Provider Application and Renewal User Guide v2 · Provider Application and Renewal User Guide | July 2015 6 of 23 Level 1 Transcript Reviewer 1. Complete the Personal Information

Provider Application and Renewal User Guide | July 2015 1 of 23

Provider Application and Renewal User Guide

July 2015

3353 Peachtree Road NE Suite 600, North Tower

Atlanta, GA 30326 404-446-2560 | www.nerc.com

NERC | Provider Application and Renewal User Guide | July 2015 2 of 23

Purpose The purpose of this guide is to provide instruction to current and prospective NERC CE providers on how to renew or apply for provider status. Information is also provided in response to frequently asked questions from industry providers. The program criteria outlined in the NERC Continuing Education Administrative Manual takes precedence over any information presented in this user guide. NERC providers, both the ILA provider and the NERC Approved provider, are institutions, entities, and vendors who deliver courses to system operators for the purpose of maintaining their NERC System Operator credential. The NERC Continuing Education program does not approve providers for any other purpose. The Transcript Reviewer role is also offered to entities with a need to review the transcripts of operators in their employ.

Purpose


Contents

Purpose ...................................................................................................................................................................... 2

Application ................................................................................................................................................................. 4

Level 1 Transcript Reviewer ...................................................................................................................................... 6

Level 2: ILA Provider ................................................................................................................................................. 8

Account Information ............................................................................................................................................... 12

Provider Renewal .................................................................................................................................................... 14

Attachment A: Level 2 ILA Provider Evaluation Guideline...................................................................................... 16

Application


Application 1. Information on ILA Provider and NERC Approved Provider can be found in the NERC Continuing Education

Administrative manual on the NERC CE webpage. 2. Complete the application to become an ILA provider. The application form can be found on the NERC

Continuing Education webpage. 3. Applicants must read and understand the requirements contained in the following documents:

a. NERC Continuing Education Administrative Manual, located on the NERC CE webpage. b. System Operator Certification Program Manual, located on the NERC SOC webpage.

4. Applicants must create an account in the System Operator Certification and Continuing Education Database (SOCCED).

a. Click on the SOCCED link from the NERC CE webpage. i. Do not click the Login or Login/Register links found in the web page header, these links

are for other NERC applications, not SOCCED.

b. Click on the Provider Application link.

Application


c. Click the Acknowledgement.

d. Read the Continuing Education Administrative Manual and the System Operator Certification Program Manual.

e. You must select either the Level 1 Transcript Reviewer role or the Level 2 ILA Provider role. Refer to the Continuing Education Administrative Manual for further information on these roles.

Level 1 Transcript Reviewer



1. Complete the Personal Information then click Save.

2. The next window is the shopping cart. a. Click Print to print a copy of the transaction invoice. b. Click Check Out to complete the application.

3. Payment can be made using the secure online credit card payment option on the SOCCED, or by mailing a check made out to NERC to the following address:

North American Electric Reliability Corporation 3353 Peachtree Rd NE, Suite 600 – North Tower Atlanta, GA 30326

a. A printable invoice/receipt for your payment will be available in the SOCCED at the time of submittal.

b. NERC will not grant approved provider status if any required documentation is missing or if the required fees are unpaid.



4. When NERC approves the account, operators will be able to grant access to their transcripts to this account.

Level 2: ILA Provider



1. Complete the Provider Information for the individual who be the primary contact on the account. Click Save and Continue.

i. Select a Provider class that reflects the type of entity:

1. Academic (colleges and universities)

2. Government (federal, state, municipal, or provincial agencies)

3. Utility

4. Vendor ii. The login ID will be for the primary contact.

1. If the primary contact leaves the company, a new primary contact can contact [email protected] for assistance in updating the account.

iii. Passwords must be at least 6 characters long and contain at least 1 alpha and 1 numeric character, e.g., 12345A, or xxxxx1.

1. Passwords will be stored in the case (upper/lower) they were entered

2. Complete the General Information tab.



3. Click Browse. Navigate to the file location(s) and select the file.



4. Click Upload. An upload error may be caused by: a. File size too large. Files over 4‐5 MB can cause upload errors. b. Invalid filename. Filenames cannot contain special characters.

