FAC002-3 (version to be updated)

FAC-002-2 — Facility Interconnection Studies

A. Introduction
1.

Title:

Facility Interconnection Studies

2.

Number:

FAC-002-2

3.

Purpose: To study the impact of interconnecting new or materially modified
Facilities on the Bulk Electric System.

4.

Applicability:
4.1. Functional Entities:
4.1.1

Planning Coordinator

4.1.2

Transmission Planner

4.1.3

Transmission Owner

4.1.4

Distribution Provider

4.1.5

Generator Owner

4.1.6

Applicable Generator Owner

4.1.6.1 Generator Owner with a fully executed Agreement to conduct a study
on the reliability impact of interconnecting a third party Facility to the
Generator Owner’s existing Facility that is used to interconnect to the
Transmission system.
4.1.7 Load-Serving Entity
5.

Effective Date: The first day of the first calendar quarter that is one year after the
date that this standard is approved by an applicable governmental authority or as
otherwise provided for in a jurisdiction where approval by an applicable governmental
authority is required for a standard to go into effect. Where approval by an applicable
governmental authority is not required, the standard shall become effective on the first
day of the first calendar quarter that is one year after the date this standard is adopted
by the NERC Board of Trustees or as otherwise provided for in that jurisdiction.

B. Requirements and Measures
R1. Each Transmission Planner and each Planning Coordinator shall study the reliability
impact of: (i) interconnecting new generation, transmission, or electricity end-user
Facilities and (ii) materially modifying existing interconnections of generation,
transmission, or electricity end-user Facilities. The following shall be studied:
[Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]
1.1. The reliability impact of the new interconnection, or materially modified existing
interconnection, on affected system(s);
1.2. Adherence to applicable NERC Reliability Standards; regional and Transmission
Owner planning criteria; and Facility interconnection requirements;
1.3. Steady-state, short-circuit, and dynamics studies, as necessary, to evaluate system
performance under both normal and contingency conditions; and

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FAC-002-2 — Facility Interconnection Studies

1.4. Study assumptions, system performance, alternatives considered, and coordinated
recommendations. While these studies may be performed independently, the
results shall be evaluated and coordinated by the entities involved.
M1. Each Transmission Planner or each Planning Coordinator shall have evidence (such as
study reports, including documentation of reliability issues) that it met all requirements
in Requirement R1.
R2. Each Generator Owner seeking to interconnect new generation Facilities, or to
materially modify existing interconnections of generation Facilities, shall coordinate
and cooperate on studies with its Transmission Planner or Planning Coordinator,
including but not limited to the provision of data as described in R1, Parts 1.1-1.4.
[Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]
M2. Each Generator Owner shall have evidence (such as documents containing the data
provided in response to the requests of the Transmission Planner or Planning
Coordinator) that it met all requirements in Requirement R2.
R3. Each Transmission Owner, each Distribution Provider, and each Load-Serving Entity
seeking to interconnect new transmission Facilities or electricity end-user Facilities, or
to materially modify existing interconnections of transmission Facilities or electricity
end-user Facilities, shall coordinate and cooperate on studies with its Transmission
Planner or Planning Coordinator, including but not limited to the provision of data as
described in R1, Parts 1.1-1.4. [Violation Risk Factor: Medium] [Time Horizon: Longterm Planning]
M3. Each Transmission Owner, each Distribution Provider, and each Load-Serving Entity
shall have evidence (such as documents containing the data provided in response to the
requests of the Transmission Planner or Planning Coordinator) that it met all
requirements in Requirement R3.
R4. Each Transmission Owner shall coordinate and cooperate with its Transmission
Planner or Planning Coordinator on studies regarding requested new or materially
modified interconnections to its Facilities, including but not limited to the provision of
data as described in R1, Parts 1.1-1.4. [Violation Risk Factor: Medium] [Time
Horizon: Long-term Planning]
M4. Each Transmission Owner shall have evidence (such as documents containing the data
provided in response to the requests of the Transmission Planner or Planning
Coordinator) that it met all requirements in Requirement R4.
R5. Each applicable Generator Owner shall coordinate and cooperate with its Transmission
Planner or Planning Coordinator on studies regarding requested interconnections to its
Facilities, including but not limited to the provision of data as described in R1, Parts
1.1-1.4. [Violation Risk Factor: Medium] [Time Horizon: Long-term Planning]
M5. Each applicable Generator Owner shall have evidence (such as documents containing
the data provided in response to the requests of the Transmission Planner or Planning
Coordinator) that it met all requirements in Requirement R5.

