Table of contents


Vision

Mission

Values

Accountability

Independence

Responsiveness

Fairness

Inclusiveness

Adaption

Innovation

Excellence

Efficiency

Integrity

Success

Reliability

Assurance

Learning

Risk-based Approach

1: Reliability Standards

1.a: Timeliness, Clarity & Responsiveness

Deliverable 1.a.1:

Deliverable 1.a.2: Quality & Results-Based Criteria

Deliverable 1.a.3: Gap Analysis

Deliverable 1.a.4: Risk Profile & Standards Assessment

Deliverable 1.a.5: High-Risks

Deliverable 1.a.6: FERC Directives

1.b: Practicality & Cost-Effectiveness

Deliverable 1.b.1: New Standards

Deliverable 1.b.2: Standards Application Guides

Deliverable 1.b.3: Requirements Retirement

Deliverable 1.b.4: Cost Effectiveness Assessment

2: Enforcement

2.a: Registration & Certification

Deliverable 2.a.1: BES Exceptions

Deliverable 2.a.2: Certification Program

Deliverable 2.a.3: Registration Framework & Criteria

Deliverable 2.a.4: Registration, Information & Methods

2.b: Accountability

Deliverable 2.b.1: Compliance Reform

Deliverable 2.b.2: Caseload & Mitigation

Deliverable 2.b.3: Enforcement Strategies

Deliverable 2.c: Monitoring

3: Compliance Culture

3.a: Procedures & Programs

Deliverable 3.a.1: Compliance Reform

Deliverable 3.a.2: Internal Controls

Deliverable 3.a.3: Learning Periods

Deliverable 3.b: Processes & Discretion

Deliverable 3.b.1: FFT

Deliverable 3.b.2: Compliance Reform

4: Identification & Prioritization

4.a: Criteria

Deliverable 4.a.1: RISC & HILF Issues

Deliverable 4.a.2: Annual Report

Deliverable 4.a.3: High-Priority Risks

4.b: Analysis

Deliverable 4.b.1: Gap Analysis

Deliverable 4.b.2: System Event Reports

Deliverable 4.b.3: Lessons Learned & Recommendations

Deliverable 4.b.4: Databases & Cause Codes

5: Mitigation

5.a: Tracking

Deliverable 5.a.1: Risk Control Initiatives

Deliverable 5.a.2: Recommendations Tracking

5.b: Evaluation & Improvement

Deliverable 5.b.1: Security Maturity Model Assessments

Deliverable 5.b.2: Security Recommendations

Deliverable 5.b.3: Information Sharing, Analytics & Analysis

Deliverable 5.b.4: Security Exercises

Deliverable 5.b.5: Security Clearances

6: Reliability Culture

6.a: Reliability Information

Deliverable 6.a.1: Reliability Assessments

Deliverable 6.a.2: Reliability Gaps

6.b: Accuracy & Sharing

Deliverable 6.b.1: Data & Modeling

Deliverable 6.b.2: Event Disturbances

7: Coordination, Collaboration & Process Improvement

7.a: Talent

Deliverable 7.a.1: Hiring & Retention

Deliverable 7.a.2: Qualifications & Training

7.b: Internal Risks & Processes

Deliverable 7.b.1: Applications, Platform & Database

Deliverable 7.b.2: Self-Assessment & Audit Recommendations

Deliverable 7.b.3: Risk Management Program



StrategicPlan

Electric Reliability Organization Enterprise Strategic Plan 2013-2016

This plan summarizes the ERO Enterprise’s mission, vision, values and goals; and provides strategic direction and priorities for 2013 and beyond. The plan will be reviewed, revised, and supplemented every two years or more frequently as needed.

This plan was expanded and updated from 2012 to provide more transparency in the setting of goals for the ERO Enterprise and to accommodate the 2013 - 2016 planning period... Approved by the NERC Board of Trustees on May 9, 2013

Source:
http://www.nerc.com/gov/bot/FINANCE/Documents/ERO%20Enterprise%20Strategic%20Plan%202013-2016%20FINAL%2005%2009%2013.pdf

Start: 2013-05-09 End: 2016-12-31 Publication Date: 2013-08-19

Submitter:

First name: Owen

Last name: Ambur

Email Address: Owen.Ambur@verizon.net

Organization:

Name: Electric Reliability Organization

Acronym: ERO

Description: The ERO Enterprise is a collaborative, international network comprised of the North American Electric Reliability Corporation (NERC) and the eight Regional Entities that brings together collective leadership, experience, judgment, skills, and technologies for ensuring the reliability of the North American bulk power system.

