dissection of the rsaw - southwest power pool curl - spp...• helps expedite the documentation...
TRANSCRIPT
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Dissection of the RSAW
May 23, 2013 SPP Compliance Forum
Todd Curl SERC Manager of Compliance Programs
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Objectives
• Understand: o What a RSAW is. o Sections in the RSAW. o The Approach for RSAW’s. o The Evidence Citation on the RSAW
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I. What is a RSAW? • The RSAW (Reliability Standard Audit Worksheet)
is a confidential electronic worksheet used to facilitate assessment of a registered entity’s compliance with the NERC Reliability Standards.
• It is a audit worksheet used by both the entity and Regional audit staff.
• Records listing of all policies, procedures, voice recordings, screenshots, etc., presented as evidence of compliance.
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II. Review of Sections in the RSAW.
• The RSAW has different sections that are to be completed by the Registered Entity and the Compliance Enforcement Authority (Regional audit staff).
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RSAW Title Page
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Subject Matter Experts
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Supporting Evidence and Documentation
• NERC Standard Requirements and Sub –Requirements
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Supporting Evidence and Documentation
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Supporting Evidence and Documentation (cont.)
• Registered Entity Response; description, in narrative form, how the Registered Entity meets compliance with the Requirement (RE response)
• Registered Entity Evidence; evidence submitted (RE response)
• Audit Team Evidence Reviewed; evidence reviewed by the audit team (Compliance Enforcement Authority response)
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Supporting Evidence and Documentation (cont.)
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Supporting Evidence and Documentation (cont.)
• Compliance Assessment Approach (checklist), with Note To Auditor (Region response)
• Auditor Notes
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Supporting Evidence and Documentation (cont.)
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Compliance Finding Summary
• This Section is completed by the Compliance Enforcement Authority . This section documents determination of compliance for the Requirements that are in scope for the audit.
• The determinations of compliance are: – No Finding (NF) – Possible Violation (PV) – Open Enforcement Action (OEA) – Not Applicable (NA)
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Compliance Finding Summary
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Additional Information
• The entire NERC Reliability Standard is included at the end of the RSAW. This includes the Purpose, Applicability, Requirements and Sub-Requirements, Measures, Data Retention, FERC Regulatory Language, and Revision History.
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Additional Information
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III. Approach • Carefully read the requirement and make sure the
evidence answers every aspect of the requirement, and that it is enough evidence needed to demonstrate compliance.
• Consider the Standard, Purpose, Requirement, Measures, and also the Compliance Assessment Approach (checklist) described in the RSAW.
• Consider the quality and sufficiency of evidence presented.
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IV. Evidence Citations
• A listing of all items in electronic format that you intend to present as evidence of compliance with a standard. o Policy and Procedure documents o Emails o Screenshots o Voice Recordings
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• Each citation needs to be separate. • Helps ensure the accurate flow of information. • Helps expedite the documentation process,
thereby expediting the audit process.
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Evidence Citations Need To Be Organized
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• Example citation using the following format: – Filename.file extension; Document Title, Revision
date m/d/yyyy, Page(s) , Section and/or Section Title, Paragraph or Bullet or Heading , Description of Evidence.
– FAC-003 TVMP.pdf; Transmission Vegetation Management Program, Revision 3 dated 1/7/2012, Pages 2-4, Section I, Tree Trimming Procedures, this describes the procedures for transmission line tree trimming.
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Evidence Citations
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Evidence Citations
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• Email citations: May 2012 RC Email.pdf; Email from the Reliability Coordinator, dated 5/1/2012, RC email with attachment of revised blackstart plans.
• Screenshot citations: ACME Electric SPS Screenshot.pdf; Screenshot dated 11/2/2012, showing the Special Protection Systems monitored by the RC.
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Evidence Citations
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• Voice recordings: 050512 Load Shed
Directive.wav; Reliability Coordinator voice recording, dated 5/5/2012, RC voice recording concerning directive given to the TOP to shed load.
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Evidence Citations