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pdfNORTH AMERICAN ENERGY STANDARDS BOARD
801 Travis, Suite 1675 • Houston, Texas 77002 • Phone: (713) 356-0060 • Fax: (713) 356-0067
email: naesb@naesb.org • Web Site Address: www.naesb.org
January 29, 2013
Filed Electronically
Ms. Kimberly Bose
Secretary
Federal Energy Regulatory Commission
888 First Street N.E., Room 1A
Washington, D.C. 20585
RE:
Submittal of Modifications to the NAESB Public Key Infrastructure Standards and Other Standards to
support the Public Key Infrastructure (Docket Nos. RM05-5-000 and RM05-5-022)
Dear Ms. Bose:
The North American Energy Standards Board ("NAESB") herewith submits this report to the Federal Energy
Regulatory Commission ("FERC" or "Commission") regarding modifications to the NAESB Public Key
Infrastructure (“PKI”) standards (“WEQ-012”) and other related standards to support WEQ-012. These standards
modifications are the result of the effort described in the “North American Energy Standards Board Status Report to
FERC Regarding Public Key Infrastructure (PKI) Efforts” (Docket Nos. RM05-5-000 and RM05-5-022) filed with
the Commission on November 30, 2012. 1 The standards modifications included in this report affect the NAESB
WEQ-012 PKI standards, NAESB WEQ-000 Abbreviations, Acronyms, and Definition of Terms, the NAESB
WEQ-001 Open Access Same-time Information Systems (OASIS) standards, the NAESB WEQ-002 OASIS
Standards and Communication Protocols standards, the NAESB WEQ-003 OASIS Data Dictionary standards, the
NAESB WEQ-004 Coordinate Interchange standards and the NAESB WEQ-013 OASIS Implementation Guide. In
addition, to support the PKI standards development effort, modifications were made to the NAESB WEQ-013
OASIS Implementation Guide the NAESB Electronic Tagging Functional Specification and the NAESB
Accreditation Requirements for Certification Authorities Specification and the NAESB Authorized Certification
Authority Process were created. The final standards modifications developed as part of the effort were ratified by
the membership on December 27, 2012. 2 We are extremely appreciative of the time, knowledge and industry
leadership provided by all participants, both members and non-members that contributed to the development of
these standards.
The cover letter, report and enclosures are being filed electronically in Adobe Acrobat Print Document Format
(.pdf). All of the documents are also available on the NAESB web site (www.naesb.org). Please feel free to call me
at (713) 356-0060 or refer to the NAESB website (www.naesb.org) should you have any questions or need
additional information regarding the NAESB PKI standards or any other NAESB work products.
Respectfully submitted,
Rae McQuade
Ms. Rae McQuade
President & COO, North American Energy Standards Board
1
North American Energy Standard Board Status Report to FERC Regarding Public Key Infrastructure (PKI) Efforts (Docket No. RM05-5-022),
available at: http://www.naesb.org/pdf4/ferc113012_naesb_pki.pdf (submitted November 30, 2012).
2
The NAESB standards referenced in this report are reasonably available to the public through multiple methods. To access the standards at no
cost, NAESB will provide a limited copyright waiver for evaluation purposes using a software product called Lock Lizard
(http://www.locklizard.com). To request a waiver, please contact the NAESB office or follow the instructions in the following document:
http://www.naesb.org/pdf/ordrform.pdf.
NORTH AMERICAN ENERGY STANDARDS BOARD
801 Travis, Suite 1675 • Houston, Texas 77002 • Phone: (713) 356-0060 • Fax: (713) 356-0067
email: naesb@naesb.org • Web Site Address: www.naesb.org
January 29, 2013
Page 2
cc with enclosures:
Chairman Jon Wellinghoff, Federal Energy Regulatory Commission
Commissioner Tony Clark, Federal Energy Regulatory Commission
Commissioner Cheryl LaFleur, Federal Energy Regulatory Commission
Commissioner Philip D. Moeller, Federal Energy Regulatory Commission
Commissioner John R. Norris, Federal Energy Regulatory Commission
Mr. Joseph McClelland, Director, Office of Energy Infrastructure Security, Federal
Energy Regulatory Commission
Mr. Michael Bardee, Director, Office of Electric Reliability, Federal Energy Regulatory
Commission
Mr. David Morenoff, Acting General Counsel, Federal Energy Regulatory Commission
Mr. Mason Emnett, Associate Director, Office of Energy Policy and Innovation, Federal
Energy Regulatory Commission
Mr. Michael Goldenberg, Senior Attorney, Office of General Counsel, Federal Energy
Regulatory Commission
Ms. Jamie L. Simler, Director, Office of Energy Policy and Innovation, Federal Energy
Regulatory Commission
Mr. Michael Desselle, Chairman and CEO, North American Energy Standards Board
Mr. William P. Boswell, General Counsel, North American Energy Standards Board
Mr. Charles Berardesco, General Counsel, North American Electric Reliability
Corporation
Mr. Mark Lauby, Vice President and Director, Standards, North American Electric
Reliability Corporation
Enclosures (all documents noted in the appendices are available publicly on the NAESB web site – www.naesb.org):
Appendix A
NAESB WEQ Public Key Infrastructure (PKI) Subcommittee, NAESB WEQ OASIS
Subcommittee and NAESB Joint Electric Scheduling Subcommittee Meeting Minutes Links
Appendix B
Executive Committee Meeting Minutes, Comments, Voting Records Links and Availability of
Transcripts
Appendix C
Ratification Ballots and Results Links
Appendix D
2012 Wholesale Electric Quadrant Annual Plan
Appendix E
NAESB Process for Standards Development
Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
UNITED STATES OF AMERICA
FEDERAL ENERGY REGULATORY COMMISSION
Standards for Business Practice and
Communication Protocols for Public Utilities
)
)
)
Docket No. RM05-5-000
Docket No. RM05-5-022
REPORT OF THE NORTH AMERICAN ENERGY STANDARDS BOARD
The North American Energy Standards Board (“NAESB”) is voluntarily submitting this report to the
Federal Energy Regulatory Commission (“FERC” or the “Commission”) in the above referenced docket to inform
the Commission of the finalization of the standards development effort described in the “North American Energy
Standards Board Status Report to FERC Regarding Public Key Infrastructure (“PKI”) Efforts” (Docket Nos. RM055-000 and RM05-5-022) filed with the Commission on November 30, 2012. 1 The report includes a summary of the
changes that resulted from this effort to the Version 003 of the NAESB Wholesale Electric Quadrant (”WEQ”)
business practice standards that were filed with Commission on September 18, 2012. 2 The standards can be
downloaded from the NAESB home page (www.naesb.org). 3
As noted in the November 30, 2012 status report, the NAESB PKI standards development effort has not
only resulted in revisions to the NAESB WEQ-012 PKI standards but additionally includes several modifications to
NAESB WEQ-000 (Abbreviations, Acronyms, and Definition of Terms), the NAESB WEQ-001 (Open Access
Same-time Information Systems (OASIS)) standards, the NAESB WEQ-002 (OASIS Standard and Communication
Protocols) standards, the NAESB WEQ-003 (OASIS Data Dictionary) standards, the NAESB WEQ-004
(Coordinate Interchange) standards and NAESB WEQ-013 (OASIS Implementation Guide). These additional
modifications were undertaken as part of the NAESB full staffing process 4 at the request of the Wholesale Electric
Quadrant (“WEQ”) Executive Committee and were coordinated between the NAESB PKI Subcommittee and the
OASIS Subcommittee and Joint Electric Scheduling Subcommittee (“JESS”) in the last quarter of 2012. The full
staffing process was employed to ensure that the applicability of the WEQ-012 PKI standards to specific business
transactions had been fully defined and that the modifications necessary to enable a standard and consistent method
for secured access to OASIS and e-Tag applications through a PKI security scheme had been established and is
present in the NAESB standards.
1
North American Energy Standard Board Status Report to FERC Regarding Public Key Infrastructure (PKI) Efforts (Docket No. RM05-5-022),
available at: http://www.naesb.org/pdf4/ferc113012_naesb_pki.pdf (submitted November 30, 2012).
2
North American Energy Standards Board – Version 003 of the NAESB Wholesale Electric Quadrant Business Practice Standards (Docket No.
RM05-5-022), available at: http://www.naesb.org/pdf4/ferc_091812_weq_version003_report.pdf (submitted September 18, 2012).
3
The NAESB standards referenced in this report are reasonably available to the public through multiple methods. To access the standards at no
cost, NAESB will provide a limited copyright waiver for evaluation purposes using a software product called Lock Lizard
(http://www.locklizard.com). To request a waiver, please contact the NAESB office or follow the instructions in the following document:
http://www.naesb.org/pdf/ordrform.pdf
4
NAESB Full Staffing Process, available at: http://www.naesb.org/misc/full_staffing_description.docx.
Page 1
Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
In addition to the modifications to the NAESB standards noted above, actions on supporting specifications,
and other documentation had to be taken to implement the WEQ-012 PKI standards and initiate a PKI security
scheme. These actions included the creation of the NAESB Authorized Certification Authority Process 5 adopted by
the Board of Directors on September 22, 2011, with revisions adopted on September 20, 2012, the creation of the
NAESB Accreditation Requirements for Authorized Certification Authorities Specification (“Accreditation
Specification”) approved by the WEQ Executive Committee on August 21, 2012, 6 and adoption of modifications to
the Electronic Tagging Functional Specification Version 1.8.1. 7 While these actions were necessary to support the
WEQ-012 PKI standards and a PKI security scheme for certain business transactions, these documents are not
included in this report, as they were not adopted as NAESB standards. A description of these supporting documents
and the modifications made to existing documents in support of the NAESB PKI effort has been provided in the
November 30, 2012 report to the Commission.
