INT‐009‐3 — Implementation of Interchange
See Implementation Plan
Requirements and Measures
R1. Each Balancing Authority shall agree with each of its Adjacent Balancing Authorities that its Composite Confirmed Interchange with that Adjacent Balancing Authority, at mutually agreed upon time intervals, excluding Dynamic Schedules and Pseudo‐Ties and including any Interchange not yet captured in the Composite Confirmed Interchange, is: [Violation Risk Factor: Medium] [Time Horizon: Real‐time Operations]
M1. The Balancing Authority shall have evidence (such as dated logs, voice recordings, electronic records, or other evidence) that its Composite Confirmed Interchange, excluding Dynamic Schedules and Pseudo‐Ties and including any Interchange not yet captured in the Composite Confirmed Interchange, was agreed to by each Adjacent Balancing Authority, identical in magnitude to those of each Adjacent Balancing Authority, and opposite in sign to that of each Adjacent Balancing Authority. (R1)
R3. Each Balancing Authority in whose area the high‐voltage direct current tie is controlled shall coordinate the Confirmed Interchange prior to its implementation with the Transmission Operator of the high‐voltage direct current tie. [Violation Risk Factor: Medium] [Time Horizon: Real‐time Operations, Operations Planning]
M3. The Balancing Authority shall have evidence (such as dated logs, electronic records, or other evidence) that it coordinated the Confirmed Interchange prior to its implementation with the Transmission Operator of the high‐voltage direct current tie. (R3)
Compliance Monitoring Process
1.1. Compliance Enforcement Authority: “Compliance Enforcement Authority” means NERC or the Regional Entity, or any entity as otherwise designated by an Applicable Governmental Authority, in their respective roles of monitoring and/or enforcing compliance with mandatory and enforceable Reliability Standards in their respective jurisdictions.
1.2. Evidence Retention: The following evidence retention period(s) 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.
The applicable entity shall keep data or evidence to show compliance as identified below unless directed by its Compliance Enforcement Authority to retain specific evidence for a longer period of time as part of an investigation.
- The Balancing Authority shall maintain evidence to show compliance with R1 and R3 for the most recent 3 months plus the current month.
If a Balancing Authority 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 Enforcement Program: As defined in the NERC Rules of Procedure, “Compliance Monitoring and Enforcement Program” refers to the identification of the processes that will be used to evaluate data or information for the purpose of assessing performance or outcomes with the associated Reliability Standard.
- Compliance Audit
- Spot Checking
- Compliance Investigation