Compliance Assessment R1 Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes R1 The Transmission Maintenance and AR1 Please provide: Review the Transmission Maintenance and Inspection Plan of the legal owner of a Inspection Plan for evidence to determine copies of all documented Transmission transmission facility must detail its whether the entity has identified all its Maintenance and Inspection Plan that were inspection and maintenance requirements applicable transmission facilities from the list in effect during the audit period; and must apply to each transmission of ISO identified transmission facilities as facility that is associated with each of the referenced in the AESO Information Document transmission paths identified by the ISO. FAC-501-WECC-AB2-1 R1 Identified Transmission Paths (ID # 2014-002RS). MR1 A documented Transmission as Maintenance and Inspection Plan Review the documentation and verify the identified in requirement R1 exists and evidence details inspection and maintenance covers each transmission facility as requirements for each transmission facility identified by the ISO. identified. R1.1 The legal owner of a transmission AR1.1 Please provide: Review the AR1.1(i) submitted evidence to facility must review its Transmission determine whether the Transmission (i) evidence, including the dates for each Maintenance and Inspection Plan annually Maintenance and Inspection Plan has been review, to demonstrate that the annual and update it as required. reviewed annually. review of the Transmission Maintenance and Inspection Plan has MR1.1 Evidence exists that shows the occurred. legal owner of a transmission facility reviewed their Transmission Maintenance annually and updated it and Inspection Plan as needed. (ii) evidence that any necessary updates Review the AR1.1(ii) evidence and the resulted from the annual review have Transmission Maintenance and Inspection been included in the Transmission Plan to determine whether it has been updated Maintenance and Inspection Plan. as identified during the annual review. R1.2 The legal owner of a transmission AR1.2 Please provide: Review the AR1.2 evidence to determine facility must annually submit its whether the entity submitted their evidence, including the dates for each Transmission Maintenance and Inspection Transmission Maintenance and Inspection submission, to demonstrate that the Plan and any updates to the ISO. Plan and any updates to the ISO annually. Transmission Maintenance and Inspection Plan, and any updates, have been annually MR1.2 The Transmission Maintenance and submitted and received by the ISO. Inspection Plan and updates, if any, are received by the ISO annually. Findings R2
Compliance Assessment R1 Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes R1 The Transmission Maintenance and Inspection Plan of the legal owner of a transmission facility must detail its inspection and maintenance requirements and must apply to each transmission facility that is associated with each of the transmission paths identified by the ISO. MR1 A documented Transmission Maintenance and Inspection Plan as identified in requirement R1 exists and covers each transmission facility as identified by the ISO. AR1 Please provide: Review the Transmission Maintenance and Inspection Plan for evidence to determine whether the entity has identified all its applicable transmission facilities from the list of ISO identified transmission facilities as referenced in the AESO Information Document FAC-501-WECC-AB2-1 R1 Identified Transmission Paths (ID # 2014-002RS). Review the documentation and verify the evidence details inspection and maintenance requirements for each transmission facility identified. copies of all documented Transmission Maintenance and Inspection Plan that were in effect during the audit period; R1.1 The legal owner of a transmission facility must review its Transmission Maintenance and Inspection Plan annually and update it as required. MR1.1 Evidence exists that shows the legal owner of a transmission facility reviewed their Transmission Maintenance and Inspection Plan annually and updated it as needed. AR1.1 Please provide: Review the AR1.1(i) submitted evidence to determine whether the Transmission Maintenance and Inspection Plan has been reviewed annually. (i) evidence, including the dates for each review, to demonstrate that the annual review of the Transmission Maintenance and Inspection Plan has occurred. (ii) evidence that any necessary updates resulted from the annual review have been included in the Transmission Maintenance and Inspection Plan. Review the AR1.1(ii) evidence and the Transmission Maintenance and Inspection Plan to determine whether it has been updated as identified during the annual review. R1.2 The legal owner of a transmission facility must annually submit its Transmission Maintenance and Inspection Plan and any updates to the ISO. MR1.2 The Transmission Maintenance and Inspection Plan and updates, if any, are received by the ISO annually. AR1.2 Please provide: Review the AR1.2 evidence to determine whether the entity submitted their Transmission Maintenance and Inspection Plan and any updates to the ISO annually. evidence, including the dates for each submission, to demonstrate that the Transmission Maintenance and Inspection Plan, and any updates, have been annually submitted and received by the ISO. Findings R2
FAC-501-WECC-AB2-1-RSAW.docx