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CIP. In order to induce reasonable reliance by Pershing on Broker with respect to Broker’s customer identification program (“CIP”), Broker represents and warrants: (1) it has a written CIP consistent with Section 326 of the USA PATRIOT Act and the rules thereunder; (2) it is subject to a rule implementing 31 U.S.C. 5318(h); (3) it is regulated by a Federal functional regulator as that term is defined under 31.C.F.R. § 103.120(a)(2); and (4) it will certify annually to Pershing that it has implemented an anti-money laundering program and will perform the requirements set forth in Broker’s written CIP.
CIP. 014-1 GUIDANCE FOR R1 9 5.1. BASE CASES TO STUDY (STEP 1) 10 6. STUDY REQUIREMENTS 13 6.1. STEADY STATE POWER-FLOW (STEP 2) 13 6.2. TRANSIENT ANALYSIS (STEP 3) 14
CIP. 014-1 GUIDANCE FOR R1 TOs following this document when performing the required risk assessments will develop their own dated and deliverable document for third-party review. The documentation should be sufficiently detailed for a third-party reviewer to validate the methodology and endorse the results. The analysis will identify the impact to the BES of the total loss of “applicable” Stations identified by: • Station voltage 500 kV and above. • Stations whose voltage is less than 500kV and the weighted aggregation value per the CIP-014 table exceeds 3000. o This shall include any line that enters and terminates at any Facility within the Station. Peak Reliability CIP-014-1 Guideline Version 3.0 NERC CIP-014-1 o These are only applicable to Stations that are connected to three or more other Stations. • Station(s) identified by Peak (as the Reliability Coordinator), the Planning Coordinator, or the Transmission Planner as a critical facility to the derivation of an IROL. o In the event that an IROL has been defined as an “import” or like quantity, at a minimum the critical facilities will be defined as the point of interconnection at each Station of a Facility that defines the “import” or like quantities’ value for lines that exceed 200kV. • Station(s) that have been added by an applicable governmental authority, federal jurisdiction, or appropriate overseeing entities. The documentation will clearly describe, from the list above, how the Station was identified as “applicable” and what caused it to be placed on the CIP-014-1 analysis list.