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Risk-Based Compliance Monitoring and Enforcement Program
 
Compliance monitoring and enforcement must be “right-sized” based on a number of considerations, including risk factors and registered entity management practices related to the detection, assessment, mitigation, and reporting of noncompliance. A risk-based approach is necessary for a proper allocation of resources and to encourage registered entities to enhance internal controls, including those focused on the self-identification of noncompliance.
 
In 2013 and 2014, the ERO Enterprise tested a number of risk-based concepts, processes, and programs under the Reliability Assurance Initiative (RAI) and published guides and program documents related to the new and expanded processes and programs. NERC completed the design of the risk-based CMEP and has since been focusing on program implementation. For any questions or comments about this page, please email compliancehelp@nerc.net or Enforcement@nerc.net.
 
 

 Implementation Resources

 
  
  
  
2018 ERO CMEP Implementation Plan.pdf2018 ERO CMEP Implementation Plan9/12/2017
2017 ERO CMEP Implementation Plan.pdf2017 ERO CMEP Implementation Plan5/18/2017
2016 CMEP IP_v_2 5_071116_POSTED.pdf2016 ERO  CMEP Implementation Plan (Revised)7/13/2016
FERC_Order_Approving_Risk-Based_CMEP.pdfFERC Order Approving Risk-Based CMEP2/19/2015
Compliance Exception and Self-Logging Report Q4 2014 (February 2015 BOTCC Agenda Excerpt).pdfCompliance Exception and Self-Logging Report Q4 2014 (February 2015 BOTCC Agenda Excerpt)2/11/2015
Risk-based CMEP Update (February 2015 BOTCC Agenda Excerpt).pdfRisk-Based CMEP Update (February 2015 BOTCC Agenda Excerpt)2/11/2015
Risk-Based CMEP Update (May 2015 BOTCC Agenda Excerpt).pdfRisk-Based CMEP Update (May 2015 BOTCC Agenda Excerpt)5/26/2015
Risk-Based CMEP Update (November 2015 BOTCC Agenda Excerpt).pdfRisk-Based CMEP Update (November 2015 BOTCC Agenda Excerpt)11/5/2015
Risk-Based CMEP Update (August 2015 BOTCC Agenda Excerpt).pdfRisk-Based CMEP Update (August 2015 BOTCC Agenda Excerpt)8/13/2015
Public_Final_Application_Risk-Based_CMEP_Concepts_to_CIPV5_(10-22-2014).pdfThe Application of Risk-Based CMEP Concepts to CIP Version 510/22/2014
Coordinated Oversight MRRE  FAQ.pdfCoordinated Oversight MRRE  FAQ8/15/2017
 

 Design Resources

 
  
  
  
Guide_for_Internal_Controls_Final12212016.pdfERO Enterprise Guide for Internal Controls9/22/2017
Overview of the ERO Enterprise’s Risk-Based CMEP.pdfOverview of the ERO Enterprise’s Risk-Based CMEP9/5/2014
Risk-Based Compliance Monitoring and Enforcement Program Visual Overview.pdfVisual Overview of the ERO Enterprise’s Risk-Based CMEP9/5/2014
ERO Enterprise Guide for Compliance Monitoring.pdfERO Enterprise Guide for Compliance Monitoring10/28/2016
Updated_ERO Enterprise Self-Logging Program (2-1-16).pdfERO Enterprise Self-Logging Program2/1/2016
Compliance Exception Overview.pdfCompliance Exception Overview3/23/2016
ERO Self-Report User Guide (April 2014).pdfERO Enterprise Self-Report User Guide 6/3/2014
ERO Mitigation Plan Guide (April 2014).pdfERO Enterprise Mitigation Plan Guide6/3/2014
White Paper – The Need for Change (paper 1).pdfIncorporating Risk Concepts into the Implementation of Compliance and Enforcement (Foundational White Paper)11/15/2012
FinalFiled_RAI_Informational_Filing_20141103.pdfInformational Filing Regarding Implementation of the Reliability Assurance Initiative11/4/2014
 

 Events

 
 
 
 

 Historic Documents

 
  
  
  
expand Header : Collaborative Documents ‎(4)
expand Header : Key Change State Elements (Papers 2-5) ‎(1)
expand Header : NERC Board of Trustees and Standing Committee Materials ‎(6)
expand Header : Other ‎(7)
expand Header : White Papers ‎(6)

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