Reliability Standard Audit Worksheet

RSAW_v1.1_TOP-005-AB1-1

Reliability Standard Audit Worksheet

RSAW_v1.1_TOP-005-AB1-1

Operational Reliability Information

Alberta Reliability Standard EffectiveDate: January 2, 2013

Applicability:

This reliability standard applies to:

(a) a pool participant that submits an offer or bid to transact across interconnections with Alberta;

(b) the operator of a transmission facility;

(c) the operator of a generating unit that:

(i) is not part of an aggregated generating facility;

(ii) has a maximum authorized real power rating greater than four point five (4.5) MW; and

(iii) is directly connected to the transmission system or to transmission facilities within the City of Medicine Hat;

(d) the operator of an aggregated generating facility that:

(i) has a maximum authorized real power rating greater than four point five (4.5) MW; and

(ii) is directly connected to the transmission system or to transmission facilities within the City of Medicine Hat; and

(e) the ISO.

Registered Entity:
Functional Entity:
Audit Period: / From January2, 2013 To
Last AuditPeriod:
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

R2

R5

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 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 12. The ISO may consider other data and information, including any provided by a registered market participant.
R2 / Upon request, each operator of a transmission facility must provide to the ISO, the operating data that is necessary to allow the ISO to perform operational reliability assessments and to coordinate reliable operations. Each operator of a transmission facility must provide the types of data as listed in Appendix 1 of this reliability standard, unless otherwise agreed to by the ISO. / MR2 / A confirmation letter from the operator of a transmission facility is provided to the ISO within 30 days of request. The letter confirms that the operator of a transmission facility has provided the data as requested by the ISO, and is acceptable to the ISO. The letter is dated and signed by an authorized representative of the ISO. / AR2 /
  1. Request the confirmation letter from the operator of a transmission facility relating to items found in TOP-005-AB1-1 and document in the Assessment Notes below the date of the request.

  1. Upon receipt of confirmation letter from the operator of a transmission facility, document in the Assessment Notes below the receipt date and verify whether the confirmation letter was provided within 30 days of the request.

  1. Review confirmation letter and verify it has been dated and signed by an authorized representative of the ISO.

  1. Review confirmation letter and verify it relates to TOP-005-AB1-1.

  1. Review confirmation letter and verify it relates to the provision of data for periods within the audit scope.

Findings
R2
Requirement 5 / Measures 5 / Assessment 5 / 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 12. The ISO may consider other data and information, including any provided by a registered market participant.
R5 / Each pool participant, operator of a generating unit and operator of an aggregated generating facility must provide to the ISO, data as specified in other ISO rules that is necessary to enable the ISO to conduct operational reliability assessments and coordinate reliable operations. / MR5 / A confirmation letter from the pool participant, operator of a generating unit or operator of an aggregated generating facility is provided to the ISO within 30 days of a request. The letter confirms that the pool participant, operator of a generating unit or operator of an aggregated generating facility has provided the data as requested by the ISO, and is acceptable to the ISO. The letter is dated and signed by an authorized representative of the ISO. / AR5 /
  1. Request the confirmation letter from the pool participant, operator of a generating unit, and/or operator of an aggregated generating facility relating to items found in TOP-005-AB1-1 and document in the Assessment Notes below the date of the request.

  1. Upon receipt of confirmation letter from the ISO document in the Assessment Notes below the receipt date and verify whether the confirmation letter was provided within 30 days of the request.

  1. Review confirmation letter and verify it has been dated and signed by an authorized representative of the ISO.

  1. Review confirmation letter and verify it relates to TOP-005-AB1-1.

  1. Review confirmation letter and verify it relates to the provision of data for periods within the audit scope.

Findings
R5

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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 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 13, 2012 / Initial version of Worksheet
1.1 / May 30, 2013 / Removal of requirements applicable to the ISO.

Audit Team - General Notes to File:

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