Registration and Certification

Abby Fellinger Manager, Registration and Certification Program

Compliance 101 July 19, 2017 Antitrust Admonition

Texas Reliability Entity, Inc. (Texas RE) strictly prohibits persons participating in Texas RE activities from using their participation as a forum for engaging in practices or communications that violate antitrust laws. Texas RE has approved antitrust guidelines available on its web site. If you believe that antitrust laws have been violated at a Texas RE meeting, or if you have any questions about the antitrust guidelines, please contact the Texas RE General Counsel.

Reliability 101 July 14, 2020 2 Sli.do

Slido Question #1 How many of Texas RE’s Reliability 101 webinars have you registered for? #Y787

Reliability 101 July 14, 2020 3 Agenda

• Registration

• Entity Mapping

• ERO Portal and Multifactor Authentication

• Database Systems: CORES and webCDMS

• Certification/Certification Review

• Resources

Reliability 101 July 14, 2020 4 NERC Rules of Procedure

NERC Rules of Procedure (ROP), Section 500 – Organization Registration and Certification https://www.nerc.com/AboutNERC/Pages/Rules-of-Procedure.aspx

Reliability 101 July 14, 2020 5 REGISTRATION

Reliability 101 July 14, 2020 6 Defining Registration

Identifies and registers bulk power system (BPS) Owners, Operators, and Users

Responsible for Performing Specific Function(s)

Accountable for Compliance with NERC Reliability Standards

• Registered entities can face penalties or sanctions for noncompliance

Reliability 101 July 14, 2020 7 Who is Required to Register?

Inclusion 1 – Transmission Resources Transformers with the primary terminal and at least one secondary terminal operated at ≥100 kV

Inclusion 2 – Generating Resources Generating terminal at the high-side of the step-up transformer at ≥100 kV with: - Gross Individual nameplate >20 MVA, or - Gross Plant/Facility aggregate nameplate >75 MVA

Inclusion 3 – Blackstart Resources Identified in the Transmission Operator’s restoration plan

NERC RoP Appendix 5B – Statement of Compliance Registry

Reliability 101 July 14, 2020 8 Who is Required to Register?

Inclusion 4 – Dispersing Power Producing Resources (small-scale generation) - Individual resources, and - System designed primarily for delivering capacity from the point where those resources aggregate to >75 MVA (gross nameplate rating) at 100 kV or above

Inclusion 5 – Static or dynamic devices (excluding generators) Dedicated to supplying or absorbing Reactive Power connected at 100 kV or higher, or through a dedicated transformer with a high-side voltage of 100 kV or higher, or through a transformer that is designated in Inclusion I1

NERC RoP Appendix 5B – Statement of Compliance Registry

Reliability 101 July 14, 2020 9 Sli.do (#Y787)

True or False: All blackstart resources identified in a TOP’s restoration plan are required to be NERC registered according to the NERC Rules of Procedure.

A. True B. False

Reliability 101 July 14, 2020 10 Who is Not Required to Register?

Exclusions Listed in Appendix 5B Exclusion 1 - Radial systems: A group of contiguous transmission Elements that emanates from a single point of connection of 100 kV or higher and: a) Only serves Load. Or, b) Only includes generation resources, not identified in Inclusions I2, I3, or I4, with an aggregate capacity less than or equal to 75 MVA (gross nameplate rating). Or, c) Where the radial system serves Load and includes generation resources, not identified in Inclusions I2, I3 or I4, with an aggregate capacity of non-retail generation less than or equal to 75 MVA (gross nameplate rating).

Exclusion 2 - A generating unit or multiple generating units on the customer’s side of the retail meter that serve all or part of the retail Load with electric energy if: (i) the net capacity provided to the BES does not exceed 75 MVA, and (ii) standby, back-up, and maintenance power services are provided to the generating unit or multiple generating units or to the retail Load by a Balancing Authority, or provided pursuant to a binding obligation with a Generator Owner or Generator Operator, or under terms approved by the applicable regulatory authority.

