Reliability Standards-NUC-001-3

NUC-001-3— Nuclear Plant Interface Coordination

A. Introduction
1.

Title:

Nuclear Plant Interface Coordination

2.

Number:

NUC-001-3

3.

Purpose: This standard requires coordination between Nuclear Plant Generator
Operators and Transmission Entities for the purpose of ensuring nuclear plant safe
operation and shutdown.

4.

Applicability:
4.1. Functional Entities:
4.1.1

Nuclear Plant Generator Operators.

4.2. Transmission Entities shall mean all entities that are responsible for providing
services related to Nuclear Plant Interface Requirements (NPIRs). Such entities
may include one or more of the following:
4.2.1

Transmission Operators.

4.2.2

Transmission Owners.

4.2.3

Transmission Planners.

4.2.4

Transmission Service Providers.

4.2.5

Balancing Authorities.

4.2.6

Reliability Coordinators.

4.2.7

Planning Coordinators.

4.2.8

Distribution Providers.

4.2.9

Load-Serving Entities.

4.2.10 Generator Owners.
4.2.11 Generator Operators.
5.

Background: Project 2012-13 Nuclear Power Interface Coordination seeks to
implement the changes that were proposed by the NUC FYRT. The NUC FYRT was
appointed by the Standards Committee Executive Committee on April 22, 2013. The
NUC FYRT reviewed the NUC-001-2.1 standard to identify opportunities for
consolidation and additional improvements. The NUC FYRT posted its
recommendation to revise NUC-001-2.1 for industry comment on July 27, 2013. The
NUC FYRT considered comments and submitted its final recommendation to revise
NUC-001-2.1, along with a Standards Authorization Request (SAR) to the Standards
Committee on October 17, 2013. The Standards Committee accepted the

Page 1 of 13

NUC-001-3— Nuclear Plant Interface Coordination

recommendation of the FYRT and appointed the team as the Standard Drafting Team
(SDT) to implement the recommendation.
6.

Effective Dates: First day of the first calendar quarter that is twelve months beyond
the date that this standard is approved by applicable regulatory authorities, or as
otherwise provided for in a jurisdiction where approval by an applicable governmental
authority is required for a standard to go into effect. Where approval by an applicable
governmental authority is not required, the standard shall become effective on the first
day of the first calendar quarter that is twelve months after the date this standard is
adopted by the NERC Board of Trustees or as otherwise provided for in that
jurisdiction.

B. Requirements and Measures
R1. The Nuclear Plant Generator Operator shall provide the proposed NPIRs in writing to
the applicable Transmission Entities and shall verify receipt. [Violation Risk Factor:
Medium] [Time Horizon: Long-term Planning ]
M1. The Nuclear Plant Generator Operator shall, upon request of the Compliance
Enforcement Authority, provide a copy of the transmittal and receipt of transmittal of
the proposed NPIRs to the responsible Transmission Entities.
R2. The Nuclear Plant Generator Operator and the applicable Transmission Entities shall
have in effect one or more Agreements1 that include mutually agreed to NPIRs and
document how the Nuclear Plant Generator Operator and the applicable Transmission
Entities shall address and implement these NPIRs. [Violation Risk Factor: Medium]
[Time Horizon: Long-term Planning ]
M2. The Nuclear Plant Generator Operator and each Transmission Entity shall each have a
copy of the currently effective Agreement(s) which document how the Nuclear Plant
Generator Operator and the applicable Transmission Entities address and implement
the NPIRs available for inspection upon request of the Compliance Enforcement
Authority.
R3. Per the Agreements developed in accordance with this standard, the applicable
Transmission Entities shall incorporate the NPIRs into their planning analyses of the
electric system and shall communicate the results of these analyses to the Nuclear Plant
Generator Operator.: [Violation Risk Factor: Medium] [Time Horizon: Long-term
Planning ]
M3. Each Transmission Entity responsible for planning analyses in accordance with the
Agreement shall, upon request of the Compliance Enforcement Authority, provide a
copy of the planning analyses results transmitted to the Nuclear Plant Generator
Operator, showing incorporation of the NPIRs. The Compliance Enforcement
1

Agreements may include mutually agreed upon procedures or protocols in effect between entities or between
departments of a vertically integrated system.

