[INSERT APPLICABLE REGIONAL ENTITY NAME/LOGO] [ENTITY NAME] [FUNCTION CERTIFYING] Certification Review for [RELATED ENTITIES] [LOCATION] – [DATES OF ON-SITE VISIT] [Presenter Name, Title] Opening Presentation [Month XX, 20XX]

RELIABILITY | ACCOUNTABILITY2 Topics to Discuss Team Members Team Member Requirements Certification Review Summary Certification Review Aspects Bucket Items Certification Review Process Certification Appeals Evidence Policy Questions and Answers [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY3 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] [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY4 Team Member Requirements CRT members have completed the required NERC training prior to participation. No reasonable objections to CRT Members submitted by [ENTITY]. CRT members must adhere to NERC’s Confidentiality Agreement for any data or information received. [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY5 Certification Review Summary The decision to certify changes to an already operating and certified Registered Entity is a collaborative decision between the affected Regional Entity(s) and NERC. Items to consider for this decision include one or more of the following changes:  Footprint  Organizational Structure  Relocation of control center  Changes to Registered Entity ownership requiring major operating procedure changes  Significant changes to JRO/CFR assignments or agreements  Addition or removal or JRO/CFR utilities or entities  Complete replacement SCADA/EMS system [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY6 Certification Review Summary Possible outcomes of Certification Review:  Continue operating as registered  Re-certification required NERC has final decision [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY7 Certification Review Aspects Performed Per the NERC Rules of Procedure  Section 500 and Appendix 5A: Certification Reviews require consideration of an on-site visit  Expected Outcomes - Findings o Positives o Bucket Items Roles  CTL  Members  [Entity] Participants Caucus [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY8 Bucket Items Bucket 1 Items  Items found that prevent Certification Review Team from approving proposed changes to Entity’s current Certification Bucket 2 Items  Items found that must be closed: o Within 180 days of on-site visit completion Bucket 3 Items  Suggestions for enhancement o These items will not be included in the final summary report [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY9 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 [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY10 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 [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY11 On-Site Certification Review Process Reviewing data collected available onsite. 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. [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY12 On-Site Certification Review Process (Cont.) [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO] 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. CRT must report this to the RE, however the Entity will be given the opportunity to self-report this possible violation.

RELIABILITY | ACCOUNTABILITY13 On-Site Certification Review Process (Cont.) CRT will have a daily debriefing with applicant. Establish a schedule to resolve any deficiencies prior to issuance of the draft Summary Report. Draft Summary Report provided to [ENTITY] for a 14 day review period. Resulting [ENTITY] comments will be assessed by the CRT for possible inclusion in the report. A time extension, not to exceed 180 days, may be granted to resolve any open Bucket 2 items. [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY14 Evidence Policy [ENTITY NAME] has provided the CRT all evidence to support the CRT’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 will be retained by Regional Entity for (6) six years. [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]

RELIABILITY | ACCOUNTABILITY15 [INSERT APPLICABLE REGIONAL ENTITIES NAME/LOGO]