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Phil O’Donnell Manager, Operations & Planning Audit Team PowerPoint Presentation
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Phil O’Donnell Manager, Operations & Planning Audit Team

Phil O’Donnell Manager, Operations & Planning Audit Team

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Phil O’Donnell Manager, Operations & Planning Audit Team

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  1. Phil O’DonnellManager, Operations & Planning Audit Team Manager, Operations & Planning Audit Teams CFE Standards and RequirementsPresenting Best EvidenceJanuary 11, 2012

  2. Objectives • Present the CFE Approved Standards for 2012 • Identify the parts of the Standard • Provide guidance on maintaining good evidence and documentation. • Identify pending standards for 2012.

  3. Elements of Every Standard • Title • Number • Purpose • Applicability • Effective Date • Requirements • Measures • Compliance Monitoring Responsibility • Compliance Monitoring Period and Reset Timeframe • Data Retention

  4. BAL-001-MX-0 Real Power Balancing Control Performance Propósito: • Mantener en estado estable la frecuencia de la Interconexión, dentro de límites definidos mediante el balance de la demanda de energía y la generación en tiempo real. • Aplicabilidad: • Autoridades de Balance • Área de Control Baja California (ACBC).

  5. BAL-001-MX-0 Real Power Balancing Control Performance FechaEfectiva: 1 de Enero del 2012. The date compliance is expected

  6. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 1 Cada Autoridad de Balance deberá operar de tal manera que, en un base rolada de 12 meses, el promedio de los promedios minuto-reloj del Error de Control de Área (ECA) de la Autoridad de Balance dividido entre 10B (B es el promedio de minutos-reloj del Bias de la Frecuencia de la Autoridad de Balance) multiplicado por los promedios minutos-reloj correspondientes al Error de Frecuencia de la Interconexión, sea menor que un límite específico. Este límite Ɛ12 es una constante derivada de una frecuencia objetivo establecida (calculada por separado para cada Interconexión) la cual el Comité Operativo de NERC revisa y ajusta como sea necesario.

  7. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 1

  8. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 1 The requirement specifies and defines how ACE is calculated. • ACE = ECA Error de Control de Área ECA = (NIA - NIS) – 10B (FA - FS) – IME • Definition of each term is specified in the standard

  9. BAL-001-MX-0 Real Power Balancing Control Performance Ɛ1 For The Western Interconnection

  10. BAL-001-MX-0 Real Power Balancing Control Performance Frequency Bias (B)

  11. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 1 Very complicated wording, but essentially the requirement is to maintain your Area Control Error (ECA) So that the average over a long term (12 month period) remains within a certain range.

  12. BAL-001-MX-0 Real Power Balancing Control Performance Measurement 1 • Provides a description of how you determine if you are in compliance • Describes in detail how the elements in R1 are calculated to establish a percentage value CPS1 • This CPS1 value is determined each month based on the previous 12 months of data and must be greater than or equal to 100% to be compliant with R1.

  13. BAL-001-MX-0 Real Power Balancing Control Performance FC Minutos-reloj FC Horas-reloj FC Horas-reloj en mespromedio FC mes FC 12-meses

  14. BAL-001-MX-0 Real Power Balancing Control Performance • The FC 12-meses value is used to determine an overall Compliance Factor Finally, a CPS1 value is determined by: CPS1 = (2-FC) x 100%

  15. BAL-001-MX-0 Real Power Balancing Control Performance • Each BA is required to report its CPS1 values each month. • These are reviewed monthly by a Compliance Auditor

  16. BAL-001-MX-0 Real Power Balancing Control Performance What are we looking for when we audit. Compliance Assessment Approach for R1 • Review CPS1 logs, (the monthly reports) • Identify calculation used to calculate CPS1 • Identify the target frequency bound; ɛ 1 • Identify the Frequency Bias Setting

  17. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 2 • Cada Autoridad de Balance deberá operar de tal manera que su ECA promedio esté dentro de un límite específico L10 por al menos en el 90% de los períodos de diez minutos-reloj (6 períodos que no se traslapen, por hora) durante un mes calendario. PROM10-minutos (ECAi) ≤ L10

  18. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 2 This requirement is to maintain your Area Control Error (ECA) So that the it does not become too large over a 10 minute period.