As stated in the report,
“The existing WEQ-012 standards developed in 2006 and adopted by the Commission in 2008, 8
were drafted to provide cybersecurity standards for use in commercial transactions – namely
OASIS based transactions, and to support the transition of the North American Electric Reliability
Corporation (“NERC”) Transmission System Information Network (“TSIN”) registry from NERC
to NAESB. The registry is a tool that serves as a central repository of information required for
commercial transactions involving the scheduling of power through electronic tagging in the e-Tag
system. Through discussions between NERC and NAESB leadership, it was determined that the
registry would be more appropriately maintained by NAESB given the tool’s commercial
function.
After an extended period of planning, NERC and NAESB, through the JESS
subcommittee, drafted a functional specification for the development of the Electric Industry
Registry (“EIR”), which would serve as the tool to replace the NERC TSIN, and issued a request
for proposal 9 for an EIR registry administrator to facilitate the transition. After evaluating the
proposal, the NAESB Managing Committee and NERC leadership selected Open Access
Technology International, Inc. (“OATI”) to serve as the registry administrator in the summer of
2010.
A requirement of the functional specification for the EIR was that it employ a PKI security
scheme, which necessitates the use of digital certificates issued by certification authorities. To
facilitate the transfer, NAESB leadership recognized that action would need to be taken to develop
5
NAESB Authorized Certification Authority Process, available at: http://www.naesb.org/pdf4/certification_process.docx (adopted September 20,
2012)
6
NAESB Accreditation Requirements for Authorized Certification Authorities Specification, available at:
http://www.naesb.org/pdf4/certification_specifications.docx (adopted August 21, 2012)
7
NAESB WEQ Electronic Tagging Functional Specification, Version 1.8.1.1, available at:
http://www.naesb.org/member_login_check.asp?doc=weq_etag_specification_v1811_112712.pdf (adopted November 27, 2012)
8
The FERC adopted NAESB standards in FERC Order No. 676-C on July 21, 2008 and the order can be access from the FERC web site or
through this link: http://elibrary.ferc.gov/idmws/file_list.asp?accession_num=20080721-3055
9
Request for Proposal, available at: http://www.naesb.org/pdf4/tsin_registry_rfp_022210.pdf
Page 2
Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
a program to approve certificate authorities as NAESB Authorized Certification Authorities
(“ACA”) and to modify the WEQ-012 PKI standards to reflect updates to technology and current
market conditions related to the secure transfer of information. To accomplish this, the NAESB
Board Certification Program Committee was reactivated in April 2011 to develop a program for
the authorization of certificate authorities and the WEQ EC [Executive Committee] created the
PKI Subcommittee in August 2011 to review and revise the WEQ-012 PKI standards.”
These activities have led to the creation and modification of the supporting documents listed above, as
wells as, modifications to the NAESB WEQ-000, WEQ-001, WEQ-002, WEQ-003, WEQ-004, WEQ-012 and
WEQ-013 standards that are the subject of this report.
Background Information
NAESB’s efforts to craft cyber-security standards for the WEQ were founded in an initiative of the OASIS
Standards Collaborative started in 2001 to bring an open, multi-vendor, interoperable method for authentication of
access to industry software applications. Initially, the scope was limited to securing access to the OASIS and
electronic tagging applications; however, it was anticipated that other industry applications, such as regional energy
markets, might leverage this infrastructure to provide a standardized method for securing cyber-assets. The key to
this initiative was the establishment of a standard set of requirements for the issuance of electronic digital
certificates used to authenticate a user’s identity. It was intended that a user with an electronic certificate from a
given issuing certification authority, be able to use that trusted certificate across all OASIS and electronic tagging
implementations and not require transmission customers to acquire and manage multiple credentials from different
sources, as may be required by each individual OASIS node or electronic tagging service for secured access.
Without the establishment of clear requirements that must be met by any issuer of digital certificates, that trust could
not be attained across the industry.
With the advent of open standards for implementation of OASIS and e-Tag services, the need for a single
common repository, the EIR (originally the NERC TSIN registry), was recognized to facilitate all market
participants’ management and use of the information required to conduct wholesale electric transactions through
OASIS. 10 Without the EIR, market participants would have been required to gather and maintain information from
multiple sources, possibly in varied electronic or non-electronic formats, in order to conduct business and schedule
energy deliveries across the interconnected electric transmission system. The information in the EIR is key to the
exchange of data in the electric industry and clearly must be protected from potential fraudulent or malicious entry
or modification of data.
Given the importance and inter-play of OASIS, electronic tagging, and the EIR, a common PKI standard
used to secure access was deemed a significant benefit over simple user name and password authentication in
common use. This PKI program provides assurance that the party initiating a data exchange is positively identified
by their electronic certificate, the data exchanged is encrypted and unaltered in transit, and provides the initiating
10
Open Access Same-Time Information System and Standards of Conduct, 18 C.F.R. 37.5 (2000); 65 Fed. Reg. 17370, 17377 (March 31, 2000).
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Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
party assurance that the counter-party is the intended recipient of the information exchanged, through mutual
authentication. This mutual authentication process allows two entities or computers, in this case, the end entity and
the service provider operating the system, to authenticate their identities to one another through challenge-response
protocols. The standards that follow support a public/private key cryptography security system that has been
endorsed by the industry.
NAESB WEQ-012 PKI Standards Modifications
The WEQ-012 PKI standards modifications were developed by the PKI Subcommittee over the course of
10 months from September 2011 to July 2012 through sixteen meetings and conference calls. As explained in the
November 30, 2012 status report, the previous version of the WEQ-012 PKI standards were revised to redact
requirements that are specifically applicable to certificate authorities and to update the content of the standards to
incorporate technological advancements that have taken place since the standards’ adoption in 2006. The WEQ-012
PKI standards as revised and included in this report are intended to apply to end entities implementing PKI
transactions, which can include utilities and independent grid operators/regional transmission organizations
(“ISOs/RTOs”). The requirements included in the previous version of the WEQ-012 PKI standards that are
applicable to certificate authorities have been removed and incorporated into the NAESB Accreditation
Specification. This direction was pursued by the PKI Subcommittee for two purposes; first to clarify responsibilities
and obligations between end entities and service providers, in recognition that certificate authorities are not typically
utilities or ISOs/RTOs and are normally vendors or service providers; and second, to ensure that modifications to the
Accreditation Specification that may be needed in response to a security threat may be expedited by employing the
NAESB process for adoption of specifications.
The revised WEQ-012 PKI standards describe the minimum
authentication requirements that end entities must meet when conducting transactions under the NAESB Business
Practice Standards defined in WEQ-001, WEQ-002, WEQ-003, WEQ-004 and WEQ-013. The standards also
require that end entities engaged in activities required by the WEQ-012 PKI standards be registered in the NAESB
EIR and engage certificates issues by a NAESB approved ACA. These standards modifications were adopted by the
WEQ Executive Committee on August 21, 2012 and were ratified by the membership on October 4, 2012.
NAESB WEQ-000 and WEQ-002 Standards Modifications
During the August 21, 2012 WEQ Executive Committee meeting, the Executive Committee members
directed the JESS and OASIS Subcommittee to work jointly with the PKI Subcommittee to determine what
modifications to the OASIS suite of standards and the Coordinate Interchange standards would be necessary to
implement the WEQ-012 standard and provide a method for secured access to OASIS and Electronic Tagging (eTag) applications. To meet the directives of the Executive Committee, the OASIS Subcommittee met jointly with
the PKI Subcommittee over the course of two meetings to adopt a recommendation proposing modifications to
WEQ-000 and WEQ-002. The recommendation provided technical standards that support the implementation of
WEQ-012 and requires transmission service information providers to verify certain information through the Electric
Industry Registry before establishing a valid user account on OASIS and specifies that a subscriber maintain a
digital certificate issued by a NAESB ACA. The recommendation also updated the WEQ-002 standards to reflect
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Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
the transfer of the NERC TSIN registry to the NAESB EIR and proposed that the two acronyms be added to WEQ000 to support the standards.
The WEQ Executive Committee considered and approved the recommendation, as
revised during the meeting in response to the comments, on October 23, 2012 and the recommendation was ratified
by the membership on November 28, 2012.
NAESB WEQ-001, WEQ-003 and WEQ-004 Standards Modifications
Also in response to the August 21, 2012 directive from the NAESB WEQ Executive Committee, The JESS
met jointly with the PKI Subcommittee over the course of three meetings to develop a recommendation which
proposed the addition of a single standard to WEQ-004 which requires all e-Tag communications be secured using
digital certificates issued by a NAESB ACA in accordance with the WEQ-012 standards. This recommendation was
posted for a thirty day formal comment period and received a single set of comments that noted that non-substantive
consistency changes would need to be made to a number of other standards to reflect the adoption of the updated
1.8.1.1 version of the Electronic Tagging Functional Specification. In response, the JESS provided a set of late
comments proposing consistency modifications to WEQ-000, WEQ-001, WEQ-002, WEQ-003 and a modification
to WEQ-013. The WEQ Executive Committee adopted the recommendation as proposed in the late comments of
the JESS on November 27, 2012 and the standards modifications were ratified by the membership on December 28,
2012.
Supporting Documentation
As previously noted, the WEQ-012 PKI standards apply to utilities and ISOs/RTOs, and may apply to other end
entities seeking use of PKI security. There are three sets of documentation that provide context and support for the
WEQ-012 PKI standards and related standards modifications (WEQ-000, WEQ-001, WEQ-002, WEQ-003, WEQ004 and WEQ-013): (1) Electronic Tagging Functional Specification 1.8.1.1, (2) Accreditation Specification, and
(3) NAESB ACA Process. These documents are not considered standards by NAESB but were all amended or
created in 2012 to support the WEQ-012 PKI standards:
•
The Electronic Tagging Functional Specification 1.8.1.1 was modified and adopted by the WEQ Executive
Committee on November 27, 2012 to support the WEQ-012 PKI standards and secured data exchange
between e-Tag services.
•
The Accreditation Specification applies to entities seeking to become a NAESB approved ACA, which to
this date, has not been a utility or ISO/RTO – the typical ACA in this context is a service provider to the
energy market. However, utilities or ISO/RTO are not precluded from becoming a NAESB approved ACA
should they so choose. The Accreditation Specification describes the requirements of certificates that are
to be issued by ACAs and includes the object identifiers specifying the assurance level of each certificate
provided by the American National Standard Institute.
