Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Telecommunications
Alberta Reliability Standard Effective Date: October 1, 2013
Applicability:
This reliability standard applies to the following:
(a) the operator of a transmission facility that is:
(i) part of the bulk electric system; or
(ii) not part of the bulk electric system but 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; and
(b) the ISO.
Registered Entity:
Audit Period (dd/mm/yy):
Date of Last Audit (dd/mm/yy):
Type of Audit:
Audit Authority/Organization:
219471582
Page 1 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
PART ONE – ASSESSMENT SUMMARY (For AESO use only)
Suspected Contravention to the standard? Yes
No
Assessment Commentary:



Summary of Findings by Requirement
R2
R3
R5
R6
R7
219471582
Page 2 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
PART TWO – CONTACTS (For AESO use only)
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
219471582
Page 3 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
PART THREE – COMPLIANCE AUDITOR ASSESSMENT / CHECKLIST
Requirement 2
R2
Each operator of a
transmission facility
must, as necessary to
maintain reliability,
provide adequate,
reliable, and, where
applicable, diversely
routed and redundant
voice and message
telecommunication
facilities for the
exchange of
interconnection and
Alberta operating
information with the
following:
(a) each adjacent
operator of a
transmission facility;
(b) each adjacent
interconnected
transmission operator
that is directly
connected to Alberta;
and
(c) the ISO.
Measures 2
MR2
Evidence of providing voice
and message
telecommunication facilities as
required in requirement R2
exists. Evidence may include:
(a) a list identifying each
telecommunication facility for
the exchange of
interconnection and Alberta
operating information; and
(b) documentation
demonstrating the
implementation of diverse
routing and redundancy
capability, if applicable.
Assessment 2
AR2
Evidence Description
Evidence
Assessment Notes
(For the audited entity use only)
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.
A list identifying each voice and
message telecommunication facility for
the exchange of interconnection and
Alberta operating information with each
adjacent operator of a transmission
facility or any other evidence deemed
appropriate to demonstrate R1 (a)
compliance;
ii.
A list identifying each voice and
message telecommunication facility for
the exchange of interconnection and
Alberta operating information with each
each adjacent interconnected
transmission operator or any other
evidence deemed appropriate to
demonstrate R1 (b) compliance;
iii.
iv.
A list identifying each voice and
message telecommunication facility for
the exchange of interconnection and
Alberta operating information with the
ISO or any other evidence deemed
appropriate to demonstrate R1 (c)
compliance; and
Documentation identifying voice and
message telecommunication facilities
that have been implemented with
diverse routing and redundancy
capability and providing details of
diverse routing and redundancy
capability or any other evidence
deemed appropriate to demonstrate
the implementation of diverse routing
and redundancy capability, if applicable.
Part 2: Audit Assessment
1. Identify the audited entity’s each adjacent
operator of a transmission facility.
2.
219471582
Review the submitted documentation as
Page 4 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Requirement 2
Measures 2
Assessment 2
3.
Evidence Description
Evidence
Assessment Notes
(For the audited entity use only)
Embedded file, link to the file
For AESO use only
identified in Part 1 (i) and assess:
a. Did the audited entity provide adequate
and reliable voice telecommunication
facilities?
b. Did the audit entity provide adequate
and reliable message
telecommunication facilities?
Identify the audited entity’s each adjacent
interconnected transmission operator, if
any.
4.
Review the submitted documentation as
identified in Part 1 (ii) and assess:
a. Did the audited entity provide adequate
and reliable voice telecommunication
facilities?
b. Did the audit entity provide adequate
and reliable message
telecommunication facilities?
5.
Review the submitted documentation as
identified in Part 1 (iii) and assess:
a. Did the audited entity provide adequate
and reliable voice telecommunication
facilities?
b. Did the audit entity provide adequate
and reliable message
telecommunication facilities?
6.
Review the submitted documentation as
identified in Part 1 (iv) and assess:
a. Did the audited entity provide diversely
routed and redundant voice
telecommunication facilities voice
where applicable?
b. Did the audited entity provide diversely
routed and redundant message
telecommunication facilities where
applicable?
Findings
R2
219471582
Page 5 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Requirement 3
R3
The ISO and each
operator of a
transmission facility
must manage and test
its alternate voice and
message
telecommunication
facilities.
Measures 3
MR3
Evidence of managing and
testing its alternate voice and
message telecommunication
facilities as required in
requirement R3 exists.
Evidence may include:
(a) a list identifying each
telecommunication facility as
determined to be alternate;
(b) documented procedures
describing how to manage and
test its alternate
telecommunication facilities;
and
(c) records of testing.
Assessment 3
AR3
Evidence Description
Evidence
Assessment Notes
(For the audited entity use only)
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.
A list identifying each voice and
message telecommunication facility as
determined to be alternate or any other
evidence deemed appropriate;
ii.
Procedures describing how to manage
and test its alternate telecommunication
facilities or any other evidence deemed
appropriate to demonstrate that the
audited entity managed its alternate
voice and message telecommunication
facilities; and
iii.