5. Upload a representative sample of the courses that will be submitted for NERC Continuing Education

Hours (CEHs). The documentation should include the following: a. Template for the roster or sign‐in sheet. Rosters should include:

i. SOCCED Course ID. ii. Operator NERC Certificate numbers. iii. Date the course is delivered.

b. If the course submitted is an online self‐study course, include pilot data. Refer to the Continuing Education Administrative Manual for pilot data requirements.

c. If proctors will be used to ensure assessment integrity, include a copy of the proctor agreement. d. Provide a sample of a Learning Contract if applicable. e. Provide a lesson plan or equivalent. f. Instructor qualifications g. Lesson plan or instructor’s guide h. Supporting presentations i. Student handout j. Student assessment tools k. Plan for reassessment when necessary l. Course evaluation/student feedback tools m. Sample of documentation to notify student of successful course completion

6. Additional documentation may be requested by the Provider Evaluation task force. Refer to Attachment A for the checklist used by the task force in evaluating new providers.

7. When the documentation has been uploaded, click Add to Cart. 5. The next window is the shopping cart.

a. Click Print to print a copy of the transaction invoice. b. Click Check Out to complete the application.



6. Payment can be made using the secure online credit card payment option on the SOCCED, or by mailing a check made out to NERC to the following address:

North American Electric Reliability Corporation 3353 Peachtree Rd NE, Suite 600 – North Tower Atlanta, GA 30326

c. A printable invoice/receipt for your payment will be available in the SOCCED at the time of submittal.

d. NERC will not grant approved provider status if any required documentation is missing or if the required fees are unpaid.

7. When NERC approves the account, courses may be uploaded to SOCCED for CEH consideration.

Account Information


Account Information

1. Complete the Security Questions.

a. Setup four security questions and answers, which will be used by SOCCED for automatic login and password reset.

b. Add more security questions by clicking on the Add Question button.

2. Receiving notice of approval or rejection: a. NERC will provide notice to applicants about the approval or rejection of applications. The notice,

as well as any additional information, will be sent to the provider’s contact person using the e‐mail address provided in the SOCCED.

3. Once the provider application is approved, the provider must login to their SOCCED account and add a course.

a. Refer to the “Provider SOCCED Course Generation and Renewal User Guide” for instructions. b. The course information submitted during the evaluation process is only used for evaluating the

provider candidate. Only courses generated in SOCCED after a provider is approved can be granted CEH.

4. Click on Account Information.

5. Click Edit.

Account Information


6. The primary account holder can add up to two additional users to the provider account.

7. Complete the Contact Information for the new user. Select Active, then Add. a. If the user leaves the company or transfers to another position not requiring access to SOCCED,

the primary contact can change the Active status of the user. b. When a user is inactivated, the primary contact will be able to add another user. Each provider

account may have up to three active user accounts.

Provider Renewal


Provider Renewal

1. Ninety days before the account expires, a button will appear on the home screen next to the expiration

date.

2. Level 1 Transcript Reviewers and Level 2 ILA Providers will be offered the opportunity to upgrade to the

next Provider level.

a. Level 1 Transcript Reviewers will have to go through provider evaluation process described earlier

in this guide.

b. Level 2 ILA Providers must have three approved courses in SOCCED in order to proceed with the

upgrade process. Refer to the Continuing Education Administrative Manual for all Level 3 NERC

CE Provider requirements.

Provider Renewal


3. Verify the contact information is still correct.

4. If you have not completed the General Information tab, you will need to complete it during the renewal

process.

5. Refer to the Continuing Education Administrative Manual for specific requirements for renewal.

a. Level 1 Transcript Reviewers will only need to pay the renewal fee.

b. Level 1 Transcript Reviewers requesting an upgrade will need to follow the Level 2 ILA Provider

evaluation process.

c. Level 2 ILA Providers, maintaining the same level of providership, will only need to pay the

renewal fee.

d. Level 2 ILA Providers requesting an upgrade, must have three active courses in SOCCED.

i. One of the courses in SOCCED must have undergone a Level 2 Course Audit during the

previous year.

e. Level 3 NERC CE Providers requesting a renewal must have undergone a Level 2 Course Audit

during the previous year.

i. If the provider has not had a Level 2 Course Audit will have one of their courses placed

under audit and will need to submit the appropriate documents.

6. Proceed through the tabs, then click on Add to Cart.

a. Complete the payment information and click Submit.

