Classification Public
FRCC Registration and
Certification Procedure
FRCC-RE-REG-101
Effective Date 11222016
Version 2
3000 Bayport Drive Suite 600
Tampa Florida 33607-8410
(813) 289-5644 - Phone
(813) 289-5646 ndash Fax
wwwfrcccom
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Table of Contents Page
The original signatures (where applicable) are maintained on file 2
10 Purpose 4
20 Terms and Definitions 4
30 Background 4
40 Applicability 4
50 Responsibilities 5
60 Procedure 5
70 References 16
80 Review and Modification History 16
90 Attachments 16
Appendix A-FRCC Entity Initial-Change Registration Form 17
Appendix B-FRCC Entity Certification Request Form 19
Appendix C-FRCC Registration Process Flowchart 20
Appendix D-FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart 21
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10 Purpose
Provide a process to implement the Organization Registration and Organization Certification Programs
administered by the Florida Reliability Coordinating Council (FRCC) identifying those entities that are
responsible for compliance to the mandatory and enforceable North American Electric Reliability
Corporation (NERC) andor FRCC Regional Reliability Standards
20 Terms and Definitions
Registered Entity - An owner operator or user of the bulk power system or the entities registered
as their designees for the purpose of compliance that is included in the NERC and Regional
Compliance Registry
Regional Entity - An organization authorized by FERC that implements a NERC approved
Compliance Monitoring and Enforcement Program to promote the reliability of the bulk power
system by enforcing compliance with approved NERC Reliability Standards in those regions of
North American (pursuant to a delegation agreement with NERC that has been approved by the
applicable ERO governmental authority)
Certification Team - A team which is assembled by FRCC to determine if an applicant meets the
NERCs organization certification requirements for a Reliability Coordinator Balancing Authority
andor a Transmission Operator in the FRCC region
NERC Compliance Registry (NCR) - Listing of bulk power system owners operators and users
that are subject to approved reliability standards and are registered by NERC
30 Background
The NERC Statement of Compliance Registry Criteria detailed in Appendix 5B of the NERC Rules of
Procedure describes the criteria employed by NERC FRCC and the other Regional Entities to determine
in consistent fashion which organizations should be registered as owners operators or users of the BPS and
included on the NERC Compliance Registry (NCR) The process for registration is described in Section 500
and Appendix 5A of the NERC Rules of Procedure
40 Applicability This procedure is applicable to both FRCC RE Staff and FRCC Registered Entities
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50 Responsibilities
Procedure Owner
The FRCC Standards and Registration staff is responsible for administering and maintaining this
procedure in accordance with the requirements identified in the NERC Organization Registration
and Certification Manual (Appendix 5A of the NERC Rules of Procedure) approved Regional
Entity delegation agreements or other applicable process documents The procedure will be reviewed
at least once each calendar year (January-December) by the FRCC Manager of Standards and
Registration and approved by the FRCC Vice President of Standards and Compliance
Entity
Each Registered Entity identified on the NCR in the FRCC region is obligated to notify the FRCC
upon adding deleting or transferring of equipment sale of assets changes in ownership corporate
structure or similar matters that affect the entityrsquos responsibilities with respect to Reliability
Standards Failure to comply will not relieve the entity from any responsibility to comply with the
Reliability Standards or shield the entity from any penalties or sanctions associated with failing to
comply with the approved Reliability Standards applicable to the associated registration
FRCC Standards and Registration Staff
Ensure that users owners and operators of the FRCC Bulk Power System that meet the requirements
for inclusion on the NCR are registered and certified when required
60 Procedure
Registration Overview
NERC has delegated the implementation and responsibility of registering entities that are responsible
for compliance with its Reliability Standards to the FRCC NERC has also delegated to FRCC the
responsibility of performing Certification of a Registered Entityrsquos capability to perform the tasks of
the certifiable functions ie Reliability Coordinator (RC) Balancing Authority (BA) and
Transmission Operator (TOP) for which it has applied or has been registered
Responsibilities delegated to FRCC by NERC and FERC include the following
Ensure that all entities within the FRCC region have been properly registered for the
applicable functions needed to implement the NERC Reliability Standards
That the new Registered Entity (ie applicant to be an RC BA or TOP that is not already
performing the function) has the tools processes training and procedures to demonstrate its
ability to meet the requirementssub-requirements of all the Reliability Standards applicable
to the function(s) for which it is applying and thereby demonstrating the ability to become
certified and then operational
This procedure includes the process for Individual Registration Joint Registration Organization
(JRO) and Coordinated Functional Registration (CFR) Organizations listed on the NERC
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Compliance Registry will be responsible for knowing the content of and complying with the NERC
and FRCC Reliability Standards applicable to the functions for which they are registered
All users owners and operators of the Bulk Power System within the FRCC that meet NERCs
Compliance Registration Criteria are required to register with FRCC using the forms posted on the
FRCC Entity Registration amp Certification public website FRCC Bulk Power System owners
operators and users are responsible for providing FRCC the necessary information requested in the
application to complete their registration
If an entity does not self-register FRCC has the obligation to identify and register that entity should
they meet the criteria for inclusion in the NCR FRCC requests existing Transmission Owners
Balancing Authorities Transmission Operators Reliability Coordinators and other Registered
Entities to assist FRCC in identifying new users owners and operators of the FRCC Bulk Power
System for inclusion in the NCR Once an entity has been identified for registration FRCC will
notify the entity of FRCCs intent to register them in the NCR
NERC maintains the official NCR of the Bulk Power System owners operators and users that are
subject to compliance to approved NERC Reliability Standards Organizations listed in the NCR are
responsible for knowing the content of and for complying with all NERC Reliability Standards and
requirements applicable to the Registered Entity
Individual Organization Registration Process
All entities performing functions as defined in the NERC Statement of Compliance Registry Criteria
are required to register using forms and processes described on the FRCC Standards and Registration
public website Entities seeking new registration should complete the FRCC Registration Initial-
Change Request Form and submit the completed form to registrationmanagerfrcccom Any
questions concerning the registration process should be directed to the FRCC Standards and
Registration Staff at registrationmanagerfrcccom
Upon receipt of the Registration Initial-Change Request Form the FRCC Standards and Registration
staff will provide an acknowledgement via email to the entity The FRCC Standards and
Registration Manager will review the submittal and confirm whether the entity operates only within
the FRCC region or if it operates (or is already registered) in more than one region For applicants
that are registered in more than one region they will have the opportunity to enter the Multi-Region
Registered Entities (MRRE) Coordinated Oversight Program If the Registered Entity chooses
coordinated oversight the FRCC will work with NERC and the other applicable Regional Entity(ies)
for registration coordination
The FRCC Standards and Registration Manager will evaluate the requested Registration submittal
FRCC may require revisions or additional information to determine if the entity meets the criteria for
inclusion in the NCR as set forth in the NERC Statement of Compliance Registry Criteria
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The FRCC Registration Process shall
Verify that Balancing Authorities (BA) and Transmission Operators (TOP) are under the
responsibility of one and only one Reliability Coordinator (RC)
Verify that transmission elements of the FRCC Bulk Power System are the responsibility of
and under the control of one and only one Transmission Planner (TP) Planning Authority
(PA) and Transmission Operator (TO)
Verify that all Loads and generators are under the responsibility and control of one and only
one Balancing Authority (BA)
Verify that each Generator Owner (GO) is affiliated with a Generator Operator (GOP)
Verify that each Transmission Owner (TO) is affiliated with a Transmission Operator (TOP)
The FRCC Standards and Registration Manager will approve or reject the submitting entityrsquos
determination of the registration function(s) The approved registration will be entered into the
FRCC Compliance Tracking and Submittal (CTS) system database providing the registration
information to NERC for inclusion in the NCR Once the new registration is received NERC will
prepare a draft registration notification letter for the FRCC to review and confirm accuracy
Once the draft registration notification letter is confirmed NERC will issue the official letter via
email with hard copy to follow to the Registered Entity advising them of its inclusion in the NCR
its responsibilities as a Registered Entity and the Registered Entitys rights to appeal the registration
status in accordance with the Rules of Procedure and Appendix 5 NERC will assign the Registered
Entity an NCR number and will log the effective date of registration with the entityrsquos applicable
functions in their database
Joint Registration Organization (JRO) Process
An entity may register as a JRO on behalf of one or more of its members or related entities for one
or more functions for which such members or related entities would otherwise be required to
register Therefore the JRO would accept on behalf of such members or related entities all
compliance responsibility for those functions including all reporting requirements Any entity
seeking to register as a JRO must submit a written agreement with its members or related entities
identifying the function(s) for which the entity is registering and taking responsibility When a JRO
registers for a function it takes on the responsibility for all applicable reliability standard
requirements associated with the registered function Neither NERC nor the FRCC shall be parties to
