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Compliance Analysis and Certification

NERC’s Compliance Analysis and Certification (CAC) efforts are comprised of key activities, including:

Organization Registration
Organization Registration identifies and registers bulk power system users, owners, and operators who are responsible for performing specified reliability functions to which requirements of mandatory NERC Reliability Standards are applicable.  Requirements and activities for the Organization Registration Program are embodied in Section 500 (Organization Registration and Certification) and Appendices 5A and 5B of the FERC-approved NERC Rules of Procedure.
Organization Certification
Organization Certification ensures that an entity (i.e., applicant to be an Reliability Coordinator (RC), Balancing Authority (BA), or Transmission Operator (TOP) that is not already performing the function for which it is applying to be certified as) has the tools, processes, training, and procedures to demonstrate their ability to meet the requirements or sub-requirements of all of the Reliability Standards applicable to the functions for which it is applying, thereby demonstrating the ability to become certified and then operational. The decision to certify changes to an already operating and certified Registered Entity is a collaborative decision between the affected Regional Entities and NERC. Requirements and activities for the Organization Certification Program are embodied in Section 500 (Organization Registration and Certification) and Appendices 5A and 5B of the FERC-approved NERC Rules of Procedure.
Compliance Investigations
A Compliance Investigation is one of the eight types of formal compliance monitoring methods identified in the NERC Rules of Procedure, Appendix 4C, Section 3.4. Compliance Investigations are non-public, confidential matters.
The complaint process is an internal, non-public review and handling of information provided by concerned sources to NERC as a formal complaint. The process is necessary to determine if a more extensive Compliance Monitoring and Enforcement Program (CMEP) monitoring method should be initiated or a recommendation that no further action be taken. These matters are reported through the Compliance Hotline or by phone call to 866-888-0451. Complaints are one of the eight formal compliance monitoring methods described in the NERC Rules of Procedure in Appendix 4C, Section 3.7.



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