Download RSAW_v1.0-VAR-002-AB-1.1b Reliability Standard Audit Worksheet Generator Operation for Maintaining Network Voltages

Reliability Standard Audit Worksheet
RSAW_v1.0_VAR-002-AB-1.1b
Reliability Standard Audit Worksheet
RSAW_v1.0-VAR-002-AB-1.1b
Generator Operation for Maintaining Network
Voltages
Alberta Reliability Standard Effective Date: October 1, 2013
Applicability:
This reliability standard applies to:
(a) the legal owner of a generating unit, including those that operate as a synchronous condenser, 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 either the transmission system or to transmission facilities within the
City of Medicine Hat;
(b) the operator of a generating unit, including those that operate as a synchronous condenser, 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 either the transmission system or to transmission facilities within the
City of Medicine Hat;
(c) the legal owner 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 either the transmission system or to transmission facilities within the City
of Medicine Hat; and
(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 either the transmission system or to transmission facilities within the City
of Medicine Hat.
Notwithstanding subsections (c) and (d) above, this reliability standard does not apply to the legal owner or
operator of a wind aggregated generating facility that:
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(e) is not equipped with a voltage regulating system; and
(f) is the subject of an executed Construction Commitment Agreement and which has completed the ISO’s
approval process for connection to the transmission system under the Technical Requirements for connecting
generators (1999).
The ISO will publish a list of facilities that meet these criteria in the information document related to this
reliability standard.
Registered Entity:
Audit Period (dd/mm/yy):
Date of Last Audit (dd/mm/yy):
Type of Audit:
Audit Authority/Organization:
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PART ONE – ASSESSMENT SUMMARY (for the AESO use only)
Suspected Contravention to the standard? Yes
Assessment Commentary:



Summary of Findings by Requirement
R1
R2
R3
R4
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
R1
The operator of a
generating unit,
subject to requirement
R3 and the ISO’s
consent to operate
otherwise, must only
operate such
generating unit with
the automatic voltage
regulator in service, in
voltage control mode
and controlling voltage.
Measures 1
MR1
Evidence of operating as
required in requirement R1
exists. Evidence may include
operator logs or data files.
Assessment 1
AR1
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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 measures/methods
the audited entity deploys to meet R1
(note 1); and
ii.
Evidence deemed appropriate to
demonstrate R1 compliance, e.g.,
operator logs, data files. Assessment
on the evidence submitted with respect
to this Part (ii) will be conducted on a
sampling basis. The audit team will
notify the audited entity of the sampling
plan upon reviewing the information as
identified in Part 1 (i).
Note 1:
Examples of methods/measures are status check
every four hours or at the start/end of every shift,
automatic alarm system to report changes in
status, regular status report based on pi data,
exceptions reports, automatic status logging
system, or the alike.
Part 2: Audit Assessment
1) Review the submitted evidence based on
the sampling plan, cross-examine the
submitted evidence pertaining to R3 and
assess:
a. Does
the
submitted
evidence
demonstrate that the audited entity
operated each generating unit with the
automatic voltage regulator in service,
in voltage control mode and controlling
voltage?
Findings
R1
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Requirement 2
R2
The operator of an
aggregated generating
facility, subject to
requirement R3 and the
ISO’s consent to
operate otherwise, must
only operate such
aggregated generating
facility with the voltage
regulating system in
service, in voltage
control mode and
controlling voltage.
Measures 2
MR2
Evidence of operating as
required in requirement R2
exists. Evidence may include
operator logs or data files.
Assessment 2
AR2
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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 measures/methods
the audited entity deploys to meet R2
(note 1); and
ii.
Evidence deemed appropriate to
demonstrate R2 compliance, e.g.,
operator logs, data files. Assessment
on the evidence submitted with respect
to this Part (ii) will be conducted on a
sampling basis. The audit team will
notify the audited entity of the sampling
plan upon reviewing the information as
identified in Part 1 (i).
Note 1:
Examples of methods/measures are status check
every four hours or at the start/end of every shift,
automatic alarm system to report changes in
status, regular status report based on pi data,
exceptions reports, automatic status logging
system, or the alike.
Part 2: Audit Assessment
1) Review the submitted evidence based on
the sampling plan, cross-examine the
submitted evidence pertaining to R3 and
assess:
a. Does
the
submitted
evidence
demonstrate that the audited entity
operated each aggregated generating
facility with the voltage regulating
system in service, in voltage control
mode and controlling voltage?
Findings
R2
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Requirement 3
R3
Each operator of a
generating unit and
operator of an
aggregated generating
facility must notify the
ISO as soon as
reasonably possible
when the automatic
voltage regulator or
voltage regulating
system is out of
service.
Measures 3
MR3
Evidence of notifying the ISO
as required in requirement R3
exists. Evidence may include
operator logs or voice
recordings.
Assessment 3
AR3
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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 of incidents where the automatic
voltage regulator or voltage
regulating system was out of service
during the audit period; and
ii.
Evidence deemed appropriate of
notifying the ISO, e.g., operator logs or
voice recordings. Assessment on the
evidence submitted with respect to this
Part (ii) will be conducted on a sampling
basis. The audit team will notify the
audited entity of the sampling plan upon
reviewing the information as identified in
Part 1 (i).
OR
iii.
Where automatic voltage regulator or
voltage regulating system was not out
of service during the audit period,
signed attestation document.
Part 2: Audit Assessment
1. Based on the submitted list as identified in
Part 1 (i), identify:
a. Date/time of each sampled incident;
2.
Review the submitted evidence based on
the sampling plan, identify the date/time of
the notification and assess:
a. Did the audited entity notify the ISO as
soon as reasonably possible for
incident where the automatic voltage
regulator or voltage regulating
system was out of service?
Findings
R3
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Requirement 4
R4
Each operator of a
generating unit and
operator of an
aggregated generating
facility, upon receiving
a directive from the
ISO regarding reactive
power or voltage levels
must:
(a) subject to the
exceptions set out in
section 301.2 of the ISO
rules, Directives,
comply with the
directive by adjusting
either the
(i) set point of the
automatic voltage
regulator or voltage
regulation system; or
(ii) on-load tap changer;
but
(b) if the operator
determines it is unable
to comply, notify the
ISO with an explanation
as to why it cannot
comply with the
directive.
Measures 4
MR4
Evidence of complying with a
directive or notifying the ISO
as required in requirement R4
exists. Evidence may include
data files or operator logs.
Assessment 4
AR4
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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 of directives from the ISO
regarding reactive power or voltage
levels that were received during the
audit period; and
ii.
Evidence deemed appropriate of
complying with the directive, e.g.,
operator logs, data files. Assessment
on the evidence submitted with respect
to this Part (ii) will be conducted on a
sampling basis. The audit team will
notify the audited entity of the sampling
plan upon reviewing the information as
identified in Part 1 (i).
OR
iii.
Where no directives from the ISO
regarding reactive power or voltage
levels were received during the audit
period, signed attestation document.
Part 2: Audit Assessment
1. Based on the submitted evidence based on
the sampling plan, identify for each
directive from the ISO regarding reactive
power or voltage levels:
a. Date/time of each directive;
b. The equipment, e.g., automatic
voltage regulator, voltage regulation
system, on-load tap changer, where
the adjustment was made.
c.
2.
Date/time of the adjustment made.
For each sampled directive, assess:
a.
Did the audited entity comply with the
directive by adjusting either the
(i) set point of the automatic voltage
regulator or voltage regulation
system; or
(ii) on-load tap changer
within the specified timeframe?
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3.
For those directives that the operator of a
generating unit or an aggregated
generating facility, determined it as unable
to comply, assess :
a. Did the operator notify the ISO with an
explanation as to why it could not
comply with the directive?
b.
Is the explanation consistent with the
exceptions set out in section 301.2 of
the ISO rules, Directives?
Findings
R4
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Requirement 5
R5
Each operator of a
generating unit and
operator of an
aggregated
generating facility
must use an
alternative method to
control voltage and
reactive power output
to meet any voltage
level directive or
reactive power level
directive the ISO
issues when the
automatic voltage
regulator or voltage
regulating system is
out of service.
Measures 5
MR5
Evidence of using an
alternative method to
control voltage and
reactive power output as
required in requirement R5
exists. Evidence may
include data files, operator
logs or voice recordings.
Assessment 5
AR5
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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 of voltage level directives or reactive power level
directives received during the audit period from the ISO when
the automatic voltage regulator or voltage regulating
system was out of service; and
ii.
Evidence deemed appropriate to demonstrate alternative
method was used, e.g., data files, operator logs, or voice
recordings. Assessment on the evidence submitted with
respect to this Part (ii) will be conducted on a sampling basis.
The audit team will notify the audited entity of the sampling
plan upon reviewing the information as identified in Part 1 (i).
OR
Where no voltage level directives or reactive power level
directives from the ISO when the automatic voltage
regulator or voltage regulating system was out of service
were received during the audit period, signed attestation
documents.
iii.
Part 2: Audit Assessment
1. Based on the submitted evidence based on the sampling plan,
identify for each voltage level directive or reactive power level
directive:
a. Date/time of each sampled voltage level directive or reactive
power level directive;
2.
b.
Details of the alternative method to control voltage and
reactive power output;
c.
Date/time of the alternative method used.
For each sampled directive, assess:
a.
Did the audited entity use an alternative method to control
voltage and reactive power output to meet the voltage level
directive or reactive power level directive within the specified
timeframe when the automatic voltage regulator or voltage
regulating system was out of service?
Findings
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R5
Requirement 6
R6
Each operator of a
generating unit and
operator of an
aggregated
generating facility
must notify the ISO as
soon as reasonably
possible, but not more
than thirty (30) minutes
after any of the
following:
R6.1 a status or
capability change of
the reactive power
resource on any
generating unit or
aggregated
generating facility,
including the status of
each automatic
voltage regulator,
voltage regulating
system and power
system stabilizer, as
applicable, and the
expected duration of
the change in status or
capability; or
R6.2 a status or
capability change on
any other reactive
power resource under
the control of each
operator of a
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Measures 6
MR6
Evidence of notifying
the ISO as required in
requirement R6 exists.
Evidence may include
operator logs or voice
recordings.
Assessment 6
AR6
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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 of incidents where
a. a status or capability change , which occurred
during the audit period, of the reactive power
resource on any generating unit or
aggregated generating facility, including the
status of each automatic voltage regulator,
voltage regulating system and power
system stabilizer, as applicable; and
b.
ii.
iii.
where a status or capability change , which
occurred during the audit period on any other
reactive power resource under the control of
each operator of a generating unit or
operator of an aggregated generating
facility;
and
Evidence deemed appropriate of notifying the ISO, e.g.,
operator logs, or voice recordings. Assessment on the
evidence submitted with respect to this Part (ii) will be
conducted on a sampling basis. The audit team will
notify the audited entity of the sampling plan upon
reviewing the information as identified in Part 1 (i) a and
Part 1 (i) b .
OR
Where no status or capability change with respect to
R6.1 and R6.2 occurred during the audit period, signed
attestation document.
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generating unit or
operator of an
aggregated
generating facility
and the expected
duration of the change
in status or capability.
Part 2: Audit Assessment
1. Based on the submitted evidence based on the sampling
plan as identified in Part 1, assess for each sampled
incident:
a. Did the audited entity notify the ISO as soon as
reasonably possible, but not more than thirty (30)
minutes after the incident?
b. Did the audited entity provide the expected duration of
the change in status or capability for each notification?
Findings
R6
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Requirement 7
R7
Each legal owner of a
generating unit and
legal owner of an
aggregated
generating facility
whose step-up
transformer for
connecting to the
transmission system
or auxiliary transformer
has primary voltages
equal to or greater
than the generating
unit terminal voltage
must provide the ISO
any one (1) or more of
the following within
thirty (30) days of a
request:
R7.1 tap settings;
R7.2 available fixed
tap ranges;
R7.3 impedance data;
and
R7.4 the plus/minus
voltage range with
step-change in
percentage for on-load
tap changing
transformers.
Measures 7
MR7
Evidence of providing the
information identified in
requirements R7.1 to R7.4 as
required in requirement R7
exists. Evidence may include
record of email or mail to
appropriate recipients that
identifies contents
Assessment 7
AR7
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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.
Evidence deemed appropriate to demonstrate
provision of information, e.g., email or mail
identifying the information per requirements R7.1
to R7.4
ii.
Where, no ISO’s request was received during
the audit period, signed attestation document.
Part 2: Audit Assessment
1) Review the submitted evidence and assess:
a. Did the audited entity provide the ISO any one (1)
or more of the following within thirty (30) days of a
request:

