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[ENTITY/APPLICANT]Transmission Operator Pre-Certification Questionnaire

Month Day, Year

[INSERT APPLICABLE REGIONAL ENTITY NAME/LOGO]

Table of ContentsPurpose..........................................................................................................................................3

Contact Information...................................................................................................................... 3

Delegation..................................................................................................................................... 4

Critical Infrastructure Protection (CIP)...........................................................................................4

Agreements................................................................................................................................... 4

Personnel.......................................................................................................................................5

Data Acquisition and Monitoring...................................................................................................6

System Analysis............................................................................................................................. 6

Emergency Operations.................................................................................................................. 7

Loss of Control Center Functionality..............................................................................................7

Restoration.................................................................................................................................... 7

Signatory Authority........................................................................................................................9

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]2

PurposeSection IV of the NERC Rules of Procedure (ROP), Appendix 5A Organization Certification Process Paragraph 7 provides that a Regional Entity will send a questionnaire with submission dates and expectations to all entities participating in the Certification process.

The purpose of this TOP questionnaire is to provide a Certification Team (CT) with supporting information in regard to [Entity/Applicant]’s processes, procedures, tools, training and personnel that allow it to perform the function of a NERC-certified Transmission Operator (TOP).

[Regional Entity] specifically notes to [Entity/Applicant] Section IV ROP Appendix 5A Paragraph 8a requires:

The CT members shall adhere to NERC’s and/or [Regional Entity]’s confidentiality agreements for any data or information made available to the CT member through the Certification process.

If there is information that (Entity/Applicant) considers ‘Confidential’, it is to be marked appropriately.

Contact InformationEntity Name:      

If applicable, NCR #      

Primary Contact Name:      

Office Phone:      

Cell Phone:      

Email:      

Alternate Contact Name:      

Office Phone:      

Cell Phone:      

Email:      

You are requested to provide candid responses to the following questions. Please complete the questionnaire and attach any necessary documentation to assist in the evaluation of [Entity]. Upon completion, please sign and date this form with necessary attachments. The documentation is to be submitted to [Regional Entity]’s secure portal.

Provide response by: Month Day, Year

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]3

Delegation1. Delegation – to ensure that entities seeking certification as a Transmission Operator have

identified any delegated tasks, while retaining responsibility for those tasks.

A Transmission Operator may delegate the performance of compliance with ERO reliability standard(s) or requirement(s). Each entity seeking certification as a Transmission shall identify any reliability standard(s) or requirement(s), for which it is responsible, that will be performed by another entity and, where formal agreements provide such, shall ensure the entity has the capability to perform the delegated reliability standard(s) or requirement(s). The entity, to which a reliability standard(s) or requirement(s) is delegated, shall be subject to review as part of the NERC Rules of Procedure.

A. Question: Identify the reliability standard(s) or requirement(s) that will be delegated.Response      

B. Question: How does the applicant ensure that these reliability standard(s) or requirement(s) will be accomplished?Response      

Critical Infrastructure Protection (CIP)2. Critical Infrastructure Protection (CIP) – to ensure that the entity seeking certification has

procedures, processes and tools for adhering to cyber security requirements.

The Transmission Operator shall have procedures, processes, and tools for adhering to NERC reliability standards related to cyber security as identified in CIP-001 to CIP-009.

A. Question: How does the applicant meet the cyber security standards?Response:      

Agreements3. Agreement – A contract or other document delineating an arrangement that expresses

assent by two or more parties to the same object. This arrangement determines a course of action to be followed by all parties involved in the situation. The key components of the agreement must identify the ability, intent, and authority of the parties. The requirement for an agreement can be satisfied in a variety of ways, including but not limited to: contracts, designation of authority documents, policies, and procedures.

[For purposes of Certification, the above definition is used in lieu of the definition of Agreement in the Reliability Standards Glossary of Terms.]

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]4

The Transmission Operator shall have agreements in place that define its responsibilities, authority and interaction with entities that are necessary to perform its transmission operations function.

The Transmission Operator shall have agreements that define the responsibilities and authority of that Transmission Operator with respect to its Reliability Coordinator, Generator Owner(s), Generator Operator(s), Planning Authority(ies), Distribution Provider(s), Transmission Owner(s), Transmission Service Provider(s), Balancing Authority(ies), Transmission Planner(s), and adjacent Transmission Operator(s). The entities identified below are the typical information sources, however the information identified can be obtained from alternate sources and must be identified in the appropriate agreements. The agreements for the acquisition of this information for the defined Transmission Operator Area must address:

a. The Transmission Operators commitment to:i. Provide facility and operational data to the Reliability Coordinator.ii. Provide outages related to transmission maintenance and construction plans to the

Reliability Coordinator.iii. Implement corrective actions as directed by the Reliability Coordinatoriv. Notify the Reliability Coordinator of the implementation of the Transmission

Operator’s emergency procedures v. Operate the transmission system within the generator facility ratings.