any such agreement nor shall NERC or the FRCC have responsibility for reviewing or approving
any such agreement other than to verify that the agreement provides for an assignment of
responsibilities consistent with the JRO registration
The FRCC may request clarification of any list submitted that identifies the members or related
entities of the JRO and may request such additional information as the FRCC deems appropriate
The JRO is responsible for providing all of the information and data on behalf of the members or
related entities including submitting information needed for compliance purposes
The FRCC shall notify NERC of each JRO that the FRCC accepts The notification will identify the
point of contact and the functions(s) being registered for on behalf of its members or related entities
The FRCC shall keep a list of all JROs that identifies the JROs members or related entities and the
function(s) for which the JRO is registered for that member(s) or related entity(s) It is the
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
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Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
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Appendix C-FRCC Registration Process Flowchart
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
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Table of Contents Page
The original signatures (where applicable) are maintained on file 2
10 Purpose 4
20 Terms and Definitions 4
30 Background 4
40 Applicability 4
50 Responsibilities 5
60 Procedure 5
70 References 16
80 Review and Modification History 16
90 Attachments 16
Appendix A-FRCC Entity Initial-Change Registration Form 17
Appendix B-FRCC Entity Certification Request Form 19
Appendix C-FRCC Registration Process Flowchart 20
Appendix D-FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart 21
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10 Purpose
Provide a process to implement the Organization Registration and Organization Certification Programs
administered by the Florida Reliability Coordinating Council (FRCC) identifying those entities that are
responsible for compliance to the mandatory and enforceable North American Electric Reliability
Corporation (NERC) andor FRCC Regional Reliability Standards
20 Terms and Definitions
Registered Entity - An owner operator or user of the bulk power system or the entities registered
as their designees for the purpose of compliance that is included in the NERC and Regional
Compliance Registry
Regional Entity - An organization authorized by FERC that implements a NERC approved
Compliance Monitoring and Enforcement Program to promote the reliability of the bulk power
system by enforcing compliance with approved NERC Reliability Standards in those regions of
North American (pursuant to a delegation agreement with NERC that has been approved by the
applicable ERO governmental authority)
Certification Team - A team which is assembled by FRCC to determine if an applicant meets the
NERCs organization certification requirements for a Reliability Coordinator Balancing Authority
andor a Transmission Operator in the FRCC region
NERC Compliance Registry (NCR) - Listing of bulk power system owners operators and users
that are subject to approved reliability standards and are registered by NERC
30 Background
The NERC Statement of Compliance Registry Criteria detailed in Appendix 5B of the NERC Rules of
Procedure describes the criteria employed by NERC FRCC and the other Regional Entities to determine
in consistent fashion which organizations should be registered as owners operators or users of the BPS and
included on the NERC Compliance Registry (NCR) The process for registration is described in Section 500
and Appendix 5A of the NERC Rules of Procedure
40 Applicability This procedure is applicable to both FRCC RE Staff and FRCC Registered Entities
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50 Responsibilities
Procedure Owner
The FRCC Standards and Registration staff is responsible for administering and maintaining this
procedure in accordance with the requirements identified in the NERC Organization Registration
and Certification Manual (Appendix 5A of the NERC Rules of Procedure) approved Regional
Entity delegation agreements or other applicable process documents The procedure will be reviewed
at least once each calendar year (January-December) by the FRCC Manager of Standards and
Registration and approved by the FRCC Vice President of Standards and Compliance
Entity
Each Registered Entity identified on the NCR in the FRCC region is obligated to notify the FRCC
upon adding deleting or transferring of equipment sale of assets changes in ownership corporate
structure or similar matters that affect the entityrsquos responsibilities with respect to Reliability
Standards Failure to comply will not relieve the entity from any responsibility to comply with the
Reliability Standards or shield the entity from any penalties or sanctions associated with failing to
comply with the approved Reliability Standards applicable to the associated registration
FRCC Standards and Registration Staff
Ensure that users owners and operators of the FRCC Bulk Power System that meet the requirements
for inclusion on the NCR are registered and certified when required
60 Procedure
Registration Overview
NERC has delegated the implementation and responsibility of registering entities that are responsible
for compliance with its Reliability Standards to the FRCC NERC has also delegated to FRCC the
responsibility of performing Certification of a Registered Entityrsquos capability to perform the tasks of
the certifiable functions ie Reliability Coordinator (RC) Balancing Authority (BA) and
Transmission Operator (TOP) for which it has applied or has been registered
Responsibilities delegated to FRCC by NERC and FERC include the following
Ensure that all entities within the FRCC region have been properly registered for the
applicable functions needed to implement the NERC Reliability Standards
That the new Registered Entity (ie applicant to be an RC BA or TOP that is not already
performing the function) has the tools processes training and procedures to demonstrate its
ability to meet the requirementssub-requirements of all the Reliability Standards applicable
to the function(s) for which it is applying and thereby demonstrating the ability to become
certified and then operational
This procedure includes the process for Individual Registration Joint Registration Organization
(JRO) and Coordinated Functional Registration (CFR) Organizations listed on the NERC
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Compliance Registry will be responsible for knowing the content of and complying with the NERC
and FRCC Reliability Standards applicable to the functions for which they are registered
All users owners and operators of the Bulk Power System within the FRCC that meet NERCs
Compliance Registration Criteria are required to register with FRCC using the forms posted on the
FRCC Entity Registration amp Certification public website FRCC Bulk Power System owners
operators and users are responsible for providing FRCC the necessary information requested in the
application to complete their registration
If an entity does not self-register FRCC has the obligation to identify and register that entity should
they meet the criteria for inclusion in the NCR FRCC requests existing Transmission Owners
Balancing Authorities Transmission Operators Reliability Coordinators and other Registered
Entities to assist FRCC in identifying new users owners and operators of the FRCC Bulk Power
System for inclusion in the NCR Once an entity has been identified for registration FRCC will
notify the entity of FRCCs intent to register them in the NCR
NERC maintains the official NCR of the Bulk Power System owners operators and users that are
subject to compliance to approved NERC Reliability Standards Organizations listed in the NCR are
responsible for knowing the content of and for complying with all NERC Reliability Standards and
requirements applicable to the Registered Entity
Individual Organization Registration Process
All entities performing functions as defined in the NERC Statement of Compliance Registry Criteria
are required to register using forms and processes described on the FRCC Standards and Registration
public website Entities seeking new registration should complete the FRCC Registration Initial-
Change Request Form and submit the completed form to registrationmanagerfrcccom Any
questions concerning the registration process should be directed to the FRCC Standards and
Registration Staff at registrationmanagerfrcccom
Upon receipt of the Registration Initial-Change Request Form the FRCC Standards and Registration
staff will provide an acknowledgement via email to the entity The FRCC Standards and
Registration Manager will review the submittal and confirm whether the entity operates only within
the FRCC region or if it operates (or is already registered) in more than one region For applicants
that are registered in more than one region they will have the opportunity to enter the Multi-Region
Registered Entities (MRRE) Coordinated Oversight Program If the Registered Entity chooses
coordinated oversight the FRCC will work with NERC and the other applicable Regional Entity(ies)
for registration coordination
The FRCC Standards and Registration Manager will evaluate the requested Registration submittal
FRCC may require revisions or additional information to determine if the entity meets the criteria for
inclusion in the NCR as set forth in the NERC Statement of Compliance Registry Criteria
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The FRCC Registration Process shall
Verify that Balancing Authorities (BA) and Transmission Operators (TOP) are under the
responsibility of one and only one Reliability Coordinator (RC)
Verify that transmission elements of the FRCC Bulk Power System are the responsibility of
and under the control of one and only one Transmission Planner (TP) Planning Authority
(PA) and Transmission Operator (TO)
Verify that all Loads and generators are under the responsibility and control of one and only
one Balancing Authority (BA)
Verify that each Generator Owner (GO) is affiliated with a Generator Operator (GOP)
Verify that each Transmission Owner (TO) is affiliated with a Transmission Operator (TOP)
The FRCC Standards and Registration Manager will approve or reject the submitting entityrsquos
determination of the registration function(s) The approved registration will be entered into the
FRCC Compliance Tracking and Submittal (CTS) system database providing the registration
information to NERC for inclusion in the NCR Once the new registration is received NERC will
prepare a draft registration notification letter for the FRCC to review and confirm accuracy
Once the draft registration notification letter is confirmed NERC will issue the official letter via
email with hard copy to follow to the Registered Entity advising them of its inclusion in the NCR
