Risk-Based Compliance Monitoring and Enforcement Program (CMEP)
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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.
 
  
  
  
2018_ERO_CMEP_Implementation Plan_V2.1_May_2018.pdf2018 ERO CMEP Implementation Plan V2.15/7/2018
2019_ERO_CMEP_Implementation Plan_V1_September_2018.pdf2019_ERO_CMEP_Implementation Plan V19/12/2018
ERO_Enterprise_Coord_Oversight_Guide.pdfERO Enterprise Guide for the MRRE Coordinated Oversight Program3/29/2018
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 (August 2015 BOTCC Agenda Excerpt).pdfRisk-Based CMEP Update (August 2015 BOTCC Agenda Excerpt)8/13/2015
Risk-Based CMEP Update (November 2015 BOTCC Agenda Excerpt).pdfRisk-Based CMEP Update (November 2015 BOTCC Agenda Excerpt)11/5/2015
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 FAQ12/14/2017
  
  
  
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
Compliance Exception Overview.pdfCompliance Exception Overview3/23/2016
Updated_ERO Enterprise Self-Logging Program (2-1-16).pdfERO Enterprise Self-Logging Program2/1/2016
Registered Entity Self-Report and Mitigation Plan.pdfRegistered Entity Self-Report and Mitigation Plan User Guide6/12/2018
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
 
 
  
  
  
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)