MKinsight Communications For Registered Entities. Effective Date: August 16, MKinsight Communication, Version 2.1, effective 8/16/16.

Transcription

1 MKinsight Communications For Registered Entities Effective Date: August 16, 2016 MKinsight Communication, Version 2.1, effective 8/16/16. 1 of 23

2 Table of Contents Introduction... 3 Purpose... 3 Audit Notification... 3 Logging onto the Web-Portal as a Business User of MKinsight... 3 License Agreement... 5 Change Password... 5 Web-Portal... 6 Informational Type Observations... 8 Data Request Observations Attachment C Notes Following the Audit Notification Logging onto the Web-Portal as a Business User of MKinsight Web-Portal Informational Type Observations Data Request Observations MKinsight Communication, Version 2.1, effective 8/16/16. 2 of 23

3 Introduction Purpose This document is the work instructions for Registered Entities using the software platform MKinsight. The software platform used by ReliabilityFirst (RF), MKinsight, offers a way for RF to securely communicate with the Registered Entities. This functionality replaces the RF Extranet which was previously used for RF and the Registered Entity to upload and download documents securely. The Registered Entity will be signed up as MKinsight Business User which will provide access to the Web-Portal. The Web-Portal will be used to communicate and share data. In MKinsight, Observations can be sent from RF to the Registered Entity and vice-versa. Some of these Observations are Informational only, such as an audit notification letter or Attachment A regarding the scope of the engagement. Other Observations are Data Requests which require a response through the Web-Portal. These include Requests for Information and any other data submittals. If at any time, the Registered Entity has a question regarding the use of the MKinsight Web-Portal, the Primary Compliance Contact (PCC) may call George Spila ( , George.Spila@rfirst.org) or Brian Thiry ( , Brian.Thiry@rfirst.org). Audit Notification The Registered Entity will be notified via or phone call when there is an Observation (informational document or data request) in the MKinsight Web-Portal for them to take action on. Logging onto the Web-Portal as a Business User of MKinsight When a Registered Entity s Primary Compliance Contact (PCC) is set up as Business User in MKinsight, he or she may receive an with a link to the MKinsight Web-Portal: If that link does not work, the entity may also try: If the entity does not receive the , then someone from ReliabilityFirst will contact the Registered Entity to advise that they have been set up as a Business User in MKinsight, and RF will provide the username. MKinsight Communication, Version 2.1, effective 8/16/16. 3 of 23

4 This link will take the PCC to the MKinsight Web-Portal. The Web-Portal is used to securely share data with ReliabilityFirst. The link will take the PCC to the initial sign-on screen as shown below. The Account Name is MKInsight-Live This account name is case-sensitive. It is also included in the (above) that the PCC receives when he or she is first registered by ReliabilityFirst as a Business User of MKinsight. The User Name is specified in the . It is typically the user s address, however, in this example (above) the user name was EntityPCC. RF will notify the Registered Entity with their preliminary password. After entering the password and agreeing to the License Agreement, the PCC will be able to change the password. MKinsight Communication, Version 2.1, effective 8/16/16. 4 of 23

5 License Agreement When a Registered Entity first logs into MKinsight s Web-Portal for the first time, the PCC has to accept the terms in the License Agreement. Check the box and then click Close. Change Password When a Registered Entity s PCC logs in for the first time, he or she will be prompted to change the password. RF will notify the Registered Entity with their preliminary password. Enter that into the Current Password and then create a new (stronger) password with a combination of letters, characters, and numbers. MKinsight Communication, Version 2.1, effective 8/16/16. 5 of 23

6 Web-Portal Logging into the MKinsight Web-Portal will take the entity to the Actions & Observations->Recent Activity screen as shown below. While there are several functions that can be accomplished on the Web-Portal, the purpose of this guide is to go through the communication between the entity and ReliabilityFirst staff. The easiest way to do this is by clicking on My Observations. MKinsight Communication, Version 2.1, effective 8/16/16. 6 of 23

7 Clicking on My Observations will take the user to the screen shown below. There are many different ways to sort the Observations. The default (which is shown below) is Status. In the example below, the top two Observations are Active as they are Informational Observations. The five Observations below that have the status of Requested as they are Data Request Observations where RF is awaiting a response from the entity. When RF receives the response, the monitor can change the status to Received or Reviewed. Other useful categories include Origin which separates the Observations from those created in Audit Management and those created in the Workpapers (essentially separates the notification type observations from the RSAW type observations), and also Theme which groups together the Initial Evidence (30 Day) Requests. Audit Notification The Registered Entity should have the following Observations available in the Web-Portal. Informational Observations: Audit Notification Attachment A Data Request Observations: Attachment B Attachment C One (1) Observation per each Standard in the scope of the Audit MKinsight Communication, Version 2.1, effective 8/16/16. 7 of 23

