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NERC Certification for System Operators

The document PER-003-2 outlines the requirements for Operating Personnel Credentials, ensuring that System Operators in key roles such as Reliability Coordinator, Transmission Operator, and Balancing Authority are certified through the NERC System Operator Certification Program. It specifies the necessary competencies and documentation required to demonstrate compliance with these certification standards. Compliance monitoring and enforcement processes are also detailed, including evidence retention requirements and violation severity levels.

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29 views6 pages

NERC Certification for System Operators

The document PER-003-2 outlines the requirements for Operating Personnel Credentials, ensuring that System Operators in key roles such as Reliability Coordinator, Transmission Operator, and Balancing Authority are certified through the NERC System Operator Certification Program. It specifies the necessary competencies and documentation required to demonstrate compliance with these certification standards. Compliance monitoring and enforcement processes are also detailed, including evidence retention requirements and violation severity levels.

Uploaded by

Anushka
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd

PER-003-2 – Operating Personnel Credentials

A. Introduction
1. Title: Operating Personnel Credentials
2. Number: PER-003-2
3. Purpose: To ensure that System Operators performing the reliability-related tasks
of the Reliability Coordinator, Balancing Authority and Transmission Operator are
certified through the NERC System Operator Certification Program when filling a Real-
time operating position responsible for control of the Bulk Electric System.
4. Applicability:
4.1. Functional Entities:
4.1.1. Reliability Coordinator
4.1.2. Transmission Operator
4.1.3. Balancing Authority
5. Effective Date: See Implementation Plan for standard PER-003-2.

B. Requirements and Measures


R1. Each Reliability Coordinator shall staff its Real-time operating positions performing
Reliability Coordinator reliability-related tasks with System Operators who have
demonstrated minimum competency in the areas listed by obtaining and maintaining
a valid NERC Reliability Operator certificate (1)(2): [Risk Factor: High][Time Horizon:
Real-time Operations]
1.1. Areas of Competency
1.1.1. Resource and demand balancing
1.1.2. Transmission operations
1.1.3. Emergency preparedness and operations
1.1.4. System operations
1.1.5. Protection and control
1.1.6. Voltage and reactive
1.1.7. Interchange scheduling and coordination
1.1.8. Interconnection reliability operations and coordination

1
Non-NERC certified personnel performing any reliability-related task of a real-time operating position must be
under the direct supervision of a NERC Certified System Operator stationed at that operating position; the NERC
Certified System Operator at that operating position has ultimate responsibility for the performance of the
reliability-related tasks.
2
The NERC certificates referenced in this standard pertain to those certificates identified in the NERC System
Operator Certification Program Manual.

Page 1 of 6
PER-003-2 – Operating Personnel Credentials

M1. Each Reliability Coordinator shall have the following evidence to show that it staffed
its Real-time operating positions performing reliability-related tasks with System
Operators who have demonstrated the applicable minimum competency by obtaining
and maintaining the appropriate, valid NERC certificate:
M1.1 A list of Real-time operating positions.
M1.2 A list of System Operators assigned to its Real-time operating positions.
M1.3 A copy of each of its System Operator’s NERC certificate or NERC certificate
number with expiration date which demonstrates compliance with the
applicable Areas of Competency.
M1.4 Work schedules, work logs, or other equivalent evidence showing which
System Operators were assigned to work in Real-time operating positions.
R2. Each Transmission Operator shall staff its Real-time operating positions performing
Transmission Operator reliability-related tasks with System Operators who have
demonstrated minimum competency in the areas listed by obtaining and maintaining
one of the following valid NERC certificates (1)(2): [Risk Factor: High][Time Horizon:
Real-time Operations]:
2.1. Areas of Competency
2.1.1. Transmission operations
2.1.2. Emergency preparedness and operations
2.1.3. System operations
2.1.4. Protection and control
2.1.5. Voltage and reactive
2.2. Certificates
• Reliability Operator
• Balancing, Interchange and Transmission Operator
• Transmission Operator
M2. Each Transmission Operator shall have the following evidence to show that it staffed
its Real-time operating positions performing reliability-related tasks with System
Operators who have demonstrated the applicable minimum competency by obtaining
and maintaining the appropriate, valid NERC certificate:

1
Non-NERC certified personnel performing any reliability-related task of a real-time operating position must be
under the direct supervision of a NERC Certified System Operator stationed at that operating position; the NERC
Certified System Operator at that operating position has ultimate responsibility for the performance of the
reliability-related tasks.
2
The NERC certificates referenced in this standard pertain to those certificates identified in the NERC System
Operator Certification Program Manual.

