacific |Scheduling coordinator of any planned |provide notification of planned |or derate information from the | |included: |
| |Standard Time for the Western Interconnection. |outages or derates for the Generator |outages or derates to the extent they|Scheduling Coordinator | |Resource ID |
| | |Operators facilities in a timely manner in|have received such information from | | |Start/End Time |
| | |accordance with the CAISO tariff |the Generator Operator to the CAISO | | |Derate amount in MWh/h for the |
| | | |as required by the CAISO Tariff. | | |outage period |
| | | | | | |Reason for outage/derate |
| | | | | | |Text field for comments |
|NERC-TOP-003-0 / R2 |Each Transmission Operator, Balancing Authority, and |The Generator Operator shall notify the |The Scheduling Coordinator shall |The CAISO shall receive outage of |NA |Outage information to be |
| |Generator Operator shall plan and coordinate scheduled |Scheduling coordinator of any outages of |provide notification of outages of |system voltage regulating equipment or | |included: |
| |outages of system voltage regulating equipment, such as |system voltage regulating equipment, or |system voltage regulating equipment |derate information from the Scheduling | |Resource ID |
| |automatic voltage regulators on generators, supplementary |derates for the Generator Operators |or derates to the extent they have |Coordinator and coordinate outages as | |Start/End Time |
| |excitation control, synchronous condensers, shunt and series|facilities in a timely manner in |received such information from the |necessary | |Derate amount in MWh/h for the |
| |capacitors, reactors, etc., among affected Balancing |accordance with the CAISO tariff |Generator Operator to the CAISO as | | |outage period |
| |Authorities and Transmission Operators as required. | |required by the CAISO Tariff. | | |Reason for outage/derate |
| | | | | | |Text field for comments |
|NERC-TOP-003-0 / R3 |Each Transmission Operator, Balancing Authority, and |The Generator Operator shall notify the |The Scheduling Coordinator shall |The CAISO shall receive scheduled |NA |Outage information to be |
| |Generator Operator shall plan and coordinate scheduled |Scheduling Coordinator of any scheduled |provide notification of scheduled |outage of telemetering or control | |included: |
| |outages of telemetering and control equipment and associated|outages of telemetering and control |outages of telemetering or control |equipment information from the | |Resource ID |
| |communication channels between the affected areas. |equipment and associated communication |equipment or derates to the extent |Scheduling Coordinator and coordinate | |Start/End Time |
| | |channels in a timely manner in accordance |they have received such information |outages as necessary | |Derate amount in MWh/h for the |
| | |with the CAISO tariff |from the Generator Operator to the | | |outage period, if any |
| | | |CAISO as required by the CAISO | | |Reason for outage/derate |
| | | |Tariff. | | |Text field for comments – |
| | | | | | |include services/capabilities |
| | | | | | |that are unavailable due to |
| | | | | | |outage of equipment |
|NERC-TOP-006-1 / R1.1 |Each Generator Operator shall inform its Host Balancing |The Generator Operator shall provide |The Scheduling Coordinator shall |The CAISO shall receive outage or |NA |Availability data as shown |
| |Authority and the Transmission Operator of all generation |notification of outages or derates to |provide notification of outages or |derate information from the Scheduling | |below: |
| |resources available for use. |their Scheduling Coordinator |derates to the extent they have |Coordinator. All other resources are | |Resource ID |
| | | |received such information from the |assumed available | |MWh/h |
| | | |Generator Operator to the CAISO as | | |Start/End time of period for |
| | | |required by the CAISO Tariff. | | |which declaration is made |
| | | | | | |Reason for outage/derate if less|
| | | | | | |than 100% available |
| | | | | | |Text field for comments |
|NERC-VAR-002-1 / R3, 3.1, and|Each Generator Operator shall notify its associated |Each Generator Operator shall notify their|The Scheduling Coordinator shall |The CAISO shall receive information |NA |Outage information to be |
|3.2 |Transmission Operator as soon as practical, but within 30 |Scheduling Coordinator as soon as |inform the CAISO (Transmission |regarding the change in status of | |included: |
| |minutes of any of the following: |practical, but within 20 minutes of any of|Operator) as soon as practical but |automatic voltage regulator and power | |Resource ID |
| |A status or capability change on any generator Reactive |the following: |within 10 minutes of receipt from the|system stabilizer as provided by the | |Start/End Time |
| |Power resource, including the status of each automatic |A status change on any generator Reactive |Generator Operator of a change in |Scheduling Coordinator. | |Derate amount in MWh/h for the |
| |voltage regulator and power system stabilizer and the |Power resource, including the status of |status of automatic voltage regulator| | |outage period, if any |
| |expected duration of the change in status or capability. |each automatic voltage regulator and power|and power system stabilizer status | | |Reason for outage/derate |
| | |system stabilizer and the expected |based upon the information received | | |Text field for comments – |
| |A status or capability change on any other Reactive Power |duration of the change in status. |from the Generator Operator. | | |include services/capabilities |
| |resources under the Generator Operator’s control and the | | | | |that are unavailable due to |
| |expected duration of the change in status or capability. |A status change on any other Reactive | | | |outage of equipment |
| | |Power resources under the Generator | | | | |
| | |Operator’s control and the expected | | | | |
| | |duration of the change in status or. | | | | |
| | |If the Generator Operator can not notify | | | | |
| | |the Scheduling Coordinator within 20 | | | | |
| | |minutes then the Generator Operator shall | | | | |
| | |notify the CAISO directly within 30 | | | | |
| | |minutes. | | | | |
| | | | | | | |
| | |NOTE: Changes in the status or capability| | | | |
| | |of Reactive Power resources should be | | | | |
| | |communicated to the relevant Transmission | | | | |
| | |Owner. | | | | |
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