Reliability Standard Audit Worksheet
RSAW_v1.1_PRC-001-AB1-1
Reliability Standard Audit Worksheet
RSAW_v1.1_PRC-001-AB1-1
Protection System Coordination
Alberta Reliability Standard Effective Date: January 2, 2013
Applicability:
This reliability standard applies to:
(a) the legal owner of a transmission facility that is:
(i) part of the bulk electric system; or
(ii) not part of the bulk electric system and which the ISO:
(A) determines is necessary for the reliable operation of either the interconnected
electric system or the City of Medicine Hat electric system, and
(B) publishes on the AESO website and may amend from time to time in accordance
with the process set out in Appendix 1;
(b) the legal owner of a generating unit that is:
(i) directly connected to the bulk electric system and has a maximum authorized real
power rating greater than eighteen (18) MW;
(ii) within a power plant which:
(A) is not part of an aggregated generating facility;
(B) is directly connected to the bulk electric system; and
(C) has a combined maximum authorized real power rating greater than sixty-seven
point five (67.5) MW;
(iii) a blackstart resource; or
(iv) regardless of maximum authorized real power rating, material to this reliability
standard and to the reliability of the bulk electric system as the ISO determines
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and publishes on the AESO website and may amend from time to time in
accordance with the process set out in Appendix 1;
(c) the legal owner of an aggregated generating facility that is:
(i) directly connected to the bulk electric system and has a maximum authorized real
power rating greater than sixty-seven point five (67.5) MW;
(ii) a blackstart resource; or
(iii) regardless of maximum authorized real power rating, material to this reliability
standard and to the reliability of the bulk electric system as the ISO determines
and publishes on the AESO website and may amend from time to time in
accordance with the process set out in Appendix 1;
(d) the operator of a transmission facility that is;
(i) part of the bulk electric system; or
(ii) not part of the bulk electric system and which the ISO;
(A) determines is necessary for the reliable operation of either the interconnected
electric system or the City of Medicine Hat electric system; and
(B) publishes on the AESO website and may amend from time to time in
accordance with the process set out in Appendix 1;
(e) the operator of a generating unit that is:
(i) directly connected to the bulk electric system and has a maximum authorized real
power rating greater than eighteen (18) MW;
(ii) within a power plant which:
(A) is not part of an aggregated generating facility;
(B) is directly connected to the bulk electric system; and
(C) has a combined maximum authorized real power rating greater than sixtyseven point five (67.5) MW;
(iii) a blackstart resource; or
(iv) regardless of maximum authorized real power rating, material to this reliability
standard and to the reliability of the bulk electric system as the ISO determines and
publishes on the AESO website and may amend from time to time in accordance
with the process set out in in Appendix 1;
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(f) the operator of an aggregated generating facility that is:
(i) directly connected to the bulk electric system and has a maximum authorized real
power rating greater than sixty-seven point five (67.5) MW;
(ii) a blackstart resource; or
(iii) regardless of maximum authorized real power rating, material to this reliability
standard and to the reliability of the bulk electric system as the ISO determines and
publishes on the AESO website and may amend from time to time in accordance
with the process set out in Appendix 1; and
(g) the ISO.
Registered Entity:
Functional Entity:
Audit Period:
From Jan 2, 2013 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
R1
R2
R3
R5
R6
R7
R8
R9
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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 1
Measures 1
Assessment 1
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R1
The operating
personnel of each of
the ISO, the operator
of a transmission
facility, the operator of
a generating unit and
the operator of an
aggregated
generating facility
must be familiar with
the purpose and
limitations of
protection system
schemes applied in its
area.
MR1
Training records are
available that indicate
training of staff who
operate the system in
protection system
schemes and any
RASs applicable
within their system.
AR1
1.
Request the list of operating personnel
that are required to be familiar with the
purpose and limitations of protection
system schemes applied in its area.
2.
Request a list of protection system
schemes and any RASs applicable within
their system for all applicable years within
the audit period.
3.
Request training records that relate to
those protection system schemes and
RAS as identified in AR1-2 for all
applicable years within the audit period.
4.
Select at least one sample from AR1-3
above, and review the training records to
verify the operating personnel, as
identified in AR1-1 above, have received
training on the protection system
schemes and any RASs applicable within
their system within the audit period.
5.
During a spot audit, interview operator(s)
to ensure basic knowledge of power
system
protection,
including
any
protection system schemes and any RAS
applicable within their system.
[NOTE to registered market participants:
The
Information Document ISO RAS Database may
provide additional detail information to assist with
identifying protection system schemes applied in the
area relating to PRC-001-AB1-1 R1.]
Findings
R1
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Requirement 2
Measures 2
Assessment 2
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R2
Each operator of a
generating unit and
operator of an
aggregated
generating facility
must do the
following if a
protective relay or
any equipment of a
protection system of
a generating unit or
an aggregated
generating facility
that measures
voltage, current or
frequency from the
generating unit or
the aggregated
generating facility to
the AIES, but
excluding the prime
mover and
associated control
systems, fails and
such failure reduces
transmission system
reliability
MR2
Measures for this
requirement are
identified in the
subsections below.