•
The NAESB ACA Process defines how a certificate authority may become a NAESB approved ACA. The
process is intended to apply to certificate authorities seeking approval by NAESB and will apply to existing
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Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
NAESB ACAs once NAESB begins accepting the required documentation from the certificate authorities
that are currently in a pending status.
Conclusion
The purpose of the WEQ-012 PKI and related standards is to provide utilities and ISOs/RTOs with a
uniform set of requirements for the use of protection by a PKI scheme for commercial transactions concerning the
electronic scheduling of wholesale electricity. The purpose of the Accreditation Specifications and the NAESB
ACA Process is to provide the mechanism by which a certificate authority can be accredited and issue certificates in
support of the WEQ-012 PKI standards. As can been seen from the description of the standards and supporting
documentation, the standards are distinct from the supporting specifications and accreditation program to ensure that
the entities to which the standards apply are separate from the service providers who issue certificates.
Following is a table that outlines the standards created or modified to maintain standard communication
protocols and cyber security business practices. These NAESB WEQ Business Practice Standards are now final
actions and are available on the NAESB website.
Final Actions 2012 WEQ Annual Plan Item 4 – Develop and/or maintain standard communication protocols and cybersecurity business practices as needed:
4(a) – Develop Public Key Infrastructure (PKI) standards for OASIS – Ratified November 28, 2012
4(b) – Develop Industry Implementation Plan for meeting PKI Standard requirements for e-Tagging (Part 1) – Ratified
December 28, 2012.
4(c) i-iii/R11014/R11015 – Develop modifications for WEQ-012 (PKI) standards as needed to reflect current market
conditions (Part 2) – Ratified October 4, 2012.
STANDARD NUMBER
DESCRIPTION/TOPIC
ACTION
WEQ-000
Abbreviations, Acronyms, and Definition of Terms
WEQ-000-1
HTTPS – Hypertext Transport Protocol Secure
Add Abbreviation/Acronym
TLS – Transport Layer Security
Add Abbreviation/Acronym
Accreditation Specification
Add Definition of Term
Interchange Authority (IA) Service Entity
Modify Definition of Term
WEQ-000-2
WEQ-001
Open Access Same-Time Information Systems (OASIS)
WEQ-001-10.8
Requirements for Dealing with Redirects on a
Non-firm Basis
WEQ-002
Open Access Same-Time Information Systems (OASIS) Business Practice Standards and
Communication Protocols (S&CP)
WEQ-002-2.3
Communication Standards Required
Modify Standard
WEQ-002-3.1
Registration and Login Requirements
Modify Standard
WEQ-002-4.2.1.1
OASIS Node Names
Modify Standard
WEQ-002-4.2.1.2
OASIS Node and Transmission Provider Home
Directory
Modify Standard
WEQ-002-4.2.8.2
Transmission Customer Company Information
Modify Standard
WEQ-002-5.1
Security
Modify Standard
WEQ-002-5.1.1
Secured Access to OASIS Information
Add Standard
WEQ-002-5.1.2
OASIS Template Security
Add Standard
WEQ-002-5.1.3
OASIS Template Browser-based Security
Add Standard
Modify Standard
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Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Final Actions 2012 WEQ Annual Plan Item 4 – Develop and/or maintain standard communication protocols and cybersecurity business practices as needed:
4(a) – Develop Public Key Infrastructure (PKI) standards for OASIS – Ratified November 28, 2012
4(b) – Develop Industry Implementation Plan for meeting PKI Standard requirements for e-Tagging (Part 1) – Ratified
December 28, 2012.
4(c) i-iii/R11014/R11015 – Develop modifications for WEQ-012 (PKI) standards as needed to reflect current market
conditions (Part 2) – Ratified October 4, 2012.
STANDARD NUMBER
WEQ-003
WEQ-004
DESCRIPTION/TOPIC
ACTION
Open Access Same-Time Information Systems (OASIS) Data Dictionary Business Practice
Standards
SCHEDULE_PRIORITY
Modify Element
TRANSACTION_ID
Modify Element
TRANSACTION_TYPE
Modify Element
Coordinate Interchange
WEQ-004-2
Modify Standard
WEQ-004-2.3
Add Standard
WEQ-004-A
Appendix A - e-Tagging Service Performance
Requirements and Failure Procedures
Modify Appendix
WEQ-012
Public Key Infrastructure (PKI) Business Practice Standards
WEQ-012-1
Introduction
WEQ-012-1.1
Overview
Modify Standard
WEQ-012-1.2
RESERVED - Identification
Modify Standard
WEQ-012-1.2.1
RESERVED – Certificate Class Identification
Modify Standard
WEQ-012-1.2.2
RESERVED – Certificate Class Hierarchy
Modify Standard
WEQ-012-1.3
RESERVED – Community and Applicability
Modify Standard
WEQ-012-1.3.1
RESERVED – Certificate Authorities
Modify Standard
WEQ-012-1.3.2
RESERVED -RAs
Modify Standard
WEQ-012-1.3.3
End Entities
Modify Standard
WEQ-012-1.3.4
Applicability
Modify Standard
WEQ-012-1.4
RESERVED – Obligations
Modify Standard
WEQ-012-1.4.1
RESERVED – Certificate Authority Obligations
Modify Standard
WEQ-012-1.4.2
RESERVED – RA Obligations
Modify Standard
WEQ-012-1.4.3
End Entity Obligations
Modify Standard
WEQ-012-1.4.4
Relying Party Obligations
Modify Standard
WEQ-012-1.4.5
RESERVED – Repository Obligations
Modify Standard
WEQ-012-1.5
RESERVED
Deleted Standard
WEQ-012-1.7
Confidentiality
Modify Standard
WEQ-012-1.8
Intellectual Property Rights
Modify Standard
WEQ-012-1.9
Initial Registration
Modify Standard
WEQ-012-1.9.1
Types of Names
Modify Standard
WEQ-012-1.9.3
RESERVED – Method to Prove Possession of
Private Key
Modify Standard
WEQ-012-1.9.4
RESERVED – Authentication of Organization
Identity
Modify Standard
WEQ-012-1.9.5
RESERVED – Authentication of Individual
Modify Standard
Modify Standard
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Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Final Actions 2012 WEQ Annual Plan Item 4 – Develop and/or maintain standard communication protocols and cybersecurity business practices as needed:
4(a) – Develop Public Key Infrastructure (PKI) standards for OASIS – Ratified November 28, 2012
4(b) – Develop Industry Implementation Plan for meeting PKI Standard requirements for e-Tagging (Part 1) – Ratified
December 28, 2012.
4(c) i-iii/R11014/R11015 – Develop modifications for WEQ-012 (PKI) standards as needed to reflect current market
conditions (Part 2) – Ratified October 4, 2012.
STANDARD NUMBER
DESCRIPTION/TOPIC
ACTION
Identity
WEQ-012-1.10
RESERVED – Routine Rekey
Modify Standard
WEQ-012-1.11
RESERVED – Certificate Application
Modify Standard
WEQ-012-1.12
RESERVED – Certificate Issuance
Modify Standard
WEQ-012-1.13
RESERVED – Certificate Acceptance
Modify Standard
WEQ-012-1.14
RESERVED – Certificate Suspension and
Revocation
Modify Standard
WEQ-012-1.15
RESERVED – CRL Issuance Frequency and
Validity Period
Modify Standard
WEQ-012-1.16
RESERVED – CRL Checking Requirements
Modify Standard
WEQ-012-1.17
RESERVED – Special Requirements for Key
Compromise
Modify Standard
WEQ-012-1.18
RESERVED – Security Audit Procedures
Modify Standard
WEQ-012-1.18.1
RESERVED – Types of Events Recorded
Modify Standard
WEQ-012-1.18.2
RESERVED – Frequency of Log Processing
Modify Standard
WEQ-012-1.18.3
RESERVED – Audit Log Retention
Modify Standard
WEQ-012-1.19
RESERVED – Record Archival
Modify Standard
WEQ-012-1.19.1
RESERVED – Types of Events Recorded
Modify Standard
WEQ-012-1.19.2
RESERVED – Retention Period for Archive
Modify Standard
WEQ-012-1.19.3
RESERVED – Protection of Archive
Modify Standard
WEQ-012-1.19.4
RESERVED – Archive Backup Procedures
Modify Standard
WEQ-012-1.19.5
RESERVED – Requirements for Time-stamping
of Records
Modify Standard
WEQ-012-1.19.6
RESERVED – Procedures to Obtain and Verify
Archive
Modify Standard
WEQ-012-1.19.7
RESERVED – Key Changeover
Modify Standard
WEQ-012-1.19.8
RESERVED – Certificate Authority Termination
Modify Standard
WEQ-012-1.20
RESERVED – Physical, Procedural, and
Personnel Security Controls
Modify Standard
WEQ-012-1.21
RESERVED – Physical Controls
Modify Standard
WEQ-012-1.21.1
RESERVED – Site Location and Construction
Modify Standard
WEQ-012-1.21.2
RESERVED – Physical Access
Modify Standard
WEQ-012-1.21.3
RESERVED – Power and Air Conditioning
Modify Standard
WEQ-012-1.21.4
RESERVED – Cabling and Network Devices
Modify Standard
WEQ-012-1.22
RESERVED – Procedural Controls
Modify Standard
WEQ-012-1.22.1
RESERVED – Trusted Roles
Modify Standard
WEQ-012-1.22.2
RESERVED – Number of Persons Required Per
Task
Modify Standard
Page 8
Report of the North American Energy Standards Board
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Final Actions 2012 WEQ Annual Plan Item 4 – Develop and/or maintain standard communication protocols and cybersecurity business practices as needed:
4(a) – Develop Public Key Infrastructure (PKI) standards for OASIS – Ratified November 28, 2012
4(b) – Develop Industry Implementation Plan for meeting PKI Standard requirements for e-Tagging (Part 1) – Ratified
December 28, 2012.