8 Click on Select to open an Observation. Informational Type Observations When selecting an Informational Observation, the right-half of the Web-Portal will be populated with the information as shown below. The Informational Observation provides a means for ReliabilityFirst to share data with the entity, and there is no need for the entity to provide data back. There are three tabs that the entity will use: Details, Attachments, and Alerts. Audit Notification Details The Details tab provides information regarding the Observation. On the Web-Portal, none of these fields can be edited by the entity. These fields tell the PCC when the Observation was created, what it is, and who is the RF contact, most likely the Audit Team Lead (ATL). Attachments The Attachments tab provides a link to the document that RF would like to share with the entity. When clicking on the link, the internet browser may show a pop-up window that asks if the entity wants to Open, Save, or Cancel. The entity can Open the document to view (and then save it later on their computer), or save it directly by using the Save button. In the example below, clicking on the link would open the Attachment A Excel file. MKinsight Communication, Version 2.1, effective 8/16/16. 8 of 23

9 Audit Notification Alerts Alerts can be used to send the Team Lead an through MKinsight acknowledging that the entity has received a piece of information. For Informational Observations, an entity can send an Alert by clicking Send Update Request. MKinsight Communication, Version 2.1, effective 8/16/16. 9 of 23

10 Next, select the Template: Acknowledgement of Notification (1), then select the Team Lead assigned to the engagement (2). Click Add (3) to move that person to the right-hand column. Click Send Update(s) (4) at the bottom, and then click Update (5) at the top to save. Note: the Update button at the top works as a save function when using the MKinsight Web-Portal. Data Request Observations When selecting a Data Request Observation, the right-half of the Web-Portal will be populated with the information as shown below. The Data Request Observation provides a means for ReliabilityFirst to communicate data back and forth with the entity. There are two tabs that the entity will use: Details and Attachments. The third tab Alerts can be used to send an notification to the Team Lead, advising that the entity has responded to an Observation. The fourth tab Revised End Date is informational and would be used to notify the entity if the end date for a request was extended. MKinsight Communication, Version 2.1, effective 8/16/ of 23

11 Details The Details tab provides information regarding the Observation. On the Web-Portal, none of these fields can be edited by the entity. These fields tell the PCC when the Observation was created, what it is, and who is the RF contact (most likely the ATL). The first field Type says Request for Information. This indicates that RF would like a response for this Observation. The End Date is important to note, as that is the day that the information is due back to RF. In the example shown above, Attachment B is due back 1/21/2016 to RF. Note: the Status (i.e. Requested) can only be changed by ReliabilityFirst. When the ATL receives information back, he or she can change it from Requested to Received. The Status is changed manually. Attachments The Attachments tab provides both a link to the document that RF would like to share with the entity, and a means for the entity to upload attachments to share with RF. When clicking on the link, the internet browser may show a pop-up window that asks if the entity wants to Open, Save, or Cancel. The entity can Open the document to view (and then save it later on their computer), or save it directly by using the Save button. In the example below, clicking on the link would open the Attachment B Word file. MKinsight Communication, Version 2.1, effective 8/16/ of 23

12 Audit Notification Uploading Documents To upload documents back to RF, the entity must complete the following steps for each attachment (note: some Requests for Information may require multiple uploads): 1. Enter File Description: Type a brief description of the file that is being uploaded to the Web-Portal to be viewed by ReliabilityFirst 2. Browse Files: Click this to navigate through folders to pick the attachment that the entity would like to upload to the Web-Portal. 3. Upload: Click to attach the file that was designated using Browse Files. 4. Click Update to save the upload. The Update button is essentially the SAVE button. Note: The entity can click the big red X button next to the file to delete it if it were uploaded in error. MKinsight Communication, Version 2.1, effective 8/16/ of 23

13 Note 1: If the entity does not click Update (above Details and Attachments) after uploading the file, it will not save and it will not be transmitted to ReliabilityFirst. Note 2: If for any reason you cannot upload a document, please contact your Team Lead (TL). The document may be locked by RF and the audit team may need to unlock it for the entity. Note 3: When uploading files, there is a 1GB size limit per file. The total amount of all the files uploaded can exceed 1GB, however each file must be under 1GB. Populating the Workpapers with data For each Workpaper s Initial Evidence Request, the Registered Entity submits the evidence required for compliance. This may include RSAW Word documents, PDF documents, JPEGs, Excel worksheets, and other files that show compliance with each standard. These are all individually uploaded inside the applicable Standard s Observation for each requirement in the Standard. For example, the evidence for Requirements R2, R3, and R4 of a particular Standard are all uploaded in the Standard s Observation. There is not a separate Observation for each Requirement. In some cases it may be easier to upload a ZIP file for each Requirement to separate the data. Please upload data in a format (Zip files, bookmarked PDFs, etc.) in a manner that is efficient for the auditors to view and process the information provided. Please make sure that the files are named accordingly and indexed so that the auditors know which evidence goes with each Requirement. MKinsight Communication, Version 2.1, effective 8/16/ of 23

