Fac-008-5

FAC-008-5 – Facility Ratings

A. Introduction
1.

Title:

Facility Ratings

2.

Number:

FAC-008-5

3.

Purpose:

To ensure that Facility Ratings used in the reliable planning and
operation of the Bulk Electric System (BES) are determined based
on technically sound principles. A Facility Rating is essential for the
determination of System Operating Limits.

4.

Applicability:
4.1. Transmission Owner
4.2. Generator Owner

5.

Effective Date:

See Implementation Plan.

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FAC-008-5 – Facility Ratings

B. Requirements and Measures
R1. Each Generator Owner shall have documentation for determining the Facility Ratings
of its solely and jointly owned generator Facility(ies) up to the low side terminals of
the main step up transformer if the Generator Owner does not own the main step up
transformer and the high side terminals of the main step up transformer if the
Generator Owner owns the main step up transformer. [Violation Risk Factor: Lower]
[Time Horizon: Long-term Planning]
1.1. The documentation shall contain assumptions used to rate the generator and at
least one of the following:
•

Design or construction information such as design criteria, ratings provided
by equipment manufacturers, equipment drawings and/or specifications,
engineering analyses, method(s) consistent with industry standards (e.g.
ANSI and IEEE), or an established engineering practice that has been verified
by testing or engineering analysis.

•

Operational information such as commissioning test results, performance
testing or historical performance records, any of which may be
supplemented by engineering analyses.

1.2. The documentation shall be consistent with the principle that the Facility Ratings
do not exceed the most limiting applicable Equipment Rating of the individual
equipment that comprises that Facility.
M1. Each Generator Owner shall have documentation that shows how its Facility Ratings
were determined as identified in Requirement 1.
R2. Each Generator Owner shall have a documented methodology for determining Facility
Ratings (Facility Ratings methodology) of its solely and jointly owned equipment
connected between the location specified in R1 and the point of interconnection with
the Transmission Owner that contains all of the following. [Violation Risk Factor:
Medium] [Time Horizon: Long-term Planning]
2.1. The methodology used to establish the Ratings of the equipment that comprises
the Facility(ies) shall be consistent with at least one of the following:
•

Ratings provided by equipment manufacturers or obtained from equipment
manufacturer specifications such as nameplate rating.

•

One or more industry standards developed through an open process such as
Institute of Electrical and Electronic Engineers (IEEE) or International Council
on Large Electric Systems (CIGRE).

•

A practice that has been verified by testing, performance history or
engineering analysis.

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FAC-008-5 – Facility Ratings

2.2. The underlying assumptions, design criteria, and methods used to determine the
Equipment Ratings identified in Requirement R2, Part 2.1 including identification
of how each of the following were considered:
2.2.1. Equipment Rating standard(s) used in development of this methodology.
2.2.2. Ratings provided by equipment manufacturers or obtained from
equipment manufacturer specifications.
2.2.3. Ambient conditions (for particular or average conditions or as they vary
in real-time).
2.2.4. Operating limitations.1
2.3. A statement that a Facility Rating shall respect the most limiting applicable
Equipment Rating of the individual equipment that comprises that Facility.
2.4. The process by which the Rating of equipment that comprises a Facility is
determined.
2.4.1. The scope of equipment addressed shall include, but not be limited to,
conductors, transformers, relay protective devices, terminal equipment,
and series and shunt compensation devices.
2.4.2. The scope of Ratings addressed shall include, as a minimum, both Normal
and Emergency Ratings.
M2. Each Generator Owner shall have a documented Facility Ratings methodology that
includes all of the items identified in Requirement 2, Parts 2.1 through 2.4.
R3. Each Transmission Owner shall have a documented methodology for determining
Facility Ratings (Facility Ratings methodology) of its solely and jointly owned Facilities
(except for those generating unit Facilities addressed in R1 and R2) that contains all of
the following: [Violation Risk Factor: Medium] [ Time Horizon: Long-term Planning]
3.1. The methodology used to establish the Ratings of the equipment that comprises
the Facility shall be consistent with at least one of the following:

1

•

Ratings provided by equipment manufacturers or obtained from equipment
manufacturer specifications such as nameplate rating.

•

One or more industry standards developed through an open process such as
Institute of Electrical and Electronics Engineers (IEEE) or International Council
on Large Electric Systems (CIGRE).

•

A practice that has been verified by testing, performance history or
engineering analysis.

Such as temporary de-ratings of impaired equipment in accordance with good utility practice.

