wecc compliance audit preliminary findings...sabotage recognition and reporting (cip-001-2a) 4 l...
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Compliance Audit ·
Preliminary Findings Public Utility District No. 1 of Okanogan
County (OCPD) NCR05286
07/17/2012 - 07/18/2012 Audits & Investigations
WECC Compliance Department
Thank You
• We appreciate your responses to our needs and requests
• The OCPD personnel demonstrated a commitment to compliance and the protection of the Bulk Electric System
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Explanation of Terms Identified in this Presentation • No Finding (NF)
o Audit Team did not discover areas of non-compliance
• Possible Violation (PV) o Audit Team discovered areas of non-compliance
• Not Applicable (NA) o Requirement does not apply to Registered Entity either based on functions
for which the entity is registered or the entity does not possess the system referenced by the Requirement.
• Open Enforcement Action (OEA) o Previously identified; typically self-reported
o May or may not have a NOAV issued
o May include an open mitigation plan, self-report, or settlement agreement
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Reliability Standard Audit Results
Sabotage Recognition and Reporting
(CIP-001-2a)
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Reliability Standard Audit Results
Audit Team findings for Sabotage Reporting Standards and Requirements:
ICIP-001-2a: Sabotage Reporting INF-R2,R3
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Reliability Standard Audit Results ·
Emergency Preparedness And Operations
(EOP)
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Reliability Standard Audit Results
Audit Team findings for EOP Standards and Requirements:
IEOP-004-1 : Disturbance Reporting
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Reliability Standard Audit Results
Facilities Design, Connections & Maintenance
(FAC)
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Reliability Standard Audit Results
Audit Team findings for FAC Standards and Requirements:
FAC-001-0: Facility Connection Requirements NF-R2
FAC-002-1: Coordination of Plans For New Generation, Transmission, and End-User Facilities
NF- R1
FAC-003-1: Transmission Vegetation Management Program NA-R1,R2
FAC-009-1: Establish and Communicate Facility Ratings NF-R1,R2
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Reliability Standard Audit Results
Interconnection Reliability Operations & Coordination
(IRO)
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Reliability Standard Audit Results
Audit Team findings for IRO Standards and Requirements:
IR0-005-3a: Reliability Coordination - Current-Day Operations
NF R10
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Reliability Standard Audit Results
Modeling, Data & Analysis
(MOD)
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Reliability Standard Audit Results
Audit Team findings for MOD Standards and Requirements:
MOD-004-1: Capacity Benefit Margin NF R3,R10
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Reliability Standard Audit Results
Protection and Control . (PRC)
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Reliability Standard Audit Results
Audit Team findings for PRC Standards and Requirements: PRC-005-1 b: Transmission & Generation Protection System NF_ R
2Maintenance &Testing
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Reliability Standard Audit Results
Transmission Operations .
(TOP)
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Reliability Standard Audit Results
Audit Team findings for TOP Standards and Requirements:
TOP-002-2b: Normal Operations Planning NF - R18
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Reliability Standard Audit Results
WECC Regional Standards
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Reliability Standard Audit Results
Audit Team findings for WECC Regional Standards: PRC-STD-003-1 (until 9/30/11 ): Protective Relay and Remedial Action Scheme Misoperation
NA-WR1
PRC-004-WECC-1 (begins 10/1/11 ): Protective Relay and Remedial Action Scheme M isoperation NA - R1-R3
PRC-STD-005-1 (until 6/30/11 ): Transmission Maintenance NA-WR1
FAC-501-WECC-1 (begins 7/1/11): Transmission Maintenance NA- R1-R3
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Reliability Standard Audit Results
Critical Infrastructure Protection
(CIP-002 - CIP-003)
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Reliability Standard Audit Results
Audit Team findings for Critical Infrastructure Protection (CIP) Standards and Requirements:
CIP-002: Critical Cyber Asset Identification NF- R1-R4
CIP-003: Security Management Controls NF R2
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OCPD 2012 Compliance Audit
Post Audit
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Documentation and Confidentiality
• Compliance Audit Documentation:
o Can be used only for compliance purposes
o WECC Compliance Staff will keep one copy of materials for the official audit record
o All other copies will be destroyed or returned by all audit team members upon completion of the audit report .
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Audit Reporls
• Draft Audit Reports will be prepared o Audit Team members will provide input and review drafts o OCPD will have a chance to review the draft report and provide technical
corrections
• WECC will submit Final Audit Reports to NERC and OCPD
• Final Public Audit Report (O&P only) will be posted on the NERC website
o Confidential and critical infrastructure information redacted from the Public Report
o Report will not be posted while any violations are being contested
• Final Audit Reports will be submitted to FERC
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Violation Process
• Audit Team determines Possible Violations o Notifies Enforcement Staff o WECC reports Possible Violations to NERC o NERC reports to FERC
• WECC Enforcement Staff determines Alleged Violation(s) o Enforcement performs a second WECC review o if PV is confirmed, Enforcement will consider disposition through one of
the following processes. • Notice of Alleged Violation including Penalties and Sanctions • Proposal for Expedited Settlement Agreement • Proposal for Find, Fix and Track (FFT)
• WECC notifies Registered Entity of the method of disposition and specific next actions.
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Alleged Violation Response Process
• Entity can accept or contest Alleged Violation(s)
• Violation
• Penalty and Sanction
·•Or both
• Settlement
• Regional Hearing
• NERC Appeal
• FERC Appeal
• U.S. Court of Appeals ·
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Feedback Forms
• Should be returned to:
o [email protected] - Robert Smith, Audit Team Lead
o [email protected] - Taud Olsen, Managing Director of Compliance
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OCPD 2012 Compliance Audit
Questions?
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