14 Alerts The Alerts tab can be used to send an notification to the Team Lead that the entity has responded to an evidence request. To send an notification, follow the steps below from the Alerts tab. First select Send Update Request 1.) Select the template, specifically Notify Region: reply to Request for Information 2.) Select the Team Lead or person(s) who will receive the . 3.) Click Add to move the person to the right hand-column table. 4.) Click Send Update(s) 5.) Click Update at the top to save. Note: the Update button at the top works as a save function in the MKinsight Web-Portal. MKinsight Communication, Version 2.1, effective 8/16/ of 23

15 Attachment C Notes The Attachment C Observation is a Data Request Observation that gets updated following the entity s initial response. As part of the Audit Notification, the entity receives the Attachment C Observation which includes a Microsoft Excel spreadsheet. The entity will be asked to perform certain tasks such as list relays, or list days that generators were running, etc. The spreadsheet is populated by the entity and then the updated version is uploaded to the Web-Portal for RF s ATL to review. The ATL will then sample the information provided. After the ATL samples the list of data, he or she sends the spreadsheet back to the Registered Entity via the same (original) Observation. A new Observation is not created. The Registered Entity s PCC will be notified that Attachment C has been sampled by the ATL, then he or she can go back into the Web-Portal into the original Attachment C Observation to see which data is requested by RF. The information requested by RF, for example relaying data or VAR data, is then submitted through the appropriate Observation for the Standards. If RF asks for relay data for PRC-005, the entity s PCC will upload those attachments in the PRC-005 Observation, not the Attachment C Observation. Even if other information was already uploaded to that Observation previously, the PCC can still upload more documents until RF closes the Observation. Once the Observation is closed, the entity will not be able to see it on the Web-Portal. Only RF can close an Observation. MKinsight Communication, Version 2.1, effective 8/16/ of 23

16 Following the Audit Notification Following the initial Audit Notification, the Registered Entity s PCC will receive several types of Observations in the MKinsight Web-Portal. This communication replaces the data sharing typically performed using the RF Extranet. The following Observations are sent to the entity. Some are informational only while others require a response back to ReliabilityFirst. Opening and Closing Presentations Additional Evidence Requests (Requests for Information) Daily Status Reports Draft Audit Reports for Comment Final Public and Non-Public Audit Reports The Additional Evidence Requests and Draft Audit Reports for Comment Observations are data request Observations that require a response from the Registered Entity using the MKinsight Web-Portal. The Daily Status Reports and Final Audit Reports are informational Observations that do not require the entity to respond. Logging onto the Web-Portal as a Business User of MKinsight When a Registered Entity s Primary Compliance Contact (PCC) is set up as Business User in MKinsight, he or she will receive an with a link to the MKinsight Web-Portal: This link will take the PCC to the MKinsight Web-Portal. The Web-Portal is used to securely share data with ReliabilityFirst. The link will take the PCC to the initial sign-on screen as shown below. MKinsight Communication, Version 2.1, effective 8/16/ of 23

17 The Account Name is MKInsight-Live This may already be populated when the PCC goes to the Web-Portal. If not, it will need to be typed in. This account name is case-sensitive. It is also included in the (above) that the PCC receives when he or she is first registered by ReliabilityFirst as a Business User of MKinsight. The User Name is specified in the . It is typically one word without spaces. RF will notify the Registered Entity with their preliminary password. This password is changed when the entity logs-in for the first time. Web-Portal Logging into the MKinsight Web-Portal will take the entity to the Actions & Observations->Recent Activity screen as shown below. While there are several functions that can be accomplished on the Web-Portal, the purpose of this guide is to go through the communication between the entity and ReliabilityFirst staff. The easiest way to do this is by clicking on My Observations. MKinsight Communication, Version 2.1, effective 8/16/ of 23