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FAC-002-2 — Facility Interconnection Studies

C. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
As defined in the NERC Rules of Procedure, “Compliance Enforcement
Authority” (CEA) means NERC or the Regional Entity in their respective roles of
monitoring and enforcing compliance with the NERC Reliability Standards.
1.2. Evidence Retention
The following evidence retention periods identify the period of time an entity is
required to retain specific evidence to demonstrate compliance. For instances
where the evidence retention period specified below is shorter than the time since
the last audit, the CEA may ask an entity to provide other evidence to show that it
was compliant for the full time period since the last audit.
The Planning Coordinator, Transmission Planner, Transmission Owner,
Distribution Provider, Generator Owner, applicable Generator Owner, and LoadServing Entity shall keep data or evidence to show compliance as identified below
unless directed by its CEA to retain specific evidence for a longer period of time
as part of an investigation:
The responsible entities shall retain documentation as evidence for three years.
If a responsible entity is found non-compliant, it shall keep information related to
the non-compliance until mitigation is complete and approved or for the time
specified above, whichever is longer.
The CEA shall keep the last audit records and all requested and submitted
subsequent audit records.
1.3. Compliance Monitoring and Assessment Processes:
Compliance Audit
Self-Certification
Spot Check
Compliance Investigation
Self-Reporting
Complaint
1.4. Additional Compliance Information
None

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FAC-002-2 — Facility Interconnection Studies

Table of Compliance Elements
R#

Time
Horizon

VRF

Violation Severity Levels
Lower VSL

Moderate VSL

High VSL

Severe VSL

R1

Long-term
Planning

Medium The Transmission
Planner or Planning
Coordinator studied
the reliability impact
of: (i) interconnecting
new generation,
transmission, or
electricity end-user
Facilities, and (ii)
materially modifying
existing
interconnections of
generation,
transmission, or
electricity end-user
Facilities, but failed to
study one of the Parts
(R1, 1.1-1.4).

The Transmission
Planner or Planning
Coordinator studied
the reliability impact
of: (i) interconnecting
new generation,
transmission, or
electricity end-user
Facilities, and (ii)
materially modifying
existing
interconnections of
generation,
transmission, or
electricity end-user
Facilities but failed to
study two of the Parts
(R1, 1.1-1.4).

The Transmission
Planner or Planning
Coordinator studied
the reliability impact
of: (i) interconnecting
new generation,
transmission, or
electricity end-user
Facilities, and (ii)
materially modifying
existing
interconnections of
generation,
transmission, or
electricity end-user
Facilities but failed to
study three of the Parts
(R1, 1.1-1.4).

The Transmission
Planner or Planning
Coordinator failed to
study the reliability
impact of:
interconnecting new
generation,
transmission, or
electricity end-user
Facilities, and (ii)
materially modifying
existing
interconnections of,
generation,
transmission, or
electricity end-user
Facilities.

R2

Long-term
Planning

Medium The Generator Owner
seeking to
interconnect new
generation Facilities,
or to materially
modify existing
interconnections of
generation Facilities,
coordinated and
cooperated on studies

The Generator Owner
seeking to
interconnect new
generation Facilities,
or to materially
modify existing
interconnections of
generation Facilities,
coordinated and
cooperated on studies

The Generator Owner
seeking to interconnect
new generation
Facilities, or to
materially modify
existing
interconnections of
generation Facilities,
coordinated and
cooperated on studies

The Generator Owner
seeking to interconnect
new generation
Facilities, or to
materially modify
existing
interconnections of
generation Facilities,
failed to coordinate
and cooperate on

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FAC-002-2 — Facility Interconnection Studies

R3

Long-term
Planning

with its Transmission
Planner or Planning
Coordinator, but failed
to provide data
necessary to perform
studies as described in
one of the Parts (R1,
1.1-1.4).

with its Transmission
Planner or Planning
Coordinator, but failed
to provide data
necessary to perform
studies as described in
two of the Parts (R1,
1.1-1.4).

with its Transmission
Planner or Planning
Coordinator, but failed
to provide data
necessary to perform
studies as described in
three of the Parts (R1,
1.1-1.4).

studies with its
Transmission Planner
or Planning
Coordinator.

Medium The Transmission
Owner, Distribution
Provider, or LoadServing Entity seeking
to interconnect new
transmission Facilities
or electricity end-user
Facilities, or to
materially modify
existing
interconnections of
transmission Facilities
or electricity end-user
Facilities, coordinated
and cooperated on
studies with its
Transmission Planner
or Planning
Coordinator, but failed
to provide data
necessary to perform
studies as described in
one of the Parts (R1,
1.1-1.4).

