PER-005-2: Operations Personnel Training

Purpose

To ensure that personnel performing or supporting Real-time operations

Applicability

4.1. Functional Entities:

4.1.1 Reliability Coordinator

4.1.2 Balancing Authority

4.1.3 Transmission Operator

4.1.4 Transmission Owner that has:

4.1.4.1 Personnel, excluding field switching personnel, who can act independently to operate or direct the operation of the Transmission Owner’s Bulk Electric System transmission Facilities in Real-time.

4.1.5 Generator Operator that has:

4.1.5.1 Dispatch personnel at a centrally located dispatch center who receive direction from the Generator Operator’s Reliability Coordinator, Balancing Authority, Transmission Operator, or Transmission Owner, and may develop specific dispatch instructions for plant operators under their control. These personnel do not include plant operators located at a generator plant site or personnel at a centrally located dispatch center who relay dispatch instructions without making any modifications.

Effective Date

This standard shall become effective the first day of the first calendar quarter that is 24 months beyond the date that this standard is approved by an applicable governmental authority or is otherwise provided for in a jurisdiction where approval by an applicable authority is required for a standard to go into effect.

Where approval by an applicable governmental authority is not required, this standard shall become effective on the first day of the first calendar quarter that is 24 months after the date the standard is adopted by the NERC Board of Trustees or as otherwise provided for in that jurisdiction.

Requirements and Measures

R1. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall use a systematic approach to develop and implement a training program for its System Operators as follows: [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]

1.1. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall create a list of Bulk Electric System (BES) company-specific Real-time reliability-related tasks based on a defined and documented methodology.

1.1.1. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall review, and update if necessary, its list of BES companyspecific Real-time reliability-related tasks identified in part 1.1 each calendar year.

1.2. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall design and develop training materials according to its training program, based on the BES company-specific Real-time reliability-related task list created in part 1.1.

1.3. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall deliver training to its System Operators according to its training program. 1.4. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall conduct an evaluation each calendar year of the training program established in Requirement R1 to identify any needed changes to the training program and shall implement the changes identified.

M1. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection evidence of using a systematic approach to develop andimplement a training program for its System Operators, as specified in Requirement R1.

M1.1 Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection its methodology and its BES companyspecific Real-time reliability-related task list, with the date of the last review, as specified in Requirement R1 part 1.1 and part 1.1.1.

M1.2 Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection training materials, as specified in Requirement R1 part 1.2.

M1.3 Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection System Operator training records showing the names of the people trained, the title of the training delivered, and the dates of delivery to show that it delivered the training, as specified in Requirement R1 part 1.3.

M1.4 Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection evidence (such as instructor observations, trainee feedback, supervisor feedback, course evaluations, learning assessments, or internal audit results) that it performed an evaluation of its training program each calendar year, as specified in Requirement R1 part 1.4.

R2. Each Transmission Owner shall use a systematic approach to develop and implement a training program for its personnel identified in Applicability Section 4.1.4.1 of this standard as follows: [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]

2.1. Each Transmission Owner shall create a list of BES company-specific Real-time reliability-related tasks based on a defined and documented methodology.

2.1.1. Each Transmission Owner shall review, and update if necessary, its list of BES company-specific Real-time reliability-related tasks identified in part 2.1 each calendar year.

2.2. Each Transmission Owner shall design and develop training materials according to its training program, based on the BES company-specific Real-time reliabilityrelated task list created in part 2.1.

2.3. Each Transmission Owner shall deliver training to its personnel identified in Applicability Section 4.1.4.1 of this standard according to its training program.

2.4. Each Transmission Owner shall conduct an evaluation each calendar year of the training program established in Requirement R2 to identify any needed changes to the training program and shall implement the changes identified.

M2. Each Transmission Owner shall have available for inspection evidence of using a systematic approach to develop and implement a training program for its applicable personnel, as specified in Requirement R2.

M2.1 Each Transmission Owner shall have available for inspection its methodology and its BES company-specific Real-time reliability-related task list, with the date of the last review, as specified in Requirement R2 part 2.1.

M2.2 Each Transmission Owner shall have available for inspection training materials, as specified in Requirement R2 part 2.2.

M2.3 Each Transmission Owner shall have available for inspection training records showing the names of the people trained, the title of the training delivered, and the dates of delivery to show that it delivered the training, as specified in Requirement R2 part 2.3.

M2.4 Each Transmission Owner shall have available for inspection evidence (such as instructor observations, trainee feedback, supervisor feedback, course evaluations, learning assessments, or internal audit results) that it performed an evaluation of its training program each calendar year, as specified in Requirement R2 part 2.4.

