Reliability Standard Audit Worksheet

Reliability Standard Audit Worksheet

RSAW_v2.1_PRC-004-AB-1

Reliability Standard Audit Worksheet

RSAW_v2.1_PRC-004-AB-1

Analysis and Mitigation of Transmission

and Generation Protection System Misoperation

AlbertaReliability Standard Effective Date: February 11, 2010

Applicability:

This reliability standard applies to:

• ISO
• TFOs
• GFOs with protection systems that directly affect the reliability of the BES. These protection systems include all those that measure voltage, current, or frequency from the generating unit to the AIES, but exclude the prime mover and associated control systems.

Registered Entity:
Functional Entity:
Audit Period: / From February 11, 2010 To
Last Audit Period:
Type of Audit:
Audit Authority/Organization: / Alberta Electric System Operator
Date of Completion:
PART ONE – ASSESSMENT SUMMARY

Suspected Non-Compliance to the standard?Yes No

Assessment Commentary:

Summary of Findings by Requirement
R1
R2
PART TWO – CONTACTS
Contact Type / Name
Telephone
Email / Sign-off
Entity Leader / Not applicable
Entity SME / Not applicable
Audit Leader
Audit Team
Audit Team
Standard Owner
Audit Manager
RSAW_v2.1_PRC-004-AB-1.docPage 1 of 705/28/2013

Reliability Standard Audit Worksheet
RSAW_v2.1_PRC-004-AB-1
PART THREE – COMPLIANCE AUDITOR ASSESSMENT / CHECKLIST
Requirement 1 / Measures 1 / Assessment 1 / Evidence Description / Evidence
Embedded file, Link to the file / Assessment Notes
For AESO use only
These measures will be used by the ISO in carrying out its compliance monitoring duties in accordance with ISO rule 103.12. The ISO may consider other data and information, including any provided by a registered market participant.
R1 / Each TFO and GFO must analyze its protection system misoperations and develop and implement a corrective action plan to avoid future misoperations of a similar nature. / MR1 / Evidence exists and shows analysis was completed and corrective action planswere implemented as specified in requirement R1. / AR1 /

1. Request information to describe how the market participant determines misoperations from protection system operations.

1. Request a list of protection system misoperations that occurred during the audit period. Minimum information such as the following may be recorded for each misoperation:

1. Identification of the elements affected,

1. Date/time of the event,

1. Cause of the event,

1. Identification of protection system involved,

1. Identification of the protection system that misoperated, and

1. Identification of the cause of the misoperation.

1. Request evidence to demonstrate that each protection system misoperation during the audit period has been analyzed.

1. Request the corrective action plan for each protection system misoperation event.

1. Review information provided in AR1-2 through AR1-4 above to verify the correction action plan addressed the misoperation which occurred.

1. Request evidence that the correction action plan to avoid future misoperation was implemented

1. Review information provided in AR1-6 above to verify the correction action plan was implemented.

1. Review the information provided in AR1-2 through AR1-4 above to determine whether the misoperation occurred a result of a prior corrective action plan which was not implemented

Findings
R1
Requirement 2 / Measures 2 / Assessment 2 / Evidence Description / Evidence
Embedded file, Link to the file / Assessment Notes
For AESO use only
These measures will be used by the ISO in carrying out its compliance monitoring duties in accordance with ISO rule 103.12. The ISO may consider other data and information, including any provided by a registered market participant.
R2 / EachTFO andGFO must provide to the ISOdocumentation of its misoperations analyses and corrective action plans upon request by the ISO. / MR2 / Evidence that analysis reports and corrective action plans were submitted as specified in requirement R2 (e.g. email confirmation). / AR2 /

1. Request the market participant to provide request(s), if any, by the ISO pursuant to R2 during the audit period.

1. For each request received from the ISO, if any, request the market participant to provide evidence to demonstrate that analysis reports and corrective action plans were submitted to the ISO.

1. Review the evidence to verify the required actions met the ISO’s request.

Findings
R2

RSAW_v2.1_PRC-004-AB-1.docPage 1 of 705/28/2013

Reliability Standard Audit Worksheet

RSAW_v2.1_PRC-004-AB-1

PART FOUR – ISO CMP AUDITOR GUIDES – “DISCLAIMER”

ISO CMP Auditor Guides – “Disclaimer”

ISO developed the Reliability Standard Audit Worksheet (RSAW) to add clarity and consistency to the audit team’s assessment of compliance with this reliability standard. In adding clarity for the assessment, the RSAW may include additional detail that is consistent with the AlbertaReliability Standard. This additional detail clarifies the methodology that ISO has elected to use to assess requirements and should not be considered additional reliability standard requirements. Alberta Reliability Standards are updated frequently.

The ISO RSAWs are written to specific versions of each Alberta Reliability Standard. RSAW users should choose the applicable RSAW version of the Alberta Reliability Standard being assessed.

PART FIVE – ADMINISTRATION

Revision History

This document is an AESO information document and guideline, and not an AESO authoritative document. Revisions to this document may be made from time to time by the AESO Compliance group. Market participants will be notified of revisions through the stakeholder update process.

Revision / Date / Comments
1.0 / November 15, 2010 / Initial version of Worksheet
1.1 / April 18, 2011 / Update to AR1 – clarification of assessment
General – assessments changed from confirm to verify
1.2 / August 24, 2012 / Changes made to support the pilot project that the audited entity uses the RSAW for evidence submission
2 / October 5, 2012 / Further changes made to support pilot project to use RSAW for evidence submission and to have a single format for published, assessment and evidence submission purposes.
2.1 / May 28, 2013 / Formatting alignment with posted standard and removal of requirements applicable to the ISO.

Audit Team - General Notes to File:

RSAW_v2.1_PRC-004-AB-1.docPage 1 of 705/28/2013