Page 2 of 6
PER-003-2 – Operating Personnel Credentials

M2.1 A list of Real-time operating positions.


M2.2 A list of System Operators assigned to its Real-time operating positions.
M2.3 A copy of each of its System Operator’s NERC certificate or NERC certificate
number with expiration date which demonstrates compliance with the
applicable Areas of Competency.
M2.4 Work schedules, work logs, or other equivalent evidence showing which
System Operators were assigned to work in Real-time operating positions.
R3. Each Balancing Authority shall staff its Real-time operating positions performing
Balancing Authority reliability-related tasks with System Operators who have
demonstrated minimum competency in the areas listed by obtaining and maintaining
one of the following valid NERC certificates (1)(2): [Risk Factor: High][Time Horizon:
Real-time Operations]:
3.1. Areas of Competency
3.1.1. Resources and demand balancing
3.1.2. Emergency preparedness and operations
3.1.3. System operations
3.1.4. Interchange scheduling and coordination
3.2. Certificates
• Reliability Operator
• Balancing, Interchange and Transmission Operator
• Balancing and Interchange Operator
M3. Each Balancing Authority shall have the following evidence to show that it staffed its
Real-time operating positions performing reliability-related tasks with System
Operators who have demonstrated the applicable minimum competency by obtaining
and maintaining the appropriate, valid NERC certificate:
M3.1 A list of Real-time operating positions.
M3.2 A list of System Operators assigned to its Real-time operating positions.
M3.3 A copy of each of its System Operator’s NERC certificate or NERC certificate
number with expiration date which demonstrates compliance with the
applicable Areas of Competency.

1
Non-NERC certified personnel performing any reliability-related task of a real-time operating position must be
under the direct supervision of a NERC Certified System Operator stationed at that operating position; the NERC
Certified System Operator at that operating position has ultimate responsibility for the performance of the
reliability-related tasks.
2
The NERC certificates referenced in this standard pertain to those certificates identified in the NERC System
Operator Certification Program Manual.

Page 3 of 6
PER-003-2 – Operating Personnel Credentials

M3.4 Work schedules, work logs, or other equivalent evidence showing which
System Operators were assigned to work in Real-time operating positions.
C. Compliance
1. Compliance Monitoring Process
1.1. Compliance Enforcement Authority:
“Compliance Enforcement Authority” means NERC or the Regional Entity, or any
entity as otherwise designated by an Applicable Governmental Authority, in
their respective roles of monitoring and/or enforcing compliance with
mandatory and enforceable Reliability Standards in their respective
jurisdictions.
1.2. Evidence Retention:
The following evidence retention period(s) identify the period of time an entity
is required to retain specific evidence to demonstrate compliance. For instances
where the evidence retention period specified below is shorter than the time
since the last audit, the Compliance Enforcement Authority may ask an entity to
provide other evidence to show that it was compliant for the full-time period
since the last audit.
The applicable entity shall keep data or evidence to show compliance as
identified below unless directed by its Compliance Enforcement Authority to
retain specific evidence for a longer period of time as part of an investigation.
• Each Reliability Coordinator, Transmission Operator and Balancing Authority
shall keep data or evidence for three years or since its last compliance audit,
whichever time frame is the greatest.
1.3. Compliance Monitoring and Enforcement Program
As defined in the NERC Rules of Procedure, “Compliance Monitoring and
Enforcement Program” refers to the identification of the processes that will be
used to evaluate data or information for the purpose of assessing performance
or outcomes with the associated Reliability Standard.

