Proposed Reliability Standard FAC-001-1

S ta n d a rd FAC-001-1 — Fa c ility Co n n e c tio n Req u ire m e nts
A. Introduction
1.

Title:

Facility Connection Requirements

2.

Number:

FAC-001-1

3.

Purpose:
To avoid adverse impacts on reliability, Transmission Owners and Generator
Owners must establish Facility connection and performance requirements.

4.

Applicability:
4.1. Transmission Owner
4.2. Applicable Generator Owner
4.2.1

5.

Generator Owner with an executed Agreement to evaluate the reliability impact
of interconnecting a third party Facility to the Generator Owner’s existing
Facility that is used to interconnect to the interconnected Transmission systems.

Effective Date:
5.1. In those jurisdictions where regulatory approval is required, all requirements applied to
the Transmission Owner become effective upon regulatory approval. In those
jurisdictions where no regulatory approval is required, all requirements applied to the
Transmission Owner and Regional Entity become effective upon Board of Trustees’
adoption.
5.2. In those jurisdictions where regulatory approval is required, all requirements applied to
the Generator Owner become effective on the first calendar day of the first calendar
quarter one year after the date of the order approving the standard from applicable
regulatory authorities. In those jurisdictions where no regulatory approval is required, all
requirements applied to the Generator Owner become effective on the first calendar day
of the first calendar quarter one year after Board of Trustees’ adoption.

B.

Requirements
R1. The Transmission Owner shall document, maintain, and publish Facility connection
requirements to ensure compliance with NERC Reliability Standards and applicable Regional
Entity, subregional, Power Pool, and individual Transmission Owner planning criteria and
Facility connection requirements. The Transmission Owner’s Facility connection
requirements shall address connection requirements for:
1.1.

Generation Facilities,

1.2.

Transmission Facilities, and

1.3.

End-user Facilities

[VRF – Medium]
R2. Each applicable Generator Owner shall, within 45 days of having an executed Agreement to
evaluate the reliability impact of interconnecting a third party Facility to the Generator
Owner’s existing Facility that is used to interconnect to the interconnected Transmission
systems (under FAC-002-1), document and publish its Facility connection requirements to
ensure compliance with NERC Reliability Standards and applicable Regional Entity,
subregional, Power Pool, and individual Transmission Owner planning criteria and Facility
connection requirements.
Adopted by the Board of Trustees: February 9, 2012

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S ta n d a rd FAC-001-1 — Fa c ility Co n n e c tio n Req u ire m e nts
[VRF – Medium]

R3. Each Transmission Owner and each applicable Generator Owner (in accordance with
Requirement R2) shall address the following items in its Facility connection requirements:

3.1. Provide a written summary of its plans to achieve the required system performance as
described in Requirements R1 or R2 throughout the planning horizon:

3.1.1. Procedures for coordinated joint studies of new Facilities and their impacts on the
interconnected Transmission systems.

3.1.2. Procedures for notification of new or modified Facilities to others (those
responsible for the reliability of the interconnected Transmission systems) as
soon as feasible.

3.1.3. Voltage level and MW and MVAR capacity or demand at point of connection.
3.1.4. Breaker duty and surge protection.
3.1.5. System protection and coordination.
3.1.6. Metering and telecommunications.
3.1.7. Grounding and safety issues.
3.1.8. Insulation and insulation coordination.
3.1.9. Voltage, Reactive Power, and power factor control.
3.1.10. Power quality impacts.
3.1.11. Equipment Ratings.
3.1.12. Synchronizing of Facilities.
3.1.13. Maintenance coordination.
3.1.14. Operational issues (abnormal frequency and voltages).
3.1.15. Inspection requirements for existing or new Facilities.
3.1.16. Communications and procedures during normal and emergency operating
conditions.
[VRF – Medium]
R4. The Transmission Owner shall maintain and update its Facility connection requirements as
required. The Transmission Owner shall make documentation of these requirements available
to the users of the transmission system, the Regional Entity, and ERO on request (five
business days).
[VRF – Medium]
C.

Measures
M1. The Transmission Owner shall make available (to its Compliance Enforcement Authority)
evidence that it met all the requirements stated in Requirement R1.

Adopted by the Board of Trustees: February 9, 2012

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S ta n d a rd FAC-001-1 — Fa c ility Co n n e c tio n Req u ire m e nts
M2. Each Generator Owner that has an executed Agreement to evaluate the reliability impact of
interconnecting a third party Facility to the Generator Owner’s existing Facility that is used to
interconnect to the interconnected Transmission systems shall make available (to its
Compliance Enforcement Authority) evidence that it met all requirements stated in
Requirement R2.
M3. Each Transmission Owner and each applicable Generator Owner (in accordance with
Requirement R2) shall make available (to its Compliance Enforcement Authority) evidence
that it met all requirements stated in Requirement R3.
M4. The Transmission Owner shall make available (to its Compliance Enforcement Authority)
evidence that it met all the requirements stated in Requirement R4.
D.

Compliance
1.

Compliance Monitoring Process
1.1.