Reliability 101 July 14, 2020 11 Who is Not Required to Register?

Exclusions Listed in Appendix 5B Exclusion 3 - Local networks (LN): A group of contiguous transmission Elements operated at less than 300 kV that distribute power to Load rather than transfer bulk power across the interconnected system. LN’s emanate from multiple points of connection at 100 kV or higher to improve the level of service to retail customers and not to accommodate bulk power transfer across the interconnected system. The LN is characterized by all of the following: a) Limits on connected generation: The LN and its underlying Elements do not include generation resources identified in Inclusions I2, I3, or I4 and do not have an aggregate capacity of non-retail generation greater than 75 MVA (gross nameplate rating); b) Real Power flows only into the LN and the LN does not transfer energy originating outside the LN for delivery through the LN; and c) Not part of a Flowgate or transfer path: The LN does not contain any part of a permanent Flowgate in the Eastern Interconnection, a major transfer path within the Western Interconnection, or a comparable monitored Facility in the ERCOT or Quebec Interconnections, and is not a monitored Facility included in an Interconnection Reliability Operating Limit (IROL).

Reliability 101 July 14, 2020 12 Who is Not Required to Register?

Exclusions Listed in Appendix 5B Exclusion 4 - Reactive Power devices installed for the sole benefit of a retail customer(s).

Note - Elements may be included or excluded on a case-by-case basis through the Rules of Procedure exception process.

Note: Example diagrams of BES inclusions and exclusions are available in the Bulk Electric System (BES) Definition Reference Document.

BES Definition Reference Document, Version 2 | April 2014

BES Definition Reference Document, Version 3 | August 2018

Reliability 101 July 14, 2020 13 Types of Registration – Sli.do (#Y787)

Which of the following is NOT a type of registration?

A. Joint Registration Organization B. Single Entity Registration C. Regional Cooperative Registration D. Coordinated Functional Registration

Reliability 101 July 14, 2020 14 Types of Registration

Single Entity

Joint Registration Organization (JRO)

Coordinated Functional Registration (CFR)

Reliability 101 July 14, 2020 15 Registered Function Types in the Texas RE Region

Function Type Definition

Balancing Authority (BA) The responsible entity that integrates resource plans ahead of time, maintains Load-interchange-generation balance within a Balancing Authority Area, and supports Interconnection frequency in real-time. Distribution Provider (DP) Provides and operates the “wires” between the transmission system and the end-use customer. For those end-use customers who are served at transmission voltages, the Transmission Owner also serves as the Distribution Provider. Thus, the Distribution Provider is not defined by a specific voltage, but rather as performing the distribution function at any voltage. Distribution Provider UFLS A Distribution Provider entity shall be an Underfrequency Load Shedding (UFLS)-Only Distribution Provider if it is the (DP-UFLS) responsible entity that owns, controls or operates UFLS Protection System(s) needed to implement a required UFLS program designed for the protection of the BES, but does not meet any of the other registration criteria for a Distribution Provider. Generator Operator (GOP) The entity that operates generating Facility(ies)and performs the functions of supplying energy and Interconnected Operations Services. Generator Owner (GO) Entity that owns and maintains generating Facility(ies).

Planning Authority (PA)/ The responsible entity that coordinates and integrates transmission Facilities and service plans, resource plans, and Planning Coordinator (PC) Protection Systems.

Must be NERC Certified before registering for function.