its responsibilities as a Registered Entity and the Registered Entitys rights to appeal the registration
status in accordance with the Rules of Procedure and Appendix 5 NERC will assign the Registered
Entity an NCR number and will log the effective date of registration with the entityrsquos applicable
functions in their database
Joint Registration Organization (JRO) Process
An entity may register as a JRO on behalf of one or more of its members or related entities for one
or more functions for which such members or related entities would otherwise be required to
register Therefore the JRO would accept on behalf of such members or related entities all
compliance responsibility for those functions including all reporting requirements Any entity
seeking to register as a JRO must submit a written agreement with its members or related entities
identifying the function(s) for which the entity is registering and taking responsibility When a JRO
registers for a function it takes on the responsibility for all applicable reliability standard
requirements associated with the registered function Neither NERC nor the FRCC shall be parties to
any such agreement nor shall NERC or the FRCC have responsibility for reviewing or approving
any such agreement other than to verify that the agreement provides for an assignment of
responsibilities consistent with the JRO registration
The FRCC may request clarification of any list submitted that identifies the members or related
entities of the JRO and may request such additional information as the FRCC deems appropriate
The JRO is responsible for providing all of the information and data on behalf of the members or
related entities including submitting information needed for compliance purposes
The FRCC shall notify NERC of each JRO that the FRCC accepts The notification will identify the
point of contact and the functions(s) being registered for on behalf of its members or related entities
The FRCC shall keep a list of all JROs that identifies the JROs members or related entities and the
function(s) for which the JRO is registered for that member(s) or related entity(s) It is the
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
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Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
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Appendix C-FRCC Registration Process Flowchart
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
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10 Purpose
Provide a process to implement the Organization Registration and Organization Certification Programs
administered by the Florida Reliability Coordinating Council (FRCC) identifying those entities that are
responsible for compliance to the mandatory and enforceable North American Electric Reliability
Corporation (NERC) andor FRCC Regional Reliability Standards
20 Terms and Definitions
Registered Entity - An owner operator or user of the bulk power system or the entities registered
as their designees for the purpose of compliance that is included in the NERC and Regional
Compliance Registry
Regional Entity - An organization authorized by FERC that implements a NERC approved
Compliance Monitoring and Enforcement Program to promote the reliability of the bulk power
system by enforcing compliance with approved NERC Reliability Standards in those regions of
North American (pursuant to a delegation agreement with NERC that has been approved by the
applicable ERO governmental authority)
Certification Team - A team which is assembled by FRCC to determine if an applicant meets the
NERCs organization certification requirements for a Reliability Coordinator Balancing Authority
andor a Transmission Operator in the FRCC region
NERC Compliance Registry (NCR) - Listing of bulk power system owners operators and users
that are subject to approved reliability standards and are registered by NERC
30 Background
The NERC Statement of Compliance Registry Criteria detailed in Appendix 5B of the NERC Rules of
Procedure describes the criteria employed by NERC FRCC and the other Regional Entities to determine
in consistent fashion which organizations should be registered as owners operators or users of the BPS and
included on the NERC Compliance Registry (NCR) The process for registration is described in Section 500
and Appendix 5A of the NERC Rules of Procedure
40 Applicability This procedure is applicable to both FRCC RE Staff and FRCC Registered Entities
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50 Responsibilities
Procedure Owner
The FRCC Standards and Registration staff is responsible for administering and maintaining this
procedure in accordance with the requirements identified in the NERC Organization Registration
and Certification Manual (Appendix 5A of the NERC Rules of Procedure) approved Regional
Entity delegation agreements or other applicable process documents The procedure will be reviewed
at least once each calendar year (January-December) by the FRCC Manager of Standards and
Registration and approved by the FRCC Vice President of Standards and Compliance
Entity
Each Registered Entity identified on the NCR in the FRCC region is obligated to notify the FRCC
upon adding deleting or transferring of equipment sale of assets changes in ownership corporate
structure or similar matters that affect the entityrsquos responsibilities with respect to Reliability
Standards Failure to comply will not relieve the entity from any responsibility to comply with the
Reliability Standards or shield the entity from any penalties or sanctions associated with failing to
comply with the approved Reliability Standards applicable to the associated registration
FRCC Standards and Registration Staff
Ensure that users owners and operators of the FRCC Bulk Power System that meet the requirements
for inclusion on the NCR are registered and certified when required
60 Procedure
Registration Overview
NERC has delegated the implementation and responsibility of registering entities that are responsible
for compliance with its Reliability Standards to the FRCC NERC has also delegated to FRCC the
responsibility of performing Certification of a Registered Entityrsquos capability to perform the tasks of
the certifiable functions ie Reliability Coordinator (RC) Balancing Authority (BA) and
Transmission Operator (TOP) for which it has applied or has been registered
Responsibilities delegated to FRCC by NERC and FERC include the following
Ensure that all entities within the FRCC region have been properly registered for the
applicable functions needed to implement the NERC Reliability Standards
That the new Registered Entity (ie applicant to be an RC BA or TOP that is not already
performing the function) has the tools processes training and procedures to demonstrate its
ability to meet the requirementssub-requirements of all the Reliability Standards applicable
to the function(s) for which it is applying and thereby demonstrating the ability to become
certified and then operational
This procedure includes the process for Individual Registration Joint Registration Organization
(JRO) and Coordinated Functional Registration (CFR) Organizations listed on the NERC
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Compliance Registry will be responsible for knowing the content of and complying with the NERC
and FRCC Reliability Standards applicable to the functions for which they are registered
All users owners and operators of the Bulk Power System within the FRCC that meet NERCs
Compliance Registration Criteria are required to register with FRCC using the forms posted on the
FRCC Entity Registration amp Certification public website FRCC Bulk Power System owners
operators and users are responsible for providing FRCC the necessary information requested in the
application to complete their registration
If an entity does not self-register FRCC has the obligation to identify and register that entity should
they meet the criteria for inclusion in the NCR FRCC requests existing Transmission Owners
Balancing Authorities Transmission Operators Reliability Coordinators and other Registered
Entities to assist FRCC in identifying new users owners and operators of the FRCC Bulk Power
System for inclusion in the NCR Once an entity has been identified for registration FRCC will
notify the entity of FRCCs intent to register them in the NCR
NERC maintains the official NCR of the Bulk Power System owners operators and users that are
subject to compliance to approved NERC Reliability Standards Organizations listed in the NCR are
responsible for knowing the content of and for complying with all NERC Reliability Standards and
requirements applicable to the Registered Entity
Individual Organization Registration Process
All entities performing functions as defined in the NERC Statement of Compliance Registry Criteria
are required to register using forms and processes described on the FRCC Standards and Registration
public website Entities seeking new registration should complete the FRCC Registration Initial-
Change Request Form and submit the completed form to registrationmanagerfrcccom Any
questions concerning the registration process should be directed to the FRCC Standards and
Registration Staff at registrationmanagerfrcccom
Upon receipt of the Registration Initial-Change Request Form the FRCC Standards and Registration
staff will provide an acknowledgement via email to the entity The FRCC Standards and
Registration Manager will review the submittal and confirm whether the entity operates only within
the FRCC region or if it operates (or is already registered) in more than one region For applicants
that are registered in more than one region they will have the opportunity to enter the Multi-Region
Registered Entities (MRRE) Coordinated Oversight Program If the Registered Entity chooses
coordinated oversight the FRCC will work with NERC and the other applicable Regional Entity(ies)
for registration coordination
The FRCC Standards and Registration Manager will evaluate the requested Registration submittal
FRCC may require revisions or additional information to determine if the entity meets the criteria for
inclusion in the NCR as set forth in the NERC Statement of Compliance Registry Criteria
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The FRCC Registration Process shall
Verify that Balancing Authorities (BA) and Transmission Operators (TOP) are under the
responsibility of one and only one Reliability Coordinator (RC)
Verify that transmission elements of the FRCC Bulk Power System are the responsibility of
and under the control of one and only one Transmission Planner (TP) Planning Authority
(PA) and Transmission Operator (TO)
Verify that all Loads and generators are under the responsibility and control of one and only
one Balancing Authority (BA)
Verify that each Generator Owner (GO) is affiliated with a Generator Operator (GOP)
Verify that each Transmission Owner (TO) is affiliated with a Transmission Operator (TOP)
The FRCC Standards and Registration Manager will approve or reject the submitting entityrsquos