1. Notify Generator Operators of transmission system problems that may affect generator operation in compliance with FERC requirements.

2. Direct Generator Operators for maintaining network voltage schedulesvi. Operate the transmission system within the transmission facility ratings vii. Provide information and capability to curtail and shed load during emergencies.

viii. Comply with reliability directives, including load shedding, as requested by the Reliability Coordinator and issue reliability directives to Balancing Authorities, Generator Operators and Distribution Providers

ix. Obtain generation facility data, real-time operational data and generator maintenance outage plans

x. Obtain facility ratings and transmission maintenance and construction plans xi. Obtain transmission system protection and control information, including special

protection systems xii. Operate within limits and with other Transmission Operators.

A. Question: How does the applicant meet the above requirements?Response:     

Personnel4. Personnel - To ensure that the entity seeking certification as a Transmission Operator has

operating personnel that have been trained and are NERC certified to perform Transmission Operator real-time responsibilities.

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]5

A. Question: Describe the plan the entity has for filling vacancies due to retirement, attrition, etc in the NERC certified positions?Response:      

Data Acquisition and Monitoring5. Data Acquisition and Monitoring - To ensure that each entity seeking certification as a Transmission Operator has transmission, generation, and protection and control data in order to adequately monitor the transmission system.

Transmission Operator Area: A collection of electrical facilities which a Transmission Operator is responsible for controlling or directing operations.

[Above definition is proposed to replace the existing definition of Transmission Operator Area in the Reliability Standards Glossary of Terms.]

The Transmission Operator shall have adequate and reliable data acquisition facilities for its Transmission Operator Area and with others for operating information necessary to maintain reliability.

A. Question: How does the applicant meet the above requirements?Response:      

System Analysis6. System Analysis - To ensure that the entity seeking certification as a Transmission Operator has the ability to perform system analyses, develop contingency plans, coordinate actions, and operate its Transmission Operator Area within established limits.

The Transmission Operator shall have processes, procedures, and tools to perform real-time reliability analysis and alert operating personnel to limit violations.

The Transmission Operator shall have processes, procedures, and tools to perform contingency analyses, develop contingency plans and coordinate these plans with its Reliability Coordinator.

The Transmission Operator shall have processes, procedures, and tools to communicate real-time actions to its Reliability Coordinator. The Transmission Operator shall have processes, procedures, and tools to develop operating limits (thermal, voltage, and stability) for use in real-time operations.

The Transmission Operator shall have processes or procedures to determine and arrange for the required reactive resources to ensure voltage support.

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]6

A. Question: How does the applicant meet the above requirements?Response:      

Emergency Operations7. Emergency Operations - To ensure that the entity seeking certification as a Transmission Operator has the capability for continued operations during Bulk Electric System emergency conditions.

The Transmission Operator shall have the responsibility and clear decision-making authority to take whatever actions are needed to ensure the reliability of its respective area and shall exercise specific authority to alleviate capacity and energy emergencies..

A. Question: How does the applicant meet the above requirements?Response:      

Loss of Control Center Functionality8. Loss of Control Center Functionality - To ensure that the entity seeking certification as a

Transmission Operator has the capability for continued operations during loss of its control center functionality.

The Transmission Operator shall have a plan to continue reliability operations in the event its control center becomes inoperable.

A. Question: How does the applicant meet the above requirements?Response:     

Restoration9. Restoration - To ensure that the entity seeking certification as a Transmission Operator has

a restoration plan for implementation after a Bulk Electric System shutdown.

The Transmission Operator shall have a restoration plan that satisfies all of the requirements applicable to the Transmission Operator

A. Question: How does the applicant meet the above requirements?Response:      

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]7

Signatory AuthorityThe signatory below confirms the Questionnaire response has been prepared under his or her supervision and control and constitutes a true, complete and accurate response to the request, to the best of his or her knowledge, information and belief.

Signature: __________________________________

Printed Name: _______________________________

Title: ______________________________________

Date: ______________________________________

Transmission Operator Pre-Certification Questionnaire – [Entity/Applicant]8