NERC RoP Appendix 5B – Statement of Compliance Registry

Reliability 101 July 14, 2020 16 Registered Function Types in the Texas RE Region

Function Type Definition

Reliability Coordinator (RC) The entity that is the highest level of authority who is responsible for the Reliable Operation of the Bulk Electric System (BES), has the Wide Area view of the BES, and has the operating tools, processes and procedures, including the authority to prevent or mitigate emergency operating situations in both next-day analysis and real-time operations. The RC has the purview that is broad enough to enable the calculation of Interconnection Reliability Operating Limits, which may be based on the operating parameters of transmission systems beyond any Transmission Operator’s vision. Resource Planner (RP) The entity that develops a long-term (generally one year and beyond) plan for the resource adequacy of specific Loads (customer demand and energy requirements) within a Planning Authority area. Transmission Owner (TO) The entity that owns and maintains transmission Facilities.

Transmission Operator (TOP) The entity responsible for the reliability of its local transmission system and operates or directs the operations of the transmission Facilities. Transmission Planner (TP) The entity that develops a long-term (generally one year and beyond) plan for the reliability (adequacy) of the interconnected bulk electric transmission systems within its portion of the Planning Authority area. Transmission Service Provider The entity that administers the transmission tariff and provides Transmission Service to Transmission Customers under (TSP) applicable Transmission Service agreements.

Must be NERC Certified before registering for function.

NERC RoP Appendix 5B – Statement of Compliance Registry

Reliability 101 July 14, 2020 17 Registration Functions

Electric Reliability Council of NERC Rules of Procedure (RoP) Appendix 5B – Texas (ERCOT) Only Functions Statement of Compliance Registry Criteria RC All Registered Entity Functions

BA PA/PC

TSP RP RP TOP

TO TP DP-UFLS DP GO GOP

Reliability 101 July 14, 2020 18 Joint Registration Organization (JRO)

● Voluntary Written Agreement . A JRO agreement occurs when • an entity is registered for a specific function and • accepts all compliance responsibility of all applicable NERC Reliability Standards for itself and on behalf of one or more of its members or related entities

● Texas RE reviews and approves JROs ● NERC sends approval letter NERC RoP Sections 501 and 507 ● A JRO must be updated when any modifications occur

Reliability 101 July 14, 2020 19 Joint Registration Organization (JRO)

● JRO Example . Big Co-Op Company registers as a Distribution Provider . Big Co-Op Company signs a JRO with Small Co-Op Company taking all compliance responsibility for itself and its unregistered member, Small Co-Op Company . This relationship eliminates the need for Small Co-Op Company to be registered as a Distribution Provider

. A list of JRO entities is posted on NERC’s website

Reliability 101 July 14, 2020 20 Coordinated Functional Registration (CFR)

Voluntary Written Agreement . A CFR agreement occurs when two or more NERC registered entities share and divide responsibilities of the NERC Reliability Standards

. Texas RE reviews CFR agreements to ensure there are no gaps or overlaps in responsibility between the parties . NERC sends approval letter . A CFR must be updated when modifications occurs NERC RoP Sections 501 and 508 (changes to applicable parties or standards)

Reliability 101 July 14, 2020 21 Coordinated Functional Registration (CFR)

● CFR Example – Generator Operator . Best Electric owns and operates a NERC registered facility . Expert Energy also operates the NERC registered facility . A CFR is established to identify who is compliant for each applicable Critical Infrastructure Protection (CIP) and Operations & Planning (O&P) standard requirement

. CFR matrix spreadsheets are posted on NERC’s website

Reliability 101 July 14, 2020 22 Sli.do (#Y787)

Through what platform are new registration requests submitted?

A. Align B. CORES C. RAPTOR D. [email protected]

Reliability 101 July 14, 2020 23 New Registration Request

Submit application within the Centralized Organization Registration ERO System (CORES) one month prior to expected registration date.

Documentation needed may include: ● Resource Asset Registration Form (RARF) ● One-line Diagram(s) ● Interconnect Agreement(s) ● GO and GOP Asset Template

● Once approved, NERC sends a Notice of Listing on the NERC Compliance Registry ● Texas RE sends a Welcome Packet including reporting requirements

Reliability 101 July 14, 2020 24 Registration Updates

Report any of the following registration changes within the CORES tool.