4(c) i-iii/R11014/R11015 – Develop modifications for WEQ-012 (PKI) standards as needed to reflect current market
conditions (Part 2) – Ratified October 4, 2012.
STANDARD NUMBER
DESCRIPTION/TOPIC
ACTION
WEQ-012-1.22.3
RESERVED – Identification and Authentication
for Each Role
Modify Standard
WEQ-012-1.23
RESERVED – Key Pair Generation, Installation,
and Management
Modify Standard
WEQ-012-1.23.1
RESERVED – Certificate Authority Key Pair
Generation
Modify Standard
WEQ-012-1.23.2
RESERVED – Key Delivery to Certificate Issuer
Modify Standard
WEQ-012-1.23.3
RESERVED – Key Sizes
Modify Standard
WEQ-012-1.23.4
RESERVED – Private Key Protection
Modify Standard
WEQ-012-1.23.5
RESERVED – Usage Periods for Public and
Private Keys
Modify Standard
WEQ-012-1.24
RESERVED – Computer Security Controls
Modify Standard
WEQ-012-1.25
RESERVED – Network Security Controls
Modify Standard
WEQ-012-1.26
RESERVED – Certificate Profile
Modify Standard
WEQ-012-1.26.1
RESERVED – Version Numbers
Modify Standard
WEQ-012-1.26.2
RESERVED – Certificate Extensions
Modify Standard
WEQ-012-1.26.3
RESERVED – CP Object Identifier
Modify Standard
WEQ-012-1.26.4
Subject Alternate Name
Modify Standard
WEQ-012-1.26.5
RESERVED – CRL Distribution Point
Modify Standard
WEQ-013
Open Access Same-Time Information Systems (OASIS) Implementation Guide
WEQ-013-3.2
scheduledetail
Modify Standard
Page 9
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix A: NAESB WEQ Public Key Infrastructure (PKI) Subcommittee, NAESB WEQ OASIS Subcommittee
and NAESB Joint Electric Scheduling Subcommittee (JESS) Meeting Minutes Links
January 29, 2013
APPENDIX A – NAESB WEQ PUBLIC KEY INFRASTRUCTURE (PKI) SUBCOMMITTEE, NAESB WEQ OASIS SUBCOMMITTEE AND
NAESB JOINT ELECTRIC SCHEDULING SUBCOMMITTEE (JESS) MEETING MINUTES LINKS
DATE OF MEETING
MEETING LOCATION
MEETING MINUTES
September 22, 2011
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_092211dm.doc
NUMBER OF
PARTICIPANTS
21
Attachment to Minutes:
http://www.naesb.org/member_login_check.asp?doc=weq_pki_092211a
1.docx
October 20, 2011
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_102011dm.doc
12
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_102011a1.docx
November 10, 2011
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_111011dm.doc
16
December 8, 2011
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_120811dm.doc
15
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_120811a1.docx
January 4, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_010412dm.doc
19
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_010412a1.docx
January 26, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_012612dm.doc
14
February 16, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_021612dm.doc
14
Appendix A, Page 1
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix A: NAESB WEQ Public Key Infrastructure (PKI) Subcommittee, NAESB WEQ OASIS Subcommittee
and NAESB Joint Electric Scheduling Subcommittee (JESS) Meeting Minutes Links
January 29, 2013
APPENDIX A – NAESB WEQ PUBLIC KEY INFRASTRUCTURE (PKI) SUBCOMMITTEE, NAESB WEQ OASIS SUBCOMMITTEE AND
NAESB JOINT ELECTRIC SCHEDULING SUBCOMMITTEE (JESS) MEETING MINUTES LINKS
DATE OF MEETING
MEETING LOCATION
MEETING MINUTES
March 8, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_030812dm.doc
NUMBER OF
PARTICIPANTS
16
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_030812a1.docx
April 26, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_042612dm.doc
14
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_042612a1.docx
May 31, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_053112dm.doc
20
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_053112a1.docx
June 14, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_061412dm.doc
14
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_061412a1.docx
July 3, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes:
http://www.naesb.org/pdf4/weq_pki_070312dm.doc
9
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_070312a1.doc
July 9, 2012
NAESB WEQ PKI Subcommittee
Meeting Minutes
http://www.naesb.org/pdf4/weq_pki_070912dm.doc
13
Attachment to Minutes:
http://www.naesb.org/pdf4/weq_pki_070912a1.doc
August 28, 2012
NAESB Joint WEQ OASIS and WEQ PKI Subcommittees
Meeting Minutes:
http://www.naesb.org/pdf4/weq_oasis_pki082812fm.doc
24
Appendix A, Page 2
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix A: NAESB WEQ Public Key Infrastructure (PKI) Subcommittee, NAESB WEQ OASIS Subcommittee
and NAESB Joint Electric Scheduling Subcommittee (JESS) Meeting Minutes Links
January 29, 2013
APPENDIX A – NAESB WEQ PUBLIC KEY INFRASTRUCTURE (PKI) SUBCOMMITTEE, NAESB WEQ OASIS SUBCOMMITTEE AND
NAESB JOINT ELECTRIC SCHEDULING SUBCOMMITTEE (JESS) MEETING MINUTES LINKS
DATE OF MEETING
MEETING LOCATION
MEETING MINUTES
September 7, 2012
NAESB WEQ OASIS Subcommittee
Meeting Minutes: http://www.naesb.org/pdf4/weq_oasis090712fm.doc
NUMBER OF
PARTICIPANTS
16
Attachments to Minutes:
http://www.naesb.org/pdf4/weq_oasis090712a1.doc
http://www.naesb.org/pdf4/weq_oasis090712a2.doc
http://www.naesb.org/member_login_check.asp?doc=weq_oasis090712a
3.doc
October 2, 2012
NAESB WEQ JESS Subcommittee
Meeting Minutes: http://www.naesb.org/pdf4/weq_jess100212fm.doc
11
October 4, 2012
NAESB WEQ JESS Subcommittee
Meeting Minutes: http://www.naesb.org/pdf4/weq_jess100412fm.doc
9
October 11, 2012
NAESB WEQ OASIS Subcommittee
Meeting Minutes: http://www.naesb.org/pdf4/weq_oasis101112fm.doc
8
Attachments to Minutes:
http://www.naesb.org/pdf4/weq_oasis101112a1.doc
http://www.naesb.org/member_login_check.asp?doc=weq_oasis101112a
2.doc
http://www.naesb.org/member_login_check.asp?doc=weq_oasis101112a
3.doc
November 7, 2012
NAESB WEQ JESS Subcommittee
Meeting Minutes: http://www.naesb.org/pdf4/weq_jess110712fm.doc
6
Appendix A, Page 3
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix B: Executive Committee Meeting Minutes, Comments, Voting Records Links and Availability of Transcripts
January 29, 2013
APPENDIX B – EXECUTIVE COMMITTEE MEETING MINUTES, COMMENTS, VOTING RECORDS LINKS AND AVAILABILITY OF TRANSCRIPTS
DATE
LINK TO EXECUTIVE COMMITTEE MINUTES AND
VOTING RECORDS
LINK TO COMMENTS
AVAILABILITY OF TRANSCRIPTS 1
August 21, 2012
NAESB WEQ Executive Committee Meeting - Colorado
Springs, CO
WEQ EC Meeting Minutes:
http://www.naesb.org/pdf4/weq_ec082112fm.docx
Request for Comments on Recommendation WEQ 2012
Annual Plan Item 4.c.i-ii / R11014 / R11015 (Part 1):
http://www.naesb.org/pdf4/weq_062512_reqcom.doc
Jill Vaughan, CSR: 281-853-6807
Attachments to Meeting Minutes:
http://www.naesb.org/member_login_check.asp?doc=weq_ec
082112a2.docx
http://www.naesb.org/member_login_check.asp?doc=weq_ec
082112a3.docx
http://www.naesb.org/member_login_check.asp?doc=weq_ec
082112a4.doc
http://www.naesb.org/member_login_check.asp?doc=weq_ec
082112a5.doc
Comments Submitted by the WEQ Standards Review
Subcommittee:
http://www.naesb.org/pdf4/weq_062512_weq_srs.doc
Comments Submitted by ERCOT and MISO:
http://www.naesb.org/pdf4/weq_062512_ercot_miso.docx
Comments on Recommendation Submitted by JT Wood,
Southern Company:
http://www.naesb.org/pdf4/weq_062512_southern_recomm
endation.doc
Comments on Accreditation Requirements Attachment
Submitted by JT Wood, Southern Company:
http://www.naesb.org/pdf4/weq_062512_southern_attachme
nt.docx
Comments Submitted by T. Ruser, OATI:
http://www.naesb.org/pdf4/weq_062512_oati.pdf
Late Comments Submitted by the WEQ PKI Subcommittee:
http://www.naesb.org/pdf4/weq_062512_weq_pki_late.doc
x
Request for Comments on Recommendation WEQ 2012
Annual Plan Item 4.c.i-ii / R11014 / R11015 (Part 2):
http://www.naesb.org/pdf4/weq_071012_reqcom.doc
Comments Submitted by J. Buccigross, Group 8760 LLC:
http://www.naesb.org/pdf4/weq_071012_group8760llc.doc
Comments Submitted by the WEQ Standards Review
Subcommittee:
http://www.naesb.org/pdf4/weq_071012_weq_srs.docx
1
The Federal Energy Regulatory Commission and other regulatory agencies may contact the NAESB office to obtain electronic copies of the transcripts. All others can contact the transcription
service and order the transcripts for a nominal fee.
