WELCOME Alberta Reliability Standards Stakeholder Information Session June 12, 2012

Alberta Reliability Standards
Stakeholder Information Session
June 12, 2012
WELCOME
Agenda
• Project status update
• ARS website updates
• Project guiding principles
• Current standards applicability
• Critical Infrastructure Protection (CIP) update
----------------------------------------------------------------------------------------------------• Communication
• Compliance Monitoring Program update
• Compliance monitoring audit statistics
• Upcoming events
• Key contacts
• Question & Answer period
2
Alberta Reliability Standards
Stakeholder Information Session
Jason Murray, Director Operational Effectiveness
June 12, 2012
ARS Development
• Project status update
• ARS website updates
• Project guiding principles
• Current standards applicability
• Critical Infrastructure Protection (CIP) update
4
Project Status Update
Filed with AUC
Development Stage
Consultation Complete
EOP-001-2b
MOD-010/012-0 (reconsult)
COM-001-1.1 (reconsult)
PRC-018-AB-1
PRC-007-0 (reconsult)
COM-002-2a (reconsult)
VAR-001-1a (reconsult)
VAR-002-1.1b (reconsult)
VAR-002-WECC-1 (reconsult)
VAR-501-WECC-1 (reconsult)
BAL-005-0.2b
PRC-005-2*
PRC-023-2
CIP-002
•
Schedule published to AESO website
* NERC successive ballot for PRC-005-2, PRC 008, 011 & 017 to be retired
5
ARS Website Updates
•
AESO Reliability Committee (ARC)
– Discussion Group (ARCDG) and Development Work Groups
•
Project Charter
–
•
Development Process
–
•
NERC/WECC standard to ARS
Activity Reports
–
•
Guiding Principles
Monthly update on NERC/WECC standards activity
Project Plan
–
ARS development, updates as required
6
Project Guiding Principles
• Adopt most recent version of NERC/WECC standards
• Consistent with NERC/WECC standards
– Reasons for differences
– Alberta variances for market and regulatory structures
• ARS no more stringent than NERC unless needed for reliability in Alberta
• Minimize need for interpretation
– Requirements and measures reworded for clarity
• Applicability more prescriptive to include/exclude entities
• Minimize double jeopardy
– Align with ISO Rules, OPPs, and Technical Standards
7
Current Standards Applicability
• 10 effective standards applicable to market participants
– CIP-001, EOP-003, EOP-004, FAC-003, FAC-501-WECC
PRC-001, PRC-004, PRC-004-WECC, PRC-021, TOP-005
– PRC-018-AB-1 will be effective January 1, 2013
• AESO has revised applicability sections
– To provide clarity and be more specific
– Number of applicable entities will decrease
• AESO will submit filing to the AUC
– No policy changes to requirements or measures
– Not upgrading to current versions
• Applicability Assessment Process updated in Feb 2012
8
CIP Update – United States
• CIP 001
– v1 effective
– Presently being integrated into the new version of EOP-004
• CIP 002 – 009
– v3 effective
– v4 FERC approved in April (effective 2014)
• CIP 002 – 011
– End state development (v5/v6)
– v5 draft 2 ballot and comment period concluded
– Next ballot anticipated in September
– FERC filing deadline set for March 31, 2013
9
CIP Background – Alberta
• CIP 001
– v1 effective
• CIP 002 – 009
– Potential critical asset methodology in 2010 (v2)
– Bright line methodology in 2011 (v4)
• CIP 002 – 011
– CIP 002 v5 drafting in Q1 2012
– CIP 003 – 011 v5 drafting in 2013
10
CIP Update – Alberta
• AESO to draft CIP 002 (v4) in Q3/Q4 2012
• ARC Technical Work Group (TWG)
– Meetings to be scheduled
• AESO to monitor results from September 2012 NERC ballot
• Consult on CIP 002 in Q4 2012
• File CIP 002 with AUC in Q1 2013
• Draft CIP 003 – 009 (v4) to be determined
11
Coffee Break
Alberta Reliability Standards
Stakeholder Information Session
Peter Wong, Director Compliance
June 12, 2012
ARS Compliance
• Communication
• Compliance Monitoring Program update
• Compliance monitoring audit statistics
• Upcoming events
• Key contacts
• Question & Answer period
14
Many ways to communicate with us
ARS Development
ARS Compliance
AESO Reliability Committee
(ARC)
ARC Development
Work Groups
ARC Compliance Work
Group (CWG)
Operations (OWG)
Security (SWG)
Technical (TWG)
Transmission Planning (PWG)
ARC Discussion Group
(ARCDG)
[email protected]
ARS Compliance
Discussion Group (DG)
ARS User Group (ARSUG)
15
Many ways we communicate with you
ARS Compliance
ARS Development
AESO Reliability Committee (ARC)
ARC Compliance Work Group
(CWG)
ARC Development Work Groups
Operations (OWG)
Security (SWG)
Technical (TWG)
Transmission Planning (PWG)
ARS Compliance Discussion Group
ARC Discussion Group (ARCDG)
Workshops / Training
TOAD Stakeholder Information
sessions
Direct email
[email protected]
ARS User Group (ARSUG)
Stakeholder Information Sessions
Rules and Standards
Standards, Work Plan
Activity Report, Project
Charter, Processes
Stakeholder Newsletter
Website Postings
Compliance
Guidelines, RSAWs,
Forms, FAQs
16
Compliance Monitoring Program Groups
Defining Issues
Developing Solutions
ARS Compliance
Discussion Group
(DG)
ARC Compliance
Work Group (CWG)
Industry led, brings defined
issues to the AESO’s
attention
AESO led, request input
and advice on proposed
solutions
Connecting with Stakeholders
Communication
channels
AESO provided; Information sessions,
training/workshops, website, newsletters, direct email
17
Compliance Monitoring Program Update
ARS Compliance Discussion Group (DG)
•
Discussion group has been established with objective to discuss issues from
the industry pertaining to compliance of reliability standards.