tap settings;

available fixed tap ranges;

impedance data; and

the plus/minus voltage range with stepchange in percentage for on-load tap
changing transformers?
Findings
R7
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Requirement 8
R8
Each legal owner of a
generating unit and
legal owner of an
aggregated
generating facility
that has a step-up
transformer, with offlad taps, for
connecting to the
transmission system
must change the tap
positions according to
the specifications the
ISO provides.
Measures 8
MR8
Evidence of changing tap
positions as required in
requirement R8 exists.
Evidence may include dated
records that such changes
conform to specifications the
ISO provides.
Assessment 8
AR8
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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.
Records of changes made to the tap positions
according to the specifications the ISO provided;
or
ii.
Where no specifications were received from the
ISO during the audit period, signed attestation
document.
Part 2: Audit Assessment
1) Review the submitted evidence and assess:
a. Did the audited entity change the tap position
positions according to the specifications the ISO
provided?
Findings
R8
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Requirement 9
R9
Each legal owner of a
generating unit and
legal owner of an
aggregated
generating facility
that cannot comply
with requirement R8,
must notify the ISO
within thirty (30) days
of the ISO providing
the specifications and
must include the
technical justification in
such notice.
Measures 9
MR9
Evidence of notifying the ISO
as required in requirement R9
exists. Evidence may include
record of email or mail to
appropriate recipients that
identifies contents submitted.
Assessment 9
AR9
Evidence Description
Evidence
(For the audited entity use only)
Embedded file, link to file
Assessment Notes
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.
Evidence of notifying the ISO , e.g., email or mail
identifying the technical justification.
Part 2: Audit Assessment
2) Review the submitted evidence based on the
sampling plan and assess:
a. Did the audited entity notify the ISO within thirty
(30) days of the ISO providing the specifications?
b.
Did the audited entity provide the justification in
the notice?
c.
Is the justification based on technical reason?
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
Date
April 18, 2013
Comments
Initial version of audit worksheet
Audit Team - General Notes to File:
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