Entity Entity Assets Add/Remove a Deactivation/ Function(s) Transfer/Merger/ Function Deregistration Transfer Sale

Entity Name Consolidate Change in Change NCR Numbers JRO/CFR

Documentation may be required by Texas RE.

Reliability 101 July 14, 2020 25 ENTITY MAPPING

Reliability 101 July 14, 2020 26 What is Entity Mapping?

NERC Rules of Procedure (RoP) Appendix 5A Organization Registration and Certification Manual

The process of determining whether a Regional Entity’s Footprint is being served by registered entities.

Reliability 101 July 14, 2020 27 Why Mapping is Required

From NERC RoP Section 500:

For all geographical or electrical areas of the BPS, the Registration process shall ensure that:

(1) No areas are lacking any entities to perform the duties and tasks identified in and required by the Reliability Standards to the fullest extent practical.

(2) There is no unnecessary duplication of such coverage or of required oversight of such coverage.

Reliability 101 July 14, 2020 28 Entity Mapping Process

In particular the process shall: • Ensure that all areas are under the oversight of one and only one RC. • Ensure that all BA and TOP entities are under the responsibility of one and only one RC. • Ensure that all transmission Facilities of the BPS are the responsibility and under the control of one and only one TP, PA, and TOP. • Ensure that all Loads and generators are under the responsibility and control of one and only one BA.

Reliability 101 July 14, 2020 29 Entity Mapping Relationships

Entities registered for multiple functions are asked to map to the functions they are registered to perform. For example, an entity registered for both the GO and GOP functions are asked to provide Functional Mapping from the GO to GOP function.

Reliability 101 July 14, 2020 30 ERO PORTAL AND MULTIFACTOR AUTHENTICATION

Reliability 101 July 14, 2020 31 ERO Portal Access

CORES data collected in the ERO portal will be the foundation for the Align system

Reliability 101 July 14, 2020 32 ERO Portal Website

Registered Entity or ERO Enterprise Staff users will go to the following website to Register if you do not have an account. • https://eroportal.nerc.net

Reliability 101 July 14, 2020 33 Setting Up Multifactor Authentication (MFA)

Multifactor Authentication

Reliability 101 July 14, 2020 34 Using Duo

Using Duo is easy

Reliability 101 July 14, 2020 35 DATABASE SYSTEMS: CORES AND WEBCDMS

Reliability 101 July 14, 2020 36 CORES

CORES Overview Key Points to Note The Centralized Organization Registration CORES is not currently planned to be used for: ERO System (CORES) launched on July 15, • BES Processing 2019, to provide consistency and alignment • BES processing will continue to across the ERO for registration activities utilize the BESnet application • Certification or Certification Reviews The CORES platform enables entities to • No system in place for Certification manage their registration information, contact or Certification Reviews at this time information, and functional relationships from one application

The application is accessed through the ERO Portal (https://eroportal.nerc.net/)

Reliability 101 July 14, 2020 37 When to Utilize CORES

Utilizing CORES

Changes to New Registration Existing Request Registration

Reliability 101 July 14, 2020 38 Accessing CORES

Sign up for an ERO Portal account and complete Multifactor Authentication (MFA) steps • New Entity Registration Request – Any individual with an active ERO Portal account can submit a new registration application within CORES • My Entity – Regional Entities must initially grant access rights to applicable entities

Reliability 101 July 14, 2020 39 CORES: Navigation Bar Information

New Registration Navigation Bar My Entity Navigation Bar

Reliability 101 July 14, 2020 40 CORES: Navigation Status

The right navigation bar reflects the completion status of each element of the entity registration requests.

