Compliance Assessment R1 Requirement & Measure Evidence Submission Evidence Description Evidence Assessment Approach Auditor Notes R1 The operating personnel of each of AR1 Please provide: Review the list of operating personnel provided at the ISO, the operator of a AR1 (i) for appropriateness. (i) the list of all operating personnel transmission facility, the operator of throughout the audit period; if new a generating unit and the operator of staff were added to the list of operating an aggregated generating facility personnel at any time during the audit must be familiar with the purpose and period, specify the dates when they limitations of protection system became operating personnel; schemes applied in its area. MR1 Training records are available that indicate training of staff who (ii) the list of Review the list of schemes protection systems protection systems operate the system in protection schemes and and provided at AR1 (ii) for accuracy. remedial action RASs system schemes and any remedial schemes (RAS) applicable within your applicable within their action scheme system for the entire audit period; the Determine whether all RASs listed in the ISO system. RASs should reference the Name and RAS Database as owned or partially owned by Number as provided in the ISO RAS the market participant have been included in their Database. AR1(ii) submission. (iii) records of training including the Review the training records to determine whether purpose and limitations of the they cover all operating personnel as identified in protection systems schemes and AR1 (i), and all applicable protection systems as identified in AR1(ii) for all schemes and RASs RASs. operating personnel. or any other evidence to demonstrate Review any other provided evidence to determine compliance with requirement R1. 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
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
PRC-001-AB2-1-RSAW.docx