Per-005-1

Standard PER-005-1 — System Personnel Training

A. Introduction
1.

Title:

System Personnel Training

2.

Number:

PER-005-1

3.

Purpose:
To ensure that System Operators performing real-time, reliability-related
tasks on the North American Bulk Electric System (BES) are competent to perform those
reliability-related tasks. The competency of System Operators is critical to the reliability
of the North American Bulk Electric System.

4.

Applicability:
4.1. Functional Entities:

5.

4.1.1

Reliability Coordinator.

4.1.2

Balancing Authority.

4.1.3

Transmission Operator.

Proposed Effective Date for Regulatory Approvals:
5.1. In those jurisdictions where regulatory approval is required, Requirement R1 and
Requirement R2 shall become effective on the first day of the first calendar quarter,
24 months after applicable regulatory approval. In those jurisdictions where no
regulatory approval is required, Requirement R1 and Requirement R2 shall become
effective on the first day of the first calendar quarter, 24 months after Board of
Trustees adoption.
5.2. In those jurisdictions where regulatory approval is required, Requirement R3 shall
become effective on the first day of the first calendar quarter after applicable
regulatory approval. In those jurisdictions where no regulatory approval is required,
Requirement R3 shall become effective on the first day of the first calendar quarter
after Board of Trustees adoption.
5.3. In those jurisdictions where regulatory approval is required Sub-requirement R3.1
shall become effective on the first day of the first calendar quarter, 36 months after
applicable regulatory approval. In those jurisdictions where no regulatory approval is
required, the Sub-requirement R3.1 shall become effective on the first day of the first
calendar quarter, 36 months after Board of Trustees adoption.

B. Requirements
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.
[Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]
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.

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Standard PER-005-1 — System Personnel Training

R2.

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.

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. [Violation Risk Factor: High] [Time Horizon: Long-term Planning]
R2.1.

R3.

Within six months of a modification of the BES company-specific reliability-related
tasks, each Reliability Coordinator, Balancing Authority and Transmission Operator
shall verify each of its System Operator’s capabilities to perform the new or modified
tasks.

At least every 12 months each Reliability Coordinator, Balancing Authority and Transmission
Operator shall provide each of its System Operators with at least 32 hours of emergency
operations training applicable to its organization that reflects emergency operations topics,
which includes system restoration using drills, exercises or other training required to maintain
qualified personnel. [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]
R3.1.

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.

C. Measures
M1. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall have
available for inspection evidence of using a systematic approach to training to establish and
implement a training program, as specified in R1.
M1.1

Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall
have available for inspection its company-specific reliability-related task list, with the
date of the last review and/or revision, as specified in R1.1.

M1.2

Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall
have available for inspection its learning objectives and training materials, as
specified in R1.2.

M1.3

Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall
have available for inspection System Operator training records showing the names of
the people trained, the title of the training delivered and the dates of delivery to show
that it delivered the training, as specified in R1.3.

M1.4

Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall
have available for inspection evidence (such as instructor observations, trainee
feedback, supervisor feedback, course evaluations, learning assessments, or internal

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Standard PER-005-1 — System Personnel Training
audit results) that it performed an annual training program evaluation, as specified in
R1.4
M2. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall have
available for inspection evidence to show that it verified that each of its System Operators is
capable of performing each assigned task identified in R1.1, as specified in R2. This evidence
can be documents such as training records showing successful completion of tasks with the
employee name and date; supervisor check sheets showing the employee name, date, and task
completed; or the results of learning assessments.
M3. Each Reliability Coordinator, Balancing Authority and Transmission Operator shall have
available for inspection training records that provide evidence that each System Operator has
obtained 32 hours of emergency operations training, as specified in R3.
M3.1

Each Reliability Coordinator, Balancing Authority and Transmission Operator shall
have available for inspection training records that provide evidence that each System
Operator received emergency operations training using simulation technology, as
specified in R3.1.

D. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
For Reliability Coordinators and other functional entities that work for their Regional
Entity, the ERO shall serve as the Compliance Enforcement Authority.
For entities that do not work for the Regional Entity, the Regional Entity shall serve as
the Compliance Enforcement Authority.
1.2. Compliance Monitoring Period and Reset
Not Applicable.
1.3. Compliance Monitoring and Enforcement Processes:
Compliance Audits
Self-Certifications
Spot Checking
Compliance Violation Investigations
Self-Reporting
Complaints
1.4. Data Retention
Each Reliability Coordinator, Balancing Authority and Transmission Operator shall keep
data or evidence to show compliance for three years or since its last compliance audit,
whichever time frame is the greatest, unless directed by its Compliance Enforcement
Authority to retain specific evidence for a longer period of time as part of an
investigation.
If a Reliability Coordinator, Balancing Authority and Transmission Operator is found
non-compliant, it shall keep information related to the non-compliance until found
compliant.

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Standard PER-005-1 — System Personnel Training
The Compliance Enforcement Authority shall keep the last audit records and all
requested and submitted subsequent audit records.
1.5. Additional Compliance Information
None.

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Standard PER-005-1 — System Personnel Training
2.

Violation Severity Levels

R#
R1

Lower VSL
None

Moderate VSL
The responsible entity failed to provide
evidence that it updated its companyspecific reliability-related task list to
identify new or modified tasks each
calendar year (R1.1.1)

High VSL

Severe VSL

The responsible entity failed to design
and develop learning objectives and
training materials based on the BES
company specific reliability related tasks.
(R1.2)

The responsible entity failed to prepare a
company-specific reliability-related task
list (R1.1)

The responsible entity failed to deliver
training based on the BES company
specific reliability related tasks. (R1.3)

OR
The responsible entity failed to provide
evidence of evaluating its training
program to identify needed changes to its
training program(s). (R1.4)
R2

None

The responsible entity verified at least
90% but less than 100% of its System
Operators’ capabilities to perform each
assigned task from its list of BES
company-specific reliability-related tasks.
(R2)

OR

The responsible entity verified at least
70% but less than 90% of its System
Operators’ capabilities to perform each
assigned task from its list of BES
company-specific reliability-related tasks
(R2)

The responsible entity verified less than
70% of its System Operators’ capabilities
to perform each assigned task from its list
of BES company-specific reliabilityrelated tasks. (R2)

OR
The responsible entity failed to verify its
system operator’s capabilities to perform
each new or modified task within six
months of making a modification to its
BES company-specific reliability-related
task list. (R2.1)
R3

None

The responsible entity provided at least
32 hours of emergency operations
training to at least 90% but less than
100% of their System Operators. (R3)

The responsible entity provided at least
32 hours of emergency operations
training to at least 70% but less than 90%
of its System Operators. (R3)

The responsible entity provided 32 hours
of emergency operations training to less
than 70% of its System Operators (R3)
OR
The responsible entity did not include
simulation technology replicating the
operational behavior of the BES in its

emergency operations training. (R3.1)

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Standard PER-005-1 — System Personnel Training

E. Regional Variances
None.
Version History
Version

Date

Action

Adopted by NERC Board of Trustees: February 10, 2009

Change Tracking

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