determination of the registration function(s) The approved registration will be entered into the
FRCC Compliance Tracking and Submittal (CTS) system database providing the registration
information to NERC for inclusion in the NCR Once the new registration is received NERC will
prepare a draft registration notification letter for the FRCC to review and confirm accuracy
Once the draft registration notification letter is confirmed NERC will issue the official letter via
email with hard copy to follow to the Registered Entity advising them of its inclusion in the NCR
its responsibilities as a Registered Entity and the Registered Entitys rights to appeal the registration
status in accordance with the Rules of Procedure and Appendix 5 NERC will assign the Registered
Entity an NCR number and will log the effective date of registration with the entityrsquos applicable
functions in their database
Joint Registration Organization (JRO) Process
An entity may register as a JRO on behalf of one or more of its members or related entities for one
or more functions for which such members or related entities would otherwise be required to
register Therefore the JRO would accept on behalf of such members or related entities all
compliance responsibility for those functions including all reporting requirements Any entity
seeking to register as a JRO must submit a written agreement with its members or related entities
identifying the function(s) for which the entity is registering and taking responsibility When a JRO
registers for a function it takes on the responsibility for all applicable reliability standard
requirements associated with the registered function Neither NERC nor the FRCC shall be parties to
any such agreement nor shall NERC or the FRCC have responsibility for reviewing or approving
any such agreement other than to verify that the agreement provides for an assignment of
responsibilities consistent with the JRO registration
The FRCC may request clarification of any list submitted that identifies the members or related
entities of the JRO and may request such additional information as the FRCC deems appropriate
The JRO is responsible for providing all of the information and data on behalf of the members or
related entities including submitting information needed for compliance purposes
The FRCC shall notify NERC of each JRO that the FRCC accepts The notification will identify the
point of contact and the functions(s) being registered for on behalf of its members or related entities
The FRCC shall keep a list of all JROs that identifies the JROs members or related entities and the
function(s) for which the JRO is registered for that member(s) or related entity(s) It is the
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
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Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
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Appendix C-FRCC Registration Process Flowchart
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
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50 Responsibilities
Procedure Owner
The FRCC Standards and Registration staff is responsible for administering and maintaining this
procedure in accordance with the requirements identified in the NERC Organization Registration
and Certification Manual (Appendix 5A of the NERC Rules of Procedure) approved Regional
Entity delegation agreements or other applicable process documents The procedure will be reviewed
at least once each calendar year (January-December) by the FRCC Manager of Standards and
Registration and approved by the FRCC Vice President of Standards and Compliance
Entity
Each Registered Entity identified on the NCR in the FRCC region is obligated to notify the FRCC
upon adding deleting or transferring of equipment sale of assets changes in ownership corporate
structure or similar matters that affect the entityrsquos responsibilities with respect to Reliability
Standards Failure to comply will not relieve the entity from any responsibility to comply with the
Reliability Standards or shield the entity from any penalties or sanctions associated with failing to
comply with the approved Reliability Standards applicable to the associated registration
FRCC Standards and Registration Staff
Ensure that users owners and operators of the FRCC Bulk Power System that meet the requirements
for inclusion on the NCR are registered and certified when required
60 Procedure
Registration Overview
NERC has delegated the implementation and responsibility of registering entities that are responsible
for compliance with its Reliability Standards to the FRCC NERC has also delegated to FRCC the
responsibility of performing Certification of a Registered Entityrsquos capability to perform the tasks of
the certifiable functions ie Reliability Coordinator (RC) Balancing Authority (BA) and
Transmission Operator (TOP) for which it has applied or has been registered
Responsibilities delegated to FRCC by NERC and FERC include the following
Ensure that all entities within the FRCC region have been properly registered for the
applicable functions needed to implement the NERC Reliability Standards
That the new Registered Entity (ie applicant to be an RC BA or TOP that is not already
performing the function) has the tools processes training and procedures to demonstrate its
ability to meet the requirementssub-requirements of all the Reliability Standards applicable
to the function(s) for which it is applying and thereby demonstrating the ability to become
certified and then operational
This procedure includes the process for Individual Registration Joint Registration Organization
(JRO) and Coordinated Functional Registration (CFR) Organizations listed on the NERC
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Compliance Registry will be responsible for knowing the content of and complying with the NERC
and FRCC Reliability Standards applicable to the functions for which they are registered
All users owners and operators of the Bulk Power System within the FRCC that meet NERCs
Compliance Registration Criteria are required to register with FRCC using the forms posted on the
FRCC Entity Registration amp Certification public website FRCC Bulk Power System owners
operators and users are responsible for providing FRCC the necessary information requested in the
application to complete their registration
If an entity does not self-register FRCC has the obligation to identify and register that entity should
they meet the criteria for inclusion in the NCR FRCC requests existing Transmission Owners
Balancing Authorities Transmission Operators Reliability Coordinators and other Registered
Entities to assist FRCC in identifying new users owners and operators of the FRCC Bulk Power
System for inclusion in the NCR Once an entity has been identified for registration FRCC will
notify the entity of FRCCs intent to register them in the NCR
NERC maintains the official NCR of the Bulk Power System owners operators and users that are
subject to compliance to approved NERC Reliability Standards Organizations listed in the NCR are
responsible for knowing the content of and for complying with all NERC Reliability Standards and
requirements applicable to the Registered Entity
Individual Organization Registration Process
All entities performing functions as defined in the NERC Statement of Compliance Registry Criteria
are required to register using forms and processes described on the FRCC Standards and Registration
public website Entities seeking new registration should complete the FRCC Registration Initial-
Change Request Form and submit the completed form to registrationmanagerfrcccom Any
questions concerning the registration process should be directed to the FRCC Standards and
Registration Staff at registrationmanagerfrcccom
Upon receipt of the Registration Initial-Change Request Form the FRCC Standards and Registration
staff will provide an acknowledgement via email to the entity The FRCC Standards and
Registration Manager will review the submittal and confirm whether the entity operates only within
the FRCC region or if it operates (or is already registered) in more than one region For applicants
that are registered in more than one region they will have the opportunity to enter the Multi-Region
Registered Entities (MRRE) Coordinated Oversight Program If the Registered Entity chooses
coordinated oversight the FRCC will work with NERC and the other applicable Regional Entity(ies)
for registration coordination
The FRCC Standards and Registration Manager will evaluate the requested Registration submittal
FRCC may require revisions or additional information to determine if the entity meets the criteria for
inclusion in the NCR as set forth in the NERC Statement of Compliance Registry Criteria
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The FRCC Registration Process shall
Verify that Balancing Authorities (BA) and Transmission Operators (TOP) are under the
responsibility of one and only one Reliability Coordinator (RC)
Verify that transmission elements of the FRCC Bulk Power System are the responsibility of
and under the control of one and only one Transmission Planner (TP) Planning Authority
(PA) and Transmission Operator (TO)
Verify that all Loads and generators are under the responsibility and control of one and only
one Balancing Authority (BA)
Verify that each Generator Owner (GO) is affiliated with a Generator Operator (GOP)
Verify that each Transmission Owner (TO) is affiliated with a Transmission Operator (TOP)
The FRCC Standards and Registration Manager will approve or reject the submitting entityrsquos
determination of the registration function(s) The approved registration will be entered into the
FRCC Compliance Tracking and Submittal (CTS) system database providing the registration
information to NERC for inclusion in the NCR Once the new registration is received NERC will
prepare a draft registration notification letter for the FRCC to review and confirm accuracy
Once the draft registration notification letter is confirmed NERC will issue the official letter via
email with hard copy to follow to the Registered Entity advising them of its inclusion in the NCR
its responsibilities as a Registered Entity and the Registered Entitys rights to appeal the registration
status in accordance with the Rules of Procedure and Appendix 5 NERC will assign the Registered
Entity an NCR number and will log the effective date of registration with the entityrsquos applicable
functions in their database
Joint Registration Organization (JRO) Process
An entity may register as a JRO on behalf of one or more of its members or related entities for one
or more functions for which such members or related entities would otherwise be required to
register Therefore the JRO would accept on behalf of such members or related entities all
compliance responsibility for those functions including all reporting requirements Any entity
seeking to register as a JRO must submit a written agreement with its members or related entities
identifying the function(s) for which the entity is registering and taking responsibility When a JRO