Reliability 101 July 14, 2020 41 Process Flow in CORES

Process for New Registration and Change Requests

Entity If applicable, Regional If approved, submits new NERC If applicable, Entity Regional Status registration approves NERC sends reviews Entity changes in or change application registration request informs system request or change letter to PCC NERC request

Reliability 101 July 14, 2020 42 Maintaining webCDMS

● Entity Maintenance within webCDMS During CORES/Align Transition . Maintain Contacts (different individual per role) • Primary Compliance Contact • Primary Compliance Contact Alternate • Authorizing Officer . Update Entity Functional Mapping . Complete Periodic Data Submittals, Self- Reports, Mitigation Plans/Enforcement Activities

● Acquire Digital Certificates . Contact Brian Nolan at OATI, (763) 201-2020 . Texas RE provides two free digital certificates per NCR number

Reliability 101 July 14, 2020 43 ORGANIZATION CERTIFICATION

Reliability 101 July 14, 2020 44 Certification vs. Certification Review – RC, BA, or TOP

Certification Certification Review A Certification ensures that a RC, BA, and/or TOP can A Certification Review will be conducted when an already demonstrate they have the operating and certified RC, BA, or TOP plans to make • tools certain changes. • processes • procedures The review ensures that an entity has incorporated all • training applicable changes into its tools, processes, procedures, • personnel training, and personnel to continue to perform its to perform the functions for which they intend to be functions. registered for.

NERC RoP Section 500 and Appendix 5A – Organization Registration and Certification Manual

Reliability 101 July 14, 2020 45 Organization Certification Process – RC, BA, or TOP

● Certification process must be completed within 9 months unless NERC approves alternate timeline.

● The entity must commence operation within 12 months of certification.

Reliability 101 July 14, 2020 46 Sli.do (#Y787)

How soon must an entity commence operation after certification?

A. 6 months B. 2 years C. 90 days D. 1 year

Reliability 101 July 14, 2020 47 Changes to an Existing Certified Entity – RC, BA, or TOP

Triggers for a Certification Review: 1. Relocation of the Control Center 2. Complete replacement of a Supervisory, Control and Data Acquisition (SCADA)/ Energy Management System (EMS) 3. Changes to a registered entity’s footprint or operational challenges due to the changes 4. Changes to entity ownership requiring major operating procedure changes 5. Organizational restructuring that could impact BPS reliability 6. Significant changes to JRO/CFR assignments or agreements changes 7. Addition or removal of member JRO/CFR utilities or entities

The scoping decision to certify changes to an already operating and certified registered entity is a collaborative decision between the affected Regional Entity and NERC.

Appendix 5A – Organization Registration and Certification Manual

Reliability 101 July 14, 2020 48 Possible Certification Review Trigger Changes in Appendix 5A

Possible Triggers for a Certification Review: 1. Changes to a Registered Entity’s footprint 2. Relocation of the Control Center 3. Modification of the EMS which is expected to materially affect CIP security perimeters or the System Operator’s: • situational awareness tools, • functionality, or • machine interfaces.

Proposed Changes to Appendix 5A

30-Day Comment Period: June 10, 2020 through July 13, 2020 NERC intends to submit the ROP changes to the NERC BOTCC for approval in August 2020.

Reliability 101 July 14, 2020 49 RESOURCES

Reliability 101 July 14, 2020 50 NERC Help Desk

Access the NERC Help Desk from the ERO Portal or at https://support.nerc.net/

Reliability 101 July 14, 2020 51 Texas RE Website: Registration

Web address: https://www.texasre.org/registration

Reliability 101 July 14, 2020 52 NERC Website: Registration and Certification

Web address: https://www.nerc.com/pa/comp/Pages/Registration.aspx

Reliability 101 July 14, 2020 53 NERC Website: Certification

Web address: https://www.nerc.com/pa/comp/Pages/certification.aspx

Reliability 101 July 14, 2020 54 Contact

Abby Fellinger Manager, Registration and Certification Program [email protected] | [email protected] 512-583-4927

Reliability 101 July 14, 2020 55 Questions?

Reliability 101 July 14, 2020 56