FRCC Registration and Certification Procedure Registration... · FRCC Registration and...

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

FRCC-RE-REG-101 FRCC REGISTRATION AND

CERTIFICATION PROCEDURE Page 3 of 21

Version 1


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


CERTIFICATION PROCEDURE 0 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



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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)






Primary Compliance Contact (PCC) Information

Name Title

Contact Address City State Zip

Telephone E-Mail Address

Primary Compliance Contact Alternate (PCCAlternate) Information

Name Title



Authorizing Officer (AO) Information

Name Title



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



Version 1



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


Telephone ( ) ndash Cell ( ) ndash

E-mail Address

See NERC Rules of Procedure (including Section 500 and Appendix 5A) for information concerning entity Certification




Version 1





Version 1


Appendix D- FRCC Regional Entity Risk-Based Registration Entity

Evaluation Process Flowchart



Version 1


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



Version 1


10 Purpose








Compliance Registry











30 Background









Version 1


50 Responsibilities

Procedure Owner







Entity










60 Procedure



















Version 1







































Version 1













































Version 1



agreement(s)





















with the CFR







appropriate



Rules of Procedure









Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address




CERTIFICATION PROCEDURE 0 of 21

Version 1





Version 1






Version 1


10 Purpose








Compliance Registry











30 Background









Version 1


50 Responsibilities

Procedure Owner







Entity










60 Procedure



















Version 1







































Version 1













































Version 1



agreement(s)





















with the CFR







appropriate



Rules of Procedure









Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1


50 Responsibilities

Procedure Owner







Entity










60 Procedure



















Version 1







































Version 1













































Version 1



agreement(s)





















with the CFR







appropriate



Rules of Procedure









Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1







































Version 1













































Version 1



agreement(s)





















with the CFR







appropriate



Rules of Procedure









Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1













































Version 1



agreement(s)





















with the CFR







appropriate



Rules of Procedure









Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1



agreement(s)





















with the CFR







appropriate



Rules of Procedure









Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1



within the CFR

































are BES Elements)







Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1






















RC





change process












Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1












































Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1







































Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1












facilities


















procedures






visit(s)


deficiencies



Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1























certification







changes










Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1



























Registry and


Registry



Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1


70 References








Date Version




90 Attachments







Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1





Date

Corporate Address


Corporate Website




New

Deactivation

Deregistration

Change1


UFLS only





Yes No


Yes No


Yes No


Yes No


Yes No




Yes No CFR Number







Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1



Yes No JRO Number



MRRE ID

Additional Comments








Name Title




Name Title




Name Title









Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1






Current Date

Entity Name


TSIN Acronym (XXX)

Corporate Address

City State Zip




Who is your RC











Operational Changes





Comments


Name Title



E-mail Address





Version 1





Version 1






Version 1





Version 1






Version 1




FRCC Registration and Certification Procedure Registration... · FRCC Registration and...

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Transcript of FRCC Registration and Certification Procedure Registration... · FRCC Registration and...