registers for a function it takes on the responsibility for all applicable reliability standard
requirements associated with the registered function Neither NERC nor the FRCC shall be parties to
any such agreement nor shall NERC or the FRCC have responsibility for reviewing or approving
any such agreement other than to verify that the agreement provides for an assignment of
responsibilities consistent with the JRO registration
The FRCC may request clarification of any list submitted that identifies the members or related
entities of the JRO and may request such additional information as the FRCC deems appropriate
The JRO is responsible for providing all of the information and data on behalf of the members or
related entities including submitting information needed for compliance purposes
The FRCC shall notify NERC of each JRO that the FRCC accepts The notification will identify the
point of contact and the functions(s) being registered for on behalf of its members or related entities
The FRCC shall keep a list of all JROs that identifies the JROs members or related entities and the
function(s) for which the JRO is registered for that member(s) or related entity(s) It is the
FRCC-RE-REG-101 FRCC REGISTRATION AND
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
FRCC-RE-REG-101 FRCC REGISTRATION AND
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
FRCC-RE-REG-101 FRCC REGISTRATION AND
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
FRCC-RE-REG-101 FRCC REGISTRATION AND
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
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Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
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Appendix C-FRCC Registration Process Flowchart
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
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Compliance Registry will be responsible for knowing the content of and complying with the NERC
and FRCC Reliability Standards applicable to the functions for which they are registered
All users owners and operators of the Bulk Power System within the FRCC that meet NERCs
Compliance Registration Criteria are required to register with FRCC using the forms posted on the
FRCC Entity Registration amp Certification public website FRCC Bulk Power System owners
operators and users are responsible for providing FRCC the necessary information requested in the
application to complete their registration
If an entity does not self-register FRCC has the obligation to identify and register that entity should
they meet the criteria for inclusion in the NCR FRCC requests existing Transmission Owners
Balancing Authorities Transmission Operators Reliability Coordinators and other Registered
Entities to assist FRCC in identifying new users owners and operators of the FRCC Bulk Power
System for inclusion in the NCR Once an entity has been identified for registration FRCC will
notify the entity of FRCCs intent to register them in the NCR
NERC maintains the official NCR of the Bulk Power System owners operators and users that are
subject to compliance to approved NERC Reliability Standards Organizations listed in the NCR are
responsible for knowing the content of and for complying with all NERC Reliability Standards and
requirements applicable to the Registered Entity
Individual Organization Registration Process
All entities performing functions as defined in the NERC Statement of Compliance Registry Criteria
are required to register using forms and processes described on the FRCC Standards and Registration
public website Entities seeking new registration should complete the FRCC Registration Initial-
Change Request Form and submit the completed form to registrationmanagerfrcccom Any
questions concerning the registration process should be directed to the FRCC Standards and
Registration Staff at registrationmanagerfrcccom
Upon receipt of the Registration Initial-Change Request Form the FRCC Standards and Registration
staff will provide an acknowledgement via email to the entity The FRCC Standards and
Registration Manager will review the submittal and confirm whether the entity operates only within
the FRCC region or if it operates (or is already registered) in more than one region For applicants
that are registered in more than one region they will have the opportunity to enter the Multi-Region
Registered Entities (MRRE) Coordinated Oversight Program If the Registered Entity chooses
coordinated oversight the FRCC will work with NERC and the other applicable Regional Entity(ies)
for registration coordination
The FRCC Standards and Registration Manager will evaluate the requested Registration submittal
FRCC may require revisions or additional information to determine if the entity meets the criteria for
inclusion in the NCR as set forth in the NERC Statement of Compliance Registry Criteria
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The FRCC Registration Process shall
Verify that Balancing Authorities (BA) and Transmission Operators (TOP) are under the
responsibility of one and only one Reliability Coordinator (RC)
Verify that transmission elements of the FRCC Bulk Power System are the responsibility of
and under the control of one and only one Transmission Planner (TP) Planning Authority
(PA) and Transmission Operator (TO)
Verify that all Loads and generators are under the responsibility and control of one and only
one Balancing Authority (BA)
Verify that each Generator Owner (GO) is affiliated with a Generator Operator (GOP)
Verify that each Transmission Owner (TO) is affiliated with a Transmission Operator (TOP)
The FRCC Standards and Registration Manager will approve or reject the submitting entityrsquos
determination of the registration function(s) The approved registration will be entered into the
FRCC Compliance Tracking and Submittal (CTS) system database providing the registration
information to NERC for inclusion in the NCR Once the new registration is received NERC will
prepare a draft registration notification letter for the FRCC to review and confirm accuracy
Once the draft registration notification letter is confirmed NERC will issue the official letter via
email with hard copy to follow to the Registered Entity advising them of its inclusion in the NCR
its responsibilities as a Registered Entity and the Registered Entitys rights to appeal the registration
status in accordance with the Rules of Procedure and Appendix 5 NERC will assign the Registered
Entity an NCR number and will log the effective date of registration with the entityrsquos applicable
functions in their database
Joint Registration Organization (JRO) Process
An entity may register as a JRO on behalf of one or more of its members or related entities for one
or more functions for which such members or related entities would otherwise be required to
register Therefore the JRO would accept on behalf of such members or related entities all
compliance responsibility for those functions including all reporting requirements Any entity
seeking to register as a JRO must submit a written agreement with its members or related entities
identifying the function(s) for which the entity is registering and taking responsibility When a JRO
registers for a function it takes on the responsibility for all applicable reliability standard
requirements associated with the registered function Neither NERC nor the FRCC shall be parties to
any such agreement nor shall NERC or the FRCC have responsibility for reviewing or approving
any such agreement other than to verify that the agreement provides for an assignment of
responsibilities consistent with the JRO registration
The FRCC may request clarification of any list submitted that identifies the members or related
entities of the JRO and may request such additional information as the FRCC deems appropriate
The JRO is responsible for providing all of the information and data on behalf of the members or
related entities including submitting information needed for compliance purposes
The FRCC shall notify NERC of each JRO that the FRCC accepts The notification will identify the
point of contact and the functions(s) being registered for on behalf of its members or related entities
The FRCC shall keep a list of all JROs that identifies the JROs members or related entities and the
function(s) for which the JRO is registered for that member(s) or related entity(s) It is the
FRCC-RE-REG-101 FRCC REGISTRATION AND
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
FRCC-RE-REG-101 FRCC REGISTRATION AND
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
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Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
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Appendix C-FRCC Registration Process Flowchart
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CERTIFICATION PROCEDURE Page 21 of 21
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
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The FRCC Registration Process shall
Verify that Balancing Authorities (BA) and Transmission Operators (TOP) are under the
responsibility of one and only one Reliability Coordinator (RC)
Verify that transmission elements of the FRCC Bulk Power System are the responsibility of
and under the control of one and only one Transmission Planner (TP) Planning Authority
(PA) and Transmission Operator (TO)
Verify that all Loads and generators are under the responsibility and control of one and only
one Balancing Authority (BA)
Verify that each Generator Owner (GO) is affiliated with a Generator Operator (GOP)
Verify that each Transmission Owner (TO) is affiliated with a Transmission Operator (TOP)
The FRCC Standards and Registration Manager will approve or reject the submitting entityrsquos
determination of the registration function(s) The approved registration will be entered into the
FRCC Compliance Tracking and Submittal (CTS) system database providing the registration
information to NERC for inclusion in the NCR Once the new registration is received NERC will
prepare a draft registration notification letter for the FRCC to review and confirm accuracy
Once the draft registration notification letter is confirmed NERC will issue the official letter via
email with hard copy to follow to the Registered Entity advising them of its inclusion in the NCR
its responsibilities as a Registered Entity and the Registered Entitys rights to appeal the registration
status in accordance with the Rules of Procedure and Appendix 5 NERC will assign the Registered
Entity an NCR number and will log the effective date of registration with the entityrsquos applicable
functions in their database
Joint Registration Organization (JRO) Process
An entity may register as a JRO on behalf of one or more of its members or related entities for one
or more functions for which such members or related entities would otherwise be required to
register Therefore the JRO would accept on behalf of such members or related entities all
compliance responsibility for those functions including all reporting requirements Any entity
