Québec Compliance Questionnaire and Reliability Standard Audit Worksheet
Québec Compliance Questionnaire and Reliability Standard Audit Worksheet (QRSAW)
TOP-005-2a — Operational Reliability Information
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_TOP-005-2a_v1EN
Revision Date: February 2016
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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_TOP-005-2a_v1EN
Revision Date: February 2016
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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_TOP-005-2a_v1EN
Revision Date: February 2016
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Requirement
Québec Compliance Questionnaire and Reliability Standard Audit Worksheet
Reliability Standard Language
TOP-005-2a — Operational Reliability Information
Purpose:
To ensure reliability entities have the operating data needed to monitor system conditions within their areas.
Applicability:
Functions
Transmission Operator
Balancing Authorities
Facilities
This standard only applies to the facilities of the Main Transmission System (RTP).
Reliability Standard effective date in Québec: April 1, 2016
Requirements:
R1. As a condition of receiving data from the Interregional Security Network (ISN), each ISN data recipient
shall sign the NERC Confidentiality Agreement for “Electric System Reliability Data.”
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_TOP-005-2a_v1EN
Revision Date: February 2016
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Version
Québec Compliance Questionnaire and Reliability Standard Audit Worksheet
This section must be completed by NPCC.
Compliance Assessment Approach Specific to TOP-005-2a R1
- Review the evidence provided to determine if the entity is receiving data from the ISN (if not, this
requirement is not applicable).
- Confirm that the entity has signed the NERC Confidentiality Agreement for “Electric System Reliability
Data.”
Auditors detailed notes:
R2.
Upon request, each Balancing Authority and Transmission Operator shall provide to other Balancing
Authorities and Transmission Operators with immediate responsibility for operational reliability, the
operating data that are necessary to allow these Balancing Authorities and Transmission Operators to
perform operational reliability assessments and to coordinate reliable operations. Balancing Authorities
and Transmission Operators shall provide the types of data as listed in Attachment 1-TOP-005 “Electric
System Reliability Data,” unless otherwise agreed to by the Balancing Authorities and Transmission
Operators with immediate responsibility for operational reliability.
Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity
Response Required)
Compliance Questionnaire and Reliability Standard Audit Worksheet
Registered Entity: _____________________
Régie Registration Number: ______________________
Compliance Assessment Date: _____________
QRSAW Version: QRSAW_TOP-005-2a_v1EN
Revision Date: February 2016
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Québec Compliance Questionnaire and Reliability Standard Audit Worksheet
R2 Supporting Evidence and Documentation
Response: (Registered Entity Response Required)
-
Provide the following:
Document Title and/or File Name, Page & Section, Date & Version
Title
Date
Version
Audit Team: Additional Evidence Reviewed:
This section must be completed by NPCC.
Compliance Assessment Approach Specific to TOP-005-2a R2
- Review the evidence provided to determine if the entity has been requested to provide operating data (as
defined in Attachment 1-TOP-005) to other Balancing Authorities or Transmission Operators with
immediate responsibility for operational reliability.
- Review the evidence provided to determine if the entity has provided the requested data.
Auditors detailed notes:
R3.
Each Purchasing-Selling Entity shall provide information as requested by its Host Balancing Authorities
and Transmission Operators to enable them to conduct operational reliability assessments and coordinate
reliable operations.
Describe, in narrative form, how you meet compliance with this requirement: (Registered Entity
Response Required)
Compliance Questionnaire and Reliability Standard Audit Worksheet
Registered Entity: _____________________
Régie Registration Number: ______________________
Compliance Assessment Date: _____________
QRSAW Version: QRSAW_TOP-005-2a_v1EN
Revision Date: February 2016
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Québec Compliance Questionnaire and Reliability Standard Audit Worksheet
R3 Supporting Evidence and Documentation
Response: (Registered Entity Response Required)
-
Provide the following:
Document Title and/or File Name, Page & Section, Date & Version
Title
Date
Version
Audit Team: Additional Evidence Reviewed:
This section must be completed by NPCC.
Compliance Assessment Approach Specific to TOP-005-2a R3
- Verify the Purchasing-Selling Entity is providing the requested information to its Host Balancing
Authorities and Transmission Operators, to enable them to conduct operational reliability assessments
and coordinate reliable operations.
Auditors detailed notes:
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 Questionnaire and Reliability Standard Audit Worksheet
Registered Entity: _____________________
Régie Registration Number: ______________________
Compliance Assessment Date: _____________
QRSAW Version: QRSAW_TOP-005-2a_v1EN
Revision Date: February 2016
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Québec Compliance Questionnaire and Reliability Standard Audit Worksheet
Compliance Findings Summary
(to be filled out by auditor)
Req. NF PNC OEA NA
Statement
1
2
3
NF-No Finding; PNC-potential non-compliance; OEA-Open Enforcement Action; NA-Not applicable
Revision History
Version
1
Date
February 2016
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_TOP-005-2a_v1EN
Revision Date: February 2016
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