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Reliability Assurance Initiative
The Reliability Assurance Initiative (RAI) was a collaborative, multi-year effort among NERC, the Regional Entities, and industry to identify and implement changes to enhance the effectiveness of the Compliance Monitoring and Enforcement Program (CMEP).
 
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 RAI and published guides and program documents related to the new and expanded processes and programs. Through RAI, NERC completed the design of the risk-based CMEP and is now focusing on program implementation. In particular, NERC and the Regional Entities will concentrate their efforts on four critical areas: training, continued outreach, oversight, and development of objective metrics to measure the success of the risk-based CMEP.
 
Please note that because RAI was completed in 2014, NERC will no longer include references to RAI in its communications. The information accumulated on this page will soon be duplicated on the Compliance and Enforcement page, which is undergoing improvements. This dedicated RAI page will remain in place, with all of its current content. If you have questions or comments about this page or its content, please email ComplianceOpsHelp@nerc.net or Enforcement@nerc.net.
 
 
 

 Implementation Resources

 
  
  
  
2017_ERO_CMEP_IP.pdf2017 ERO CMEP Implementation Plan3/10/2017
2016 CMEP IP_v_2 5_071116_POSTED.pdf2016 ERO  CMEP Implementation Plan (Revised)7/13/2016
Final_2015 CMEP IP_V_1.2 (Posted_08172015).pdf2015 ERO  CMEP Implementation Plan8/17/2015
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
Regional Consistency Reporting Tool.pdfRegional Consistency Reporting Tool11/18/2014
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 (002).pdfCoordinated Oversight MRRE FAQ12/9/2016
 

 Design Resources

 
  
  
  
Guide_for_Internal_Controls_Final12212016.pdfERO Enterprise Internal Control Evaluation Guide12/22/2016
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

 
 

 Program News

 
 
 
 

 Historical Documents

 
  
  
  
expand Header : Collaborative Documents ‎(4)
expand Header : NERC Board of Trustees and Standing Committee Materials ‎(6)
expand Header : Other ‎(6)
expand Header : White Papers ‎(6)

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