seeking to register as a JRO must submit a written agreement with its members or related entities
identifying the function(s) for which the entity is registering and taking responsibility When a JRO
registers for a function it takes on the responsibility for all applicable reliability standard
requirements associated with the registered function Neither NERC nor the FRCC shall be parties to
any such agreement nor shall NERC or the FRCC have responsibility for reviewing or approving
any such agreement other than to verify that the agreement provides for an assignment of
responsibilities consistent with the JRO registration
The FRCC may request clarification of any list submitted that identifies the members or related
entities of the JRO and may request such additional information as the FRCC deems appropriate
The JRO is responsible for providing all of the information and data on behalf of the members or
related entities including submitting information needed for compliance purposes
The FRCC shall notify NERC of each JRO that the FRCC accepts The notification will identify the
point of contact and the functions(s) being registered for on behalf of its members or related entities
The FRCC shall keep a list of all JROs that identifies the JROs members or related entities and the
function(s) for which the JRO is registered for that member(s) or related entity(s) It is the
FRCC-RE-REG-101 FRCC REGISTRATION AND
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 9 of 21
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
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Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
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Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 8 of 21
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responsibility of the JRO to provide the FRCC with this information as well as the applicable JRO
agreement(s)
The JRO shall inform the FRCC of any changes that may impact an existing JRO The FRCC shall
promptly notify NERC of each such revision In accordance with the NERC Rules of Procedure any
JRO registered with FRCC will be required to provide an annual update of its Membership and
Division of Responsibilities (ie matrix of accountability by requirement)
Section 507 of the NERC Rules of Procedure shall not preclude a member of a JRO a member or
related entity or any other entity from registering on its own behalf and undertaking full compliance
responsibility including reporting requirements for the reliability standards applicable to the
function(s) for which the member or other entity is registering A JRO member or related entity that
registers as responsible for any reliability standard or requirementsub-requirement of a reliability
standard shall inform the JRO of its registration change
Coordinated Functional Registration (CFR) Process
Multiple entities may coordinate their registration using a CFR for one or more reliability standard(s)
andor for one or more requirementssub requirements within a particular reliability standard(s)
applicable to a specific function The CFR submission must include a written agreement between the
CFR parties and a matrix that clearly specifies the entities respective compliance responsibilities for
each standard and requirement that is included in the CFR Each entity shall take full compliance
responsibility for those standards and requirementssub-requirements for which it has been assigned
in the CFR matrix Neither NERC nor the FRCC shall be parties to any such agreement nor shall
NERC or the FRCC have responsibility for reviewing or approving any such agreement other than
to verify that the agreement provides for an allocation or assignment of responsibilities consistent
with the CFR
Each CFR or each individual entity within a CFR must identify a point of contact that is responsible
for providing information and data including submitting reports as needed by the FRCC related to
the CFR registration
The FRCC shall notify NERC of each CFR that the FRCC accepts NERC or the FRCC may request
clarification of any information submitted to it that identifies the compliance responsibilities of
parties within the CFR and may request such additional information as NERC or the FRCC deems
appropriate
The FRCCs acceptance of the CFR shall be a representation by the FRCC to NERC that the FRCC
has concluded the CFR will meet the registration requirements of Section 501(14) of the NERC
Rules of Procedure
FRCC shall verify the CFR will result in
No gaps or areas lacking in the performance of the duties and tasks identified and required by
the applicable NERC Reliability Standards and
No unnecessary duplication of responsibility for coverage of areas by entities to perform the
duties and tasks identified in and required by the NERC Reliability Standards FRCC shall
submit to NERC for posting on its website the matrix of reliability standards and
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 9 of 21
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requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 10 of 21
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FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
FRCC-RE-REG-101 FRCC REGISTRATION AND
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FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 12 of 21
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 9 of 21
Version 1
Classification Public
requirements applicable to the CFR Registered Entities based on the functions identified
within the CFR
Changes to Entity Registration
All Registered Entities within the FRCC region listed on the NCR shall notify FRCC of changes in
functions for which it is responsible as well as changes in ownership corporate structure contact
information FRCC Bulk Power System assets owned or operated or similar matters that affect the
entityrsquos responsibilities with respect to NERC andor FRCC Regional Reliability Standards
To request a change to its NCR status the Registered Entity should submit a completed FRCC
Entity Registration Initial-Change Request form located on the FRCC Entity Registration and
Certification public website to registrationmangerfrcccom The Registered Entity should also
provide FRCC with a detailed explanation of the basis for the entitys change request and any
evidence supporting the entitys position
FRCC staff may also initiate a change in the NCR at any time a user owner or operator of the FRCC
Bulk Power System is identified as meeting the requirements for registration FRCC Standard and
Registration staff will take such recommendations and other applicable information under
advisement as it determines whether a Registered Entitys registration status should be revised or if a
user owner or operator of the FRCC Bulk Power System should be added to the NCR
FRCC will utilize the criteria set forth in the NERC Statement of Compliance Registry Criteria to
determine whether to make a change to the NCR
Risk-Based Registration Review Process
There is a clear linkage between the application of the Bulk Electric System (BES) Definition the
determination of BES assets and registration In addition the FRCC has incorporated the
consideration of BES risk into the review of entity registration This section describes the
coordination between these different areas to effectively address BES risk and entity registration A
flow chart of the process is provided in Appendix D
FRCC Standards and Registration staff follow the FRCC Regional Process for Implementation of the
BES Definition and Coordination of the ERO Rules of Procedure BES Exceptions Process FRCC-
RE-ISD-002 to coordinate with FRCC Functional Entities to ensure the consistent and accurate
application of the Bulk Electric System (BES) definition within the FRCC Region The process does
not eliminate the lsquoself-determinationrsquo aspect of the application of the BES definition nor the
responsibilities of the Functional Entity but expands the process to include a consensus
determination between the FRCC RE staff and the Functional Entity of which facilities are classified
as BES Elements The consensus determination is documented and retained with supporting
information (eg applicable one-line systemoperating diagrams that clearly identify which facilities
are BES Elements)
FRCCrsquos Risk Assessment and Mitigation (RAM) staff perform and update Inherent Risk
Assessments (IRAs) for each of the Registered Entities within the FRCC Region The RAM staff
identify Risk Elements along with entity-specific information and applicable ERO Enterprise Risk
Factors to determine the inherent risk of a specific Registered Entity
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 10 of 21
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Classification Public
FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 11 of 21
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Classification Public
FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 12 of 21
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including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 13 of 21
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Classification Public
The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 14 of 21
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The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
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Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
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70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
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Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
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Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
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Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
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Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
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Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 10 of 21
Version 1
Classification Public
FRCCrsquos RAM staff and the FRCC Standards and Registration staff coordinate their efforts to ensure
Registered Entities are properly registered This coordination includes periodic reviews of the results
of the BES determinations and the IRArsquos to ensure that entities within the FRCC Region are
properly registered based on risk to the BES and the BES definition The reviews are typically held
during the 2nd week of the first month of each calendar quarter The review process includes the
following major steps
1 Standards and Registration staff conduct Regional BES Evaluation and Initial
RegistrationVerification of Current Registration for the identified entity BES Evaluations are
required to be performed at least every 3 years They may be performed more frequently if the
FRCC is made aware of changes in the Functional Entityrsquos system