Page 4 of 6
PER-003-2 – Operating Personnel Credentials

Violation Severity Levels


Violation Severity Levels
R#
Lower VSL Moderate VSL High VSL Severe VSL
The Reliability Coordinator
R1. N/A N/A N/A
failed to staff each Real-time
operating position performing
Reliability Coordinator
reliability-related tasks with a
System Operator having a valid
NERC certificate as defined in
Requirement R1.
The Transmission Operator
R2. N/A N/A N/A
failed to staff each Real-time
operating position performing
Transmission Operator
reliability-related tasks with a
System Operator having a valid
NERC certificate as defined in
Requirement R2, Part 2.2.
The Balancing Authority failed
R3. N/A N/A N/A
to staff each Real-time
operating position performing
Balancing Authority reliability-
related tasks with a System
Operator having a valid NERC
certificate as defined in
Requirement R3, Part 3.2.

Page 5 of 6
PER-003-2 – Operating Personnel Credentials

D. Regional Variances
None.
E. Associated Documents
Implementation Plan

Version History
Change
Version Date Action
Tracking

0 April 1, 2005 Effective Date New


Complete revision under Project
1 February 17, 2011 Revision
2007-04
1 February 17, 2011 Adopted by Board of Trustees
FERC Order issued by FERC approving
1 September 15, 2011 PER-003-1 (effective date of the
Order is September 15, 2011)
2 May 10, 2018 Added footnote to requirements Revision
2 May 10, 2018 Adopted by Board of Trustees Revision
FERC Letter Order approving PER-
2 November 21, 2018
003-2. Docket No. RD18-9-000

Page 6 of 6

Common questions

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The significance of the different NERC certificates lies in their specific focus areas required for various operational roles. For example, the Reliability Operator, Balancing, Interchange and Transmission Operator, and other specific certifications ensure that operators are qualified to handle different facets of system operations, coordinating tasks specific to their roles under applicable standards .

Document retention is crucial for demonstrating compliance as entities are required to retain specific evidence for three years or since the last compliance audit, whichever is longer. This evidence includes lists of real-time operating positions, operator assignments, NERC certificate copies, and work logs. Retaining this documentation ensures that entities can provide data to prove compliance upon request by the Compliance Enforcement Authority .

The purpose of the NERC System Operator Certification Program is to ensure that System Operators performing reliability-related tasks for entities like Reliability Coordinators, Balancing Authorities, and Transmission Operators are certified through the program when filling a real-time operating position responsible for the control of the Bulk Electric System .

Transmission Operators must ensure their real-time operating positions are staffed with System Operators who have demonstrated minimum competency by obtaining NERC certificates in areas like transmission operations, emergency preparedness, and system operations. They also need to provide evidence such as work logs and NERC certification details to demonstrate compliance with the requirements .

The compliance enforcement authority's role is defined as NERC or the Regional Entity, or any entity designated by an applicable governmental authority, responsible for monitoring and/or enforcing compliance with mandatory and enforceable Reliability Standards in their respective jurisdictions .

If an entity fails to staff real-time operating positions with NERC certified System Operators, it leads to violations of the documented requirements, specifically posing severe violation severity levels. Such failures in compliance could result in penalties or corrective actions to ensure certified staff are in place for reliability-related tasks and to maintain system integrity .

It is necessary for non-NERC certified personnel to be under supervision because the certified NERC System Operator holds the ultimate responsibility for performing reliability-related tasks. This arrangement ensures that the tasks are carried out with the required expertise and compliance with the standards, thereby minimizing risks associated with the control and reliability of the Bulk Electric System .

Not adhering to document retention policies could lead to difficulties in demonstrating past compliance and result in added scrutiny or penalties during compliance audits. The inability to furnish required evidence could be perceived as non-compliance with the Standards, leading to potential enforcement actions by the Compliance Enforcement Authority .

The document ensures accountability in staffing real-time operating positions by mandating that entities must have NERC certified System Operators, providing evidence like operator lists and certification details, and requiring supervision of non-certified personnel. These measures impose a structured compliance environment, where accountability and verification are integral, ensuring only qualified personnel manage critical system operations .

System Operators need to demonstrate competencies in areas such as resource and demand balancing, transmission operations, emergency preparedness and operations, system operations, protection and control, voltage and reactive operations, and interchange scheduling and coordination. These competencies ensure that operators possess the necessary skills to address any operational scenario, maintain system reliability, and effectively coordinate and control the Bulk Electric System's components .

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