R3. Each Reliability Coordinator, Balancing Authority, Transmission Operator, and Transmission Owner shall verify, at least once, the capabilities of its personnel, identified in Requirement R1 or Requirement R2, assigned to perform each of the BES company-specific Real-time reliability-related tasks identified under Requirement R1 part 1.1 or Requirement R2 part 2.1. [Violation Risk Factor: High] [Time Horizon: Longterm Planning]

3.1. Within six months of a modification or addition of a BES company-specific Realtime reliability-related task, each Reliability Coordinator, Balancing Authority, Transmission Operator, and Transmission Owner shall verify the capabilities of each of its personnel identified in Requirement R1 or Requirement R2 to perform the new or modified BES company-specific Real-time reliability-related tasks identified in Requirement R1 part 1.1 or Requirement R2 part 2.1.

M3. Each Reliability Coordinator, Balancing Authority, Transmission Operator, and Transmission Owner shall have available for inspection evidence to show that it verified the capabilities of each of its personnel, identified in Requirement R1 or Requirement R2, assigned to perform each of the BES company-specific Real-time reliability-related tasks identified under Requirement R1 part 1.1 or Requirement R2part 2.1. This evidence may be documents such as records showing capability to perform BES company-specific Real-time reliability-related tasks with the employeename and date; supervisor check sheets showing the employee name, date, and BES company-specific Real-time reliability-related task completed; or the results of learning assessments.

M3.1 Each Reliability Coordinator, Balancing Authority, Transmission Operator, or Transmission Owner shall present evidence that it verified the capabilities of applicable personnel to perform new or modified BES company-specific Realtime reliability-related tasks within 6 months of a modification or addition of a BES company-specific Real-time reliability-related task.

R4. Each Reliability Coordinator, Balancing Authority, Transmission Operator, and Transmission Owner that (1) has operational authority or control over Facilities with established Interconnection Reliability Operating Limits (IROLs), or (2) has established protection systems or operating guides to mitigate IROL violations, shall provide its personnel identified in Requirement R1 or Requirement R2 with emergency operations training using simulation technology such as a simulator, virtual technology, or other technology that replicates the operational behavior of the BES. [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]

4.1. A Reliability Coordinator, Balancing Authority, Transmission Operator, or Transmission Owner that did not previously meet the criteria of Requirement R4, shall comply with Requirement R4 within 12 months of meeting the criteria.

M4. Each Reliability Coordinator, Balancing Authority, Transmission Operator, and Transmission Owner shall have available for inspection training records that provide evidence that personnel identified in Requirement R1 or Requirement R2 completed training that includes the use of simulation technology, as specified in Requirement R4.

M4.1 Each Reliability Coordinator, Balancing Authority, Transmission Operator, and Transmission Owner shall have available for inspection training records that provide evidence that personnel identified in Requirement R1 or Requirement R2 completed training that included the use of simulation technology, as specified in Requirement R4, within 12 months of meeting the criteria of Requirement R4.

R5. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall use a systematic approach to develop and implement training for its identified Operations Support Personnel on how their job function(s) impact those BES company-specific Real-time reliability-related tasks identified by the entity pursuant to Requirement R1 part 1.1. [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]

5.1 Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall conduct an evaluation each calendar year of the training established in Requirement R5 to identify and implement changes to the training.

M5. Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection evidence that Operations Support Personnel completed training in accordance with its systematic approach. This evidence may be documents such as training records showing successful completion of training. Documentation of training shall include employee name and date of training.

M5.1 Each Reliability Coordinator, Balancing Authority, and Transmission Operator shall have available for inspection evidence (such as instructor observations, trainee feedback, supervisor feedback, course evaluations, learning assessments, or internal audit results) that it performed an evaluation each calendar year, as specified in Requirement R5 part 5.1.

R6. Each Generator Operator shall use a systematic approach to develop and implement training to its personnel identified in Applicability Section 4.1.5.1 of this standard, on how their job function(s) impact the reliable operations of the BES during normal and emergency operations. [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]

6.1. Each Generator Operator shall conduct an evaluation each calendar year of the training established in Requirement R6 to identify and implement changes to the training.

M6. Each Generator Operator shall have available for inspection evidence that its applicable personnel completed training in accordance with its systematic approach. This evidence may be documents such as training records showing successful completion of training. Documentation of training shall include employee name and date of training.

M6.1 Each Generator Operator shall have available for inspection evidence (such as instructor observations, trainee feedback, supervisor feedback, course evaluations, learning assessments, or internal audit results) that it performed an evaluation each calendar year, as specified in Requirement R6 part 6.1.

Compliance

1. Compliance Monitoring Process

1.1. Compliance Enforcement Authority:

As defined in the NERC Rules of Procedure, “Compliance Enforcement Authority” means NERC or the Regional Entity in their respective roles of monitoring and enforcing compliance with the NERC Reliability Standards.

