1. Reliability Assurance Initiative (RAI) 101
Ben Christensen Senior Compliance Risk Analyst, Cyber Security

2. Western Electricity Coordinating Council
Agenda
Introduction to Reliability Assurance Initiative
Risk Elements
Inherent Risk Assessment (IRA)
Internal Controls Evaluation (ICE)
Overview of WECC’s IRA and ICE process and documents
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3. Western Electricity Coordinating Council
Introduction to RAI
Implements risk based compliance monitoring and enforcement
Initial discussions by NERC in 2012
Regional RAI pilots during 2013 and 2014
2014 NERC and Regions designed the risk based framework
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4. Overview of Risk Based Framework
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5. Western Electricity Coordinating Council
Risk Elements
Replaces prior actively monitored lists
WECC identified region wide risk elements
10 O&P risk elements
6 CIP risks elements
WECC identified NERC Standards and Requirements associated with risk elements
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6. Western Electricity Coordinating Council
IRA Overview
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7. Western Electricity Coordinating Council
What is the IRA?
Review of inherent risks posed by an entity to the BPS
Review of an entity’s characteristics
Such as event history, compliance history, devices owned/operated, types of transmission lines, generation portfolio, etc.
IRA process is located on the WECC website
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8. WECC’s IRA Process Identify Major Inputs into IRA
Review Entity Background
Identify Initial List of Applicable Functions and Standards
Identify and Review Applicable Risk Element
Determine Monitoring Strategy
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9. Western Electricity Coordinating Council
IRA Surveys
Currently posted on WECC website
Completed by Registered Entities
Helps identify Entity’s inherent risks
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10. Western Electricity Coordinating Council
IRA Final Report
Documents WECC’s assessments and evaluations
Helps develop Registered Entity’s Compliance Oversight Plan
Summary of Final Reports provided to Entity
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11. Internal Controls Evaluation (ICE)
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12. Western Electricity Coordinating Council
What is ICE?
Voluntary process
WECC will evaluate internal controls related to the risks and associated standards
WECC will make recommendations to strengthen controls
ICE process is located on the WECC website
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13. WECC’s ICE Process Identify key controls related to risks
Request controls information
Test effectiveness of controls
Identify how well controls address risks and provide compliance assurance
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14. Western Electricity Coordinating Council
ICE Surveys
Currently posted on WECC website
Completed by Registered Entities
Helps identify Entity’s internal controls
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15. Western Electricity Coordinating Council
ICE Final Report
Documents WECC’s assessments and evaluations
Helps develop Registered Entity’s Compliance Oversight Plan
Summary of Final Report provided to Entity
Western Electricity Coordinating Council

16. How will WECC use IRA and ICE?
WECC can better tailor compliance monitoring activities using existing CMEP tools (i.e., audits, spot checks, or self-certifications)
WECC may use the results to focus the depth and scope of monitoring engagements
Not a one size fits all but a risk based approach
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17. Western Electricity Coordinating Council
Additional Resources
NERC RAI Page
NERC Risk Elements Guide
WECC CMEP IP
IRA
IRA Process
IRA Survey template
IRA Report template
ICE
ICE Process
O&P ICE Survey
CIP ICE Survey
Western Electricity Coordinating Council