AR2
Intentionally left blank.
R2.1
Notify the operator
of a transmission
facility in its area
and the ISO as soon
as possible, but no
longer than 24 hours
after receiving
knowledge of such
failure.
MR2.1
Notifications exist
for each failure as
specified in
requirement R2.1.
AR2.1
1.
Request information (such as incident
reports or event logs) to identify each
failure of a protective relay or any
equipment of a protection system of a
generating unit as prescribed in R2
that has occurred during the audit
period.
2.
Request evidence (such as operator
logs, phone records, electronicnotification or other equivalent) to
demonstrate that the operator of a
transmission facility in its area and
the ISO have been notified of each
failure as identified in AR2.1-1 as
soon as possible, but no longer than
24 hours after receiving knowledge of
such failure.
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Requirement 2
R2.2
Commence as soon
as possible, and
proceed diligently
thereafter, to correct
such failure.
Measures 2
MR2.2
Evidence exists
that corrective
actions have been
taken as specified
in requirement
R2.2.
Assessment 2
AR2.2
3.
Review the evidence to verify if R2.1
was met.
1.
Where a failure has occurred, request
evidence to demonstrate corrective
actions were identified.
2.
Request evidence to demonstrate the
correction action(s) were completed.
3.
Review the evidence provided to
validate the technical reasonability.
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
Findings
R2
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Requirement 3
Measures 3
Assessment 3
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R3
Each operator of a
transmission facility
must
do
the
following
if
a
protective relay or
equipment fails, and
such failure reduces
transmission system
reliability on the
BES:
MR3
Measures for this
requirement are
identified in the
subsections below.
AR3
Intentionally left blank.
R3.1
Notify the ISO, each
directly affected
operator of a
transmission facility
and interconnected
transmission
operator as soon as
possible, but no
longer than 24 hours
after the earlier of
receiving knowledge
of or detecting such
failure.
MR3.1
Notifications exist
for each failure as
specified in
requirement R3.1.
AR3.1
1.
Request information (such as incident
reports or event logs) of each failure
of a protective relay or equipment
failure and such failure reduces
transmission system reliability on the
bulk electric system (BES) which
have occurred during the audit
period.
2.
Request evidence to demonstrate
that the ISO, directly affected
operators of a transmission facility
and interconnected transmission
operators were notified of each failure
as identified in AR3.1-1 as soon as
possible but no longer than 24 hours
after the earlier of receiving
knowledge of or detecting such
failure.
3.
Review the evidence to verify if R3.1
was met.
1.
Request evidence to demonstrate
that for each failure as identified in
AR3.1-1 corrective actions have been
taken in accordance with R3.2.
2.
Review the evidence to verify
corrective actions as identified in
R3.2 was met.
3.
Review the evidence provided to
validate the technical reasonability.
R3.2
Commence as soon
as possible, and
proceed
diligently
thereafter, to correct
such failure unless
otherwise directed
by the ISO.
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MR3.2
Evidence exists
that corrective
actions have been
taken as specified
in requirement
R3.2.
AR3.2
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Findings
R3
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Requirement 5
Measures 5
Assessment 5
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R5
Each legal owner of
a generating unit
and legal owner of
an aggregated
generating facility
must coordinate all
new protection
systems and all
protection system
changes with each
interconnecting legal
owner of a
transmission facility
and the ISO.
MR5
Evidence exists
including, but not
limited to, revised
fault analysis study,
letters of
agreement on
settings,
notifications of
changes, all of
which meets the
requirements as
specified in
requirement R5.
AR5
1.
Request a list of all new protection
systems and all protection system
changes implemented during the
audit period.
2.
Request evidence, as identified in
MR5, to demonstrate that the entity
coordinated with its interconnecting
legal owner of a transmission facility
and the ISO all new protection
systems and all protection system
changes that occurred during the
audit period.
[NOTE to registered market participants:
The Information Document for PRC-001AB-1 may provide additional detail
information.]
Findings
R5
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Requirement 6
Measures 6
Assessment 6
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R6
Each legal owner of
a transmission
facility must
coordinate all
protection systems
including existing,
new and modified
protection systems
with each adjacent
legal owner of a
transmission facility,
affected legal owner
of a generating unit,
affected legal owner
of an aggregated
generating facility,
affected
interconnected
transmission
operators and the
ISO.
MR6
Evidence exists
that could include,
but is not limited to,
revised fault
analysis study,
letters of
agreement on
settings,
notifications of
changes, that
meets the
requirements as
specified in
requirement R6.
AR6
1.
Request a list of all existing and new
protection systems and all protection
system changes implemented during
the audit period.
2.
Request evidence, as identified in
MR6, to demonstrate the legal owner
of a transmission facility coordinated
all protection system changes that
occurred during the audit period with
applicable entities listed in R6.
[NOTE to registered market participants: The
Information Document for PRC-001-AB-1 may
provide additional detail information.]