Page 2 of 13

NUC-001-3— Nuclear Plant Interface Coordination

Authority shall refer to the Agreements developed in accordance with this standard for
specific requirements.
R4. Per the Agreements developed in accordance with this standard, the applicable
Transmission Entities shall [Violation Risk Factor: High] [Time Horizon: Operations
Planning and Real-time Operations]
4.1. Incorporate the NPIRs into their operating analyses of the electric system.
4.2. Operate the electric system to meet the NPIRs.
4.3. Inform the Nuclear Plant Generator Operator when the ability to assess the
operation of the electric system affecting NPIRs is lost.
M4. Each Transmission Entity responsible for operating the electric system in accordance
with the Agreement shall demonstrate or provide evidence of the following, upon
request of the Compliance Enforcement Authority:


The NPIRs have been incorporated into the current operating analysis of the
electric system. (Requirement 4.1)



The electric system was operated to meet the NPIRs. (Requirement 4.2)



The Transmission Entity informed the Nuclear Plant Generator Operator when
it became aware it lost the capability to assess the operation of the electric
system affecting the NPIRs

R5. Per the Agreements developed in accordance with this standard, the Nuclear Plant
Generator Operator shall operate the nuclear plant to meet the NPIRs. [Violation Risk
Factor: High] [Time Horizon: Operations Planning and Real-time Operations ]
M5. The Nuclear Plant Generator Operator shall, upon request of the Compliance
Enforcement Authority, demonstrate or provide evidence that the nuclear power plant
is being operated consistent with the NPIRs.
R6. Per the Agreements developed in accordance with this standard, the applicable
Transmission Entities and the Nuclear Plant Generator Operator shall coordinate
outages and maintenance activities which affect the NPIRs. [Violation Risk Factor:
Medium] [Time Horizon: Operations Planning]
M6. The Transmission Entities and Nuclear Plant Generator Operator shall, upon request of
the Compliance Enforcement Authority, provide evidence of the coordination between
the Transmission Entities and the Nuclear Plant Generator Operator regarding outages
and maintenance activities which affect the NPIRs.
R7. Per the Agreements developed in accordance with this standard, the Nuclear Plant
Generator Operator shall inform the applicable Transmission Entities of actual or
proposed changes to nuclear plant design (e.g., protective relay setpoints),

Page 3 of 13

NUC-001-3— Nuclear Plant Interface Coordination

configuration, operations, limits, or capabilities that may impact the ability of the
electric system to meet the NPIRs. [Violation Risk Factor: High] [Time Horizon:
Long-term Planning]
M7. The Nuclear Plant Generator Operator shall provide evidence that it informed the
applicable Transmission Entities of changes to nuclear plant design (e.g., protective
relay setpoints), configuration, operations, limits, or capabilities that may impact the
ability of the Transmission Entities to meet the NPIRs.
R8. Per the Agreements developed in accordance with this standard, the applicable
Transmission Entities shall inform the Nuclear Plant Generator Operator of actual or
proposed changes to electric system design (e.g., protective relay setpoints),
configuration, operations, limits, or capabilities that may impact the ability of the
electric system to meet the NPIRs. [Violation Risk Factor: High] [Time Horizon:
Long-term Planning]
M8. The Transmission Entities shall each provide evidence that the entities informed the
Nuclear Plant Generator Operator of changes to electric system design (e.g., protective
relay setpoints), configuration, operations, limits, or capabilities that may impact the
ability of the Nuclear Plant Generator Operator to meet the NPIRs.
R9. The Nuclear Plant Generator Operator and the applicable Transmission Entities shall
include the following elements in aggregate within the Agreement(s) identified in R2.


Where multiple Agreements with a single Transmission Entity are put into
effect, the R9 elements must be addressed in aggregate within the
Agreements; however, each Agreement does not have to contain each
element. The Nuclear Plant Generator Operator and the Transmission Entity
are responsible for ensuring all the R9 elements are addressed in aggregate
within the Agreements.



Where Agreements with multiple Transmission Entities are required, the
Nuclear Plant Generator Operator is responsible for ensuring all the R9
elements are addressed in aggregate within the Agreements with the
Transmission Entities. The Agreements with each Transmission Entity do not
have to contain each element; however, the Agreements with the multiple
Transmission Entities, in the aggregate, must address all R9 elements. For
each Agreement(s), the Nuclear Plant Generator Operator and the
Transmission Entity are responsible to ensure the Agreement(s) contain(s) the
elements of R9 applicable to that Transmission Entity. : [Violation Risk
Factor: Medium] [Time Horizon: Long-term Planning]

9.1. Retired. [Note: Part 9.1 was retired under the Paragraph 81 project. The NUC
SDT proposes to leave this Part blank to avoid renumbering Requirement parts
that would impact existing agreements throughout the industry.]