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FAC-008-5 – Facility Ratings

3.2. The underlying assumptions, design criteria, and methods used to determine the
Equipment Ratings identified in Requirement R3, Part 3.1 including identification
of how each of the following were considered:
3.2.1. Equipment Rating standard(s) used in development of this methodology.
3.2.2. Ratings provided by equipment manufacturers or obtained from
equipment manufacturer specifications.
3.2.3. Ambient conditions (for particular or average conditions or as they vary
in real-time).
3.2.4. Operating limitations.2
3.3. A statement that a Facility Rating shall respect the most limiting applicable
Equipment Rating of the individual equipment that comprises that Facility.
3.4. The process by which the Rating of equipment that comprises a Facility is
determined.
3.4.1. The scope of equipment addressed shall include, but not be limited to,
transmission conductors, transformers, relay protective devices, terminal
equipment, and series and shunt compensation devices.
3.4.2. The scope of Ratings addressed shall include, as a minimum, both Normal
and Emergency Ratings.
M3. Each Transmission Owner shall have a documented Facility Ratings methodology that
includes all of the items identified in Requirement 3, Parts 3.1 through 3.4.
R4. Reserved.
M4. Reserved.
R5. Reserved.
M5. Reserved.
R6. Each Transmission Owner and Generator Owner shall have Facility Ratings for its
solely and jointly owned Facilities that are consistent with the associated Facility
Ratings methodology or documentation for determining its Facility Ratings. [Violation
Risk Factor: Medium] [Time Horizon: Operations Planning]
M6. Each Transmission Owner and Generator Owner shall have evidence to show that its
Facility Ratings are consistent with the documentation for determining its Facility
Ratings as specified in Requirement R1 or consistent with its Facility Ratings
methodology as specified in Requirements R2 and R3 (Requirement R6).
R7. Reserved.
M7. Reserved.

2

Such as temporary de-ratings of impaired equipment in accordance with good utility practice.

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FAC-008-5 – Facility Ratings

R8.

Each Transmission Owner (and each Generator Owner subject to Requirement R2)
shall provide requested information as specified below (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 Coordinator(s), Transmission Planner(s), Transmission
Owner(s) and Transmission Operator(s): [Violation Risk Factor: Medium] [Time
Horizon: Operations Planning]
8.1.

As scheduled by the requesting entities:

8.2.

8.1.1.

Facility Ratings

8.1.2.

Identity of the most limiting equipment of the Facilities

Within 30 calendar days (or a later date if specified by the requester), for any
requested Facility with a Thermal Rating that limits the use of Facilities under
the requester’s authority by causing any of the following: 1) An
Interconnection Reliability Operating Limit, 2) A limitation of Total Transfer
Capability, 3) An impediment to generator deliverability, or 4) An impediment
to service to a major load center:
8.2.1.

Identity of the existing next most limiting equipment of the Facility

8.2.2.

The Thermal Rating for the next most limiting equipment identified
in Requirement R8, Part 8.2.1.

M8. Each Transmission Owner (and Generator Owner subject to Requirement R2) shall
have evidence, such as a copy of a dated electronic note, or other comparable
evidence to show that it provided its Facility Ratings and identity of limiting equipment
to its associated Reliability Coordinator(s), Planning Coordinator(s), Transmission
Planner(s), Transmission Owner(s) and Transmission Operator(s) in accordance with
Requirement R8.

C. Compliance
1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority: “Compliance Enforcement Authority”
means NERC or the Regional Entity, or any entity as otherwise designated by an
Applicable Governmental Authority, in their respective roles of monitoring
and/or enforcing compliance with mandatory and enforceable Reliability
Standards in their respective jurisdictions.
1.2. Compliance Monitoring and Enforcement Processes:
•

Self-Certifications

•

Spot Checking

•

Compliance Audits

•

Self-Reporting

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FAC-008-5 – Facility Ratings

•

Compliance Violation Investigations

•

Complaints

1.3. Evidence Retention: The following evidence retention period(s) 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 Compliance Enforcement
Authority may ask an entity to provide other evidence to show that it was
compliant for the full-time period since the last audit.
The applicable entity 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 keep its current documentation (for R1) and any
modifications to the documentation that were in force since last compliance
audit period for Measure M1 and Measure M6.

•

The Generator Owner shall keep its current, in force Facility Ratings
methodology (for R2) and any modifications to the methodology that were in
force since last compliance audit period for Measure M2 and Measure M6.

•

The Transmission Owner shall keep its current, in force Facility Ratings
methodology (for R3) and any modifications to the methodology that were in
force since the last compliance audit for Measure M3 and Measure M6.