Stakeholder(s):

North American Electric Reliability Corporation (NERC)

NERC Board of Trustees

Vision

To be the trusted leadership that ensures the reliability of the North American bulk power system by implementing relevant standards; promoting effective collaboration, cooperation, and communication around important risks to reliability; and utilizing expertise from the industry to produce outcomes that effectively manage risks to reliability.

Mission

To ensure the reliability of the North American bulk power system.

Values

Accountability: Accountability and Independence -- The ERO Enterprise will: * Be accountable for the public responsibilities delegated to it (a public trust obligation). * Be impartial, independent of special interests, and impervious to improper influence. * Balance its own independent regulatory judgment with the need to involve those with expert knowledge and experience in bulk power system reliability matters.

Independence

Responsiveness: The ERO Enterprise will act in a timely manner on the basis of unfolding events, emerging reliability risks, and the needs of industry and other stakeholders.

Fairness: Fairness and Inclusiveness -- The ERO Enterprise will: * Be open and transparent. * Provide access for clear communication with stakeholders. * Ensure the legitimate interests of all parties, including costs imposed on registered entities, are duly considered and balanced in the development of policies and reliability standards, and in its programs and operations. * Conduct compliance and enforcement actions judiciously and in proportion to risk, paying regard to risks both potential and actual (realized).

Inclusiveness

Adaption: Adaption and Innovation -- The ERO Enterprise will: * Continuously assess and prioritize its goals. * Embrace change and encourage new ideas that contribute to effective action. * Recognize the complex relationships and potential tensions between reliability objectives and business imperatives (including cost control). * Be nimble and artful in development of tools and dissemination of lessons learned and other information to respond to novel, unfamiliar, and emerging challenges

Innovation

Excellence: The ERO Enterprise will: * Promote and rely upon the active participation of the best technical leaders from industry. * Strive for excellence and efficiency in all aspects of Enterprise activities.

Efficiency: The ERO Enterprise will make informed decisions regarding efficient use of its resources and resources shared by industry, with due consideration of the cost to industry

Integrity: The ERO Enterprise will: * Maintain the highest levels of professional and ethical conduct. * Be independent, impartial, fair, intellectually honest, truthful, and candid. * Be rigorous and thorough in all it does, doing the right things the right way. * Earn trust by treating every person with fairness and respect. * Work to meet or exceed expectations of stakeholders.

Success: Four Pillars for Success -- In order to succeed, the ERO Enterprise will emphasize:

Reliability: to address events and identifiable risks, thereby ensuring the reliability of the bulk power system through proper mitigation and remediation.

Assurance: to provide assurance to the public, industry, and government for the reliable performance of the bulk power system.

Learning: to promote learning and continuous improvement of operations and adapt to lessons learned for bulk power system reliability.

Risk-based Approach: to focus attention, resources and actions on issues most important to bulk power system reliability.


Goal 1: Reliability Standards

Develop clear, reasonable and technically sound mandatory reliability standards in a timely and efficient manner.

Objective(s):

1.a: Timeliness, Clarity & Responsiveness

Deliverable 1.a.1:

Deliverable 1.a.2: Quality & Results-Based Criteria

Deliverable 1.a.3: Gap Analysis

Deliverable 1.a.4: Risk Profile & Standards Assessment

Deliverable 1.a.5: High-Risks

Deliverable 1.a.6: FERC Directives

1.b: Practicality & Cost-Effectiveness

Deliverable 1.b.1: New Standards

Deliverable 1.b.2: Standards Application Guides

Deliverable 1.b.3: Requirements Retirement

Deliverable 1.b.4: Cost Effectiveness Assessment


Other Information:

These standards establish threshold requirements for ensuring the bulk power system is planned, operated, and maintained in a manner that minimizes risks of cascading failures, avoids damage to major equipment, or limits interruptions of bulk power supply.

Objective 1.a: Timeliness, Clarity & Responsiveness

Standards are timely, clear and responsive to reliability and security risks.

Other Information:

Key deliverables include:

Objective Deliverable 1.a.1:

Complete standards development governance and process reforms as identified in 2012 resolutions by the NERC Board of Trustees.