2 Standards and Registration staff and RAM staff perform a joint review of BES Determinations
and Initial Current Entity Registration for entities that are scheduled for a new or updated IRA
3 RAM staff conducts an IRA in accordance with the established schedule that includes
consideration of input from the joint review of BES Evaluation Note that the schedule for IRAs
may have been adjusted based on outcome of previous joint review
4 Standards and Registration staff and RAM staff perform a joint review of Inherent Risk
Assessment Results Review the output of the IRA and reevaluate the Registered Entity
registration information to confirm that current registration is consistent with the risk assessment
results or if potential registration changes are needed This joint review may also identify the
need to initiate any certification processes for those entities that are registered as BA TOP or
RC
5 Verification that identified entity is properly registered based on the application of the BES
definition the Compliance Registry Criteria (the NERC Rules of Procedure Appendix 5b) and
the IRA results If the current registration needs modification the Standards and Registration
staff will initiate contact with the Registered Entity to discuss and implement the registration
change process
The FRCC Standards and Registration staff and the FRCC RAM staff will also meet periodically to
ensure that the review process is effective and identify any needed changes to the schedule for BES
evaluations and the scheduling of IRAs
Appeal of an Organization Registration
Any entity included on the NCR may challenge its listing and functional assignments Registered
Entities within the FRCC footprint wishing to challenge their placement on the NCR should contact
FRCC at registrationmanagerfrcccom stating the reasons it believes it should not be considered as
a user owner or operator of the Bulk Power System based on the criteria listed in the NERC
Statement of Compliance Registry Criteria including supporting evidence of its position
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 11 of 21
Version 1
Classification Public
FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 12 of 21
Version 1
Classification Public
including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 13 of 21
Version 1
Classification Public
The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 14 of 21
Version 1
Classification Public
The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
Version 1
Classification Public
Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 11 of 21
Version 1
Classification Public
FRCC will perform a review and provide a written response to an entity registration challenge within
90 days of receipt The Manager of Standards and Registration with the FRCC Vice President of
Standards and Compliance will make the final regional determination on NCR status
The Registered Entity may appeal FRCCs decision to NERC pursuant to the NERC Rules of
Procedure Section 500 The Compliance Committee of the NERC Board of Trustees will provide a
written decision regarding any challenges along with the basis for its decision The decision of the
committee will be final unless the entity appeals the decision to FERC within twenty-one (21)
calendar days of the issuance of the committees decision on the challenge
Organization Certification Overview
The purpose of certification is to evaluate and certify the competency of entities performing primary
reliability responsibilities The entities expected to be certified include Reliability Coordinators
(RC) Transmission Operators (TOP) and Balancing Authorities (BA) Other entities may be added
as required by approved NERC Reliability Standards All non-certified entities or a new entity
seeking certification as a RC TOP or BA function must complete the organization certification
process for each function
FRCC has established a certification process in accordance with Rules of Procedure Appendix 5
Organization Registration and Certification Manual to include processes schedules deadlines and
expectations of the applicants and all entities participating in the certification processes and
requirements for certification teams
The FRCC Standards and Registration Manager via the Certification Process shall ensure that a new
entity (ie applicant to be an RC BA or TOP that is not already performing the function) has the
tools processes training and procedures to demonstrate their ability to meet the Requirementssub-
Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying
and thereby demonstrating the ability to become certified and then operational Entities seeking
certification to perform one of these functions shall contact FRCC at registrationmanagerfrcccom
to apply for certification
FRCCs Certification Team will provide a written report detailing deficiencies that must be resolved
prior to granting certification along with other recommendations for consideration by the entity The
FRCC Certification Team will evaluate the competency of entities requiring certification to meet the
minimum requirements established by the standards for each such function based on the
requirements established by NERC
If an entity is not satisfied with the certification findings of the FRCC Certification Process then it
may appeal to NERC using the NERC appeals process stated in Appendix 5 NERC Organization
Registration and Certification Manual
Entity Organization Certification
Applicants seeking certification in the FRCC region shall initiate the certification process by
submitting a completed certification application to registrationmanagerfrcccom The FRCC
Standards and Registration Manager will then initiate the certification process and form a FRCC
Certification Team When the application is deemed complete and accurate it will be accepted at
that time the applicant and FRCC Standards and Registration Manager shall agree to a timeline
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 12 of 21
Version 1
Classification Public
including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 13 of 21
Version 1
Classification Public
The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 14 of 21
Version 1
Classification Public
The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
Version 1
Classification Public
Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 12 of 21
Version 1
Classification Public
including specific milestones for the certification process The applicant and FRCC Certification
Team shall complete the NERC Organization Certification Process within nine months of the date of
acceptance of the application unless agreed to differently by all parties involved in the process
The Certification Team is charged with the responsibility of determining if the applicant meets
NERCs organization certification requirements The team members shall adhere to NERCrsquos
confidentiality requirements for any data or information made available to the team members
through the Certification process
The applicant may object to any member of the Certification Team in writing to the FRCC
Standards and Registration Manager identifying the reasons for the objection The FRCC Standards
and Registration Manager will either replace the team member or respond with written justification
for keeping the member on the team
Certification Team members shall not be employees of or have a direct financial interest in the
applicant or any of its affiliates The Certification Team shall consist of a minimum of three
individuals including representatives from FRCC and NERC (at NERCs option) The selected
individuals shall represent at least three of the categories listed below
Balancing Authority (BA)
Reliability Coordinator (RC)
Transmission Operator (TOP)
Transmission Owner (TO)
Transmission Service Provider (TSP)
Transmission Planner (TP)
Planning Authority (PA)
Generation Operator (GOP)
Generation Owner (GO)
Representative from NERC staff
Representative from FRCC staff
Representative from another NERC Regional Entity
The FRCC Standards and Registration Manager shall notify the Certification Team members that are
participating in the certification process and provide each with the necessary information regarding the
applicants request for certification the certification process and the duties expected from each entity The
FRCC Standards and Registration Manager shall provide Certification Team members with a copy of the
expectations regarding confidentiality and retention of data reporting completed questionnaires and forms
reports and recommendations associated with the documentation it provides and receives
Information deemed by an applicant entity FRCC or NERC as confidential including critical energy
infrastructure information shall not be released publicly or distributed outside of a committee or team
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 13 of 21
Version 1
Classification Public
The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 14 of 21
Version 1
Classification Public
The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
Version 1
Classification Public
Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 13 of 21
Version 1
Classification Public
The FRCC Standards and Registration Manager shall develop and provide the following to the applicant
(ie entity seeking certification) in support of the certification process
Questionnaires and other related documents which address the applicants capabilities and
actions as they relate to established entity functions and tasks
Certification Schedule
Deadlines for questionnaire submission
Statement of expectations
Additionally the FRCC Standards and Registration Manager may distribute questionnaires and other
related documents in support of the certification process to the following entities as appropriate
BAs TOP(s) and RCs in which the applicant intends to operate or interconnect transmission
facilities
Relevant Transmission Owners (TO) Transmission Service Providers (TSP) Planning
Authorities (PA) Generation Owners (GO) Generation Operators (GOP) Transmission Planner
(TP) andor other applicable Registered Entities
The Certification Team shall conduct at least one on-site visit to the applicants facilities Prior to the
onsite visit the applicant shall provide identification of all tasks that have been delegated to another
entity to the Certification Team There may also be an on-site visit to the facilities of entities
responsible for delegated tasks During the on-site visit the Certification Team will
Review with the applicant the data collected through the questionnaires
Interview the operations and management personnel
Inspect the facilities and equipment
Request a demonstration of all tools identified in the applicable standard
Review necessary documents and data including agreements processes and procedures
identified in the applicable standard
Review certification documents and projected system operator work schedules
Review additional documentation that is needed to support the completed questionnaire or
inquiries arising during the site-visit and
All documentation provided will be retained per FRCC and NERC approved processes and