•

The Transmission Owner and Generator Owner shall keep its current, in force
Facility Ratings and any changes to those ratings for three calendar years for
Measure M6.

•

The Transmission Owner (and Generator Owner that is subject to
Requirement R2) shall keep evidence for Measure M8 for three calendar
years.

•

If a Generator Owner or Transmission Owner is found non-compliant, it shall
keep information related to the non-compliance until found compliant.

•

The Compliance Enforcement Authority shall keep the last audit and all
subsequent compliance records.

1.4. Compliance Monitoring and Enforcement Program: As defined in the NERC
Rules of Procedure, “Compliance Monitoring and Enforcement Program” refers
to the identification of the processes that will be used to evaluate data or
information for the purpose of assessing performance or outcomes with the
associated Reliability Standard.

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FAC-008-5 – Facility Ratings

Violation Severity Levels
Violation Severity Levels

R#

Lower VSL

Moderate VSL

High VSL

Severe VSL

R1.

N/A

The Generator Owner’s
Facility Rating
documentation did not
address Requirement R1,
Part 1.1.

The Generator Owner’s
Facility Rating
documentation did not
address Requirement R1,
Part 1.2.

The Generator Owner failed to
provide documentation for
determining its Facility Ratings.

R2.

The Generator Owner
failed to include in its
Facility Rating
methodology one of the
following Parts of
Requirement R2:

The Generator Owner failed
to include in its Facility
Rating methodology two of
the following Parts of
Requirement R2:

The Generator Owner’s
Facility Rating methodology
did not address all the
components of
Requirement R2, Part 2.4.

The Generator Owner’s Facility
Rating methodology failed to
recognize a facility's rating
based on the most limiting
component rating as required
in Requirement R2, Part 2.3

•

2.1.

•

2.2.1

•

2.2.2

•

2.2.3

•

2.2.4

•

2.1

OR

•

2.2.1

•

2.2.2

•

2.2.3

•

2.2.4

The Generator Owner failed
to include in its Facility
Rating Methodology, three
of the following Parts of
Requirement R2:
•

2.1.

•

2.2.1

•

2.2.2

•

2.2.3

•

2.2.4

OR
The Generator Owner failed to
include in its Facility Rating
Methodology four or more of
the following Parts of
Requirement R2:
•

2.1

•

2.2.1

•

2.2.2

•

2.2.3

•

2.2.4

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FAC-008-5 – Facility Ratings

Violation Severity Levels

R#

R3.

Lower VSL
The Transmission Owner
failed to include in its
Facility Rating
methodology one of the
following Parts of
Requirement R3:
•

3.1

•

3.2.1

•

3.2.2

•

3.2.3

•

3.2.4

Moderate VSL

High VSL

The Transmission Owner
failed to include in its
Facility Rating methodology
two of the following Parts
of Requirement R3:

The Transmission Owner’s
Facility Rating methodology
did not address either of
the following Parts of
Requirement R3:

•

3.1

•

3.4.1

•

3.2.1

•

3.4.2

•

3.2.2

OR

•

3.2.3

•

3.2.4

The Transmission Owner
failed to include in its
Facility Rating methodology
three of the following Parts
of Requirement R3:
•

3.1

•

3.2.1

•

3.2.2

•

3.2.3

•

3.2.4

Severe VSL
The Transmission Owner’s
Facility Rating methodology
failed to recognize a Facility's
rating based on the most
limiting component rating as
required in Requirement R3,
Part 3.3
OR
The Transmission Owner failed
to include in its Facility Rating
methodology four or more of
the following Parts of
Requirement R3:
•

3.1

•

3.2.1

•

3.2.2

•

3.2.3

•

3.2.4

R4.
Reserved.
R5.
Reserved.

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FAC-008-5 – Facility Ratings

Violation Severity Levels

R#

R6.

Lower VSL

Moderate VSL

High VSL

Severe VSL

The responsible entity
failed to establish Facility
Ratings consistent with
the associated Facility
Ratings methodology or
documentation for
determining the Facility
Ratings for 5% or less of
its solely owned and
jointly owned Facilities.
(R6)

The responsible entity
failed to establish Facility
Ratings consistent with the
associated Facility Ratings
methodology or
documentation for
determining the Facility
Ratings for more than 5% or
more, but less than up to
(and including) 10% of its
solely owned and jointly
owned Facilities. (R6)

The responsible entity
failed to establish Facility
Ratings consistent with the
associated Facility Ratings
methodology or
documentation for
determining the Facility
Ratings for more than 10%
up to (and including) 15% of
its solely owned and jointly
owned Facilities. (R6)

