Reliability Standard Audit Worksheet
RSAW_v2.1_EOP-001-AB-2b
Reliability Standard Audit Worksheet
RSAW_v2.1_EOP-001-AB-2b
Emergency Operations Planning
Alberta Reliability Standard Effective Date: January 1, 2014
Applicability:
This reliability standard applies to:
 the ISO; and
 the operator of a transmission facility that is part of the bulk electric system;
This reliability standard does not apply to the operator of a transmission facility whose
transmission facility is a radial connection from a generating unit or an aggregated generating
facility to either the transmission system or to transmission facilities within the city of Medicine
Hat.
Registered Entity:
Functional Entity:
Audit Period:
From January 1, 2014 To
Last Audit Period:
Type of Audit:
Audit Authority/Organization:
Alberta Electric System Operator
Date of completion:
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PART ONE – ASSESSMENT SUMMARY
Suspected Non-Compliance to the standard?
Yes
No
Assessment Commentary:



Summary of Findings by Requirement
R3
R4
R5
R8
R10
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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
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PART THREE – COMPLIANCE AUDITOR ASSESSMENT / CHECKLIST
Requirement 3
Measures 3
Assessment 3
(for operator of a transmission facility only)
R3
Each of the ISO and the
operator of a
transmission facility
must develop, maintain
and implement plans to
mitigate operating
emergencies on the
transmission system.
MR3 Evidence of developing,
maintaining and implementing
plans to mitigate operating
emergencies on the transmission
system as required in requirement
R3 exists. Evidence may include
dated, current plans to mitigate
operating emergencies on the
transmission system and
communications or training to the
operating personnel.
AR3
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Part 1: Evidence Submission
Pursuant to compliance monitoring audit the
audited entity, to whom this requirement applies
to, is requested to provide the following
documentation for audit assessment:
i.
Plans
to
mitigate
operating
emergencies on the transmission
system that were in place during the
audit period;
ii.
A list of operating personnel designated
to receive communications (that may
include briefing, bulletin, email or alike)
or training with respect to each plan
identified in the above (i);
iii.
Records of communications or training
provided to the operating personnel
identified in the above (ii);
iv.
Contents of communications or training
as identified in the above (iii);
Part 2: Audit Assessment
1. Check each submitted plan, then verify
a. Was each plan in place during the audit
period?
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2.
Review each submitted plan and its revision
history, then verify
a. Was each plan maintained (kept
updated/current)
to
reflect
each
potential change, if any? Potential
changes may include changes in
communication protocol, controlling
actions
to
resolve
operating
emergencies,
the
tasks to
be
coordinating with appropriate entities,
staff level for the emergency or their
combination.
3.
Review the records of communications or
training provided to the operating personnel
and check against the submitted list of the
operating personnel, then verify:
a. Had each operating personnel received
communications or training about the
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Requirement 3
Measures 3
Assessment 3
(for operator of a transmission facility only)
plans?
b. Had each operating personnel received
communications or training about the
plans for each revision made during the
audit period?
4.
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Review
communications
or
training
materials provided to the operating
personnel, then verify:
a. Was the content of communications or
training related to plans to mitigate
operating
emergencies
on
the
transmission system?
Findings
R3
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Requirement 4
Measures 4
Assessment 4
(for operator of a transmission facility only)
R4
Each of the ISO and the
operator of a
transmission facility
must develop, maintain
and implement plans for
load shedding.
MR4
Evidence of developing,
maintaining and implementing
load shedding plans as required
in requirement R4 exists.
Evidence may include dated,
current plans for load shedding
and communications or training to
the operating personnel.
AR4
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Part 1: Evidence Submission
Pursuant to compliance monitoring audit the
audited entity, to whom this requirement applies
to, is requested to provide the following
documentation for audit assessment:
i.
Plans for load shedding that were in
place during the audit period;
ii.
A list of operating personnel designated
to receive communications (that may
include briefing, bulletin, email or alike)
or training with respect to each plan
identified in the above (i);
iii.
Records of communications or training
providing to the operating personnel
identified in the above (ii);
iv.
Contents of communications or training
as identified in the above (iii);
Part 2: Audit Assessment
1. Check each submitted plan, then verify
a. Was each plan in place during the audit
period?
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2.
Review each submitted plan and its revision
history, then verify
a. Was each plan maintained (kept
updated/current)
to
reflect
each
potential change, if any? Potential
changes may include changes in
communication protocol, controlling
actions
to
resolve
operating
emergencies,
the
tasks to
be
coordinating with appropriate entities,
staff level for the emergency or their
combination.
3.
Review the records of communications or
training provided to the operating personnel
and check against the submitted list of the
operating personnel, then verify:
a. Had each operating personnel received
communications or training about the
plans?
b. Had each operating personnel received
communications or training about the
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Requirement 4
Measures 4
Assessment 4
(for operator of a transmission facility only)
plans for each revision made during the
audit period?
4.
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Review
communications
or
training
materials provided to the operating
personnel, then verify:
a. Was the content of communications or
training related to plans for load
shedding?
