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NERC Issues Three Compliance Process Bulletins

On June 29, 2009, NERC issued the following Compliance Process Bulletins:

NERC Compliance Process Bulletin #2009-003, Version 2.0 provides guidance concerning the applicability and implementation of the pro forma settlement process for violations of the documentary requirements set forth in certain Reliability Standards. A template for a pro forma settlement agreement, which NERC explains should be used by the Regional Entities without modification, is attached to the bulletin as Appendix B. Compliance Process Bulletin #2009-003, Version 2.0 updates NERC’s June 2, 2009 Version 1.0 Compliance Process Bulletin on these same issues.  To view Compliance Process Bulletin #2009-003, Version 2.0, click here.

NERC Compliance Process Bulletin #2009-004 outlines the requirements for and provides guidance with regard to the provision of access to and copies of evidence to Compliance audit and Compliance Violation Investigation (CVI) activities under Sections 403.11 and 403.13 of the NERC Rules of Procedure (ROP).  Specifically, this bulletin discusses access by Regional Entity, NERC, and FERC staff to confidential information used as evidence in an audit or CVI.  NERC states that these Compliance personnel have the authority to obtain confidential information needed as evidence in carrying out the CMEP without the need to sign a separate confidentiality agreement or undertake precautions beyond those outline in Section 1500 of the NERC ROP.  To view Compliance Process Bulletin #2009-004, click here.

NERC Compliance Process Bulletin #2009-005 provides guidance information on NERC’s current document retention requirements for Registered Entities.  To view Compliance Process Bulletin #2009-005, click here.