Appendix B, Page 1
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix B: Executive Committee Meeting Minutes, Comments, Voting Records Links and Availability of Transcripts
January 29, 2013
APPENDIX B – EXECUTIVE COMMITTEE MEETING MINUTES, COMMENTS, VOTING RECORDS LINKS AND AVAILABILITY OF TRANSCRIPTS
DATE
LINK TO EXECUTIVE COMMITTEE MINUTES AND
VOTING RECORDS
LINK TO COMMENTS
AVAILABILITY OF TRANSCRIPTS 1
Comments Submitted by JT Wood, Southern Company
(to redline recommendation):
http://www.naesb.org/pdf4/weq_071012_southern_to_redlin
e.doc
Comments Submitted by JT Wood, Southern Company
(to clean recommendation):
http://www.naesb.org/pdf4/weq_071012_southern_to_clean
.doc
Comments Submitted by the IRC Standards Review
Committee (PJM, NYISO, ISONE, IESO, ERCOT, MISO,
SPP):
http://www.naesb.org/pdf4/weq_071012_irc_standards_revi
ew_committee.docx
Comments Submitted by T. Ruser, OATI:
http://www.naesb.org/pdf4/weq_071012_oati.pdf
Late Comments Submitted by the WEQ Joint Electric
Scheduling Subcommittee:
http://www.naesb.org/pdf4/late_weq_071012_weq_jess.doc
Late Comments Submitted by the WEQ PKI Subcommittee:
http://www.naesb.org/pdf4/weq_071012_weq_pki_late.doc
Appendix B, Page 2
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix B: Executive Committee Meeting Minutes, Comments, Voting Records Links and Availability of Transcripts
January 29, 2013
APPENDIX B – EXECUTIVE COMMITTEE MEETING MINUTES, COMMENTS, VOTING RECORDS LINKS AND AVAILABILITY OF TRANSCRIPTS
DATE
LINK TO EXECUTIVE COMMITTEE MINUTES AND
VOTING RECORDS
LINK TO COMMENTS
AVAILABILITY OF TRANSCRIPTS 1
October 23, 2012
NAESB WEQ Executive Committee Meeting - Richmond,
VA
WEQ EC Meeting Minutes:
http://www.naesb.org/pdf4/weq_ec102312dm.docx
Request for Comments on Recommendation WEQ 2012
Annual Plan Item 4.a:
http://www.naesb.org/pdf4/weq_090712_reqcom.doc
Jill Vaughan, CSR: 281-853-6807
Attachments to Meeting Minutes:
http://www.naesb.org/member_login_check.asp?doc=weq_ec
102312a2.doc
http://www.naesb.org/member_login_check.asp?doc=weq_ec
102312a3.doc
Comments Submitted by the WEQ Standards Review
Subcommittee:
http://www.naesb.org/pdf4/weq_090712_weq_srs.doc
Comments Submitted by Bonneville Power Administration:
http://www.naesb.org/pdf4/weq_090712_bpa.doc
Comments Submitted by E. Cardone, NYISO:
http://www.naesb.org/pdf4/weq_090712_nyiso.docx
Comments Submitted by M. Colby, PJM:
http://www.naesb.org/pdf4/weq_090712_pjm.doc
Comments Submitted by P. Sorenson, OATI:
http://www.naesb.org/pdf4/weq_090712_oati.doc
Late Comments Submitted by the WEQ OASIS
Subcommittee on the Recommendation:
http://www.naesb.org/pdf4/weq_090712_oasis_late.doc
Late Comments Submitted by the WEQ OASIS
Subcommittee on the NYISO Comments:
http://www.naesb.org/pdf4/weq_090712_oasis_on_nyiso_la
te.docx
Late Comments Submitted by the WEQ OASIS
Subcommittee on the OATI Comments:
http://www.naesb.org/pdf4/weq_090712_oasis_on_oati_late
.doc
Late Comments Submitted by the WEQ OASIS
Subcommittee on the PJM Comments:
http://www.naesb.org/pdf4/weq_090712_oasis_on_pjm_late
.doc
Late Comments Submitted by the WEQ OASIS
Subcommittee on the SRS Comments:
http://www.naesb.org/pdf4/weq_090712_oasis_on_srs_late.
doc
Late Comments Submitted by the WEQ OASIS
Subcommittee on the BPA Comments:
http://www.naesb.org/pdf4/weq_090712_oasis_on_bpa_late
.doc
Appendix B, Page 3
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix B: Executive Committee Meeting Minutes, Comments, Voting Records Links and Availability of Transcripts
January 29, 2013
APPENDIX B – EXECUTIVE COMMITTEE MEETING MINUTES, COMMENTS, VOTING RECORDS LINKS AND AVAILABILITY OF TRANSCRIPTS
DATE
LINK TO EXECUTIVE COMMITTEE MINUTES AND
VOTING RECORDS
LINK TO COMMENTS
AVAILABILITY OF TRANSCRIPTS 1
November 27, 2012
NAESB WEQ Executive Committee Notational Ballot:
http://www.naesb.org/pdf4/weq_ec111412ballot.docx
Request for Comments on Recommendation WEQ 2012
Annual Plan Item 4.b (Part 1 and Part 2):
http://www.naesb.org/pdf4/weq_100512_reqcom.doc
No transcripts provided
Results:
http://www.naesb.org/pdf4/weq_ec111412results.docx
Part 1 and Part 2 Comments Submitted by the WEQ
Standards Review Subcommittee:
http://www.naesb.org/pdf4/weq_100512_weq_srs.doc
Late Part 1 Comments Submitted by the NAESB WEQ
Joint Electric Scheduling Subcommittee:
http://www.naesb.org/member_login_check.asp?doc=weq_
100512_weq_jess_part1_late.doc
Late Part 2 Recommendation from WEQ JESS - November
13, 2012:
http://www.naesb.org/member_login_check.asp?doc=weq_j
ess_part2_late_rec_111312.doc
Late Part 2 Attachment Comments Submitted by the
NAESB WEQ Joint Electric Scheduling Subcommittee:
http://www.naesb.org/member_login_check.asp?doc=weq_
100512_weq_jess_part2_late.doc
Appendix B, Page 4
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix C: Links to Ratification Ballot and Ratification Results
January 29, 2013
APPENDIX C – RATIFICATION BALLOT AND RATIFICATION RESULTS
DATE OF
RATIFICATION
RATIFICATION BALLOT
RESULTS
FINAL ACTIONS
September 4, 2012
Ratification Ballot due October 4, 2012:
http://www.naesb.org/member_login_check.asp?doc=weq_rat090412b
allot.doc
Ratification Tally:
http://www.naesb.org/member_login_c
heck.asp?doc=rat_weq100412tally.xls
Recommendation: 2012 WEQ Annual Plan Item No. 4.c.iii/R11014/R11015 (Part 2) - Develop modifications for WEQ-012 as
needed to reflect current market conditions (Authorized Certification
Authority Standard and Credentialing Practice (R11014). Technology
Review and Upgrade for NAESB Public Key Infrastructure Standard
WEQ-012 (R11015)) as approved by the WEQ EC on August 21, 2012:
http://www.naesb.org/member_login_form.asp?doc=weq_rat090412_w
eq_2012ap4ci-ii_r11014_r11015_rec.doc
Comments Submitted by Bonneville
Power Administration on 2012 WEQ
Annual Plan Item No. 4.c.iii/R11014/R11015:
http://www.naesb.org/pdf4/weq_rat100
412_bpa.doc
2012 WEQ Annual Plan Item No. 4.c.iii/R11014/R11015 (Part 2) Final Action - Ratified
October 4, 2012:
http://www.naesb.org/member_login_form.asp?doc=f
a_weq_2012_ap4ci-ii_r11014_r11015.doc
Ratification Ballot due November 28, 2012:
http://www.naesb.org/member_login_check.asp?doc=weq_rat103012b
allot.doc
Ratification Tally:
http://www.naesb.org/member_login_c
heck.asp?doc=rat_weq112812tally.xls
2012 WEQ Annual Plan Item 4.a - Develop Public
Key Infrastructure (PKI) Standards for OASIS Ratified November 28, 2012:
http://www.naesb.org/member_login_form.asp?doc=f
a_weq_2012_ap4a.doc
Ratification Tally:
http://www.naesb.org/member_login_c
heck.asp?doc=rat_weq122812tally.xls
2012 WEQ Annual Plan Item 4.b, Part 1 - Develop
Public Key Infrastructure (PKI) Standards
Requirements for e-Tagging (Part 1) - Ratified
December 28, 2012:
http://www.naesb.org/member_login_form.asp?doc=f
a_weq_2012_ap4b_part1.doc
October 30, 2012
Recommendation: 2012 WEQ Annual Plan Item 4.a - Develop Public
Key Infrastructure (PKI) Standards for OASIS as revised and approved
by the WEQ Executive Committee on October 23, 2012:
http://www.naesb.org/member_login_check.asp?doc=weq_rat103012_
weq_2012_ap4a_rec_redline.doc (Redline)
http://www.naesb.org/member_login_check.asp?doc=weq_rat103012_
weq_2012_ap4a_rec_clean.doc (Clean)
November 28, 2012
Ratification Ballot due December 28, 2012:
http://www.naesb.org/member_login_check.asp?doc=weq_rat112812b
allot.doc
Recommendation: 2012 WEQ Annual Plan Item 4.b, Part 1 - Develop
Public Key Infrastructure (PKI) Standards Requirements for e-Tagging
(Part 1) as approved by the WEQ Executive Committee via notational
ballot on November 27, 2012:
http://www.naesb.org/member_login_check.asp?doc=weq_rat112812_
weq_2012_ap4b_rec_redline.doc (Redline)
http://www.naesb.org/member_login_check.asp?doc=weq_rat112812_
weq_2012_ap4b_rec_clean.doc (Clean)
Appendix C, Page 1
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
Item Description
1
Completion 1
Assignment 2
Develop business practices standards as needed to complement reliability standards
Develop business practice standards to support and complement NERC reliability standards, NERC policies and NERC
standards authorization requests (SARs) using the NERC/NAESB Coordination Joint Standards Development Process as
appropriate. Current NAESB activities underway to develop business practice standards that are supportive of this annual
plan item are:
a)
Parallel Flow Visualization/Mitigation for Reliability Coordinators in the Eastern
Interconnection – Permanent Solution 1
1st Q, 2013
BPS
Note: Consideration should be given to provisional item 4. Work is being
coordinated with the NERC IDC Working Group.
