Per-003-2

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 Realtime 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.
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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:

R2.

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.

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.
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PER-003-2 – Operating Personnel Credentials

R3.

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.

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.
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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.

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PER-003-2 – Operating Personnel Credentials

Violation Severity Levels
R#

Violation Severity Levels

Lower VSL

Moderate VSL

High VSL

R1.

N/A

N/A

N/A

R2.

N/A

N/A

N/A

R3.

N/A

N/A

N/A

Severe VSL
The Reliability Coordinator
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
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
to staff each Real-time
operating position performing
Balancing Authority reliabilityrelated tasks with a System
Operator having a valid NERC
certificate as defined in
Requirement R3, Part 3.2.

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PER-003-2 – Operating Personnel Credentials

D. Regional Variances
None.

E. Associated Documents
Implementation Plan

Version History
Version

Date

Action

Change
Tracking

0

April 1, 2005

Effective Date

New

1

February 17, 2011

Complete revision under Project
2007-04

Revision

1

February 17, 2011

Adopted by Board of Trustees

1

September 15, 2011

FERC Order issued by FERC approving
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

2

November 21, 2018

FERC Letter Order approving PER003-2. Docket No. RD18-9-000

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