  19. BAL-001-MX-0 Real Power Balancing Control Performance Frequency Bias (B)

  20. BAL-001-MX-0 Real Power Balancing Control Performance Measurement 2 • Provides a description of how you determine if you are in compliance • Describes in detail how the elements in R2 are calculated to establish a percentage value CPS2 • This CPS2 value is determined each month based on performance for the previous month and must be greater than or equal to 90% to be compliant with R2.

  21. BAL-001-MX-0 Real Power Balancing Control Performance Measurement 2 • The measurement describes how you use data to determine if during any 10 minute period you incur a “violation”

  22. BAL-001-MX-0 Real Power Balancing Control Performance Measurement 2 • Cada Autoridad de Balance deberá lograr, como mínimo, el 90% de cumplimiento con el Requerimiento R2 (CPS2). El CPS2 se refiere a un límite en el promedio de 10 minutos del ECA. Un porcentaje de cumplimiento se calcula como sigue:

  23. BAL-001-MX-0 Real Power Balancing Control Performance • Each BA is required to report its CPS2 values each month. • These are reviewed monthly by a Compliance Auditor

  24. BAL-001-MX-0 Real Power Balancing Control Performance What are we looking for when we audit. Compliance Assessment Approach for R2 • Review monthly CPS2 logs for past 12 months • Verify the average ACE was within the BAs L10 for the last 12 months for at least 90% of the time periods monitored.

  25. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 3 Cada Autoridad de Balance que proporciona Servicio de Regulación de Traslape, deberá evaluar el Requerimiento R1 (por ejemplo, el Estándar de Desempeño de Control 1 o CPS1) y el Requerimiento R2 (por ejemplo, el Estándar de Desempeño de Control 2 o CPS2); utilizando las características del ECA combinado y los Ajustes del Bias de la Frecuencia combinados.

  26. BAL-001-MX-0 Real Power Balancing Control Performance Requirement 4 A cualquier Autoridad de Balance que recibe Servicio de Regulación Traslape, no se le evaluará su desempeño de control (por ejemplo, desde una perspectiva de desempeño de control, la Autoridad de Balance ha turnado todos los requisitos a la Autoridad de Balance que proporciona el Servicio de Regulación Traslape).

  27. BAL-001-MX-0 Real Power Balancing Control Performance • There are no specific Measures defined for R3 and R4 • If providing Overlap Regulation you would be assessed as in R1 and R2. • If receiving Overlap Regulation Service we would verify this and perform no other assessment.

  28. BAL-001-MX-0 Real Power Balancing Control Performance • Compliance Monitoring Period and Reset Timeframe • One Calendar Month • Data Retention Period • One Year

  29. BAL-001-MX-0 Real Power Balancing Control Performance Data to Retain • ECA promedio de un minuto (ECAi) • Error de Frecuencia promedio de un minuto • si se está utilizando un Bias variable, el Bias de Frecuencia promedio de un minuto.

  30. INT-001-MX-0 InterchangeInformation Propósito: Asegurar que la información de Intercambio de Energía se envíe al servicio de análisis de confiabilidad aprobado por NERC. • Aplicabilidad: • Entidades de Compra-Venta. • Autoridades de Balance.

  31. INT-001-MX-0 InterchangeInformation FechaEfectiva: 1 de Enero del 2012.

  32. INT-001-MX-0 InterchangeInformation Requirement 1 • La Entidad de Compra-Venta y la que Sirve la Carga, deberán asegurar que se envíe el Intercambio Acordado a la Autoridad de Intercambio para Todos los Programas Dinámicos en el perfil esperado de MW promedio por cada hora..

  33. INT-001-MX-0 InterchangeInformation Measure 1 La Entidad de Compra-Venta que sirve la carga deberá tener y proporcionar a solicitud evidencia que pueda incluir pero no se limita a, sus relatorios de operación de etiquetas de Transacción de Intercambio, grabaciones de voz o transcripciones de grabaciones de voz, comunicaciones electrónicas, impresiones de computadoras u otra evidencia equivalente que será utilizada para confirmar que el Intercambio Acordado se envió a la Autoridad de Intercambio para todos los Programas Dinámicos del perfil de MW promedio esperado por hora, como se especifica en el Requerimiento 1.

  34. INT-001-MX-0 InterchangeInformation Requirement 2 • La Autoridad de Balance Receptora deberá asegurar que el Intercambio Acordado se envíe a la Autoridad de Intercambio: • R2.1. Si la Entidad de Compra-Venta no está involucrada en el Intercambio, como la entrega desde un generador con propietario en conjunto. • R2.2. Para cadapago bilateral de IntercambioInadvertido.