Compliance Enforcement Authority
Compliance Monitor: Regional Entity

1.2.

Compliance Monitoring and Enforcement Processes:
Compliance Audits
Self-Certifications
Spot Checking
Compliance Violation Investigations
Self-Reporting
Complaints

1.3.

Data Retention
The Transmission Owner shall keep data or evidence to show compliance as identified
below unless directed by its Compliance Enforcement Authority to retain specific
evidence for a longer period of time as part of an investigation:
• The Transmission Owner shall retain evidence of Requirement R1, Measure M1,
Requirement R3, Measure M3, and Requirement R4, Measure M4 from its last
audit.
The Generator Owner shall keep data or evidence to show compliance as identified
below unless directed by its Compliance Enforcement Authority to retain specific
evidence for a longer period of time as part of an investigation:
• The Generator Owner shall retain evidence of Requirement R2, Measure M2, and
Requirement R3, Measure M3 from its last audit.
The Compliance Enforcement Authority shall keep the last audit records and all
requested and submitted subsequent audit records.

1.4.

Additional Compliance Information
None.

Adopted by the Board of Trustees: February 9, 2012

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S ta n d a rd FAC-001-1 — Fa c ility Co n n e c tio n Req u ire m e nts
2.

Violation Severity Levels
R
#

Lower VSL

R1 Not Applicable.

Moderate VSL

The Transmission
Owner failed to do one
of the following:
Document or maintain
or publish Facility
connection
requirements as
specified in the
Requirement
OR

High VSL

The Transmission
The Transmission
Owner failed to do one Owner did not
of the following:
develop Facility
connection
Failed to include (2) of requirements.
the components as
specified in R1.1, R1.2
or R1.3
OR

R2 The Generator Owner
failed to document and
publish Facility
connection
requirements until
more than 45 calendar
days but less than or
equal to 60 calendar
days after having an
Agreement to evaluate
the reliability impact of
interconnecting a third
party Facility to the
Generator Owner’s
existing Facility that is
used to interconnect to
the interconnected
Transmission systems.

The Generator Owner
failed to document and
publish Facility
connection
requirements until
more than 60 calendar
days but less than or
equal to 70 calendar
days after having an
Agreement to evaluate
the reliability impact of
interconnecting a third
party Facility to the
Generator Owner’s
existing Facility that is
used to interconnect to
the interconnected
Transmission systems.

Failed to document or
maintain or publish its
Facility connection
requirements as
specified in the
Requirement and
failed to include one
(1) of the components
as specified in R1.1,
R1.2 or R1.3.
The Generator Owner
failed to document and
publish Facility
connection
requirements until
more than 70 calendar
days but less than or
equal to 80 calendar
days after having an
Agreement to evaluate
the reliability impact
of interconnecting a
third party Facility to
the Generator Owner’s
existing Facility that is
used to interconnect to
the interconnected
Transmission systems.

R3 The responsible
entity’s Facility
connection

The responsible
entity’s Facility
connection

The responsible
entity’s Facility
connection

Failed to include one
(1) of the components
as specified in R1.1,
R1.2 or R1.3.

Adopted by the Board of Trustees: February 9, 2012

Severe VSL

The Generator
Owner failed to
document and
publish Facility
connection
requirements until
more than 80 days
after having an
Agreement to
evaluate the
reliability impact of
interconnecting a
third party Facility
to the Generator
Owner’s existing
Facility that is used
to interconnect to
the interconnected
Transmission
systems.
The responsible
entity’s Facility
connection
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requirements failed to
address one of the parts
listed in Requirement
R3, parts 3.1.1 through
3.1.16.

R4 The responsible entity
made the requirements
available more than
five business days but
less than or equal to 10
business days after a
request.

E.

requirements failed to
address two of the parts
listed in Requirement
R3, parts 3.1.1 through
3.1.16.

requirements failed to
address three of the
parts listed in
Requirement R3, parts
3.1.1 through 3.1.16.

requirements failed
to address four or
more of the parts
listed in
Requirement R3,
parts 3.1.1 through
3.1.16.

The responsible entity
made the requirements
available more than 10
business days but less
than or equal to 20
business days after a
request.

The responsible entity
made the requirements
available more than 20
business days less than
or equal to 30 business
days after a request.

The responsible
entity made the
requirements
available more than
30 business days
after a request.

Regional Differences
1.

None identified.

Version History
Version
0

Date

Action

Change Tracking

April 1, 2005

Effective Date

New

Added requirements for Generator Owner
and brought overall standard format up to
date.

Revision under Project
2010-07

1

1

February 9,
2012

Adopted by the Board of Trustees

Adopted by the Board of Trustees: February 9, 2012

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* FOR INFORMATIONAL PURPOSES ONLY *
Enforcement Dates: Standard FAC-001-1 — Facility Connection Requirements
United States
Standard

Requirement

FAC-001-1

All

Enforcement Date

Inactive Date

This standard has not yet been approved by the applicable regulatory authority.

Printed On: August 30, 2013, 11:00 AM