The Transmission
Owner, Distribution
Provider, or LoadServing Entity seeking
to interconnect new
transmission Facilities
or electricity end-user
Facilities, or to
materially modify
existing
interconnections of
transmission Facilities
or electricity end-user
Facilities, coordinated
and cooperated on
studies with its
Transmission Planner
or Planning
Coordinator, but failed
to provide data
necessary to perform
studies as described in
two of the Parts (R1,
1.1-1.4).

The Transmission
Owner, Distribution
Provider, or LoadServing Entity seeking
to interconnect new
transmission Facilities
or electricity end-user
Facilities, or to
materially modify
existing
interconnections of
transmission Facilities
or electricity end-user
Facilities, coordinated
and cooperated on
studies with its
Transmission Planner
or Planning
Coordinator, but failed
to provide data
necessary to perform
studies as described in
three of the Parts (R1,
1.1-1.4).

The Transmission
Owner, Distribution
Provider, or LoadServing Entity seeking
to interconnect new
transmission Facilities
or electricity end-user
Facilities, or to
materially modify
existing
interconnections of
transmission Facilities
or electricity end-user
Facilities, failed to
coordinate and
cooperate on studies
with its Transmission
Planner or Planning
Coordinator.

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FAC-002-2 — Facility Interconnection Studies

R4

Long-term
Planning

Medium The Transmission
Owner coordinated
and cooperated on
studies with its
Transmission Planner
or Planning
Coordinator regarding
requested new or
materially modified
interconnections to its
Facilities, but failed to
provide data necessary
to perform studies as
described in one of the
Parts (R1, 1.1-1.4).

The Transmission
Owner coordinated
and cooperated on
studies with its
Transmission Planner
or Planning
Coordinator regarding
requested new or
materially modified
interconnections to its
Facilities, but failed to
provide data necessary
to perform studies as
described in two of the
Parts (R1, 1.1-1.4).

The Transmission
Owner coordinated
and cooperated on
studies with its
Transmission Planner
or Planning
Coordinator regarding
requested new or
materially modified
interconnections to its
Facilities, but failed to
provide data necessary
to perform studies as
described in three of
the Parts (R1, 1.1-1.4).

The Transmission
Owner failed to
coordinate and
cooperate on studies
with its Transmission
Planner or Planning
Coordinator regarding
requested new or
materially modified
interconnections to its
Facilities.

R5

Long-term
Planning

Medium The applicable
Generator Owner
coordinated and
cooperated on studies
with its Transmission
Planner or Planning
Coordinator regarding
requested
interconnections to its
Facilities, but failed to
provide data necessary
to perform studies as
described in one of the
Parts (R1, 1.1-1.4).

The applicable
Generator Owner
coordinated and
cooperated on studies
with its Transmission
Planner or Planning
Coordinator regarding
requested
interconnections to its
Facilities, but failed to
provide data necessary
to perform studies as
described in two of the
Parts (R1, 1.1-1.4).

The applicable
Generator Owner
coordinated and
cooperated on studies
with its Transmission
Planner or Planning
Coordinator regarding
requested
interconnections to its
Facilities, but failed to
provide data necessary
to perform studies as
described in three of
the Parts (R1, 1.1-1.4).

The applicable
Generator Owner
failed to coordinate
and cooperate on
studies with its
Transmission Planner
or Planning
Coordinator regarding
requested
interconnections to its
Facilities.

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FAC-002-2 — Facility Interconnection Studies

D. Regional Variances
None.
E. Interpretations
None.
F. Associated Documents
None

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Application Guidelines
Guidelines and Technical Basis
Entities should have documentation to support the technical rationale for determining whether an
existing interconnection was “materially modified.” Recognizing that what constitutes a
“material modification” will vary from entity to entity, the intent is for this determination to be
based on engineering judgment.

Version History

Version

Date

Action

Change
Tracking

0

April 1, 2005

Effective Date

New

0

January 13, 2006

Removed duplication of “Regional
Reliability Organizations(s).

Errata

1

August 5, 2010

Modified to address Order No. 693
Directives contained in paragraph
693.
Adopted by the NERC Board of
Trustees.

Revised

1

February 7, 2013

1

November 21, 2013

R2 and associated elements approved
by NERC Board of Trustees for
retirement as part of the Paragraph 81
project (Project 2013-02) pending
applicable regulatory approval.
R2 and associated elements approved
by FERC for retirement as part of the
Paragraph 81 project (Project 201302)

2

Revisions to implement the
recommendations of the FAC FiveYear Review Team.

2

August 14, 2014

Adopted by the Board of Trustees.

2

November 6, 2014

FERC letter order issued approving
FAC-002-2.

Revision under
Project 2010-02

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