[insert applicable regional entity name/logo]

[INSERT APPLICABLE REGIONAL ENTITY NAME/LOGO]

[ENTITY NAME] [FUNCTION CERTIFYING] Certification[LOCATION] – [DATES OF ON-SITE VISIT][Presenter Name, Title] Opening Presentation [Month Day, Year]

RELIABILITY | ACCOUNTABILITY2

Topics to Discuss

• Team Members• Team Member Requirements• Certification Aspects• Bucket Items• Certification Process• Certification Appeals• Evidence Policy• Questions and Answers

[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]


Team Members

• [Team Leader 1 (CTL)] [Company affiliation]• [Team Member 2] [Company affiliation]• [Team Member 3] [Company affiliation]• [Team Member 4] [Company affiliation]• [Team Member 5] [Company affiliation]



Team MemberRequirements

• CT members have completed the required NERC training prior to participation.

• No reasonable objections to CT Members submitted by [ENTITY].

• CT members must adhere to NERC’s Confidentiality Agreement for any data or information received.



Certification Aspects

• Performed Per the NERC Rules of Procedure Section 500 and Appendix 5A require an on-site visit Expected Outcomes - Findings

o Positiveso Bucket Items

• Roles CTL Members [Entity] Participants

• Caucus



Bucket Items

• Bucket 1 Items Items found that prevent Certification Team from recommending

Certification• Bucket 2 Items

Items found that must be closed:o Prior to going operational, and o Within 180 days of on-site visit completion

• Bucket 3 Items Suggestions for enhancement

o These items will not be included in the final report.



Certification Process

• Entity completes Certification application or RE completes the application on their behalf

• Regional Entity assigns Certification Team Leader who assembles a Certification team

• Regional Entity sends questionnaire and statement of expectations to Entity. RE also sends neighboring questionnaire to BAs, TOPs, and RCs with which Entity intends to interconnect


Is Entity amember

of more than oneRE region?

IsEntity required to

be Certified?

Yes NoEntity Files with

respective RE, RE informs NERC

RE(ies) determine which RE will manage Certification process

Entity completes Certification application

Entity files with all RE(ies),

RE(ies) inform NERC,

RE(ies) reject application and inform

entity that Certification is not

required

Isapplication

complete and accurate?

RE informs Entity to revise

application

RE assembles a Certification Team

(CT)

RE sends questionnaire and

statement of expectations to

Entity

NERC issues Certification Letter, with certificate and

updates NCR

CT reviews Entity documentation and

conducts at least one on site visit

Draft Report provided to Entity, Entity may have

180 days to resolve Certification issues

CT makes recommendation

to Regional Entity(ies)

No

Yes

No

Yes

END

Entity revises Certification application

Yes

See NERC Certification

Appeal Process

No

Yes

RE approvesrecommendation and

advises NERCand Entity

NERCapproves

recommendation

No


Certification Process Continued

• CT conducts at least one on-site visit to entity’s facility(ies)

• Entity may have up to 180 days to resolve open Certification issues

• Entity and CT try to resolve any issues prior to issuance of draft report to entity for their review

• CTL issues recommendation and report to RE

• RE issues recommendation to Entity and NERC to certify

• NERC approves or disapproves final Certification recommendation


Is Entity amember

of more than oneRE region?

IsEntity required to

be Certified?

Yes NoEntity Files with

respective RE, RE informs NERC

RE(ies) determine which RE will manage Certification process

Entity completes Certification application

Entity files with all RE(ies),

RE(ies) inform NERC,

RE(ies) reject application and inform

entity that Certification is not

required

Isapplication

complete and accurate?

RE informs Entity to revise

application

RE assembles a Certification Team

(CT)

RE sends questionnaire and

statement of expectations to

Entity

NERC issues Certification Letter, with certificate and

updates NCR

CT reviews Entity documentation and

conducts at least one on site visit

Draft Report provided to Entity, Entity may have

180 days to resolve Certification issues

CT makes recommendation

to Regional Entity(ies)

No

Yes

No

Yes

END

Entity revises Certification application

Yes

See NERC Certification

Appeal Process

No

Yes

RE approvesrecommendation and

advises NERCand Entity

NERCapproves

recommendation

No


On-Site Certification Process

Certification process includes:• Reviewing data collected and data available on-site.• Interviewing the operations and management personnel.• Inspecting the facilities and equipment associated with the

applicable reliability standards.• Requesting demonstration of tools identified in the

certification process.• Reviewing documents and data including agreements,

processes, and procedures.• Verifying operating personnel, NERC certification documents,

and proposed work schedules.



On-SiteCertification Process (Cont.)


• Any deficiencies discovered in the certification documents that also impact other existing registered functions will be considered a possible violation of the NERC Reliability Standard.

• CT must report this to the RE, however the Entity will be given the opportunity to self-report this possible violation.


On-Site Certification Process (Cont.)

• CT will have a daily debriefing with applicant.

• Establish a schedule to resolve any deficiencies prior to issuance of the draft Final Report.

• Draft Final Report provided to [ENTITY] for a 14 day review period.

• Resulting [ENTITY] comments will be assessed by the CT for possible inclusion in the report.

• A time extension, not to exceed 180 days, may be granted to resolve any open Bucket 2 items.



• Entity appeals to NERC within 21 days of Certification Report Findings

• Compliance and Certification Committee conducts hearing within 28 days of notice of appeal

• If CCC Hearing verdict is appealed case directed to BOTCC

• In event BOTCC verdict is challenged, entity may appeal to applicable Governmental Authorities within 21 days of issuance of decision

Certification Appeals Process

NERCCertification Appeal

Flowchart

Entity issues appeal to NERC within 21

Days of Certification Report Finding

NERC notifies Entity and RE, updates

NCR, issues Certification Letter

NERC notifies Entity

END

No

NERC notifies Entity and

Regional Entity Yes No

Entity appealsto FERC

Entity appeals through Court

System

Yes

No

Yes

CCC condcts Hearing within 28 days after Notice of Hearing is

issued

Final Order issued within 1 day

following closing of Hearing

Final Order upholds appeal

Yes

NERC and/orRE acceptFinal Order

Yes

No

Entity acceptsFinal Order

denying appeal

No

BOTCCUpholds appeal

BOTCCResolvesdispute

FERCUpholds appeal

Entity accepts FERC decision

END

YesNo



Evidence Policy

• [ENTITY NAME] has provided the CT all evidence to support the CT’s recommendations via [RE]’s Secure Portal.

• Copies of notes, draft reports, and other interim documents developed or used during an entity Certification evaluation shall be destroyed after the public posting of the final, uncontested report.

• Confidential information will be handled per Section 1500 of the ROP.

• Documentation used to substantiate the conclusions of the Regional Entity/ NERC related to Certification must be retained by Regional Entity for (6) six years.



Questions and Answers

[insert applicable regional entity name/logo]

Documents

certification of entity

certification process

certification presentation

certification application

certification aspectsperformed

certification templates

certification team composition

items items