1.2. Evidence Retention
The following evidence retention periods identify the period of time an entity is required to retain specific evidence to demonstrate compliance. For instances where the evidence retention period specified below is shorter than the time since the last audit, the compliance enforcement authority may ask an entity to provide other evidence to show that it was compliant for the full-time period since the last audit.

Each Reliability Coordinator, Balancing Authority, Transmission Operator Transmission Owner, and Generator Operator shall keep data or evidence to show compliance for three years or since its last compliance audit, whichever time frame is greater, unless directed by its Compliance Enforcement Authority to retain specific evidence for a longer period of time as part of an investigation.

If a Reliability Coordinator, Balancing Authority, Transmission Operator Transmission Owner, or Generator Operator is found non-compliant, it shall keep information related to the non-compliance until found compliant.

The Compliance Enforcement Authority shall keep the last audit records and all requested and submitted subsequent audit records.

1.3. Compliance Monitoring and Assessment Processes:

  • Compliance Audit
  • Self-Certification
  • Spot Checking
  • Compliance Investigation
  • Self-Reporting
  • Complaint

1.4. Additional Compliance Information

None

 


Guidelines and Technical Basis

Requirement R1 and R2:

Any systematic approach to training will determine: 1) the skills and knowledge needed to perform BES company-specific Real-time reliability-related tasks; 2) what training is needed to achieve those skills and knowledge; 3) if the learner can perform the BES company-specific Real-time reliability-related task(s) acceptably in either a training or on-the-job environment; and 4) if the training is effective, and make adjustments as necessary.

Reference #1: Determining Task Performance Requirements

The purpose of this reference is to provide guidance for a performance standard that describes the desired outcome of a task. A standard for acceptable performance should be in either measurable or observable terms. Clear standards of performance are necessary for an individual to know when he or she has completed the task and to ensure agreement between employees and their supervisors on the objective of a task. Performance standards answer the following questions:

How timely must the task be performed?

Or

How accurately must the task be performed?

Or

With what quality must it be performed?

Or

What response from the customer must be accomplished?

When a performance standard is quantifiable, successful performance is more easily demonstrated. For example, in the following task statement, the criteria for successful performance is to return system loading to within normal operating limits, which is a number that can be easily verified.

Given a System Operating Limit violation on the transmission system, implement the correct procedure for the circumstances to mitigate loading to within normal operating limits.

Even when the outcome of a task cannot be measured as a number, it may still be observable. The next example contains performance criteria that is qualitative in nature, that is, it can be verified as either correct or not, but does not involve a numerical result.

Given a tag submitted for scheduling, ensure that all transmission rights are assigned to the tag per the company Tariff and in compliance with NERC and NAESB standards.

Reference #2: Systematic Approach to Training References:

The following list of hyperlinks identifies references for the NERC Standard PER-005 to assist with the application of a systematic approach to training:

(1) DOE-HDBK-1078-94, A Systematic Approach to Training

http://www.publicpower.org/files/PDFs/DOEHandbookTrainingProgramSystematicApproach.pdf

(2) DOE-HDBK-1074-95, January 1995, Alternative Systematic Approaches to Training, U.S. Department of Energy, Washington, D.C. 20585 FSC 6910
http://www.catagle.com/112-1/download_php-spec_DOE-HDBK-1074-95_003254_1.htm

(3) ADDIE – 1975, Florida State University
http://www.nwlink.com/~donclark/history_isd/addie.html

(4) DOE Standard – Table-Top Needs Analysis DOE-HDBK-1103-96
https://energy.gov/sites/prod/files/2013/06/f2/hdbk1103.pdf

Reference #3: Recognized Operator Training Topics

See Appendix A – Recognized Operator Training Topics within the NERC System Operator Certification Program Manual.

http://www.nerc.com/pa/Train/SysOpCert/Documents/SOC_Program_Manual_February_2012 _Final.pdf

Reference #4: Definitions of Simulation and Simulators

Georgia Institute of Technology – Modeling & Simulation for Systems Engineering

http://www.pe.gatech.edu/conted/servlet/edu.gatech.conted.course.ViewCourseDetails?COUR SE_ID=840

University of Central Florida – Institute for Simulation & Training

Just what is “simulation” anyway (or, Simulation 101)?

And what about “modeling”?

But what does IST do with simulations?

http://www.ist.ucf.edu/overview.htm

 

Rationale:

During development of this standard, text boxes were embedded within the standard to explain the rationale for various parts of the standard. Upon BOT approval, the text from the rationale text boxes was moved to this section.

Rationale for System Operator:

The definition of the existing NERC Glossary Term “System Operator” has been modified to remove Generator Operator (GOP) in response to Project 2010-16.

The term “System Operator” contains another NERC Glossary term “Control Center”, which was approved by FERC on November 22, 2013. The inclusion of GOPs within the approved definition of Control Center does not bring GOPs into the System Operator definition. The System Operator definition specifies that it only applies to Balancing Authority (BA), Transmission Operator (TOP) or Reliability Coordinator (RC) personnel.