18 Informational Type Observations The following Observations that RF sends to the Registered Entity are informational and do not require the entity to take action: Opening and Closing Presentations Daily Status Report Observation Final Audit Reports In the example shown in the screenshots below, the entity has logged onto the Web-Portal and there are four Observations present as the entity is in the middle of the audit. There is a Daily Status Reports Observation (807), a Presentations Observation (806), RFI #1 (808), and RFI #2 (809). Other Observations may also appear on the Web-Portal (such as the Audit Notification Package) if they were not closed by ReliabilityFirst s Audit Team Lead (ATL). If there are Observations on the Web-Portal that the entity would like removed to declutter the page, please contact the ATL to Close the Observation. In the above example, the Daily Status Reports Observation (807) and the Presentations Observation (806) are Informational Observations. They do not require the entity to respond. ReliabilityFirst uses the Observations to share data with the entity. Click on the Select button on the Web-Portal to open an Observation. Each Observation will have three tabs: Details, Attachments, and Alerts. Details Tab The Details tab provides information regarding the Observation. These fields cannot be edited by the entity. MKinsight Communication, Version 2.1, effective 8/16/ of 23

19 Attachments Tab The Attachments tab provides links to open the attachment(s). Each Observation may have more than one attachment. In the example below, the Daily Status Reports Observation (807) has two attachments: Daily Status Report docx Daily Status Report docx Clicking on the link opens the attachment (or depending on your internet browser prompts if you want to open, save, or cancel opening the attachment). The document can be viewed by the entity, but no response is needed. An Informational Observation does not allow the entity to upload a file or respond via the Web- Portal. Data Request Observations The following Observations that RF sends to the Registered Entity are Data Requests and require the entity to take action: Additional Evidence Requests Draft Audit Reports for Comment In the example shown in the screenshots below, the entity has logged onto the Web-Portal and there are four Observations present as the entity is in the middle of the audit. There is a Daily Status Reports Observation (807), a Presentations Observation (806), RFI #1 (808), and RFI #2 (809). Other Observations may also appear MKinsight Communication, Version 2.1, effective 8/16/ of 23

20 on the Web-Portal (such as the Audit Notification Package) if they were not closed by ReliabilityFirst s Audit Team Lead (ATL). If there are Observations on the Web-Portal that the entity would like removed to declutter the page, please contact the ATL to Close the Observation. In the above example, the Request for Information #1 (808) and the Request for Information #2 (809) are Data Request Observations. They require the entity to respond. Click on the Select button on the Web-Portal to open an Observation. Details Tab The Details tab provides information regarding the Observation. These fields cannot be edited by the entity. It is important to note the End Date of a Data Request Observation as this date is the deadline for the entity to make a response. Attachments Tab The Attachments tab provides the opportunity to upload entity attachments to the Web-Portal that are then transmitted to Reliability First. 1. Enter File Description: Type a brief description of the file that is being uploaded to the Web-Portal to be viewed by ReliabilityFirst 2. Browse Files: Click this to navigate through folders to pick the attachment that the entity would like to upload to the Web-Portal. 3. Upload: Click to attach the file that was designated using Browse Files. MKinsight Communication, Version 2.1, effective 8/16/ of 23

21 4. Click Update to save the upload. The Update button is essentially the SAVE button. Note: The entity can click the big red X button next to the file to delete it if it were uploaded in error. Note 1: If the entity does not click Update (above Details and Attachments) after uploading the file, it will not save and it will not be transmitted to ReliabilityFirst. Note 2: If for any reason you cannot upload a document, please contact your Team Lead (TL). The document may be locked by RF and the audit team may need to unlock it for the entity. Note 3: The maximum file size for a single upload is 1GB. The total file size of all the attachments may exceed 1GB, however each file must be under 1GB. Alerts Tab The entity can notify RF that they have responded to an Observation by using the Alerting functionality. On the Alerts tab, click Send Update Request. Select the template for Notify Region: reply to Request for Information (1). Next, select the Team Lead (2) and click Add>> (3) to move the person to the right-hand column. Next click Send Update(s) (4), and then click Update (5) at the top to save. MKinsight Communication, Version 2.1, effective 8/16/ of 23

22 Responding to a Data Request Observation When responding to a Data Request Observation, it is important to let the ATL know so that he or she can go into MKinsight and view the response. The Registered Entity s PCC may wish to call or the ATL so that he or she is aware or use the Alert functionality referenced above. MKinsight Communication, Version 2.1, effective 8/16/ of 23

23 Revision History Rev. Reason for Change Reviewed by Date Approved by Date 1 Creation and review of initial work instructions. 2 Updated links for MKinsight Version 10.0; errata changes; updated Alerts Functionality 2.1 Added Send Update Request graphic at top of page 14 Brian Thiry George Spila Gary Campbell Ray Sefchik 6/7/2015 Jason Blake 6/10/2015 Brian Thiry 1/26/2016 Megan Gambrel 1/26/2015 George Spila Gary Campbell Ray Sefchik Brian Thiry 8/16/2016 Brian Thiry 8/16/2016 MKinsight Communication, Version 2.1, effective 8/16/ of 23