Page 4 of 13

NUC-001-3— Nuclear Plant Interface Coordination

9.2. Technical requirements and analysis:
9.2.1. Identification of parameters, limits, configurations, and operating
scenarios included in the NPIRs and, as applicable, procedures for
providing any specific data not provided within the Agreement.
9.2.2. Identification of facilities, components, and configuration restrictions that
are essential for meeting the NPIRs.
9.2.3. Types of planning and operational analyses performed specifically to
support the NPIRs, including the frequency of studies and types of
Contingencies and scenarios required.
9.3. Operations and maintenance coordination
9.3.1. Designation of ownership of electrical facilities at the interface between
the electric system and the nuclear plant and responsibilities for
operational control coordination and maintenance of these facilities.
9.3.2. Identification of any maintenance requirements for equipment not owned
or controlled by the Nuclear Plant Generator Operator that are necessary
to meet the NPIRs.
9.3.3. Coordination of testing, calibration and maintenance of on-site and off-site
power supply systems and related components.
9.3.4. Provisions to address mitigating actions needed to avoid violating NPIRs
and to address periods when responsible Transmission Entity loses the
ability to assess the capability of the electric system to meet the NPIRs.
These provisions shall include responsibility to notify the Nuclear Plant
Generator Operator within a specified time frame.
9.3.5. Provision for considering, within the restoration process, the requirements
and urgency of a nuclear plant that has lost all off-site and on-site AC
power.
9.3.6. Coordination of physical and cyber security protection at the nuclear plant
interface to ensure each asset is covered under at least one entity’s plan.
9.3.7. Coordination of the NPIRs with transmission system Remedial Action
Schemes and any programs that reduce or shed load based on
underfrequency or undervoltage.
9.4. Communications and training Administrative elements:
9.4.1. Provisions for communications affecting the NPIRs between the Nuclear
Plant Generator Operator and Transmission Entities, including
communications protocols, notification time requirements, and definitions
of applicable unique terms.
9.4.2. Provisions for coordination during an off-normal or emergency event
affecting the NPIRs, including the need to provide timely information
explaining the event, an estimate of when the system will be returned to a
normal state, and the actual time the system is returned to normal.

Page 5 of 13

NUC-001-3— Nuclear Plant Interface Coordination

9.4.3. Provisions for coordinating investigations of causes of unplanned events
affecting the NPIRs and developing solutions to minimize future risk of
such events.
9.4.4. Provisions for supplying information necessary to report to government
agencies, as related to NPIRs.
9.4.5. Provisions for personnel training, as related to NPIRs.
M9. The Nuclear Plant Generator Operator shall have a copy of the Agreement(s) addressing
the elements in Requirement 9 available for inspection upon request of the Compliance
Enforcement Authority. Each Transmission Entity shall have a copy of the Agreement(s)
addressing the elements in Requirement 9 for which it is responsible available for inspection
upon request of the Compliance Enforcement Authority.

C. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
Regional Entity
1.2. Compliance Monitoring and Assessment Processes:
Compliance Audits
Self-Certifications
Spot Checking
Compliance Violation Investigations
Self-Reporting
Complaints Text
1.3. Data Retention
The Responsible 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:


For Measure 1, the Nuclear Plant Generator Operator shall keep its latest
transmittals and receipts.



For Measure 2, the Nuclear Plant Generator Operator and each
Transmission Entity shall have its current, in-force Agreement.



For Measure 3, the Transmission Entity shall have the latest planning
analysis results.

Page 6 of 13

NUC-001-3— Nuclear Plant Interface Coordination



For Measures 4, 6 and 8, the Transmission Entity shall keep evidence for
two years plus current.



For Measures 5, 6 and 7, the Nuclear Plant Generator Operator shall keep
evidence for two years plus current.

If a Responsible Entity is found non-compliant it shall keep information related to
the noncompliance until found compliant.
The Compliance Enforcement Authority shall keep the last audit records and all
requested and submitted subsequent audit records.
1.4. Additional Compliance Information
None

Page 7 of 13

NUC-001-3— Nuclear Plant Interface Coordination

Table of Compliance Elements
R#

Time
Horizon

VRF

Violation Severity Levels
Lower VSL

R1

Medium The Nuclear Plant
Generator Operator
provided the NPIRs to the
applicable entities but did
not verify receipt.