The modifications to the definition of “System Operator” do not affect other standards; see the PER-005-2 White Paper, which cross checks System Operator with other NERC Standards.

Rationale for Operations Support Personnel:

The term Operations Support Personnel is used to identify those support personnel of Reliability Coordinators (RC), Balancing Authorities (BA), or Transmission Operators (TOP) that FERC identified in Order No. 693.

Rationale for TO:

Extending the applicability to TOs is necessary to address the FERC directive that the ERO develop formal training requirements for local transmission control center operator personnel. In Order No. 742 at P 62, the Commission clarified its understanding that local control center personnel “exercise control over a significant portion of the Bulk-Power System under the supervision of the personnel of the registered transmission operator. The supervision may take the form of directive specific step-by-step instructions and at other times may take the form of the implementation of predefined operating procedures. In all cases, the Commission continued, the local transmission control center personnel must understand what they are required to do in the performance of their duties to perform them effectively on a timely basis. Thus, omitting such local transmission control center personnel from the PER-005-1 training requirements creates a reliability gap.” See FERC Order 693 at P 1343 and 1347.

Rationale for GOP:

Extending the applicability to Generator Operators (GOPs) that have dispatch personnel at a centrally located dispatch center is necessary to address the FERC directive that the ERO develop specific requirements addressing the scope, content and duration appropriate for certain GOP personnel. The Commission explains in Order No. 693 at P 1359 that “although a generator operator typically receives instructions from a balancing authority, it is essential that generator operator personnel have appropriate training to understand those instructions, particularly in an emergency situation in which instructions may be succinct and require immediate action.” Order No. 742 further clarified that the directive “applies to generator operator personnel at a centrally-located dispatch center who receive direction and then develop specific dispatch instructions for plant operators under their control. Plant operators located at the generator plant site are not required to be trained in PER-005-2.” Based on the FERC order, this applicability section clarifies which GOP personnel are subject to the standard.

Rationale for changes to R2:

Transmission Owners personnel at local transmission control centers have been added to the PER standard and are subject to Requirements R2, R3 and R4 of PER-005-2. The reason for adding Transmission Owners is to address Order No. 693 and Order No. 742 FERC directives to include local transmission control center operator personnel.

Rationale for R3:

This Requirement was brought forward from the previous version with the addition of Transmission Owners. It provides an entity with an opportunity to create a baseline from which to assess training needs as it develops a systematic approach.

Rationale for changes to R4:

The requirement mandates the use of specific training technologies. It does not require training on Interconnection Reliability Operating Limits (IROLs). The standard allows entities that gain operational authority or control over a Facility with IROLs or established protection systems or operating guides to mitigate IROL violations within 12 months to comply with Requirement R4 to provide them sufficient time to obtain simulation technology.

The requirement to provide a minimum of 32 hours of Emergency Operations training has been removed since the appropriate number of hours would be identified as part of the systematic approach in Requirement R1 and Requirement R2 through the analysis phase and outlined in a continuous education section of their training program. Any additional hours may be duplicative or repetitive for the entity in providing training to its personnel. Requirement R4.1 covers the FERC directive for the creation of an implementation plan for simulation technology.

Rationale for R5:

This is a new requirement applicable to Operations Support Personnel. In FERC Order No. 742, the Commission noted that NERC, in developing Reliability Standard PER-005-1, did not comply with the directive in FERC Order No. 693 to expand the applicability of training requirements to include operations planning and operation support staff who carry out outage planning and assessments and those who develop System Operating Limits (SOL), Interconnection Reliability Operating Limits (IROL), or operating nomograms for Real-time operations. This requirement contemplates that entities will look to the systematic approach already developed under Requirement R1. The entity can use the list created from Requirement R1 and select the BES company-specific Real-time reliability-related tasks with which Operations Support Personnel are involved.

Rationale for R6:

This requirement requires the training of certain GOP dispatch personnel on how their job function(s) impact the reliable operations of the BES during normal and emergency operations. This requirement mandates the use of a systematic approach which allows for each entity to tailor its training to the needs of its organization.

This is a new requirement applicable to certain GOPs as described in the applicability section. In FERC Order No. 742, the Commission noted that in developing proposed Reliability Standard PER-005-1, NERC did not comply with the directive in FERC Order No. 693 to expand the applicability of training requirements to include GOPs centrally-located at a generation dispatch center with a direct impact on the reliable operation of the BES. The Commission acknowledged that the training for GOPs need not be as extensive as the training for TOPs and BAs. FERC also stated that the systematic approach to training methodology is flexible enough to build on existing training programs by validating and supplementing the existing training content, where necessary, using systematic methods.


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