  35. INT-001-MX-0 InterchangeInformation Measure 2 Cada Autoridad de Balance Receptora deberá tener y proporcionar a solicitud, evidencia que puede incluir pero no se limite a, sus relatorios de operación de etiquetas de Transacción de Intercambio, grabaciones de voz o transcripciones de grabaciones de voz, comunicaciones electrónicas, impresiones de computadora u otra evidencia equivalente que se utilizará para confirmar que el Intercambio Acordado se envió a la Autoridad de Intercambio como se especifica en los Requerimientos 2.1 y 2.2.

  36. INT-001-MX-0 InterchangeInformation • The Interchange Authority (Autoridad de Intercambio) is the Electronic Tag Authority provided by WECC. • Submitting an e-tag for the dynamic schedule satisfies this requirement.

  37. INT-001-MX-0 InterchangeInformation What are we looking for when we audit. Compliance Assessment Approach for R1 • Determine if BA uses Dynamic Schedules. • If so verify that e-tags have been submitted for all Dynamic Schedules at the expected average MW profile for each hour.

  38. INT-001-MX-0 InterchangeInformation What are we looking for when we audit. Compliance Assessment Approach for R2 • Determine if BA has received any interchange transactions that do not involve a PSE. • Determine if BA has received any bilateral inadvertent payback from another BA • Verify the existence of an e-tag if either condition above is true.

  39. INT-001-MX-0 InterchangeInformation • Compliance Monitoring Period and Reset Timeframe • 12 months from the last finding of non-compliance • Data Retention Period • 90 days • If a violation is found, Current plus 2 years.

  40. BAL-001-MX-0 Real Power Balancing Control Performance Data to Retain • Electronic copies of Interchange Transaction Tags showing time submitted and MW profile. • Records of actual MW profiles of any Dynamic Schedules.

  41. Presenting Evidence Auditors have two primary concerns when reviewing documentation or evidence to determine compliance with a standard. • Is the evidence sufficient to establish compliance? • Is the evidence of adequate quality to establish compliance?

  42. Presenting Evidence • Evidence and Documentation expectations were not well defined when the compliance program was first started in the US. • Poor quality or insufficient documentation was a significant cause of possible violations • WECC auditors (and the Registered Entities) have learned a lot since 2007. • This presentation is intended to make you aware of evidence principles and avoid issues at the start.

  43. Compliance Audits Compliance Audits are considered “Performance Audits” • Performance audits are defined as engagements that provide assurance or conclusions based on an evaluation of sufficient, appropriate evidence against stated criteria, such as specific requirements, measures, or defined business practices.

  44. Audit Objectives Determine Required Evidence • Audit Objectives define required scope and outcomes. • The scope and possible outcomes impact evidence needs. • Consideration of Audit Risk will also impact evidence requirements. • Evidence needs for Audit may be different than for Spot Check or Mitigation Plan Closure. • Evidence needs for Mitigation Plan Closure may vary depending on reason for Mitigation Plan.

  45. Audit Risk • No Auditor is perfect • There is risk that the matter under audit may contain an inaccuracy • There is risk that evidence may be misinterpreted • The greater the risk the greater the quantity and quality of evidence required

  46. Sufficiency and Appropriateness Sufficiency of Evidence • The measure of the quantity of evidence • Quantity of evidence is dependent on the scope of the audit • Quantity of evidence is dependent on the audit risk

  47. Quantity does not make up for poor quality!

  48. Sufficiency and Appropriateness The Number one problem we experience with respect to Evidence Sufficiency • Evidence not provided or available for entire audit period! Other issues • Large numbers of source documents with poor organization (minimal or no summaries or roadmap)

  49. Sufficiency and Appropriateness Data Retention • Specified in some standards • If not specified in the standard the default audit period is from the time of the Audit back to the later of: • Date of Previous Audit • Date of Registration (or designation by CENACE) • Effective Date of Standard (January 1, 2012)

  50. Sufficiency and Appropriateness Sampling is used to limit the amount of detailed evidence provided. • Normally used in conjunction with summary of a full set of data. • Sampling used to assess details. • Reduces the burden on the Audit Team but not really on the Entity • Audit Team must select the samples