Status: Started
b)
Perform consistency review of WEQ-008 Transmission Loading Relief Business
Practice Standards and develop recommendation. 2
2013
BPS
c)
Disturbance Control Standard (DCS) (BAL-002) Coordination with NERC
Project 2010-14.1 Phase 1 of Balancing Authority Reliability-based Controls:
Reserves
2013
BPS/TIMTF
Status: Monitor.
d)
Coordinate with NERC on changes to the definition of Bulk Electric System
NERC Project 2010-17 Definition of Bulk Electric System.
2nd Q, 2012
SRS
2013
BPS
Status: Completed. Subcommittee approved recommendation to forward to
Executive Committee on January 17, 2012.
e)
Revise TLR level 5 to be treated similarly to TLR Level 3 in terms of treating the
next hour allocation separately from that of current hour. (R11020)
Status: Not Started
2
Develop business practice standards in support of the FERC RM05-25-000 and RM05-17-000 (OATT Reform) 3
a)
Develop version 2 business practice standards to better coordinate the use of the transmission system among neighboring
transmission providers.
Status: Underway
Request R050004 was expanded to include the Order No. 890 (Docket Nos.RM05-17-000 and RM02-25-000), (Order
No. 890-A (Docket Nos. RM05-17-001, 002 and RM05-25-001, 002), and Order No. 890-B (Docket Nos. RM05-17-03
and RM05-25-03) “Preventing Undue Discrimination and Preference in Transmission Services”
i)
Group 3: Network Service On OASIS 4
1
See AP Item 3.iv., Completion dates may be revisited contingent upon NERC-NAESB coordination of implementation related
to parallel flow visualization
2
In some sections of WEQ 008 it appears that the standards are applicable to all of the Interconnections and other it appears that
the standards are only applicable to the Eastern Interconnection. The title indicates the standards are applicable to the Eastern
Interconnection.
3
FERC Order No. 890, issued February 16, 2007 can be accessed from the following link http://www.naesb.org/doc_view4.asp?doc=ferc021607.doc
4
Several group 3 items may be removed from this plan if the 4th quarter completion dates are met.
Appendix D, Page 2
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
Item Description
1)
Use of OASIS to Make Electronic Requests to Designate and
Terminate Network Resource
Completion 1
Assignment 2
4th Q, 2011
OASIS
4th Q, 2011
OASIS
4th Q, 2011
OASIS
4th Q, 2011
OASIS
4th Q, 2011
OASIS
4th Q, 2011
OASIS
4th Q, 2011
OASIS
4th Q, 2011
OASIS
1st Q, 2013
OASIS
1st Q, 2013
OASIS
Status: Completed
2)
Ability to Query Requests to Designate and Terminate Network
Resources and Allow for Queries of All Information Provided with
Designation Requests
Status: Completed
3)
Masking of Designated Network Resource Operating Restrictions
and Generating Cost Information
Status: Completed
4)
Procedural Requirements for Submitting Designations over new
OASIS Functionality
Status: Completed
5)
Specify How Designated Network Service Informational Postings are
Posted on OASIS
Status: Completed
6)
Develop standards for the treatment of OASIS Requests when the
Customer Fails to Provide the Necessary Attestation
Status: Completed
7)
Procedural Requirements for Submitting Both Temporary and
Indefinite Terminations of Network Resources
Status: Completed
8)
Procedures for Submitting and Processing Requests for Concomitant
Evaluations of Transmission Requests and Temporary Terminations
Status: Completed
ii)
Group 4: Pre-Emption; Request No. R05019
1.
Pre-Emption
Status: Started
2.
Request No. R05019
Status: Started
Appendix D, Page 3
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
Item Description
iii)
Assignment 2
Group 6: Miscellaneous (Paragraph 16275 of FERC Order No. 890)
1)
Paragraphs 1627 of Order 890 – Posting of additional information on
OASIS regarding firm transmission curtailments
Status: Not Started
2)
Redispatch Cost Posting to allow for posting of third party offers of
planning redispatch services.
Status: Not Started
b)
Completion 1
Develop the needed business practices to support existing Request No. R05004:
The processing of transmission service requests, which use TTC/ATC/AFC, in
coordination with NERC changes to MOD 001 where the allocation of flowgate
capability based on historical Network Native Load impacts the evaluation of
transmission service requests, requiring the posting of those allocation values in
conjunction with queries of service offerings on OASIS
TBD
(follows the
completion
of AP 1(a))
OASIS
TBD
(follows the
completion
of AP 1(a))
OASIS
4th Q, 2011
OASIS
Status: Completed
3
Develop business practices standards to improve the current operation of the wholesale electric market and develop
and maintain business practice and communication standards for OASIS and Electronic Scheduling
a)
Develop and/or maintain business practice standards as needed for OASIS and electronic scheduling. Specific items to
address include:
i)
Network Services: Determine and develop needed business practice
standards or other support is needed to support use of OASIS for Network
Service transactions (R04006E). (Related to AP 2(a)(iii) and AP 2(a)(i))
4th Q, 2011
OASIS
4th Q, 2012
JESS
Status: Completed
ii)
Registry (TSIN): Determine and develop needed business practice
standards to support the registry functions currently supported by NERC
(R04037, R06027)
Status: Underway, probably will not complete by 4th Q and may need to be
added back into the 2013 Annual Plan.
5
Paragraph 1627 of FERC Order No. 890, issued February 16, 2007: We agree with suggestions for the posting of additional
curtailment information on OASIS and, therefore, require transmission providers, working through NAESB, to develop a detailed
template for the posting of additional information on OASIS regarding firm transmission curtailments. Transmission providers
need not implement this new OASIS functionality and any related business practices until NAESB develops appropriate
standards. These postings must include all circumstances and events contributing to the need for a firm service curtailment,
specific services and customers curtailed (including the transmission provider’s own retail loads), and the duration of the
curtailment. This information is in addition to the Commission’s existing requirements: (1) when any transmission is curtailed or
interrupted, the transmission provider must post notice of the curtailment or interruption on OASIS, and the transmission
provider must state on OASIS the reason why the transaction could not be continued or completed; (2) information to support any
such curtailment or interruption, including the operating status of facilities involved in the constraint or interruption, must be
maintained for three years and made available upon request to the curtailed or interrupted customer, the Commission’s Staff, and
any other person who requests it; and, (3) any offer to adjust the operation of the transmission provider’s system to restore a
curtailed or interrupted transaction must be posted and made available to all curtailed and interrupted transmission customers at
the same time.
Appendix D, Page 4
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
Item Description
iii)
Registry (TSIN): Transition the TSIN Registry from NERC to NAESB as
the enhanced Electric Industry Registry (EIR).
Completion 1
4th Q, 2012
Status: Completed.
iv)
Assignment 2
NAESB/NERC
Administration,
JESS
Make remaining incremental enhancements to OASIS as an outgrowth of the NAESB March 29, 2005
conference on the future of OASIS (R05026).
Scoping statement completed by SRS. There were a number of assignments from the Standards Request. The
outstanding items are included below:
1)
Eliminate Masking of TSR tag source and sink when requested
status is denied, withdrawn refused, displaced, invalid, declined,
annulled or retracted
2013
OASIS
2013
OASIS
2013
OASIS
Status: Not Started
2)
Initiate standard that eliminates the disparity of posting “sensitive”
information. This standard should also include procedures of user
certification that allows access to this class of information.
Status: Underway (upon further development of this item by
NAESB, a completion date will be determined)
3)
Enhance the TSR result postings to allow showing of (i) limiting
transmission elements and (ii) available generation dispatch
options that would allow acceptance of reservation request.
Status: Not Started (upon initiation of this item by NAESB, a
completion date will be determined)
v)
Review and correct WEQ-004 Coordinate Interchange Business Practice
Standard as needed based on activities in NERC Project 2008-12,
Coordinate Interchange Standards Revisions and supporting EOP-002-2
R4 and R6. 6
2014
JESS
Status: Underway. Completion date dependent upon coordination
activities with NERC, and Project 2008-12 is delayed by NERC due to
other higher priority development. It is expected that NERC will begin its
effort in 2nd Q 2013.
b)
c)
Review e-Tag specifications and make modifications as needed for:
i)
Supporting Network Integration Transmission Service standards
TBD
JESS
ii)
Consistency and clarifications
TBD
JESS
iii)
Regional Implementations supporting WECC efforts (probably of most
impact to the appendices in the e-Tag specifications)
TBD
JESS
Requirements for OASIS to use data in the Electric Industry Registry (R12001)
TBD
OASIS
Status: Not started
6
See AP Item 1.a.iv, Completion dates may be revisited contingent upon NERC-NAESB coordination of implementation related
to parallel flow visualization.
Appendix D, Page 5
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
Item Description
4.
Completion 1
Assignment 2
Develop and/or maintain standard communication protocols and cyber-security business practices as needed.
a)
Develop PKI standards for OASIS.
4th Q, 2012
PKI/OASIS
Status: Completed
b)
Develop Industry Implementation Plan for meeting PKI Standard requirements
for e-tagging.
4th Q, 2012
PKI/JESS
3rd Q, 2012
PKI
3rd Q, 2012
PKI
2013
PKI
TBD
PKI/JESS
Status: Completed
c)
Develop modifications for WEQ-012 as needed to reflect current market
conditions
i)
Authorized Certification Authority Standard and Credentialing Practice
(R11014)
Status: Completed
Part 1 was voted out of subcommittee on June 14, 2012.
Part 2 was voted out of subcommittee on July 9, 2012.
ii)
Technology Review and Upgrade for NAESB Public Key Infrastructure
Standard WEQ-012 (R11015).
Status: Completed
Part 1 was voted out of subcommittee on June 14, 2012.
