[INSERT APPLICABLE REGIONAL
ENTITY NAME/LOGO]
[ENTITY/APPLICANT]
Balancing Authority
Pre-Certification Questionnaire
Month Day, Year
3353 Peachtree Road NE
Suite 600, North Tower
Atlanta, GA 30326
404-446-2560 | www.nerc.com
Table of Contents
Purpose ........................................................................................................................................... 3
Contact Information........................................................................................................................ 4
Delegation ....................................................................................................................................... 5
Critical Infrastructure Protection (CIP) ........................................................................................... 5
Agreements ..................................................................................................................................... 5
Personnel ........................................................................................................................................ 6
Balancing ......................................................................................................................................... 6
Data Acquisition and Monitoring .................................................................................................... 6
Frequency Control .......................................................................................................................... 7
Emergency Operations.................................................................................................................... 7
Loss of Control Center Functionality .............................................................................................. 7
Restoration...................................................................................................................................... 8
Signatory Authority ......................................................................................................................... 9
Balancing Authority Pre-Certification Questionnaire – [Entity/Applicant]
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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.
Balancing Authority Pre-Certification Questionnaire – [Entity/Applicant]
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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 complete the
questionnaire and attach any necessary documentation to 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
Balancing Authority Pre-Certification Questionnaire – [Entity/Applicant]
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Delegation
1. Delegation – to ensure that entities 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 Authority shall
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.
A. Question: Identify the reliability standard(s) or requirement(s) that will be delegated.
Response
B. Question: How does the applicant ensure that these reliability standard(s) or
requirement(s) will be accomplished?
Response
Critical Infrastructure Protection (CIP)
2. 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 Authority shall have procedures, processes, tools and training for adhering to
NERC reliability standards related to cyber security.
A. 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
3. 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.
Balancing Authority Pre-Certification Questionnaire – [Entity/Applicant]
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[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 shall have agreements in place that define its responsibilities, authority
and interaction with entities that are necessary to perform its Balancing Authority function.
A. Question: How does the applicant meet the above requirements?
Response:
Personnel
4. 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 Authority shall have NERC-certified personnel as required.
A. Question: Describe the plan the entity has for filling vacancies due to retirement,
attrition, etc in the NERC certified positions?
Response:
Balancing
5. 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 as necessary.
A. Question: How does the applicant meet the above requirements?
Response:
Data Acquisition and Monitoring
6. 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.
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A. Question: How does the applicant meet the above requirement?
Response:
Frequency Control
7. 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.
A. Question: What guidance has entity management given to meet the above requirement?
Response:
Emergency Operations
8. 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.
A. Question: What guidance has entity management given to meet the above requirements?
Response:
Loss of Control Center Functionality
9. Loss of Control Center Functionality – To ensure that the entity seeking certification as a
Balancing Authority has 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.
A. Question: What guidance has entity management given to meet the above requirements?
Response:
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Restoration
10. Restoration – To ensure that the entity seeking certification as a Balancing Authority has 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.
A. Question: What guidance has entity management given to meet the above requirements?
Response:
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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: ______________________________________
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