Compliance Assessment R1 Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes 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 remedial action scheme applicable within their system. AR1 Please provide: Review the list of operating personnel provided at AR1 (i) for appropriateness. (i) the list of all operating personnel throughout the audit period; if new staff were added to the list of operating personnel at any time during the audit period, specify the dates when they became operating personnel; (ii) the list of protection systems schemes and remedial action schemes (RAS) applicable within your system for the entire audit period; the RASs should reference the Name and Number as provided in the ISO RAS Database. Review the list of protection systems schemes and RASs provided at AR1 (ii) for accuracy. Determine whether all RASs listed in the ISO RAS Database as owned or partially owned by the market participant have been included in their AR1(ii) submission. (iii) records of training including the purpose and limitations of the protection systems schemes and RASs as identified in AR1(ii) for all operating personnel. Review the training records to determine whether they cover all operating personnel as identified in AR1 (i), and all applicable protection systems schemes and RASs. or any other evidence to demonstrate compliance with requirement R1. Review any other provided evidence to determine whether operating personnel were trained and familiar with the purpose and limitations of the protection systems schemes and RASs applied in their area. Findings R2
Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes 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 interconnected electric system, 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: 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 twenty four (24) hours after receiving knowledge of such failure; and MR2.1 notifications exist for each failure as specified in requirement R2.1.; and AR2.1 Please provide: Review the list provided at AR2.1(i). (i) a list containing all failures that qualify under requirement R2; or, if during the audit period there were no such failures, an attestation letter to this effect; (ii) information, such as incident reports or event logs, showing the time and date of the failure, a brief description, and the time and date of receiving knowledge of the failure) for each failure identified at AR2.1(i); Review the information provided at AR2.1 (ii) for appropriateness. (iii) evidence, such as operator logs, phone records, electronic notification or other equivalent) of notification to the operator of a transmission facility in its area and the ISO showing the time and date for each failure which reduced the transmission system reliability as identified at AR2.1(i). Review the notifications sent to the ISO and the appropriate transmission facility operator(s) to determine whether the notifications were sent within 24 hours of receiving knowledge of each failure reducing the reliability of the transmission system.
R2.2 commence as soon as possible, and proceed diligently thereafter, to correct such failure. MR2.2 evidence exists that corrective actions have been taken as specified in requirement R2.2. AR2.2 Please provide: Review the corrective actions provided at AR2.2(i) for appropriateness. (i) the corrective actions identified on each of the failures identified at AR2.1(i). (ii) the dates and times when corrective actions have been initiated and completed for each of the failures identified at AR2.1(i); or, if any of the corrective actions has not been completed, the corrective action plan. Review the evidence provided at AR2.2 (ii) to determine whether the action items are completed or being addressed as soon as possible and diligently. Findings R3
Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes 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 bulk electric system: MR3 Measures for this requirement are identified in the subsections below: 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 twenty four (24) hours after the earlier of receiving knowledge of or detecting such failure; and MR3.1 notifications exist for each failure as specified in requirement R3.1; and AR3.1 Please provide: Review the list provided at AR3.1(i). (i) a list containing all failures that qualify under requirement R3; or, if during the audit period there were no such failures, an attestation letter to this effect; (ii) information, such as incident reports or event logs, showing the time and date of the failure, a brief description, and the time and date of receiving knowledge of the failure) for each failure identified at AR3.1(i); Review the information provided at AR3.1 (ii) for appropriateness. (iii) evidence, such as operator logs, phone records, electronic notification or other equivalent) of notification to the operator of a transmission facility in its area and the ISO showing the time and date for each failure which reduced the transmission system reliability as identified at AR3.1(i). Review the notifications sent to the ISO and the appropriate transmission facility operator(s) to determine whether the notifications were sent within 24 hours of receiving knowledge of each failure reducing the reliability of the transmission system. R3.2 commence as soon as possible, and AR3.2 Please provide: Review the corrective actions provided at
Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes 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 Please provide: Review the list provided at AR6(i). (i) the list of all new protection systems and all protection system changes implemented during the audit period; or, if during the audit period there were no new protection systems or protection systems changes, an attestation letter to this effect; (ii) evidence demonstrating that your entity coordinated all protection systems with each adjacent legal owner of a transmission facility; Review the evidence provided at to determine whether protection systems coordination with all affected legal owners of generating units, aggregated generating facilities and interconnected transmission operators occurred as appropriate. (iii) evidence demonstrating that your entity coordinated all protection systems with each affected legal owner of a generating unit, affected legal owner of an aggregated generating facility and affected interconnected transmission operators; and (iv) evidence demonstrating that your entity coordinated all new protection systems and all protection system changes with the ISO. Findings R7