Records of testing or any other
evidence deemed appropriate.
Part 2: Audit Assessment
1) Identify the audited entity’s alternate voice
and message telecommunication facilities by
referencing the submitted documentation as
identified in Part 1 (i).
219471582
2)
Review the submitted evidence as identified
in part 1 (ii) and assess:
a. Did the audited entity manage its
alternate voice telecommunication
facilities?
b. Did the audited entity manage its
alternate message telecommunication
facilities?
3)
Review the submitted evidence as identified
in part 1 (iii) and assess:
a. Did the audited entity carry out testing on
its alternative voice telecommunication
facilities?
b. Did the audited entity carry out testing on
its alternative message
telecommunication facilities?
Page 6 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Findings
R3
219471582
Page 7 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Requirement 5
R5
Each operator of a
transmission facility
must provide a means
to coordinate voice
and message
telecommunications
with the ISO and
adjacent
interconnected
transmission
operators, which
coordination must
include the ability to
investigate and
recommend solutions
to voice and message
telecommunications
problems within
Alberta.
Measures 5
MR5
Evidence of providing a
means to coordinate voice
and message
telecommunications as
required in requirement R5
exists. Evidence may include
a documented procedure in
place which identifies a
process for coordinating
telecommunications and a
process for investigating and
recommending solutions to
telecommunications
problems.
Assessment 5
AR5
Evidence Description
Evidence
Assessment Notes
(For the audited entity use only)
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.
Documented procedures which identifies a
process for coordinating telecommunications and
a process for investigating and recommending
solutions to telecommunications problems or any
other evidence deemed appropriate to
demonstrate that the audited entity provided a
means to coordinate as required in R5.
Part 2: Audit Assessment
1) Review the submitted documented procedures as
identified in Part 1 (i) and assess:
a. Were the documented procedures put in place?
b. Did the documented procedures identify a process
to
coordinate
voice
and
message
telecommunications with the ISO and adjacent
interconnected transmission operators?
c.
2)
Did documented procedures identify a process to
investigate and recommend solutions to voice and
message telecommunications problems?
If other evidence is submitted in lieu of documented
procedures, review it and assess:
a. Was a means provided to coordinate voice and
message telecommunications as required in R5?
b. Did the coordination include the ability to
investigate and recommend solutions to voice and
message telecommunications problems within
Alberta?
Findings
R5
219471582
Page 8 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Requirement 6
R6
The ISO and each
operator of a
transmission facility
must use the English
language for all
communications
between their
respective operating
personnel responsible
for the real-time
generation control and
operation of the
interconnected
electric system.
Measures 6
MR6
Evidence of using the English
language as required in
requirement R6 exists.
Evidence may include
operator logs, voice
recordings, electronic
communications or e-tag
records.
Assessment 6
AR6
Evidence Description
Evidence
Assessment Notes
(For the audited entity use only)
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.
Operator logs;
ii.
iii.
Voice recordings; or
Any other evidence deemed appropriate to
demonstrate R6 compliance.
The audit team, at its discretion, will choose to select full
population or samples for assessment. Details of the
sampling plan will be notified in writing.
Part 2: Audit Assessment
1) Review the submitted operator logs and verify:
a. Were the operator logs written in English
language?
2)
Listen to the submitted voice recordings and verify:
a. Were the voice communication spoken in English
language?
3)
If other evidence is submitted in lieu of operator logs
and voice recordings, review it and verify:
a. Was
the
English
language
used
for
communications?
Findings
R6
219471582
Page 9 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
Requirement 7
R7
The ISO and each
operator of a
transmission facility
must have written
operating instructions
and procedures to
enable continued
operation of the
interconnected
electric system
during the loss of voice
and message
telecommunication
facilities.
Measures 7
MR7
Evidence of having written
operating instructions and
procedures as required in
requirement R7 exists.
Evidence may include
electronic or hard copy of the
operating instructions and
procedures.
Assessment 7
AR7
Evidence Description
Evidence
Assessment Notes
(For the audited entity use only)
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.
Operating instructions and procedures as
required in R7 that were in place during the audit
period; or
ii.
Any other evidence deemed appropriate to
demonstrate R7 compliance.
Part 2: Audit Assessment
1) Review the submitted evidence as identified in Part 1
and assess:
a. Were the operating instructions and procedures in
place throughout the entire audit period?
b. Did the operating instructions and procedures
describe any steps to enable continued operation
of the interconnected electric system during the
loss of voice telecommunication facilities?
c. Did the operating instructions and procedures
describe any steps to enable continued operation
of the interconnected electric system during the
loss of message telecommunication facilities?
Findings
R7
219471582
Page 10 of 11
07/06/2013
Reliability Standard Audit Worksheet
RSAW_v1.1_COM-001-AB-1.1
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 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
Feb 25, 2013
June 7, 2013
Comments
Initial version of audit worksheet
Removal of requirements applicable to the ISO.
Audit Team - General Notes to File:
219471582
Page 11 of 11
07/06/2013