Stakeholder(s):

NERC Board of Trustees

Objective Deliverable 1.a.2: Quality & Results-Based Criteria

Ensure all existing and new standards meet quality and results-based criteria within five years with subsequent review every five years thereafter

Objective Deliverable 1.a.3: Gap Analysis

Evaluate significant bulk power system events (Category 3 and above) to identify gaps in standards and address any gaps

Stakeholder(s):

Bulk Power Systems

Objective Deliverable 1.a.4: Risk Profile & Standards Assessment

Develop a bulk power system risk profile and assess standards compared to the profile, address the most important risk gaps

Objective Deliverable 1.a.5: High-Risks

Address all high-risks designated for control by a standard within one year or two years if technical study is required

Objective Deliverable 1.a.6: FERC Directives

Address all new FERC directives within one year or two years if technical study is required; close existing directives by 2015 (by filing or negotiated resolution)

Stakeholder(s):

FERC

Objective 1.b: Practicality & Cost-Effectiveness

Standards are practical to implement and cost effective.

Other Information:

Key deliverables include:

Objective Deliverable 1.b.1: New Standards

Facilitate smooth transition of new standards

Other Information:

(e.g., CIP Version 5)

Objective Deliverable 1.b.2: Standards Application Guides

Consolidate to a common set of application guides or RSAWs for all standards

Objective Deliverable 1.b.3: Requirements Retirement

Identify and file requirements to be retired (Paragraph 81 Phase 2)

Objective Deliverable 1.b.4: Cost Effectiveness Assessment

Explore options for assessing the cost effectiveness of appropriate reliability standards


Goal 2: Enforcement

Be a strong enforcement authority that is independent, without conflict of interest, objective and fair.

Objective(s):

2.a: Registration & Certification

Deliverable 2.a.1: BES Exceptions

Deliverable 2.a.2: Certification Program

Deliverable 2.a.3: Registration Framework & Criteria

Deliverable 2.a.4: Registration, Information & Methods

2.b: Accountability

Deliverable 2.b.1: Compliance Reform

Deliverable 2.b.2: Caseload & Mitigation

Deliverable 2.b.3: Enforcement Strategies

Deliverable 2.c: Monitoring


Other Information:

The ERO retains and refines its ability to use standards enforcement when warranted and impose penalties and sanctions commensurate with risk.

Objective 2.a: Registration & Certification

Register entities commensurate with risk and ensure all key reliability entities are certified.

Other Information:

The ERO registers entities commensurate with risk to the bulk power system and ensures all key reliability entities are certified to have essential capabilities. Key deliverables include:

Objective Deliverable 2.a.1: BES Exceptions

Develop and implement BES exception process

Objective Deliverable 2.a.2: Certification Program

Evaluate certification program for sufficiency and effectiveness, modify as needed

Objective Deliverable 2.a.3: Registration Framework & Criteria

Develop framework and criteria for registration based on risk to the bulk power system

Objective Deliverable 2.a.4: Registration, Information & Methods

Develop common and consistent registration processes, information systems and methods among regions

Objective 2.b: Accountability

Hold industry accountable for violations

Other Information:

The ERO holds industry accountable for violations that create serious risk to the bulk power system; resulting actions are timely and transparent to industry. Key deliverables include:

Objective Deliverable 2.b.1: Compliance Reform

Develop and implement Reliability Assurance Initiative (compliance reform) which includes the objective of improving the efficiency and effectiveness of NERC and Regional Entity operations, reducing unnecessary costs of compliance on registered entities while, in each case, ensuring reliability objectives are achieved.

Stakeholder(s):

NERC

NERC Regional Entities

Objective Deliverable 2.b.2: Caseload & Mitigation

Develop and implement new caseload and mitigation aging curves and monitor caseload and mitigation performance

Objective Deliverable 2.b.3: Enforcement Strategies

Develop and implement enforcement strategies based on Reliability Assurance Initiative

Objective Deliverable 2.c: Monitoring

Monitor registered entities and standards requirements commensurate with the risk and role of each type of registered entity

Other Information:

The ERO monitors registered entities and standards requirements commensurate with the risk and role of each type of registered entity.


Goal 3: Compliance Culture

Promote a culture of compliance which is driven by a culture of reliability excellence addressing reliability risks across the industry.

Objective(s):

3.a: Procedures & Programs

Deliverable 3.a.1: Compliance Reform

Deliverable 3.a.2: Internal Controls

Deliverable 3.a.3: Learning Periods

Deliverable 3.b: Processes & Discretion

Deliverable 3.b.1: FFT

Deliverable 3.b.2: Compliance Reform


Other Information:

The ERO works with industry to identify standards, procedures, practices and controls to address reliability risks.

Objective 3.a: Procedures & Programs

[Ensure that] industry has effective procedures and programs to monitor, detect, correct, report, and prevent compliance, reliability, and security issues.

