Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Québec Compliance Questionnaire and Reliability Standard Audit Worksheet (QRSAW) PER-001-0.2 — Operating Personnel Responsibility and Authority Registered Entity: (Must be completed by NPCC) Régie Identification Number: (Must be completed by NPCC) Applicable Function(s): Transmission Operators – TOP; Balancing Authorities – BA Auditors: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_PER-001-0.2_v2EN Revision Date: November 2015 1 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Disclaimer This Québec Reliability Standard Audit Worksheet (QRSAW) was developed to facilitate NPCC’s assessment of a registered entity’s compliance with this Reliability Standard and its appendix specific to Quebec (the Appendix). This QRSAW contains all of the same substantive questions and issues as the NERC RSAW used in the United States. QRSAW language is written to specific versions of each Reliability Standard and its Appendix. Entities using this QRSAW should choose the version of the QRSAW applicable to the Reliability Standard being assessed. While the information included in this QRSAW provides some of the methodology that NPCC has elected to use to assess compliance with the requirements of the Reliability Standard, this document should not be treated as a substitute for the Reliability Standard or viewed as additional Reliability Standard requirements. In all cases, the Regional Entity should rely on the language contained in the Reliability Standard itself, and not on the language contained in this QRSAW, to determine compliance with the Reliability Standard. The Reliability Standards can be found on the Régie’s website at http://www.regieenergie.qc.ca/en/audiences/NormesFiabiliteTransportElectricite/NormesFiabilite.html. Additionally, Reliability Standards are updated frequently, and this QRSAW may not necessarily be updated with the same frequency. Therefore, it is imperative that entities treat this QRSAW as a reference document only, and not as a substitute or replacement for the Reliability Standard. It is the responsibility of the registered entity to verify its compliance with the latest version of the Reliability Standards, approved by the applicable governmental authority, relevant to its registration status (http://www.regieenergie.qc.ca/en/audiences/NormesFiabiliteTransportElectricite/RegistreEntites.html). This QRSAW provides a non-exclusive list, for informational purposes only, of examples of the types of evidence a registered entity may produce or may be asked to produce to demonstrate compliance with the Reliability Standard. A registered entity’s evidence submitted as per the examples contained within this QRSAW does not necessarily constitute compliance with the applicable Reliability Standard, and NPCC reserves the right to request additional evidence from the registered entity that is not included in this QRSAW. Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_PER-001-0.2_v2EN Revision Date: November 2015 2 Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Subject Matter Experts Identify your company’s subject matter expert(s) responsible for this Reliability Standard. Response: (Registered Entity Response Required) SME Name Title Organization Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_PER-001-0.2_v2EN Revision Date: November 2015 3 Requirement Québec Compliance Questionnaire and Reliability Standard Audit Worksheet Reliability Standard Language PER-001-2 — Operating Personnel Responsibility and Authority Purpose: Transmission Operator and Balancing Authority operating personnel must have the responsibility and authority to implement real-time actions to ensure the stable and reliable operation of the Bulk Electric System. Applicability: Transmission Operators Balancing Authorities Reliability Standard effective date in Québec: April 1, 2015 Requirements: E1. Each Transmission Operator and Balancing Authority shall provide operating personnel with the responsibility and authority to implement real-time actions to ensure the stable and reliable operation of the Bulk Electric System. Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity Response Required) R1 Supporting Evidence and Documentation Response: (Registered Entity Response Required) - Provide the following: Document Title and/or File Name, Page & Section, Date & Version Title Date Audit Team: Additional Evidence Reviewed: Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_PER-001-0.2_v2EN Revision Date: November 2015 4 Version Québec Compliance Questionnaire and Reliability Standard Audit Worksheet This section must be completed by NPCC. Compliance Assessment Approach Specific to PER-001-0.2 R1 - Verify that the entity provides (and has provided) operating personnel with the responsibility and authority to implement real-time actions to ensure the stable and reliable operation of the Bulk Electric System Supplemental Information Other - The list of questions above is not necessarily all the evidence required to show compliance with the Reliability Standard. Provide additional information here, as necessary that demonstrates compliance with this Reliability Standard. Entity Response: (Registered Entity Response) Compliance Findings Summary (to be filled out by auditor) Req. NF PNC OEA NA Statement 1 NF-No Finding; PNC-potential non-compliance; OEA-Open Enforcement Action; NA-Not applicable Revision History Version 1 Date September 2015 Reviewers Initial Document Revision Description Document Created from NERC RSAW Compliance Questionnaire and Reliability Standard Audit Worksheet Registered Entity: _____________________ Régie Registration Number: ______________________ Compliance Assessment Date: _____________ QRSAW Version: QRSAW_PER-001-0.2_v2EN Revision Date: November 2015 5