Attachment A: Level 2 ILA Provider Evaluation Guideline


Attachment A: Level 2 ILA Provider Evaluation Guideline Introduction for Provider Task Force members: The purpose of this document is to provide a guideline for Provider Task Force members to follow when interviewing new entities interested in becoming a Level 2 ILA Provider, as outlined in the NERC Continuing Education Administrative Manual (Effective March 1, 2015). The guideline consists of questions associated with the ADDIE (Analyze, Design, Develop, Implement, and Evaluate) model as the selected Systematic Approach to Training (SAT) for this evaluation; the questions will also focus on the criteria and key expectations associated with the Continuing Education program. NOTE: If the entity uses a different SAT model, the guideline questions will be modified to accommodate the identified SAT model. Based on the entity’s response to each set of questions, task force members will check “yes,” “no,” or “NA” (not applicable) in the appropriate boxes to indicate if the entity was able to answer the question with a satisfactory response. At the end of each segment, space will be provided for the task force member to indicate if the entity did or did not successfully demonstrate an overall working knowledge and application of the components of that segment. At the end of the interview, the task force members will convene off‐line to discuss the entity’s responses to the interview questions to assess the entity’s readiness to become a Level 2 ILA Provider. Following this discussion, the task force members will then recommend that the entity should or should not be approved as a Level 2 ILA Provider:

If the recommendation is to approve the entity as a Level 2 ILA Provider, the recommendation will be

forwarded to the NERC Continuing Education Program Coordinator.

If the recommendation is to not approve the entity, the task force chair will reconnect with the entity to

provide feedback and recommendations to address areas to be improved. Following this coaching session,

the entity will be invited to again submit an ILA Provider application and go through the interview process

a second time. NOTE: If relevant, during the coaching session, the task force chair may choose to reference

the documents found on page __ of this guideline as well as other training‐related resources/documents.

Following the second interview, the task force members will again review the entity’s responses and:

o Recommend approval to the NERC Continuing Education Program Coordinator

o Not recommend approval at this time and state the reasons why

o If not recommended for approval, the task force chair will again reconnect with the entity to

discuss options.

Level 2 ILA Provider Checklist Organization This Level 2 ILA Provider Checklist is organized into a series of sections, each section representing one of the phases of the SAT model. An overview of each of the phases follows. 1. Analysis. This section addresses three methods of identifying training/performance requirements: needs

analysis, job analysis, and task analysis. The major outputs of the analysis phases are a task list for each position listing the existing materials that support task performance.

2. Design. The design phase uses the information collected during the analysis phase to provide a “blueprint” for developing training material based upon the SAT model. This section of the Level 2 ILA Provider Checklist addresses methods for writing learning objectives, setting training standards, designing tests, and preparing training plans. The major outputs of the design phase are learning objectives and test items. Note: For existing programs, ILA providers are encouraged to determine if their learning objectives are appropriate, cover all required content, and include appropriate criteria and conditions.

3. Development. Development incorporates the results of the design activities. The major outputs of the development phase are the completed lesson plans and training aids.



4. Implementation. Implementation encompasses taking the results of the development phase into the training setting and conducting the training. The major output of the implementation phase is trained personnel.

5. Evaluation. Evaluation consists of a periodic review of the training materials and methods of soliciting feedback from former trainees and their supervisors on the effectiveness of training. The major outputs of evaluation are the decisions made to improve the training program during all phases.

Date: / /

Interviewer Names Interviewer Titles



Level 2 ILA Provider Checklist

Entity Name

Entity Representative Name Entity Representative Title

Analysis Phase: Training needs are initially identified by reviewing regulatory requirements and existing training programs, and/or conducting a needs analysis. The following questions should be evaluated as part of this analysis.

ANALYSIS Yes No N/A COMMENTS

1. Does the target audience include NERC Certified system operators?

2. Are the learning activities consistent with prerequisite education, experience, and / or advanced preparation of intended participants?

3. Is each continuing education learning activity planned in response to identified needs of the target audience?

4. Does the Applicant have a task list or content outline associated with the learning activity?

5. Is this task list or content outline applicable to a NERC Certified system operator?

Additional Comments:

The entity demonstrated a working knowledge and application of the Analysis Phase questions Yes No



Design Phase:

The approach described in this section outlines the basic processes used to design training lessons based upon the performance‐based information collected during the analysis phase. It’s important to note that the objectives are linked to the training materials.