•
The focus is for the stakeholder group to identify/discuss the issues to allow the
AESO to prioritize, plan, and ultimately resolve the issue.
•
The group has had two meetings – the last one being on May 4th.
•
The discussion group terms of reference are being drafted by the group and
stakeholders have brought forward an initial list of issue topics.
18
Compliance Monitoring Program Update
ARC Compliance Work Group (CWG)
•
Over the next 3 or 4 meetings, we will work with the Compliance Work Group
(CWG) to:
•
Review proposed changes to the audit process
•
Gather input and advice from stakeholders
•
Plan and coordinate implementation
19
Compliance Monitoring Program Update
Based on internal/external stakeholder input and the past year audit experience, a
review is underway to help improve efficiency and effectiveness of the CMP. The
review is divided into the three main program areas with relative scheduling
priorities:
•
Audit (Q2-Q3 2012)
•
Registration (Q3-Q4 2012)
•
Self-Certification (Start Q1 2013)
The approach to changes for the CMP is as follows:
•
Stakeholder consultation process through the DG and CWG
•
Prioritization of issues based on a structured annual review
•
Planning and coordination of implementation through the communication
plan
o
Newsletter, guidelines, website updates and training sessions
o
Lessons learned incorporated into workshop sessions
20
Compliance Monitoring Program Update
Current Development Schedule 2012-2013
ARS CMP Current Development Schedule 2012-2013
Development
Tentative Roll out
Q1
Q2
2012
Q3
Q4
Q1
Q2
2013
Q3
Q4
Ja n Feb Ma r Apr Ma y Jun Jul Aug Sep Oct Nov Dec Ja n Feb Ma r Apr Ma y Jun Jul Aug Sep Oct Nov Dec
Applicability Assessment
Alternate Provider (former A&C)
Audit process changes
Online Update (FAQ/S-C Training)
RSAWs
Registry
Need issue clarification
Self-Certification
Need issue clarification
CIP
Need issue clarification
Find, Fix and Track (FFT)
Need issue clarification
Market participant portal
Need issue clarification
21
Compliance Monitoring Program Update
Current Development Schedule Q2-Q3 2012
ARS CMP Current Development Schedule Q2-Q3 2012
Consultation and/or Development
Stakeholder discussion
Tentative Roll out
Q1
J
F
Q2
MAY
APRIL
M
1
2
3
4
1
2
3
JUNE
4
1
2
3
Q3
AUGUST
JULY
4
1
2
3
4
1
2
3
SEPTEMBER
4
1
2
3
4
Applicability Assessment
Alternate Provider (former A&C)
Audit process changes
CWG
CWG
Online Update (FAQ/S-C Training)
RSAWs
Registry
DG
DG
Q
22
Compliance Audit Progress
Quarter
# of
Scheduled
Entities
Total # of
Monitored
Requirements
Compliance Audit Steps
Assessment
Draft
Report
Final
Report
Completed
Completed
Completed
Completed
Completed
2
Completed
Completed
Completed
Q2-2011
6
564
Q3-2011
10
858
Q4-2011
7
7
Q1-2012
5
403
2
2
1
Q2-2012
8
679
0
1
1
Q3-2012
7
458
Pre-audit workshop complete
Evidence due August 1
TOTALS
43
2969
43 represents 57% of the 76 on the registry.
(Scheduled: 6 in Q4/2012 and 27 in 2013)
1429
23
Compliance Audit Statistics
2011 Suspected
Contraventions by Standard
Standard
# of Suspected
Contraventions
CIP-001
35
63%
FAC-003
6
11%
PRC-001
15
27%
PRC-004-WECC
1
2%
Total for 2011
57
100%
Of the 10 market participant
related standards monitored in
2011, there were a total of 57
suspected contraventions.
63% were with CIP-001
57 suspected contraventions represent 4% of a total 1429 requirements
monitored in 2011.
24
Upcoming
ARC Compliance Work Group – June 19
Audit Training for 2012 Q4 entities – August 14
Discussion Group – End August
25
AESO Contacts
• Compliance monitoring team for reliability standards
 Daniela Cismaru - Manager
 Bruce Fauvelle - Technical Specialist
 Stakeholder relations
 Peter Tam, Joan Gaerlan - Auditors
 Monitoring activities/compliance files
 Jennifer Vollmer - Coordinator
 Registry, scheduling, compliance administration, website
management
 Peter Wong - Director
 Policy or direction, compliance working group, escalation of
issues
26
AESO Contacts
Alberta Reliability Standards Development
Jason Murray, Director Operational Effectiveness
[email protected]
Alberta Reliability Standards Compliance
Peter Wong, Director Compliance
[email protected]
27
Question and Answer Period
Thank You