Other Information:

Key deliverables include:

Objective Deliverable 3.a.1: Compliance Reform

Develop and implement Reliability Assurance Initiative (compliance reform)

Other Information:

(same as 2b)

Objective Deliverable 3.a.2: Internal Controls

Make effective internal controls models and information available to industry

Objective Deliverable 3.a.3: Learning Periods

Initiate compliance phase-in learning periods for new standards

Objective Deliverable 3.b: Processes & Discretion

Use efficient processes and proportional exercise of discretion to verify that compliance objectives are met

Other Information:

The ERO uses efficient processes and proportional exercise of discretion to verify that compliance objectives are met by industry. Key deliverables include:

Objective Deliverable 3.b.1: FFT

Continue to expand use of discretion through Find, Fix, and Track (FFT)

Objective Deliverable 3.b.2: Compliance Reform

Develop and implement Reliability Assurance Initiative (compliance reform)

Other Information:

(same as 2b)


Goal 4: Identification & Prioritization

Identify the most significant risks to reliability.

Objective(s):

4.a: Criteria

Deliverable 4.a.1: RISC & HILF Issues

Deliverable 4.a.2: Annual Report

Deliverable 4.a.3: High-Priority Risks

4.b: Analysis

Deliverable 4.b.1: Gap Analysis

Deliverable 4.b.2: System Event Reports

Deliverable 4.b.3: Lessons Learned & Recommendations

Deliverable 4.b.4: Databases & Cause Codes


Other Information:

The ERO identifies and prioritizes reliability risks, facilitates effective solutions and interventions, and monitors results.

Objective 4.a: Criteria

Identify and prioritize risks based on reliability impacts, cost/practicality assessments, projected resources, and emerging issues.

Other Information:

Risks are identified and prioritized based on reliability impacts, cost/practicality assessments, projected resources, and emerging issues. Key deliverables include:

Objective Deliverable 4.a.1: RISC & HILF Issues

Continue to mature RISC and develop risk profile to include HILF issues

Objective Deliverable 4.a.2: Annual Report

Prepare an annual state of reliability report

Objective Deliverable 4.a.3: High-Priority Risks

Develop project plans and business case assessments for high priority risks; implement or facilitate initiatives to address high priority risks

Other Information:

(see 5a first bullet)

Objective 4.b: Analysis

Consistently analyze events and system performance

Other Information:

Events and system performance are consistently analyzed for sequence, cause, and remediation to identify reliability risks and trends, and to inform standards, compliance, and other programs. Industry is well informed of system events, emerging trends, risk analysis, lessons learned and expected actions. Key deliverables include:

Objective Deliverable 4.b.1: Gap Analysis

Analyze significant events to identify gaps in standards, compliance effectiveness, registration, and risk controls effectiveness

Objective Deliverable 4.b.2: System Event Reports

Make all bulk power system event reports available to industry through secure portal

Objective Deliverable 4.b.3: Lessons Learned & Recommendations

Provide lessons learned and recommendations from events and identified risks

Objective Deliverable 4.b.4: Databases & Cause Codes

Merge event driven databases and cause codes into one (e.g., event analysis, TADS, GADS, relay mis-operations)


Goal 5: Mitigation

Be accountable for mitigating reliability risks.

Objective(s):

5.a: Tracking

Deliverable 5.a.1: Risk Control Initiatives

Deliverable 5.a.2: Recommendations Tracking

5.b: Evaluation & Improvement

Deliverable 5.b.1: Security Maturity Model Assessments

Deliverable 5.b.2: Security Recommendations

Deliverable 5.b.3: Information Sharing, Analytics & Analysis

Deliverable 5.b.4: Security Exercises

Deliverable 5.b.5: Security Clearances


Other Information:

The ERO works with industry stakeholders and experts to ensure the mitigation of known risks to reliability.

Objective 5.a: Tracking

Track industry accountability for critical reliability and security recommendations

Other Information:

The ERO is tracking industry accountability for critical reliability and security recommendations. Key deliverables include:

Objective Deliverable 5.a.1: Risk Control Initiatives

Manage risk control initiatives to be completed by ERO and coordinate other initiatives with industry (e.g., relay misoperations, situational awareness, human error, cyber attack)

Objective Deliverable 5.a.2: Recommendations Tracking

Develop and deploy a recommendations tracking system

Objective 5.b: Evaluation & Improvement

Evaluate and continuously improve industry security posture

Other Information:

Industry is aware of and is effectively addressing security vulnerabilities and threats. Industry security posture is being evaluated and continuously improved. During crisis situations, ERO facilitates sharing of information among industry, Regions, and government. Key deliverables include:

Objective Deliverable 5.b.1: Security Maturity Model Assessments

Expand security maturity model assessments to be widely accessible across industry

Objective Deliverable 5.b.2: Security Recommendations

Issue and track security recommendations to protect the bulk power system

Stakeholder(s):

Bulk Power Systems

Other Information:

(related to 5a second bullet)

Objective Deliverable 5.b.3: Information Sharing, Analytics & Analysis

Expand the use and value of security threat and vulnerability information sharing, analytics, and analysis

Objective Deliverable 5.b.4: Security Exercises

Implement periodic wide area security exercises (e.g., GridEx)

Objective Deliverable 5.b.5: Security Clearances

Increase security clearances available to industry and facilitate access to secured briefings through local fusion centers


Goal 6: Reliability Culture

Promote a culture of reliability excellence.

Objective(s):

6.a: Reliability Information

Deliverable 6.a.1: Reliability Assessments

Deliverable 6.a.2: Reliability Gaps

6.b: Accuracy & Sharing

Deliverable 6.b.1: Data & Modeling

Deliverable 6.b.2: Event Disturbances


Other Information:

The ERO facilitates a learning environment throughout the industry through event causal analysis, communication of lessons learned, tracking of recommendations, and implementation of best practices.

Objective 6.a: Reliability Information

[Serve as] a leading resource to industry and policy makers for reliability information

Stakeholder(s):

Inustry

Policy Makers

Other Information:

ERO is a leading resource to industry and policy makers for reliability information. Key deliverables include:

Objective Deliverable 6.a.1: Reliability Assessments

Publish quality reliability assessment reports (LTRA, seasonal and special reports)

Objective Deliverable 6.a.2: Reliability Gaps

Promote effective actions as needed to address identified gaps in future reliability

Objective 6.b: Accuracy & Sharing

[Ensure that] reliability models and data accurately represent system behavior and are shared among reliability entities.

Stakeholder(s):

Reliability Entities

Other Information:

Reliability models and data accurately represent system behavior and are shared among reliability entities. Key deliverables include:

Objective Deliverable 6.b.1: Data & Modeling

Assess data and modeling needs and develop recommendations to ensure quality planning and operating data/models are available to registered entities across each interconnection

Stakeholder(s):

Registered Entities

Objective Deliverable 6.b.2: Event Disturbances

Evaluate event disturbances using phasor measurements and other methods to assess sufficiency of data and models


Goal 7: Coordination, Collaboration & Process Improvement

Ensure effective coordination, collaboration and process improvements.

Objective(s):

7.a: Talent

Deliverable 7.a.1: Hiring & Retention

Deliverable 7.a.2: Qualifications & Training

7.b: Internal Risks & Processes

Deliverable 7.b.1: Applications, Platform & Database

Deliverable 7.b.2: Self-Assessment & Audit Recommendations

Deliverable 7.b.3: Risk Management Program


Other Information:

Improve transparency, consistency, quality and timeliness of results; operate as a collaborative enterprise; and improve efficiencies and cost effectiveness. The ERO accomplishes this through working with the Regional Entities and registered entities to ensure effective coordination, collaboration and process improvements. The ERO communicates expectations clearly and fosters collaboration to deliver important results in advancing system reliability. The ERO engages the support and expertise of stakeholders, is an efficient steward of resources, and leverages information systems to create efficiencies and process controls.

Objective 7.a: Talent

Acquire, engage, and retain highly qualified talent

Other Information:

The ERO acquires, engages, and retains highly qualified talent suited to the mission. Key deliverables include:

Objective Deliverable 7.a.1: Hiring & Retention

Implement employee climate surveys and succession planning and promote favorable hiring and retention of ERO staffs

Objective Deliverable 7.a.2: Qualifications & Training

Develop ERO qualifications requirements for auditors and other key positions across the ERO and implement training as needed

Stakeholder(s):

Auditors

Objective 7.b: Internal Risks & Processes

Manage internal risks and ensure that processes are effective, efficient, and continuously improved.

Other Information:

The ERO internal risks are understood and managed; ERO processes are effective, efficient, and continuously improved. Key deliverables include:

Objective Deliverable 7.b.1: Applications, Platform & Database

Develop test and deploy ERO enterprise applications, platform and database

Objective Deliverable 7.b.2: Self-Assessment & Audit Recommendations

Develop five-year ERO self-assessment and close all recommendations from three-year assessment and FERC audit

Objective Deliverable 7.b.3: Risk Management Program

Implement an ERO-wide internal risk management program

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