Chapter # — Chapter Title
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Table of Contents
Purpose
Contact Information
Delegation
Critical Infrastructure Protection (CIP)
Agreements
Personnel
Balancing
Data Acquisition and Monitoring
Frequency Control
Emergency Operations
Loss of Control Center Functionality
Restoration
Signatory Authority
Purpose
Section IV of the NERC Rules of Procedure (ROP), Appendix 5A Organization Certification Process Paragraph 7 provides that a Regional Entity may send a questionnaire with submission dates and expectations to all entities participating in the Certification process. This may include neighboring entities.
The purpose of this questionnaire is to provide the Certification Team (CT) with supporting information in regard to [Entity/Applicant]’s processes, procedures, tools, training and personnel that allow the entity to perform the function of a NERC-certified Balancing Authority (BA).
[Regional Entity] specifically notes to [Entity/Applicant] that Section IV ROP Appendix 5A Paragraph 8a requires:
The CT members shall adhere to NERC’s and/or[Regional Entity]’s confidentiality agreements for any data or information made available to the CT member through the Certification process.
If there is information that [Entity/Applicant] considers Confidential, it is to be marked appropriately.
Contact Information
Entity Name:
If applicable, NCR#
Primary Contact Name:
Office Phone:
Cell Phone:
Email:
Alternate Contact Name:
Office Phone:
Cell Phone:
Email:
You are requested to provide candid responses to the following questions. Please completethe questionnaire andattach any necessary documentationto assist in the evaluation of [Entity]. Upon completion, please sign and date this form with necessary attachments. The documentation is to be submitted to [Regional Entity]’s secure portal.
Provide response by: Month Day, Year
Delegation
- Delegation – to ensure thatentities seeking certification as a Balancing Authority have identified any delegated tasks, while retaining responsibility for those tasks.
A Balancing Authority may delegate the performance of compliance with ERO reliability standard(s) or requirement(s). Each entity seeking certification as a Balancing Authorityshall identify any reliability standard(s) or requirement(s), for which it is responsible, that will be performed by another entity and, where formal agreements provide such, shall ensure the entity has the capability to perform the delegated reliability standard(s) or requirement(s). The entity, to which a reliability standard(s) or requirement(s) is delegated, shall be subject to review as part of the NERC Rules of Procedure.
- Question: Identify the reliability standard(s) or requirement(s) that will be delegated.
Response
- Question: How does the applicant ensure that these reliability standard(s) or requirement(s) will be accomplished?
Response
Critical Infrastructure Protection (CIP)
- Critical Infrastructure Protection (CIP) – to ensure that the entity seeking certification has procedures, processes, tools and training for adhering to cyber security requirements.
The Balancing Authorityshall have procedures, processes, tools and training for adhering to NERC reliability standards related to cyber security.
- Question: What considerations has the applicant given to developing the appropriate Risk Based Asset Methodology (RBAM) for determination of Critical Assets and ultimately Critical Cyber Assets?
Response:
Agreements
- Agreement–A contract or other document delineating an arrangement that expresses assent by two or more parties to the same object. This arrangement determines a course of action to be followed by all parties involved in the situation. The key components of the agreement must identify the ability, intent, and authority of the parties. The requirement for an agreement can be satisfied in a variety of ways, including but not limited to: contracts, designation of authority documents, policies, and procedures.
[For purposes of Certification, the above definition is used in lieu of the definition of Agreement in the Reliability Standards Glossary of Terms.]
The Balancing Authority shallhave agreements in place that define its responsibilities, authority and interaction with entities that are necessary to perform its Balancing Authority function.
- Question: How does the applicant meet the above requirements?
Response:
Personnel
- Personnel–To ensure that the entity seeking certification as a Balancing Authority has operating personnel that have been trained and are NERC certified to perform Balancing Authority real-time responsibilities.
The Balancing Authorityshall have NERC-certified personnel as required.
- Question: Describe the plan the entity has for filling vacancies due to retirement, attrition, etc in the NERC certified positions?
Response:
Balancing
- Balancing –To ensure that the entity seeking certification as a Balancing Authority has the capability of performing the balancing responsibilities for its Balancing Authority Area.
The Balancing Authority shall have procedures or processes to determine requirements, to acquire and deploy generation and to acquire demand balance interconnected operations services asnecessary.
- Question: How does the applicant meet the above requirements?
Response:
Data Acquisition and Monitoring
- Data Acquisition and Monitoring –To ensure that the entity seeking certification as a Balancing Authority has real-time resource-demand data in order to adequately control its system while supporting acceptable system frequency.
The Balancing Authority shall have data acquisition requirements for its Balancing Authority Area including periodicity of transmittal, format of submission, and time frame as required.
- Question: How does the applicant meet the above requirement?
Response:
Frequency Control
- Frequency Control – To ensure that the entity seeking certification as a Balancing Authority has the capability to perform frequency control in its defined Balancing Authority Area.
The Balancing Authority shall have procedures, processes, or tools for contributing to Interconnection frequency as required.
- Question: What guidance has entity management given to meet the above requirement?
Response:
Emergency Operations
- Emergency Operations –To ensure that the entity seeking certification as a Balancing Authority has the capability for continued operations during Bulk Electric System emergency conditions.
Each Balancing Authority shall have the responsibility and clear decision-making authority to take whatever actions are needed to ensure the reliability of its respective area and shall exercise specific authority to alleviate capacity and energy emergencies.
- Question: Whatguidance has entity management given to meet the above requirements?
Response:
Loss of Control Center Functionality
- Loss of Control Center Functionality –To ensure that the entity seeking certification as a Balancing Authorityhas the capability for continued operations during loss of its control center functionality.
Each Balancing Authority shall have a plan to continue reliability operations in the event its control center becomes inoperable.
- Question: What guidance has entity management given to meet the above requirements?
Response:
Restoration
- Restoration –To ensure that the entity seeking certification as a Balancing Authorityhas a restoration plan for implementation after a Bulk Electric System shutdown.
The Balancing Authority shall have a Balancing Authority Area restoration plan that provides coordination between individual Transmission Operator restoration plans and that ensures reliability is maintained during system restoration events.
- Question: What guidance has entity management given to meet the above requirements?
Response:
Signatory Authority
The signatory below confirms the Questionnaire response has been prepared under his or her supervision and control and constitutes a true, complete and accurate response to the request, to the best of his or her knowledge, information and belief.
Signature: ______
Printed Name: ______
Title: ______
Date: ______
Balancing Authority Pre-CertificationQuestionnaire – [Entity/Applicant]
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