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[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]. [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]. Topics to Discuss. Team Members
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[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]
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Topics to Discuss • Team Members • Team Member Requirements • Certification Aspects • Bucket Items • Certification Process • Certification Appeals • Evidence Policy • Questions and Answers
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Team Members • [Team Leader 1 (CTL)] [Company affiliation] • [Team Member 2] [Company affiliation] • [Team Member 3] [Company affiliation] • [Team Member 4] [Company affiliation] • [Team Member 5] [Company affiliation]
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] 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] Certification Aspects • Performed Per the NERC Rules of Procedure • Section 500 and Appendix 5A require an on-site visit • Expected Outcomes - Findings • Positives • Bucket Items • Roles • CTL • Members • [Entity] Participants • Caucus
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Bucket Items • Bucket 1 Items • Items found that prevent Certification Team from recommending Certification • Bucket 2 Items • Items found that must be closed: • Prior to going operational, and • Within 180 days of on-site visit completion • Bucket 3 Items • Suggestions for enhancement • These items will not be included in the final report.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] 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] 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] 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] On-SiteCertification Process(Cont.) • Any deficiencies discovered in the certification documents that also impact other existing registered functions will be considered a possible violation of the NERC Reliability Standard. • CT must report this to the RE, however the Entity will be given the opportunity to self-report this possible violation.
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] 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] Certification Appeals Process • 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
[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] 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.