Findings
R6
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Requirement 7
Measures 7
Assessment 7
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R7
Each operator of a
generating unit,
operator of an
aggregated
generating facility
and operator of a
transmission facility
must identify and
coordinate changes
in generation,
transmission, load
and/or operating
conditions that
require changes in
the protection
systems of others as
follows:
MR7
Measures for this
requirement are
identified in the
subsections below.
AR7
Intentionally left blank.
[NOTE to registered market participants:
The Information Document for PRC-001AB-1 may provide additional detail
information.]
R7.1
Each operator of a
generating unit and
operator of an
aggregated
generating facility
must identify
changes in each of
its generation, load,
or operating
conditions that may
require changes in
protection systems of
others, and notify the
ISO in advance of
their changes.
MR7.1
Evidence exists
and shows that all
changes requiring
protection changes
were made as
specified in
requirement R7.1.
AR7.1
1.
Request evidence which identified the
changes in operating conditions
which required notification.
2.
Request evidence such as operating
policies and procedures which identify
the specific protection systems of
others that may be impacted by the
change
3.
Request evidence the notifications
were issued to the ISO during the
audit period.
4.
Review the evidence provided to
verify the notifications were identified
as notifications under PRC-001-AB11.
5.
Review the evidence provided to
verify whether the notification was
made in advance of the changes
being implemented.
1.
Request evidence which identified the
changes in operating conditions
which required notification.
2.
Request evidence such as operating
policies and procedures which identify
the specific protection systems of
R7.3
Each operator of a
transmission facility
must identify
changes in any of its
transmission, load or
operating conditions
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MR7.3
Evidence exists
and shows that all
changes requiring
protection
changes were
made as specified
AR7.3
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Requirement 7
Measures 7
that may require
changes in protection
systems of others,
and provide
reasonable prior
notice to the ISO and
each affected
operator of a
transmission facility
and adjacent
interconnected
transmission
operator of such
proposed changes.
in requirement
R7.3.
Assessment 7
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
others that may be impacted by the
change.
3.
Request
evidence
which
demonstrates the notifications were
issued to the ISO and other affected
operator of a transmission facility and
adjacent interconnected transmission
operators during the audit period.
4.
Review the evidence provided to
verify the notifications were identified
as notifications under PRC-001-AB11.
5.
Review the evidence provided to
verify whether the notification was
made in advance of the changes
being implemented.
Findings
R7
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Requirement 8
Measures 8
Assessment 8
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R8
Each operator of a
transmission facility
must monitor the
status of each RAS in
its area, and must
notify each affected
operator of a
transmission facility,
operator of a
generating unit,
operator of an
aggregated
generating facility and
the ISO of each
change in status.
MR8
Operator logs,
voice recordings or
other evidence
exists that affected
parties were
notified as specified
in requirement R8.
AR8
1.
Request a list of each RAS in the
entity’s area that existed within the
audit period. The list provided should
include, but not limited to, all RAS
that the entity owns as identified in
the ISO RAS database and published
on the AESO website.
2.
Request evidence to demonstrate the
entity monitored the status of each
RAS in its area. Evidence includes,
such as operating policies or
procedures which identify each RAS
in the entity’s area to be monitored,
the method of monitoring, SCADA
data, and identifies the appropriate
parties to be notified in the event of a
change in status.
3.
Request a list of change in status
which occurred during the audit
period.
4.
Request evidence of notification of
change in status which occurred
during the audit period.
5.
Where a change in status occurred,
review the evidence provided to verify
whether the notification of change of
status was issued to the appropriate
parties.
[NOTE to registered market participants:
The Information Document ISO RAS
Database may provide additional detail
information to assist with identifying
protection system schemes applied in the
area relating to PRC-001-AB1-1 R8.]
Findings
R8
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Requirement 9
Measures 9
Assessment 9
Evidence Description
Evidence
Assessment Notes
Embedded file, Link to the file
For AESO use only
These measures will be used by
the ISO in carrying out its
compliance monitoring duties in
accordance with ISO rule 12.
The ISO may consider other data
and information, including any
provided by a registered market
participant.
R9
Each operator of a
generating unit and
operator of an
aggregated
generating facility
must provide
reasonable prior
notice to the operator
of a transmission
facility and the ISO of
proposed changes to
the arming status (on,
off and which
generator) of any
RAS in their facility.
MR9
Operator logs,
voice recordings or
other evidence
exists that affected
parties were
notified as specified
in requirement R9.
AR9
1.
Request a list of any RAS in each of
their generating facilities as found in
the ISO RAS database published on
the AESO website.
2.
Request a list of changes in arming
status which occurred to any RAS in
the facility during the audit period.
3.
Where a change in arming status
occurred, request
evidence
of
notifications issued to the affected
operator of transmission facilities and
the ISO.
4.
Where a change in arming status
occurred, review the notification
evidence and verify whether it was
issued in advance of the change in
arming status.
5.
Review the advance notification to
determine whether it was reasonable
prior notice.
Findings
R9
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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
1.0
1.1
Date
November 13, 2012
May 30, 2013
Comments
Initial version of Worksheet
Removal of standards applicable to the ISO.
Audit Team - General Notes to File:
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