Certification Program

Transcription

1 Certification Program Ryan Stewart, Manager of Registration, NERC FRCC Reliability Performance Workshop September 20, 2017 Purpose of the Certification Program Rules of Procedure (ROP) Section 500: The purpose of the Organization Certification Program is to ensure that the new entity (i.e., applicant to be an RC, BA, or TOP that is not already performing the function for which it is applying to be certified as) has the tools, processes, training, and procedures to demonstrate their ability to meet the Requirements/sub Requirements of all of the Reliability Standards applicable to the function(s) for which it is applying thereby demonstrating the ability to become certified and then operational. 2 1

2 Certification Program Guidance Appendix 5A: Organization Registration and Certification Manual Defines the process utilized in the Organization Certification Program for certifying the following entities: Reliability Coordinator (RC), Balancing Authority (BA), and Transmission Operator (TOP). Basis of Certification and Certification Review Basis of process flowchart Appendix 5B: Statement of Compliance Registry Criteria Describes how NERC will identify organizations that may be candidates for Registration and assign them to the Compliance Registry. Appendix 5C: Procedure For Requesting and Receiving an Exception From the Application of the NERC Definition of Bulk Electric System (BES) Procedure by which an entity may request and receive an Exception 3 Certification Roles and Responsibilities The following is a high level overview of the roles and responsibilities in the Certification processes (for details refer to Appendix 5A): NERC Oversight of entity processes performed by the Regional Entities, including: Governance per the Regional Entity s delegation agreement with NERC. Coordination of process execution when an entity is certifying with multiple Regional Entities. Maintain accurate Certification records including granting Certification certificates for the registered entity(ies) responsible for compliance. 4 2

3 Certification Roles and Responsibilities Regional Entity Reviews entity Certification applications for completeness. Approves or denies Certification Team (CT) recommendations and notifies the entity and NERC of the decision. Provides leadership to the CT throughout the Certification process. Entity Submitting the Application Completes and submits Certification application. Submits updates to Certification information as necessary or requested. Responds to Regional Entity or NERC questions pertaining to Certification. Provides documentation or other evidence requested or required to verify compliance with Certification requirements. 5 Audit vs. Certification Similarities with compliance audits and certifications/ certification reviews Defined processes and roles How Certifications/ Certification Reviews are Different Forward looking Use Reliability Standards as a basis Communication is key Leadership skills are critical Tone of engagement is different Possible Non Compliances (PNCs) are not the objectives of Certifications or Reviews NERC staff as team member Audits determine compliance over past audit period. Certifications and Certification Reviews assess capability to perform the tasks associated with specific function (RC, BA, TOP) 6 3

4 Functional entity definitions Reliability Coordinator (RC): functional entity that maintains the Real time operating reliability of the BES within a Reliability Coordinator Area. Balancing Authority (BA):The responsible entity that integrates resource plans ahead of time, maintains load interchangegeneration balance within a Balancing Authority Area, and supports Interconnection frequency in real time. Transmission Operator (TOP): functional entity that ensures the Real time operating reliability of the transmission assets within a Transmission Operator Area. 7 Certification vs. Certification Review Certification (New) Assures that the entities who will be performing the functions of a RC, BA, or TOP can demonstrate they have the tools, processes, procedures, training, and personnel to perform the functions for which they are registered or intend to be. Certification Review (Existing) Determines whether entities already certified as a RC, BA, or TOP undergoing changes defined in ROP Appendix 5A Section IV Item 4 can continue operating as registered or require a full certification. 8 4

5 Results of on-site visit Page 6 in the Opening Presentation Template Bucket #1 Certification Team cannot recommend certification and applicant disagrees with the CT s conclusions. This would result in beginning the Appeals process. Bucket #2 Applicant agrees to items that must be closed prior to going operational and within 180 days of close of on Site visit (will be included in the Final Report). Bucket #3 Suggestions for enhancement (will not be included in the Final Report). 9 Certification/Review process triggers New Registration/Certification A new entity applying for certification Changes to an existing certified entity already operating The scoping decision to certify changes to an already operating and certified registered entity is a collaborative decision between the affected Regional Entity(s) and NERC. Examples of operating changes: o Changes to an entity s footprint or operational challenges due to the changes o Organizational restructuring o Relocation of the control center o Changes to entity ownership requiring major operating procedure changes o Significant changes to Joint Registration Organization (JRO) / Coordinated Functional Registration (CFR) agreements o Complete replacement of a Supervisory Control and Data Acquisition (SCADA)/Energy Management System (EMS) 10 5

6 Overview of Certification Process Application, Notification Regional Entity Assigns Certification Team Lead and members Questionnaires & Master Matrix (document review) RE letter of recommendation The Certification Draft and Final Reports On site visit Official notification and certificate from NERC Certification process must be completed within 9 months unless NERC approves alternate timeline 11 To Sum It Up Please notify FRCC if you are contemplating any of the following operating changes well in advance of the change: Changes to your footprint or operational challenges due to the changes Organizational restructuring Relocation or replacement of primary or back up control center Changes to ownership requiring major operating procedure changes Significant changes to Joint Registration Organization (JRO) / Coordinated Functional Registration (CFR) agreements Complete replacement of a SCADA/EMS system Other significant operational change 12 6

7 Summary Regional Entities can contact: Jim Stuart Carter Edge