Part 2 was voted out of subcommittee on July 9, 2012.
iii)
Review and develop standards as needed to support adequate session
encryption (SSL/TLS issues: US-Cert Vulnerability Note VU#864643)
Status: Not Started
d)
5
Review WEQ standards for impact of XML vulnerability exploits and make
modifications as needed to standards and functional specifications
Maintain existing body of Version 3.x standards
4th Q, 2012
OASIS
TBD
OASIS
Add language to WEQ-001-4 Online Negotiation and Confirmation process to
clarify Table 4-3 (R09003)
Status: Started
1st Q, 2013
OASIS
d)
Create a new OASIS mechanism that allows for the merger of like reservations
without the use of the resale mechanism (R09015)
Status: Not Started
TBD
OASIS
e)
Develop standards to support crediting redirect requests with the capacity of the
parent reservation (BPA Comments)
TBD
OASIS
a)
Consistent with ¶51 of FERC Order No. 890-A, add AFC and TFC values to the
“System_Attribute” data element of the NAESB Standard WEQ-003: OASIS
S&CP Data Dictionaries. (R08011)
Status: Underway, probably will not complete by 4th Q and may need to be added
back into the 2013 Annual Plan.
b)
Correct WEQ 013-2.6.7.2. – Resale off OASIS (R08027)
Status: Not Started
c)
Status: Completed
Appendix D, Page 6
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
Item Description
f)
Modify WEQ Business Practice Standard 013-2.6.8.1 FULL_TRANSFERTransfers of All Capacity and WEQ Business Practice Standard 013-2.6.8.2 –
PART_TRANSFER-Transfer of Partial Capacity. (R11022)
Completion 1
1st Q, 2012
Assignment 2
OASIS
Status: Completed
6.
Develop Smart Grid Wholesale and Retail Electric Standards - The wholesale and retail demand response work groups
and the Smart Grid task force should actively and timely communicate and coordinate work products to ensure consistency
between the three work groups. Each work group should take into account the work products developed by the other.
a)
7.
Develop standards to support PAP 10 – Standards Energy Usage Information,
Phase 2, Harmonization with CIM and SEP 2.0
Status: Underway, dependent on discussions with CIM and SEP 2.0
4th Q, 2012
Joint WEQ/REQ
PAP 10 SGS
Subcommittee
Develop or modify standards to Support FERC Order No. 676-E, (Docket No. RM 05-5-013)
a)
Develop standards to support the Transmission Provider right to reassess the
availability of conditional firm (See ¶ 72 7)
Status: Started, probably will not complete by 4th Q and may need to be added
back into the 2013 Annual Plan.
4th Q, 2012
OASIS
7
72.
However, we reiterate here the Commission’s finding in Order No. 890 that a transmission provider is permitted to
extend its right to reassess the availability of conditional firm service. Since the Version 002.1 Standards do not specifically
address this issue, we would ask the industry, working through NAESB, to continue to look at additional business practice
standards facilitating a transmission provider’s extension of its right to perform a reassessment
Appendix D, Page 7
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
PROVISIONAL ITEMS
1
Develop business practices standards as needed to complement NERC reliability standards
a)
Develop and or modify business practices related to support of NERC effort on the NERC Resources and Transmission
Adequacy (NERC Project 2009-05 Resource Adequacy Assessments). NERC expects work on this project to start in
third quarter 2014.
b)
Determine any needed NAESB action in support of the Interchange Distribution Calculator (IDC) and develop any
necessary standards.
c)
Develop complementary standards that align with NERC Project 2008-01 Voltage and Reactive Planning and Control.
A SAR was finalized in April 2011. NERC project is expected to begin in first quarter 2013.
d)
Develop, modify or delete business practices to support Time Error, Automatic Generation Control (AGC), and
Inadvertent Accounting (BAL-004, BAL-005, and BAL-006) resulting from the NERC field test under NERC project
(NERC Project 2010-14.2 Phase 2 of Balancing Authority Reliability-based Controls: Time Error, AGC, and
Inadvertent). NERC expects this project to start in second quarter 2013. The NERC project may impact WEQ-006
Manual Time Error Correction and WEQ-007 Inadvertent Interchange Payback.
e)
Develop complementary standards that align with NERC Project 2010-4 Demand Data. The NERC project may impact
WEQ-015 Business Practices for Measurement and Verification of Wholesale Electricity Demand Response.
f)
Coordinate with NERC on the functional model glossary revisions NERC Project 2010-08 Functional Glossary Model
Revisions. NERC expects this project to start in fourth quarter 2014. The NERC project may impact WEQ-000
Abbreviations, Acronyms, and Definition of Terms.
g)
Coordinate with NERC on NERC Project 2012-05 ATC Revisions - Order 729. NERC expects this project to start in
third quarter 2014. The NERC project may impact the WEQ-001 Open Access Same-Time Information Systems
(OASIS) Standards, WEQ-002 OASIS Standards and Communication Protocol (S&CP), WEQ-003 Open Access
Same-Time Information Systems (OASIS) Data Dictionary, and WEQ-013 OASIS Implementation Guide.
h)
Coordinate with NERC on NERC Project 2012-08 Glossary Updates. NERC has not established a start date for this
project. The NERC project may impact WEQ-000 Abbreviations, Acronyms, and Definition of Terms
i)
Coordinate with NERC on NERC Project 2012-09 IRO Review. NERC has not established a start date for this project.
The NERC project may impact WEQ-008 Transmission Loading Relief – Eastern Interconnection Standards.
j)
Coordinate with NERC on NERC Project 2012-15 Flow Limited Paths. NERC has not established a start date for this
project. The NERC project may impact the WEQ-001 Open Access Same-Time Information Systems (OASIS)
Standards, WEQ-002 OASIS Standards and Communication Protocol (S&CP), WEQ-003 Open Access Same-Time
Information Systems (OASIS) Data Dictionary, and WEQ-013 OASIS Implementation Guide.
2
Gas/Electric Coordination
a)
Review and develop standards as needed and requested based on the National Petroleum Council (NPC) findings as
communicated by the NAESB Board of Directors, government agencies or reliability organizations, as applicable. (915-11 NPC Report: Transmittal Letter, Preface, and Executive Summary, Ch 1:Resource and Supply, Ch 2: Operations
and Environment, Ch 3: Demand, Ch 4: Carbon and Other End-Use Emissions, Ch 5: Macroeconomics, Ap A: Request
Letters, Description of the NPC, and NPC membership roster, Ap B: Study Group Rosters , Ap C: Additional
Materials Available Electronically)
b)
Conduct assessment to determine if Electric Industry Requirements documented in WEQ-011 Gas / Electric
Coordination should be considered reliability requirements and transition to NERC.
3
Optional work to extend existing standards
a)
Prepare recommendations for future path for TLR 8 (Phase 2) in concert with NERC, which may include alternative
congestion management procedures 9. Work on this activity is dependent on completing 2010 WEQ Annual Plan 1.a
(Parallel Flow Visualization/Mitigation for Reliability Coordinators in the Eastern Interconnection - Phase 1).
8
Phase 2 of the Parallel Flow Visualization looks at developing options for and reporting of the most cost effective alternatives to
achieve curtail obligations assigned during Phase 1.”
Appendix D, Page 8
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
NORTH AMERICAN ENERGY STANDARDS BOARD
2012 ANNUAL PLAN for the WHOLESALE ELECTRIC QUADRANT
Approved by the Board of Directors on December 6, 2012
PROVISIONAL ITEMS
b)
Develop needed business practice standards for organization/company codes for NAESB standards – and address
current issues on the use of DUNs numbers. Common code usage is linked to the transition of the Registry from
NERC to NAESB.
c)
Develop business practices for allocating capacity among requests received during a submittal window Order 890-A
(Docket Nos. RM05-17-001, 002 and RM05-25-001, 002 - Paragraph 805) 10.
4
Pending Regulatory or Legislative Action
a)
Determine NAESB action needed to support FERC Action Plan for Smart Grid Technology.
b)
Develop business practice standards for cap and trade programs for greenhouse gas.
c)
Develop standards as needed based on FERC Order No. 1000. (NAESB Analysis of FERC Order No. 1000)
d)
Develop standards as needed in support of Variable Energy Resources (VERs) final order (RM10-11-000). (NAESB
Comments 3-2-11, FERC NOPR RM10-11-000, FERC Final Order No. 764, Docket No. RM10-11-00011)
9
For additional information, please see comments submitted by PJM and Midwest ISO for this Annual Plan Item:
http://www.naesb.org/pdf3/weq_aplan102907w1.pdf.
10
805. The Commission recognizes that developing methods to allocate capacity among requests received during a submittal
window may require detailed procedures, particularly when transmission requests received simultaneously exceed available
capacity. As the Commission explained in Order No. 890, however, we believe that each transmission provider is in the best
position to develop allocation procedures that are suitable for its system. This does not preclude transmission providers from
working through NAESB to develop standardized practices, as suggested by Southern. For example, as we pointed out in Order
No. 890, allocation methods such as that used by PJM to allocate monthly firm point-to-point transmission service could provide
useful guidance in developing general allocation procedures.
11
For FERC Final Order No. 764, Docket No. RM10-11-000, specifically paragraph nos. 146 and 182 should be reviewed:
146. The Commission concludes that an independent review of NERC standards and NAESB business practices is not
necessary prior to the implementation of intra-hour scheduling. As noted by NERC, several entities currently offer intrahour scheduling without any apparent conflict with Reliability Standards. NERC comments that it does not believe there are
any existing standards that prohibit industry from implementing intra-hour scheduling, and no commenters have pointed to
specific NAESB business practices that prevent industry from implementing intra-hour scheduling. The Commission
therefore concludes that it is not necessary to delay adoption of the intra-hour scheduling requirements of this Final Rule
pending further review of NERC Reliability Standards and NAESB business practices. To the extent industry believes it is
beneficial to refine one or more existing NERC Reliability Standards or NAESB business practices to reflect intra-hour
scheduling, stakeholders can use existing processes to pursue such refinements.
182. Some commenters request that the Commission standardize protocols for reporting meteorological or forced outage
data required by this Final Rule. The Proposed Rule did not contain standard protocols for data reporting and, as a result, the
merits of such a requirement have not been fully addressed in the record. Whether standardization of data communications
would facilitate or hinder development of power production forecasting may implicate a variety of data and communications
issues that would benefit from broad industry input through standards development processes such as those used by NAESB
and other organizations.