DESIGN Yes No N/A COMMENTS

6. Does each learning activity have clear and concise written statements of learning objectives?

7. Are the learning objectives tied to the task list?

8. Are there methods and instruments that allow individual trainees to demonstrate the achievement of the learning objectives?

9. Are the practical exercises, materials, and delivery systems current, technically accurate, and effectively designed?


The entity demonstrated a working knowledge and application of the Design Phase questions Yes No



Development Phase:

Lesson plans are detailed expansions of the curriculum outline that ensure consistency in the delivery of training from instructor to instructor and from student to student. They are used by the instructor as the primary training tool to guide the learning process and utilization of training materials. Lesson plans identify the learning objectives; content, learning activities, training equipment, and training materials needed for training and provide guidance for their use. Offer a ready format for revision.

DEVELOPMENT Yes No N/A COMMENTS

10. What elements are included in your Lesson Plan?

11. Is there an outline or brief description of the information conveyed in each segment of the learning activity? The content must be consistent with the learning objectives.

12. Are materials descriptive to determine appropriateness?

Intended audience?

Learning Objectives?

Prerequisites (if any)?

Instructional Delivery Methods?

Learning Assessment Methods?

13. If Materials are self‐study:

Are there means to verify the identity of the student completing the self‐study learning activity?

Is self‐study activity, or online learning activity, based on a set run time or the results of a pilot study?


The entity demonstrated a working knowledge and application of the Development Phase questions

Yes No



Implementation Phase Lesson plans outline instructor and trainee activities and the resources necessary to support training. Effective training presentation requires general adherence to the lesson plan and an understanding of the learning process. Key Considerations: The following are key considerations that should be emphasized when performing and evaluating activities of the implementation phase.

Procedures are developed and used to implement the Training Development and Administrative Guide;

Technical and instructional qualifications are based on job performance requirements;

Trainees meet the training program prerequisites;

Training facilities and resources are available and appropriate for training;

Pretests are administered to trainees prior to training;

Instructors make all necessary preparations prior to training;

Instructors ensure they are using the most current procedures and lessons;

Instructors adhere to lesson plans;

Instructor performance is evaluated on a regular basis;

Trainee performance is evaluated regularly and upon completion of training, using established performance standards;

Security of tests and answer keys is maintained to prevent compromise;

Instructor and trainee critiques of training and trainee test scores are used in evaluating training program effectiveness; and

Trainee and training program records are maintained for evaluating training program effectiveness.

IMPLEMENTATION Yes No N/A COMMENTS

14. Is there an identifiable organizational unit for administering all continuing education learning activities?

15. Describe how your entity identifies and prepares SMEs as instructors

16. How is your training team qualified in the subject matter related to the learning activity?


The entity demonstrated a working knowledge and application of the Implementation Phase questions Yes No



Evaluation Phase Evaluation is the quality assurance component of the performance‐based training model. There are three major activities involved in evaluation: monitoring of indicators, analyzing information, and initiating corrective actions.

EVALUATION Yes No N/A COMMENTS

17. Does the learning activity offer participants the opportunity for evaluation and feedback?

18. How does your entity gather feedback from participants regarding their perceptions of a learning activity’s effectiveness?


The entity demonstrated a working knowledge and application of the Evaluation Phase questions Yes No



Support Phase

SUPPORT Yes No N/A COMMENTS

19. How does your entity maintain accurate records?

20. Does the system identify a participant’s satisfactory completion of an approved continuing education learning activity, by maintaining a complete, permanent record of each participant, and providing a copy of that record upon request?


The entity demonstrated a working knowledge and application of the Support Phase questions Yes No

Recommendation Comments

Recommend Approval

Do NOT recommend approval at this time

Reference Material developed following guidance from:

NERC Standard PER‐005‐1 – System Personnel Training

NERC Continuing Education Administrative Manual

The DOE HDBK – 1078‐94: Training Program handbook: A Systematic Approach to Training

Name:

Date:

Documents

Provider Application and Renewal User Guide v2 · Provider Application and Renewal User Guide | July 2015 6 of 23 Level 1 Transcript Reviewer 1. Complete the Personal Information