procedures
The Certification Team shall identify deficiencies (to both the applicant and to the regional entity)
that must be resolved to the satisfaction of the Certification Team prior to making a recommendation
to certify The Certification Team shall formulate a certification recommendation based on
Data collected and validated from the questionnaires
Data collected during demonstrations of tools and review of documents observed during on-site
visit(s)
Information demonstrations and reviews provided as part of a follow-up to correct identified
deficiencies
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 14 of 21
Version 1
Classification Public
The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
Version 1
Classification Public
Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 14 of 21
Version 1
Classification Public
The Certification Team shall support its recommendation through a written report All members of
the Certification Team shall have an equal voice in the certification recommendation This allows for
a minority opinion if the Certification Team cannot reach a consensus
If the applicant intends to operate only in the FRCC region the Certification Team shall make a
recommendation to FRCC Standards and Registration Manager The FRCC Standard and
Registration Manager shall approve or disapprove the certification and notify NERC of the
certification decision
If the applicant intends to operate across regional boundaries the Certification Team shall make a
recommendation to each of the affected regional entities Affected regional entities must approve
granting of the certification or the certification is denied The regional entity shall notify NERC of
the certification decision
FRCC or NERC (in consultation with the affected regional entities) may grant a time extension not
to exceed 180 days to the entity to allow the entity to resolve any open Certification issues If the
applicant meets the conditions set by FRCC or NERC within the additional granted timeframe
FRCC Standards and Registration Manager or NERC shall respond to the applicants notification of
completion of requirements within 30 days After an Entity has been awarded Certification the
FRCC Standards and Registration Manager shall notify all applicable entities (BAs TOP(s) and
RCs in which the applicant intends to operate or interconnect transmission facilities andor other
Registered Entities as deemed appropriate) as to the date that the newly certified Entity may begin its
operation The applicant must commence operation within twelve (12) months of certification
Failure to begin operation within the 12-month period shall require the applicant to reapply for
certification
The RC BA andor TOP Certification Review will follow the same processes and procedures
described herein for new certifications with an appropriately scoped evaluation effort including
team composition onsite visit needs and change in terminology as appropriate
The decision to conduct a Certification Review may be triggered by one or more of the following
organizational or capability based changes
Changes to a Registered Entityrsquos footprint or operational challenges (ie TLRs) due to the
changes
Organizational restructuring that could impact the BPS reliability
Relocation of the control center
Changes to Registered Entity ownership requiring major operating procedure changes
Significant changes to JROCFR assignments or agreements changes
Addition or removal of member JROCFR utilities or entities
Complete replacement of a Supervisory Control and Data Acquisition (SCADA)Energy
Management System (EMS) system
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
Version 1
Classification Public
Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 15 of 21
Version 1
Classification Public
Data Management Process (Confidentiality Integrity Retention)
The FRCC has a ldquoRestricted Information Policyrdquo which requires that to the extent permitted by
law each employee shall maintain the confidentiality of
Any confidential or proprietary FRCC information disclosed or available to the employee
Any confidential or proprietary information of an FRCC member members of FRCC
members or market participants to which the employee has access by virtue of his or her
position with the FRCC and
Any confidential or proprietary information of others that has been provided to the FRCC on
condition of confidentiality
Additionally employees are subject to the FRCC Conflict of Interest and Business Ethics Policies
incorporated herein as well as the North American Electric Reliability Corporation (ldquoNERCrdquo)
Confidentiality rules and the NERC Rules of Procedure governing the protection and non-disclosure
of information that may be privileged confidential proprietary or that may constitute critical energy
infrastructure information
All materials created or used by FRCC personnel while performing Registration and Certification
activities including but not limited to documents papers maps photographs tapes correspondence
memoranda drafts electronic mail and electronic files documents data information and or records
shall be maintained and disposed of in accordance with the NERC Rules of Procedure as per
Sections 501 502 and 1500 as appropriate
The Retention Period for Registration and Certification materials is six (6) years as specified in the
NERC Rules of Procedure
611 Annual Registration Confirmation
During the first quarter of each year the FRCC will send a notification to each registered entity in
the FRCC Region requesting the registered entity to verify
1 the accuracy of its functional registration as shown on the NERC and FRCC Compliance
Registry and
2 the accuracy of the identified functional relationships as shown on the FRCC Compliance
Registry
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 16 of 21
Version 1
Classification Public
70 References
Rules of Procedure Section 500 (ROP 500)
NERC Statement of Compliance Registry Criteria
Appendix 5 to the Rules of Procedure (NERC Organization Registration and Certification Manual)
FRCC Compliance Monitoring and Enforcement Program Section 20
FRCC Procedure CON-201 FRCC Data Retention and Information Confidentiality
80 Review and Modification History
Review and Modification Log
Date Version
Number Description of Review or Modification Pages Affected
1262011 1 New Procedure All
10072016 2 Revision All
90 Attachments
Appendix A-FRCC Entity Initial-Change Registration Form
Appendix B-FRCC Entity Certification Request Form
Appendix C-FRCC Registration Process Flowchart
Appendix D- FRCC Regional Entity Risk-Based Registration Entity Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 17 of 21
Version 1
Classification Public
Appendix A-FRCC Entity Initial-Change Registration Form Entity Registration InitialChange Form
This form should be submitted via e-mail to registrationmanagerfrcccom Entity Information
Entity NameCompany (Legal Name)
Date
Corporate Address
City State Zip Country
Corporate Website
NERC Compliance Registry (NCR) ID
New Facility test power sync date
Registration Request
New
Deactivation
Deregistration
Change1
BA GO GOP DP PA RC RP RSG TO TOP TP TSP DP
UFLS only
Reason for request (ie new registration name change removal of function etc)
DP Function What is the peak Load (MW)
As a DP does your entity own control or operate
1 a required Undervoltage Load Shedding (UVLS) program or
Yes No
2 a required Special Protection System or Remedial Action Scheme or
Yes No
3 a required transmission Protection System or an
Yes No
4 Underfrequency Load Shedding (UFLS) program
Yes No
Has a BES Exception request been submitted
Yes No
List parent company and NERC ID (if applicable)
List affiliates and NERC ID (if applicable)
Coordinated Functional Registration (CFR)
Yes No CFR Number
1 NERC Rules of Procedure Section 500 Organization Registration and Certification Part 501 Scope of the Organization Registration
and Organization Certification Programs Subpart 135 states lsquoEach Registered Entity identified on the NCR shall notify its
corresponding Regional Entity(s) of any corrections revisions deletions changes in ownership corporate structure or similar matters
that affect the Registered Entityrsquos responsibilities with respect to the Reliability Standardsrsquo
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 18 of 21
Version 1
Classification Public
Joint Registration Organization (JRO)
Yes No JRO Number
Multi Regional Registered Entity (MRRE)
FRCC MRO NPCC RF SERC SPP Texas RE WECC
MRRE ID
Additional Comments
Provide the entityrsquos name and the NCR ID that performs the following Generator Operator (GOP)
Transmission Operator (TOP)
Transmission Planner (TP)
Balancing Authority (BA)
Reliability Coordinator (RC)
Planning Authority (PA)
Primary Compliance Contact (PCC) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Primary Compliance Contact Alternate (PCCAlternate) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Authorizing Officer (AO) Information
Name Title
Contact Address City State Zip
Telephone E-Mail Address
Additional documentation may be required based on further evaluation of the registration request
For questions about Registration please contact
Peter Heidrich Manager of Standards amp Registration (813) 207-7994 pheidrichfrcccom or Christina Rau
Standards amp Registration Specialist (813) 207- 7990 craufrcccom
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 19 of 21
Version 1
Classification Public
Appendix B-FRCC Entity Certification Request Form
FRCC CertificationCertification Review Request Form
Submit this form to registrationmanagerfrcccom
Applicantrsquos Information
Current Date
Entity Name
NCR Number if available
TSIN Acronym (XXX)
Corporate Address
City State Zip
Basic Certification Information
Currently on NERC registry as BA TOP RC
Registration MRRE Region(s) MRO NPCC RFC SERC SPP TRE WECC
Who is your RC
BATOP Adjacent Neighbors
Reason for Certification Review ndash Check all that Apply Comments
Changes to an entityrsquos footprint or operational challenges
Organizational restructuring
New or Relocation of control center(s)
Changes to entity ownership requiring major operating procedure changes
Significant changes to JROCFR agreements
Additional removal of member JROCFR entities
Complete replacement of a SCADAEMS system
Operational Information
Operational Changes
Operational Considerations
Details on CFR if applicable
Additional Comments Information
Description of TOPBA Footprint
Comments
Applicantrsquos Contact Information
Name Title
Contact Address City State Zip
Telephone ( ) ndash Cell ( ) ndash
E-mail Address
See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification
NERC Rules of Procedure
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 20 of 21
Version 1
Classification Public
Appendix C-FRCC Registration Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
FRCC-RE-REG-101 FRCC REGISTRATION AND
CERTIFICATION PROCEDURE Page 21 of 21
Version 1
Classification Public
Appendix D- FRCC Regional Entity Risk-Based Registration Entity
Evaluation Process Flowchart
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