The responsible entity failed to
establish Facility Ratings
consistent with the associated
Facility Ratings methodology or
documentation for determining
the Facility Ratings for more
than15% of its solely owned
and jointly owned Facilities.
(R6)

The responsible entity
provided its Facility
Ratings to all of the
requesting entities but
missed meeting the
schedules by up to and
including 15 calendar
days. (R8, Part 8.1)

The responsible entity
provided its Facility Ratings
to all of the requesting
entities but missed meeting
the schedules by more than
15 calendar days but less
than or equal to 25
calendar days. (R8, Part 8.1)

The responsible entity
provided its Facility Ratings
to all of the requesting
entities but missed meeting
the schedules by more than
25 calendar days but less
than or equal to 35
calendar days. (R8, Part 8.1)

The responsible entity provided
its Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more
than 35 calendar days. (R8, Part
8.1)

OR

OR

OR

The responsible entity
provided less than 100%,

The responsible entity
provided less than 95%, but

The responsible entity
provided less than 90%, but

R7.
Reserved.
R8.

OR
The responsible entity provided
less than 85% of the required
Rating information to all of the

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FAC-008-5 – Facility Ratings

Violation Severity Levels

R#

Lower VSL

Moderate VSL

High VSL

Severe VSL

but not less than or equal
to 95% of the required
Rating information to all
of the requesting entities.
(R8, Part 8.1)

not less than or equal to
90% of the required Rating
information to all of the
requesting entities. (R8,
Part 8.1)

not less than or equal to
85% of the required Rating
information to all of the
requesting entities. (R8,
Part 8.1)

OR

OR

OR

The responsible entity
provided the required
Rating information to the
requesting entity, but the
information was provided
up to and including 15
calendar days late. (R8,
Part 8.2)

The responsible entity
provided the required
Rating information to the
requesting entity, but did so
more 15 calendar days but
less than or equal to 25
calendar days late. (R8, Part
8.2)

The responsible entity
provided the required
Rating information to the
requesting entity, but did so
more than 25 calendar days
but less than or equal to 35
calendar days late. (R8, Part
8.2)

OR

OR

OR

OR

The responsible entity
provided less than 100%,
but not less than or equal
to 95% of the required
Rating information to the
requesting entity. (R8,
Part 8.2)

The responsible entity
provided less than 95%, but
not less than or equal to
90% of the required Rating
information to the
requesting entity. (R8, Part
8.2)

The responsible entity
provided less than 90%, but
no less than or equal to
85% of the required Rating
information to the
requesting entity. (R8, Part
8.2)

The responsible entity failed to
provide its Rating information
to the requesting entity. (R8,
Part 8.1)

requesting entities. (R8, Part
8.1)
OR
The responsible entity provided
the required Rating information
to the requesting entity, but did
so more than 35 calendar days
late. (R8, Part 8.2)
OR
The responsible entity provided
less than 85 % of the required
Rating information to the
requesting entity. (R8, Part 8.2)

D. Regional Variances
None.

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FAC-008-5 – Facility Ratings

E. Associated Documents
None.

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FAC-008-5 – Facility Ratings

Version History
Version

Date

Action

Change Tracking

1

Feb 7, 2006

Approved by Board of Trustees

New

1

Mar 16, 2007

Approved by FERC

New

2

May 12, 2010

Approved by Board of Trustees

Complete Revision,
merging FAC_008-1
and FAC-009-1 under
Project 2009-06 and
address directives
from Order 693

3

May 24, 2011

Addition of Requirement R8

Project 2009-06
Expansion to address
third directive from
Order 693

3

May 24, 2011

Adopted by NERC Board of Trustees

3

November 17, FERC Order issued approving FAC-008-3
2011

3

May 17, 2012

FERC Order issued directing the VRF for
Requirement R2 be changed from
“Lower” to “Medium”

3

February 7,
2013

R4 and R5 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.

3

November 21, R4 and R5 and associated elements
2013
approved by FERC for retirement as
part of the Paragraph 81 project
(Project 2013-02)

4

May 9, 2020

R7 and R8 and associated elements
adopted by NERC Board of Trustees for
retirement as part of Project 2018-03
Standards Efficiency Review
Retirements.

4

September
17, 2020

Remanded by FERC (Order No. 873).

Withdrawn

5

February 4,
2021

Adopted by NERC Board of Trustees

Requirement R8 and
associated elements
restored in response

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FAC-008-5 – Facility Ratings
Version

Date

Action

Change Tracking

to FERC Order No.
873.

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