Moderate VSL

High VSL

Severe VSL

The Nuclear Plant
Generator Operator did not
provide the proposed NPIR
to one of the applicable
entities unless there was
only one entity.

The Nuclear Plant
Generator Operator did not
provide the proposed
NPIRs to two of the
applicable entities unless
there were only two
entities.

The Nuclear Plant
Generator Operator did not
provide the proposed
NPIRs to more than two of
applicable entities.
OR
For a particular nuclear
power plant, if the number
of possible applicable
transmission entities is
equal to the number of
applicable transmission
entities not provided NPIRs

R2

Medium N/A

N/A

N/A

The Nuclear Plant
Generator Operator or the
applicable Transmission
Entity does not have in
effect one or more
agreements that include
mutually agreed to NPIRs
and document the
implementation of the
NPIRs.

R3

Medium N/A

The responsible entity
incorporated the NPIRs
into its planning analyses
but did not communicate

N/A

The responsible entity did
not incorporate the NPIRs
into its planning analyses of
the electric system.

Page 8 of 13

NUC-001-3— Nuclear Plant Interface Coordination
the results to the Nuclear
Plant Generator Operator.

R4

High

N/A

The responsible entity did
not comply with
Requirement R4, Part 4.3.

The responsible entity did
not comply with
Requirement R4, Part R4.1.

The responsible entity did
not comply with
Requirement R4, Part R4.2.

R5

High

N/A

N/A

N/A

The Nuclear Plant
Generator Operator failed
to operate per the NPIRs
developed in accordance
with this standard.

R6

Medium N/A

The Nuclear Plant
Generator Operator or
Transmission Entity failed
to provide outage or
maintenance schedules to
the appropriate parties as
described in the agreement
or on a time period
consistent with the
agreements.

The Nuclear Plant
Generator Operator or
Transmission Entity failed
to coordinate one or more
outages or maintenance
activities in accordance the
requirements of the
agreements.

N/A

R7

High

The Nuclear Plant
Generator Operator did not
inform the applicable
Transmission Entities of
proposed changes to
nuclear plant design (e.g.
protective relay setpoints),
configuration, operations,
limits, or capabilities that
may impact the ability of
the electric system to meet
the NPIRs.

N/A

The Nuclear Plant
Generator Operator did not
inform the applicable
Transmission Entities of
actual changes to nuclear
plant design (e.g. protective
relay setpoints),
configuration, operations,
limits, or capabilities that
may impact the ability of
the electric system to meet
the NPIRs.

The Nuclear Plant
Generator Operator did not
inform the applicable
Transmission Entities of
actual changes to nuclear
plant design (e.g.,
protective relay setpoints),
configuration, operations,
limits or capabilities that
directly impact the ability
of the electric system to
meet the NPIRs.

R8

High

The applicable
Transmission Entities did
not inform the Nuclear

N/A

The applicable
Transmission Entities did
not inform the Nuclear

The applicable
Transmission Entities did
not inform the Nuclear

Page 9 of 13

NUC-001-3— Nuclear Plant Interface Coordination
Plant Generator Operator of
proposed changes to
transmission system design,
configuration (e.g.
protective relay setpoints),
operations, limits, or
capabilities that may
impact the ability of the
electric system to meet the
NPIRs.

R9

Medium

The Agreement(s)
identified in R2. between
the Nuclear Plant Generator
Operator and the applicable
Transmission Entity failed
to include up to 20% of the
combined sub-components
in Requirement R9 Parts
9.2, 9.3 and 9.4 applicable
to that entity.

Plant Generator Operator of
actual changes to
transmission system design
(e.g. protective relay
setpoints), configuration,
operations, limits, or
capabilities that may
impact the ability of the
electric system to meet the
NPIRs.

Plant Generator Operator of
actual changes to
transmission system design
(e.g. protective relay
setpoints), configuration,
operations, limits, or
capabilities that directly
impacts the ability of the
electric system to meet the
NPIRs.

The Agreement(s)
identified in R2. between
the Nuclear Plant Generator
Operator and the applicable
Transmission Entity failed
to include greater than
20%, but less than 40% of
the combined subcomponents in
Requirement R9 Parts 9.2,
9.3 and 9.4 applicable to
the entity.

