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