[INSERT APPLICABLE REGIONAL ENTITY NAME/LOGO]
[ENTITY NAME] [FUNCTION CERTIFYING] Certification[LOCATION] – [DATES OF ON-SITE VISIT][Presenter Name, Title] Opening Presentation [Month Day, Year]
RELIABILITY | ACCOUNTABILITY2
Topics to Discuss
• Team Members• Team Member Requirements• Certification Aspects• Bucket Items• Certification Process• Certification Appeals• Evidence Policy• Questions and Answers
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Team Members
• [Team Leader 1 (CTL)] [Company affiliation]• [Team Member 2] [Company affiliation]• [Team Member 3] [Company affiliation]• [Team Member 4] [Company affiliation]• [Team Member 5] [Company affiliation]
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Team MemberRequirements
• CT members have completed the required NERC training prior to participation.
• No reasonable objections to CT Members submitted by [ENTITY].
• CT members must adhere to NERC’s Confidentiality Agreement for any data or information received.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Certification Aspects
• Performed Per the NERC Rules of Procedure Section 500 and Appendix 5A require an on-site visit Expected Outcomes - Findings
o Positiveso Bucket Items
• Roles CTL Members [Entity] Participants
• Caucus
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Bucket Items
• Bucket 1 Items Items found that prevent Certification Team from recommending
Certification• Bucket 2 Items
Items found that must be closed:o Prior to going operational, and o Within 180 days of on-site visit completion
• Bucket 3 Items Suggestions for enhancement
o These items will not be included in the final report.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Certification Process
• Entity completes Certification application or RE completes the application on their behalf
• Regional Entity assigns Certification Team Leader who assembles a Certification team
• Regional Entity sends questionnaire and statement of expectations to Entity. RE also sends neighboring questionnaire to BAs, TOPs, and RCs with which Entity intends to interconnect
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
Is Entity amember
of more than oneRE region?
IsEntity required to
be Certified?
Yes NoEntity Files with
respective RE, RE informs NERC
RE(ies) determine which RE will manage Certification process
Entity completes Certification application
Entity files with all RE(ies),
RE(ies) inform NERC,
RE(ies) reject application and inform
entity that Certification is not
required
Isapplication
complete and accurate?
RE informs Entity to revise
application
RE assembles a Certification Team
(CT)
RE sends questionnaire and
statement of expectations to
Entity
NERC issues Certification Letter, with certificate and
updates NCR
CT reviews Entity documentation and
conducts at least one on site visit
Draft Report provided to Entity, Entity may have
180 days to resolve Certification issues
CT makes recommendation
to Regional Entity(ies)
No
Yes
No
Yes
END
Entity revises Certification application
Yes
See NERC Certification
Appeal Process
No
Yes
RE approvesrecommendation and
advises NERCand Entity
NERCapproves
recommendation
No
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Certification Process Continued
• CT conducts at least one on-site visit to entity’s facility(ies)
• Entity may have up to 180 days to resolve open Certification issues
• Entity and CT try to resolve any issues prior to issuance of draft report to entity for their review
• CTL issues recommendation and report to RE
• RE issues recommendation to Entity and NERC to certify
• NERC approves or disapproves final Certification recommendation
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
Is Entity amember
of more than oneRE region?
IsEntity required to
be Certified?
Yes NoEntity Files with
respective RE, RE informs NERC
RE(ies) determine which RE will manage Certification process
Entity completes Certification application
Entity files with all RE(ies),
RE(ies) inform NERC,
RE(ies) reject application and inform
entity that Certification is not
required
Isapplication
complete and accurate?
RE informs Entity to revise
application
RE assembles a Certification Team
(CT)
RE sends questionnaire and
statement of expectations to
Entity
NERC issues Certification Letter, with certificate and
updates NCR
CT reviews Entity documentation and
conducts at least one on site visit
Draft Report provided to Entity, Entity may have
180 days to resolve Certification issues
CT makes recommendation
to Regional Entity(ies)
No
Yes
No
Yes
END
Entity revises Certification application
Yes
See NERC Certification
Appeal Process
No
Yes
RE approvesrecommendation and
advises NERCand Entity
NERCapproves
recommendation
No
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On-Site Certification Process
Certification process includes:• Reviewing data collected and data available on-site.• Interviewing the operations and management personnel.• Inspecting the facilities and equipment associated with the
applicable reliability standards.• Requesting demonstration of tools identified in the
certification process.• Reviewing documents and data including agreements,
processes, and procedures.• Verifying operating personnel, NERC certification documents,
and proposed work schedules.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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On-SiteCertification Process (Cont.)
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
• Any deficiencies discovered in the certification documents that also impact other existing registered functions will be considered a possible violation of the NERC Reliability Standard.
• CT must report this to the RE, however the Entity will be given the opportunity to self-report this possible violation.
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On-Site Certification Process (Cont.)
• CT will have a daily debriefing with applicant.
• Establish a schedule to resolve any deficiencies prior to issuance of the draft Final Report.
• Draft Final Report provided to [ENTITY] for a 14 day review period.
• Resulting [ENTITY] comments will be assessed by the CT for possible inclusion in the report.
• A time extension, not to exceed 180 days, may be granted to resolve any open Bucket 2 items.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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• Entity appeals to NERC within 21 days of Certification Report Findings
• Compliance and Certification Committee conducts hearing within 28 days of notice of appeal
• If CCC Hearing verdict is appealed case directed to BOTCC
• In event BOTCC verdict is challenged, entity may appeal to applicable Governmental Authorities within 21 days of issuance of decision
Certification Appeals Process
NERCCertification Appeal
Flowchart
Entity issues appeal to NERC within 21
Days of Certification Report Finding
NERC notifies Entity and RE, updates
NCR, issues Certification Letter
NERC notifies Entity
END
No
NERC notifies Entity and
Regional Entity Yes No
Entity appealsto FERC
Entity appeals through Court
System
Yes
No
Yes
CCC condcts Hearing within 28 days after Notice of Hearing is
issued
Final Order issued within 1 day
following closing of Hearing
Final Order upholds appeal
Yes
NERC and/orRE acceptFinal Order
Yes
No
Entity acceptsFinal Order
denying appeal
No
BOTCCUpholds appeal
BOTCCResolvesdispute
FERCUpholds appeal
Entity accepts FERC decision
END
YesNo
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Evidence Policy
• [ENTITY NAME] has provided the CT all evidence to support the CT’s recommendations via [RE]’s Secure Portal.
• Copies of notes, draft reports, and other interim documents developed or used during an entity Certification evaluation shall be destroyed after the public posting of the final, uncontested report.
• Confidential information will be handled per Section 1500 of the ROP.
• Documentation used to substantiate the conclusions of the Regional Entity/ NERC related to Certification must be retained by Regional Entity for (6) six years.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]
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Questions and Answers
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