The Agreement(s)
identified in R2. between
the Nuclear Plant Generator
Operator and the applicable
Transmission Entity failed
to include 40% or more of
the combined subcomponents in
Requirement R9 Parts 9.2,
9.3 and 9.4 applicable to
the entity.

Page 10 of 13

D. Regional Variances
The design basis for Canadian (CANDU) nuclear power plants (NPPs) does not result in the
same licensing requirements as U.S. NPPs. Nuclear Regulatory Commission (NRC) design
criteria specifies that in addition to emergency on-site electrical power, electrical power from
the electric network also be provided to permit safe shutdown. There are no equivalent
Canadian Regulatory requirements for electrical power from the electric network to be
provided to permit safe shutdown. Therefore the definition of Nuclear Plant Licensing
Requirements (NPLR) for Canadian CANDU NPPs will be as follows:
Canadian Nuclear Plant Licensing Requirements (CNPLR) are requirements included in the
design basis of the nuclear plant and are statutorily mandated for the operation of the plant;
when used in this standard, NPLR shall mean nuclear power plant licensing requirements for
avoiding preventable challenges to nuclear safety as a result of an electric system
disturbance, transient, or condition.
E. Interpretations
None.
F. Associated Documents
None

Version History

Version

Date

Action

Change Tracking

1

May 2, 2007

Approved by Board of Trustees

New

2

August 5, 2009

Adopted by Board of Trustees

Revised. Modifications for
Order 716 to Requirement
R9.3.5 and footnote 1;
modifications to bring
compliance elements into
conformance with the
latest version of the ERO
Rules of Procedure.

2

January 22, 2010

Approved by FERC on January 21,
2010. Added Effective Date

Update

2

February 7, 2013

R9.1, R9.1.1, R9.1.2, R9.1.3, and
R9.1.4 and associated elements
approved by NERC Board of
Trustees for retirement as part of the
Paragraph 81 project (Project 201302) pending applicable regulatory
approval.

Page 11 of 13

2

November 21,
2013

R9.1, R9.1.1, R9.1.2, R9.1.3, and
R9.1.4 and associated elements
approved by FERC for retirement as
part of the Paragraph 81 project
(Project 2013-02)
Errata approved by the Standards
Committee; (Capitalized “Protection
System” in accordance with
Implementation Plan for Project
2007-17 approval of revised
definition of “Protection System”)
Informational filing submitted to
reflect the revised definition of
Protection System in accordance
with the Implementation Plan for the
revised term.
Modifications to implement the
recommendations of the five-year
review of NUC-001, which was
accepted by the Standards
Committee on October 17, 2013.

2.1

April 11, 2012

2.1

September 9,
2013

3

March 2014

3

August 14, 2014

Adopted by the NERC Board of
Trustees

3

November 4,
2014

FERC letter order issued approving
NUC-001-3

Errata associated with
Project 2007-17

Revision

Rationale

During development of this standard, text boxes were embedded within the standard to explain
the rationale for various parts of the standard. Upon BOT approval, the text from the rationale
text boxes was moved to this section.
Rationale for R5:
The NUC FYRT recommended R5 be revised for consistency with R4 and to clarify that nuclear
plants must be operated to meet the Nuclear Plant Interface Requirements.
Rationale for R7 and R8:
The NUC FYRT recommended deleting “Protection Systems” in Requirements R7 and R8 since
it is a subset of the "nuclear plant design" and "electric system design" elements currently
contained in R7 and R8 respectively; and adding a parenthetical clause (e.g. protective setpoints)
to R7 following "nuclear plant design" and parenthetical clause (e.g. relay setpoints) to R8
following "electric system design."

Page 12 of 13

Rationale for R9:
The NUC FYRT recommended that R9 be revised to clarify that all agreements do not have to
discuss each of the elements in R9, but that the sum total of the agreements need to address the
elements. In addition, for clarity in Part 9.4.1, the NUC FYRT recommended that "affecting the
NPIRs" be inserted following "Provisions for communications" and "applicable unique" be
inserted following ""definitions of."
Rationale for R9.3.7:
The term “Special Protection Systems” (SPS) was replaced with “Remedial Action Schemes”
(RAS) in order to align with other current NERC standards development work in Project 201005.2: Special Protection Systems. Project 2010-05.2 has proposed to replace SPS with RAS
throughout all of the NERC Standards in order to move to the use of a single term. RAS and SPS
have the same definition in the NERC Glossary of Terms.

Page 13 of 13