FAC-009-1 OLD Reliability Standard

Standard FAC-009-1 — Establish and Communicate Facility Ratings

A. Introduction
1.

Title:

Establish and Communicate Facility Ratings

2.

Number:

FAC-009-1

3.

Purpose:
To ensure that Facility Ratings used in the reliable planning and operation of the
Bulk Electric System (BES) are determined based on an established methodology or
methodologies.

4.

Applicability
4.1. Transmission Owner
4.2. Generator Owner

5.

Effective Date: October 7, 2006

B. Requirements
R1.

The Transmission Owner and Generator Owner shall each establish Facility Ratings for its
solely and jointly owned Facilities that are consistent with the associated Facility Ratings
Methodology.

R2.

The Transmission Owner and Generator Owner shall each provide Facility Ratings for its
solely and jointly owned Facilities that are existing Facilities, new Facilities, modifications to
existing Facilities and re-ratings of existing Facilities to its associated Reliability
Coordinator(s), Planning Authority(ies), Transmission Planner(s), and Transmission
Operator(s) as scheduled by such requesting entities.

C. Measures
M1. The Transmission Owner and Generator Owner shall each be able to demonstrate that it
developed its Facility Ratings consistent with its Facility Ratings Methodology.
M1.1

The Transmission Owner’s and Generator Owner’s Facility Ratings shall each include
ratings for its solely and jointly owned Facilities including new Facilities, existing
Facilities, modifications to existing Facilities and re-ratings of existing Facilities.

M2. The Transmission Owner and Generator Owner shall each have evidence that it provided its
Facility Ratings to its associated Reliability Coordinator(s), Planning Authority(ies),
Transmission Planner(s), and Transmission Operator(s) as scheduled by such requesting
entities.
D. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Monitoring Responsibility
Regional Reliability Organization
1.2. Compliance Monitoring Period and Reset Time Frame
Each Transmission Owner and Generator Owner shall self-certify its compliance to the
Compliance Monitor annually. The Compliance Monitor may conduct a targeted audit
once in each calendar year (January–December) and an investigation upon complaint to
assess performance.
The Performance-Reset Period shall be twelve months from the last finding of noncompliance.

Adopted by Board of Trustees: February 7, 2006
Effective Date: October 7, 2006

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Standard FAC-009-1 — Establish and Communicate Facility Ratings

1.3. Data Retention
The Transmission Owner and Generator Owner shall each keep documentation for 12
months. In addition, entities found non-compliant shall keep information related to the
non-compliance until found compliant.
The Compliance Monitor shall retain audit data for three years.
1.4. Additional Compliance Information
The Transmission Owner and Generator Owner shall each make the following available
for inspection during a targeted audit by the Compliance Monitor or within 15 business
days of a request as part of an investigation upon complaint:

2.

1.4.1

Facility Ratings Methodology

1.4.2

Facility Ratings

1.4.3

Evidence that Facility Ratings were distributed

1.4.4

Distribution schedules provided by entities that requested Facility Ratings

Levels of Non-Compliance
2.1. Level 1:
Not all requested Facility Ratings associated with existing Facilities were
provided to the Reliability Coordinator(s), Planning Authority(ies), Transmission
Planner(s), and Transmission Operator(s) in accordance with their respective schedules.
2.2. Level 2:
Not all Facility Ratings associated with new Facilities, modifications to
existing Facilities, and re-ratings of existing Facilities were provided to the Reliability
Coordinator(s), Planning Authority(ies), Transmission Planner(s), and Transmission
Operator(s) in accordance with their respective schedules.
2.3. Level 3:
Facility Ratings provided were not developed consistent with the Facility
Ratings Methodology.
2.4. Level 4:
No Facility Ratings were provided to the Reliability Coordinator(s),
Planning Authority(ies), Transmission Planner(s), or Transmission Operator(s) in
accordance with their respective schedules.

E. Regional Differences
None Identified.
Version History
Version

1

Date

Action

Change Tracking

08/01/05

1.

01/20/06

2.

3.

Lower cased the word “draft” and
“drafting team” where appropriate.
Changed incorrect use of certain
hyphens (-) to “en dash” (–) and “em
dash (—).”
Changed “Timeframe” to “Time
Frame” in item D, 1.2.

Adopted by Board of Trustees: February 7, 2006
Effective Date: October 7, 2006

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