Appendix E — Summary of Roles, Responsibilities, and Expectations for Event
Reporting and Analysis
Entity
Registered
Entity
Category 1 Events
Event Analysis Report
(EAR)
Initial event report to
If requested by RE, initiate
RE and NERC in
and complete event analysis
accordance with
report within 10 business days
requirements specified of final event report, or by a
in applicable NERC
time agreed to by the RE and
standards.
Entity.
Event Report
Content of report
consistent with Event
Report Template
included in Appendix
A.
Regional
Entity (RE)
Final event report in 5
business days or less.
Request additional
event information
from registered entity
as needed.
Request event analysis report,
if necessary, by specified
deadline.
If requested, review event
analysis report for sufficiency
and request additional
analysis or information as
deemed necessary. Specify
deadline.
NERC
Coordinate with RE to
determine whether
additional event report
information from
registered entity
should be provided.
Notify registered entity that
event analysis is closed unless
NERC has additional
questions.
Review final version of event
analysis report, as necessary,
and provide comments to RE.
Raise additional questions
before RE closes event
analysis if not satisfied with
final event analysis report.
Lessons Learned
Draft of suggested
lessons learned to
RE within 15
business days of
event occurrence. If
EAR is requested,
draft of possible
lessons learned
within 10 business
days; completion of
draft lessons
learned provided
along with
completion of EAR.
Review draft
lessons learned
from registered
entity. Request
additional
information as
deemed necessary.
Work with
registered entity and
NERC to prepare
final lessons learned
for review by
EAWG.
Work with
registered entity and
RE to prepare final
lessons learned for
review by EAWG.
Disseminate final
lessons learned to
industry.
Appendix E — Summary of Roles, Responsibilities, and Expectations for Event
Reporting and Analysis
Entity
Registered
Entity
Regional
Entity (RE)
Category 2 and 3 Events
Event Report
Event Analysis Report
(EAR)
Initial event report to
Event analysis plan to RE
RE and NERC in
within 5 business days of
accordance with
occurrence of event.
requirements specified
in applicable NERC
Event analysis report to RE
standards.
within 15 business days for
Category 2 event or 20
Content of report
business days for Category 3
consistent with Event
event following submittal of
Report Template
event analysis plan to RE,
included in Appendix unless RE raises questions or
A.
agrees to alternative
timeframe.
Final event report 5
business days or less.
Request additional
Request event analysis report
event information
if not initiated by registered
from registered entity entity. Specify deadline.
as determined by RE
or in collaboration
Follow progress of event
with NERC.
analysis and report
preparation with Entity.
Review event analysis report
for sufficiency and request
additional analysis or
information as deemed
necessary. Specify deadline
and inform NERC.
NERC
Where warranted,
coordinate with RE to
determine whether
additional event report
information from
registered entity
should be provided.
Notify registered entity that
event analysis is closed unless
NERC has additional
questions.
Review final version of event
analysis report, as necessary,
and provide comments to RE.
Raise additional questions
before RE closes event
analysis if not satisfied with
final event analysis report.
Lessons Learned
Draft of suggested
lessons learned to
RE coincident with
agreed upon
completion of EAR.
(Typically within
15 business days of
event occurrence
for Category 2
event and within 20
business days for
Category 3 event.)
Review draft
lessons learned
from registered
entity. Request
additional
information as
deemed necessary.
Work with
registered entity and
NERC to prepare
final lesson learned
for review by
EAWG.
Work with
registered entity and
RE to prepare final
lessons learned for
review by EAWG.
Disseminate final
lesson learned to
industry.
Appendix E — Summary of Roles, Responsibilities, and Expectations for Event
Reporting and Analysis
Entity
Registered
Entity
Regional
Entity (RE)
Category 4 and 5 Events
Event Report
Event Analysis Report
(EAR)
Initial event report to
Suggestions for event
RE and NERC in
analysis plan to RE within 5
accordance with
business days of final event
requirements specified report.
in applicable NERC
standards.
Participate in event analysis
as directed by RE and
Content of report
NERC.
consistent with Event
Report Template
included in Appendix
A.
Final event report in 5
business days or less.
Request additional
event information from
registered entity as
determined by RE or
requested by NERC.
Conference call of affected
registered entities, REs
involved, and NERC within
5 business days of
occurrence of event to
discuss approach for conduct
of event analysis and
agreement on composition
and lead for event analysis
team.
Collaborate with NERC on
request for information from
affected registered entities.
Lead event analysis for
multi-entity events within
RE. (Category 4)
Participate in multi-regional
event analysis led by NERC.
(Category 5)
Follow progress of event
analysis and report
preparation.
Lessons Learned
Draft of suggested
lessons learned to
RE within 60
business days of
event.
Review draft
lessons learned
from registered
entity. Request
additional
information as
deemed necessary.
Work with
registered entity and
NERC to prepare
final lessons learned
for review by
EAWG.
NERC
Notify registered entity that
event analysis is closed with
agreement of NERC for
Category 4 events.
Category 4 and 5 Events
Request RE to provide Conference call of affected
additional event report registered entities, REs
information from
involved, and NERC within
registered entity, as
5 business days of
needed.
occurrence of event to
discuss approach for conduct
of event analysis and
agreement on composition
and lead for event analysis
team.
Collaborate with RE(s)
involved on request for
information from affected
registered entities.
Participate in multi-entity
events within RE, led by RE.
(Category 4)
Lead multi-regional event
analyses when determined by
NERC president. (Category
4 or 5)
Notify registered entity that
event analysis is closed for
Category 5 events, with
agreement of involved REs.
Work with
registered entities
and RE(s) to
prepare final
lessons learned for
review by EAWG.
Disseminate final
lessons learned to
industry.