Appendix D, Page 9
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
WHOLESALE ELECTRIC QUADRANT EXECUTIVE COMMITTEE AND SUBCOMMITTEE STRUCTURE
NAESB WEQ EC and Active Subcommittee Leadership:
Executive Committee (EC): Kathy York (Chair) and James Castle (Vice Chair)
Standards Review Subcommittee (SRS): Narinder Saini, Ed Skiba
Interpretations Subcommittee: Ed Skiba
Business Practices Subcommittee (BPS) & Time and Inadvertent Management Task Force (TIMTF): Ed Skiba, Narinder Saini
Open Access Same Time Information System (OASIS) Subcommittee: Paul Sorenson, J.T. Wood, Alan Pritchard
Joint Electric Scheduling Subcommittee (JESS): Bob Harshbarger (NAESB), Clint Aymond (NERC)
Demand Side Management-Energy Efficiency (DSM-EE) REQ/WEQ Subcommittee: Ruth Kiselewich (Retail), Roy True and
Paul Wattles (WEQ)
Public Key Infrastructure (PKI) Subcommittee: Jim Buccigross
Appendix D, Page 10
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix D: 2012 Wholesale Electric Quadrant Annual Plan
January 29, 2013
Inactive Subcommittees:
e-Tariff Joint WEQ/WGQ Subcommittee (e-Tariff): Jane Daly (WEQ), Keith Sappenfield (WGQ)
(**)
The Smart Grid Standards Subcommittee is a joint group of the retail electric and wholesale electric quadrants with other
standards development groups such as OASIS (Organization for the Advancement of Structured Information Standards,
not Open Access Same Time Information Systems related to NAESB standards and FERC actions), CalConnect, FIX and
UCAIug, among others. Direction may be given from NIST, DoE or FERC and the group reports jointly to the NAESB
Board Smart Grid Strategic Steering Committee and the WEQ and REQ ECs. The group is chaired by Joe Zhou, Wayne
Longcore and Robert Burke.
(***)
The PAP 10 Smart Grid Standards Subcommittee is a joint group of the retail electric and wholesale electric quadrants
with other standards development groups such as OASIS, UCAIug, OpenADE, ZigBee, ASHRAE, EIS Alliance, NARUC and
includes other groups. Direction may be given from NIST, DoE or FERC and the group reports jointly to the NAESB Board
Smart Grid Strategic Steering Committee and the WEQ and REQ ECs. The group is chaired by Phil Precht, Cathy Wesley,
Sharon Dinges, David Kaufman, Brad Ramsay, Tobin Richardson and Ed Koch.
End Notes WEQ 2012 Annual Plan:
1
Dates in the completion column are by end of the quarter for completion by the assigned committee, sub-committee or task
force. The dates do not necessarily mean that the standards are fully staffed to be implementable by the industry, and/or ratified
by membership. If one item is completed earlier than planned, another item can begin earlier and possibly complete earlier than
planned. There are no begin dates on the plan.
2
The assignments are abbreviated. The abbreviations and sub-committee structure can be found at the end of the annual plan
document.
Appendix D, Page 11
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix E: NAESB Standards Development Process
January 29, 2013
The NAESB Standards Development Process
NAESB is focused on proposing, considering, and adopting voluntary standards and model business practices
that will have a significant and lasting impact on all aspects of the natural gas and electricity marketplaces. As a
result of the standards NAESB adopts, it is expected that the industry will operate more efficiently and effectively,
benefiting both the industry and its customers. At the same time, it must be acknowledged that NAESB standards
may constitute a change in the way parties do business, with an accompanying effect on the use and allocation of
resources.
NAESB’s policy is to move at a deliberate pace, consistent with its annual plan(s), thus permitting those
affected by its standards, especially those standards adopted as regulations by the Federal Energy Regulatory
Commission (FERC) or other regulatory bodies, to assimilate them as part of their business practices. To this end,
NAESB will carefully consider whether proposed standards are both timely and necessary. In particular, it will try to
avoid adopting and implementing new standards, however beneficial, before the industry is able to reasonably make
use of them.
The standards development process is governed by the annual plan, and items can be included in the plan or
modified only with Board approval. The plan typically reflects requests from NAESB members, government
agencies, and other interested parties. In approving the annual plan, the Board considers the availability of resources,
including the NAESB budget and staff and the availability of industry volunteers. New requests received throughout
the year are either considered part of the existing annual plan or as new items that require Board approval.
The standards development process begins with an annual plan item or a triaged and approved request. Triage is
a process used by each quadrant of the Executive Committee (EC) to determine whether a request is within scope,
which quadrant(s) it applies to, which subcommittee(s) it should be referred to, and what priority it should be
assigned. Triage is carried out by EC members appointed by the EC chair. Triage recommendations are submitted to
the en banc EC and require EC approval, and may also require Board approval if there are scope questions or if a
modification of the annual plan is required.
Once the triage process is completed, the subcommittees—more than one are normally involved in standards
recommendations—review the request, compare it to existing standards, and prepare recommendations that may
take the form of new or modified standards or interpretations. Participation in EC subcommittees is open to any
interested party regardless of membership status. All subcommittee participants may vote; voting is balanced by
segment and quadrant. All votes are public.
When the recommendation is complete, it is made available for a thirty-day industry comment period. The
recommendation and comments are then forwarded to the EC, which considers the recommendation, makes any
changes it deems necessary, and takes a vote. A recommendation must receive an affirmative vote of at least 67
percent from each applicable quadrant EC and 40 percent from each of the segments of the applicable quadrant(s).
After passage by the EC, the recommendation must be ratified by the NAESB members. An affirmative vote of
67 percent of the members of the applicable quadrant(s) is required for ratification. After ratification, standards and
modifications are considered final actions and will be published in the next version of NAESB standards.
All NAESB quadrants follow the same development process described herein. The process has been followed
by the WGQ since 1994 and has been used to develop more than five hundred standards that have been incorporated
by reference into federal regulations.
Appendix E, Page 1
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix E: NAESB Standards Development Process
January 29, 2013
North American Energy Standards Board
Standards Development Process Flow Chart
Request For Standard is forwarded to the NAESB
Office from any group. The request may include
fully developed recommended standards.
Board provides approved Annual
Plan to the EC
Triage Subcommittee considers request and
prepares a triage disposition
Executive Committee (EC) approves triage
disposition and specific Quadrant EC(s) to
which the work is assigned, directs its work
or directs work on the annual plan item.
EC Subcommittees consider request or
Annual Plan Item as directed by EC.
Recommendations including new or
modified standards are prepared by EC
Subcommittees
Industry comment on EC Subcommittee(s)
recommendations
Executive Committee for approval of
recommendation
Membership Ratification
Posting as Final Action, Publication of
Standards, Filings with FERC
Appendix E, Page 2
Report of the North American Energy Standards Board – Enclosures
NAESB Wholesale Electric Quadrant Public Key Infrastructure (PKI) Standards
Appendix E: NAESB Standards Development Process
January 29, 2013
Flexibility
NAESB recognizes that flexibility is necessary as standards are developed to address regional concerns or to
incorporate variances to accommodate operational or structural differences. Several WEQ standards incorporate
regional or operational differences for both Version 0 and Version 1. There is a high threshold for incorporating
such variances in a standard; the subcommittee(s) in drafting the standard, the EC in approving the subcommittee
recommendation, and the membership in approving the standard must all agree that such variance is necessary.
Nonetheless, NAESB procedures are well suited to take into account operational and regional differences.
Transparency
All NAESB meetings are open for attendance and participation by any interested party, with the exception of
executive sessions of the Board or Managing Committee for purposes of discussing personnel, compensation or
legal issues. Meeting announcements and agendas are posted in advance to permit the widest possible participation.
Conference-calling capability is available for all meetings and web casting is available for most. Those intending to
attend a meeting in person or by telephone are asked to notify NAESB by a specific date to permit adequate meeting
planning.
Transcripts are made of all Board of Directors and EC meetings, and may also be made of other meetings that
are expected to be controversial. Transcripts are maintained in the NAESB office and are provided to regulatory
agencies for their internal use. All other interested parties can purchase transcripts from the relevant transcription
service.
Coordination with NERC
For business practice standards development for the WEQ, if it is determined by NERC and NAESB Executive
Management that joint development is needed by NERC and NAESB, the NERC-NAESB Coordination Joint
Development Process is implemented. 1 This process requires that the appropriate NAESB Subcommittee and
NERC Standards drafting team work together to develop reliability standards and business practices.
The Joint Interface Committee of NAESB, NERC and the ISO-RTO Council (“JIC”) was dissolved as part of
the agreement to create the Independent Grid Operator segment of the WEQ. The joint development process
between NAESB and NERC is being used to ensure appropriate coordination. The ISOs and RTOs have strong
decision-making roles in both NERC and NAESB, and thus with the use of the joint development process, the JIC
was no longer necessary.
Accessibility of Standards and Work Products
The NAESB standards and protected work products are accessible to members at no cost as a benefit of their
membership. Non-members can purchase the standards as a full version, or they can purchase individual final
actions. Non-members can also access the standards at no cost by requesting an evaluation copy. NAESB standards
and protected work products are copyrighted. Non-members can download a NAESB materials order form from the
NAESB web site for ordering standards or for instructions on accessing standards for evaluation.
1 The NERC-NAESB Coordination Joint Development Process was submitted to the Commission on February 17, 2006 in Attachment C of the
Progress Report on NAESB Activities impacting Docket No. RM05-5-000, “Standards for Business Practices and Communication Protocols for
Public Utilities”: http://www.naesb.org/doc_view2.asp?doc=ferc021706.pdf.
Appendix E, Page 3
| File Type | application/pdf |
| File Title | May 28, 2002 |
| Author | NAESB |
| File Modified | 2018-11-14 |
| File Created | 2013-01-30 |