Findings
R4
Requirement 5
Measures 5
Assessment 5
(for operator of a transmission facility only)
R5
Each of the ISO and
the operator of a
transmission facility
must include, at a
minimum, when
developing emergency
plans as identified in
requirements R2, R3
and R4, the following:
(a) communication
protocols to be used
during operating
emergencies;
(b) a list of controlling
actions to resolve the
operating emergency
within NERC
established timelines,
including, where
appropriate, a
controlling action to
reduce load;
(c) the tasks to be
coordinated with and
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MR5
Evidence of including the
items in emergency plans as
required in requirement R5
exists. Evidence may include
emergency plans that contain
items listed in requirement
R5.
AR5
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Part 1: Evidence Submission
Please refer to Part 1 (i) of AR3 and AR4.
Part 2: Audit Assessment
1. Review the contents of each submitted operating
emergencies mitigation plan identified in AR3, then
verify:
a.
Did each operating emergencies mitigation plan
include communication protocols to be used
during operating emergencies?
b.
Did each operating emergencies mitigation plan
include a list of controlling actions to resolve the
operating emergency within NERC established
timelines, including, where appropriate, a
controlling action to reduce load?
c.
Did each operating emergencies mitigation plan
include the tasks to be coordinated with and
among any affected operator of a transmission
facility, adjacent interconnected transmission
operator and adjacent balancing authority, as
appropriate?
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Requirement 5
Measures 5
Assessment 5
(for operator of a transmission facility only)
among any affected
operator of a
transmission facility,
adjacent
interconnected
transmission
operator and
adjacent balancing
authority, as
appropriate; and
(d) a procedure for
adjusting staffing
levels for the
emergency, where
appropriate.
d.
2.
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Did each operating emergencies mitigation plan
include a procedure for adjusting staffing levels
for the emergency, where appropriate?
Review the contents of each submitted plan for load
shedding identified in AR4, then verify:
a.
Did each plan for load shedding include
communication protocols to be used during
operating emergencies?
b.
Did each plan for load shedding include a list of
controlling actions to resolve the operating
emergency within NERC established timelines,
including, where appropriate, a controlling action
to reduce load?
c.
Did each plan for load shedding include the
tasks to be coordinated with and among any
affected operator of a transmission facility,
adjacent interconnected transmission operator
and
adjacent
balancing
authority,
as
appropriate?
d.
Did each plan for load shedding include a
procedure for adjusting staffing levels for the
emergency, where appropriate?
Findings
R5
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Requirement 8
Measures 8
Assessment 8
(for operator of a transmission facility only)
R8
Each operator of a
transmission facility
must review its plans
for load shedding once
every calendar year
and update as
required.
MR8
Evidence of reviewing and
updating plans as required in
requirement R8 exists.
Evidence may include
documentation confirming
each plan was reviewed once
every calendar year and
updated as required.
AR8
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Part 1: Evidence Submission
Pursuant to compliance monitoring audit the audited
entity, to whom this requirement applies to, is requested
to provide the following documentation for audit
assessment:
i.
Documentation of the annual review identifying
the date of the review, the name and title of
personnel who conducted the review and the
result/conclusion of each review (pursuant to R8)
completed during the audit period.
Part 2: Audit Assessment
1.
Review the submitted
verify:
a.
2.
review documentation, then
Was each plan for lead shedding reviewed once
every calendar year?
Identify the result/conclusion of the each review and
check the plans for load shedding submitted in AR4,
then verify:
a.
Was each plan for load shedding updated if it
was so required based on the result/conclusion
of the annual review?
Findings
R8
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Requirement 10
Measures 10
Assessment 10
(for operator of a transmission facility only)
R10
Each operator of a
transmission facility
must provide a copy
of its updated plans to
mitigate operating
emergencies on the
transmission system
and plans for load
shedding to any
affected adjacent
operator of a
transmission facility
and the ISO.
MR10
Evidence of providing
updated plan as required in
requirement R10 exists.
Evidence may include email
or mail to appropriate
recipients that identifies
contents submitted.
AR10
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Part 1: Evidence Submission
Pursuant to compliance monitoring audit the audited
entity, to whom this requirement applies to, is requested
to provide the following documentation for audit:
i.
Documentation indicating that each updated plan
as required in requirement R10 was provided to
any affected adjacent operator of a
transmission facility and the ISO for each
update.
Part 2: Audit Assessment
1.
Review the submitted documentation with respect to
plan to mitigate operating emergencies on the
transmission system, then verify :
a.
b.
2.
Was a copy of updated plan provided to any
affected operator of a transmission facility for
each update?
Was a copy of updated plan provided to the ISO
for each update?
Review the submitted documentation with respect to
plan for load shedding system, then verify :
a.
b.
Was a copy of updated plan provided to any
affected operator of a transmission facility for
each update?
Was a copy of updated plan provided to the ISO
for each update?
Findings
R10
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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 Alberta Reliability 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
1.0
2
August 1, 2012
February 27, 2013
2.1
June 7, 2013
Comments
New issue
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.
Removal of requirements applicable to the ISO.
Audit Team - General Notes to File:
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