[INSERT APPLICABLE REGIONAL ENTITY NAME/LOGO] [ENTITY NAME] [FUNCTION CERTIFYING] Certification [LOCATION] – [DATES OF ON-SITE VISIT] [Presenter Name, Title] Opening Presentation [Month Day, Year]

Topics to Discuss Team Members Team Member Requirements [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Topics to Discuss Team Members Team Member Requirements Certification Aspects Bucket Items Certification Process Certification Appeals Evidence Policy Questions and Answers

Team Members [Team Leader 1 (CTL)] [Company affiliation] [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Team Members [Team Leader 1 (CTL)] [Company affiliation] [Team Member 2] [Company affiliation] [Team Member 3] [Company affiliation] [Team Member 4] [Company affiliation] [Team Member 5] [Company affiliation]

Team Member Requirements [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Team Member Requirements CT members have completed the required NERC training prior to participation. No reasonable objections to CT Members submitted by [ENTITY]. CT members must adhere to NERC’s Confidentiality Agreement for any data or information received.

Certification Aspects [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Certification Aspects Performed Per the NERC Rules of Procedure Section 500 and Appendix 5A require an on-site visit Expected Outcomes - Findings Positives Bucket Items Roles CTL Members [Entity] Participants Caucus

Bucket Items Bucket 1 Items Bucket 2 Items Bucket 3 Items [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Bucket Items Bucket 1 Items Items found that prevent Certification Team from recommending Certification Bucket 2 Items Items found that must be closed: Prior to going operational, and Within 180 days of on-site visit completion Bucket 3 Items Suggestions for enhancement These items will not be included in the final report.

Certification Process [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Certification Process Entity completes Certification application or RE completes the application on their behalf Regional Entity assigns Certification Team Leader who assembles a Certification team Regional Entity sends questionnaire and statement of expectations to Entity. RE also sends neighboring questionnaire to BAs, TOPs, and RCs with which Entity intends to interconnect Certification templates are used to ensure consistency Certification Team Leaders and members are required to have training Discuss Certification Team composition Discuss Certification of Entity who operates in multiple regions Statement of Expectations should include draft agenda, logistics request, standards matrix

Certification Process Continued [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Certification Process Continued CT conducts at least one on-site visit to entity’s facility(ies) Entity may have up to 180 days to resolve open Certification issues Entity and CT try to resolve any issues prior to issuance of draft report to entity for their review CTL issues recommendation and report to RE RE issues recommendation to Entity and NERC to certify NERC approves or disapproves final Certification recommendation Discuss Bucket Items

On-Site Certification Process [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] On-Site Certification Process Certification process includes: Reviewing data collected and data available on-site. Interviewing the operations and management personnel. Inspecting the facilities and equipment associated with the applicable reliability standards. Requesting demonstration of tools identified in the certification process. Reviewing documents and data including agreements, processes, and procedures. Verifying operating personnel, NERC certification documents, and proposed work schedules.

On-Site Certification Process (Cont.) [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] On-Site Certification Process (Cont.) Any deficiencies discovered in the certification documents that also impact other existing registered functions will be considered a possible violation of the NERC Reliability Standard. CT must report this to the RE, however the Entity will be given the opportunity to self-report this possible violation.

On-Site Certification Process (Cont.) [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] On-Site Certification Process (Cont.) CT will have a daily debriefing with applicant. Establish a schedule to resolve any deficiencies prior to issuance of the draft Final Report. Draft Final Report provided to [ENTITY] for a 14 day review period. Resulting [ENTITY] comments will be assessed by the CT for possible inclusion in the report. A time extension, not to exceed 180 days, may be granted to resolve any open Bucket 2 items.

Certification Appeals Process [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Certification Appeals Process Entity appeals to NERC within 21 days of Certification Report Findings Compliance and Certification Committee conducts hearing within 28 days of notice of appeal If CCC Hearing verdict is appealed case directed to BOTCC In event BOTCC verdict is challenged, entity may appeal to applicable Governmental Authorities within 21 days of issuance of decision NERC or Entity may choose to appeal the ruling of the CCC, in which case the dispute is directed to the BOTCC

[INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] Evidence Policy [ENTITY NAME] has provided the CT all evidence to support the CT’s recommendations via [RE]’s Secure Portal. Copies of notes, draft reports, and other interim documents developed or used during an entity Certification evaluation shall be destroyed after the public posting of the final, uncontested report. Confidential information will be handled per Section 1500 of the ROP. Documentation used to substantiate the conclusions of the Regional Entity/ NERC related to Certification must be retained by Regional Entity for (6) six years.

Questions and Answers