COMPLIANCE AUDIT REPORT TransnetBW GmbH

Transcription

1 COMPLIANCE AUDIT REPORT TransnetBW GmbH OCTOBER 2013 COMPLIANCE AUDIT CONDUCTED IN TransnetBW CONTROL CENTER IN WENDLINGEN BY THE ENTSO-E RG CE SG CME

2 DISCLAIMER The present Compliance Audit Report is based on the information as provided by the audited company. This report is in no way a guarantee that security and reliability on the system of the audited company and/or on the whole synchronously interconnected system of the Regional Group Continental Europe (RGCE) is ensured. This report cannot be considered as a certification of whatever form. Finally, this report does not as such have any impact on the compliance, by the audited company and/or by any other member of ENTSO-E, with the RGCE Operation Handbook and/or any other relevant applicable standard. Page 2 of 65

3 Contents 1 EXECUTIVE SUMMARY COMPLIANCE MONITORING IN ENTSO-E RGCE AUDITED TSO AUDITED OH STANDARDS RESULTS AUDIT REPRESENTATIVES AUDIT PLAN GENERAL PROCEDURES SCOPE METHODOLOGY EVALUATION PRINCIPLES CONFIDENTIALITY AUDIT WORKSHEET FOR 2013 ONSITE AUDIT OH STANDARD P4-A-S2. RELEVANT ELEMENTS OH STANDARD P4-A-S2.1. CRITICAL ELEMENTS OH STANDARD P4-A-S3. EXCHANGE OF INFORMATION OH STANDARD P4-A-S4.1. LONG-TERM PLANNING OH STANDARD P4-A-S5. CONFIRMATION OF PLANNED OUTAGES OH STANDARD P4-B-S2. CAPACITY ASSESSMENT OH STANDARD P4-B-S3. HARMONISATION OF CAPACITY VALUES OH STANDARD P4-B-S4. PROCEDURE FOR THE CAPACITY ASSESSMENT OH STANDARD P4-B-S6. WEEKLY OPERATIONAL TELECONFERENCE OH STANDARD P4-B-S7. CALCULATION OF ATC VALUES OH STANDARD P4-C-S2.1. NETWORK MODEL OH STANDARD P4-C-S3. DATA COLLECTION OH STANDARD P4-C-S9. SECURITY CHECK OH STANDARD P4-C-S11. ADDITIONAL DATA CONCLUSIONS SIGNATURE PAGE...65 Page 3 of 65

4 1 EXECUTIVE SUMMARY 1.1 COMPLIANCE MONITORING IN ENTSO-E RGCE The mission of the ENTSO-E System Operation Committee Regional Group Continental Europe (RGCE) is to improve the reliability and security of the interconnected power system in the Continental Europe through developing and enforcing RGCE Operation Handbook (OH) standards, monitoring the interconnected power system and assessing its future adequacy. The RGCE member TSOs are subject to compliance with all approved OH standards. The Compliance Monitoring Program (CMP) is the RGCE program that monitors and assesses compliance with these standards via: the annual process of self-assessment, which is applied to all TSOs, as well as the annual process of mandatory on-site compliance audits, which is applied to a certain number of TSOs chosen on a rotating base either directly (in case of doubts that a certain TSO complies with OH Standards) or by random. SG Compliance Monitoring & Enforcement (CME) is in charge of performing above mentioned two processes. The 2013 is the fourth year of conducting mandatory compliance audits. SG CME performed 4 voluntary compliance audits in and 18 mandatory audits in AUDITED TSO The RGCE member TSO TransnetBW was chosen for a Compliance Audit in CME conducted the audit on 16 & 17 October 2013 at TransnetBW Control Center in Wendlingen (Germany). 1.3 AUDITED OH STANDARDS The Compliance Audit encompassed 14 standards of Operation Handbook Policy 4 (Coordinated Operational Planning). In 2012, TransnetBW made compliance declarations in the self-assessment process for all standards of OH Policy 4, a subset of which has been checked against their evidence during the audit. 1.4 RESULTS The Audit Team audited 14 standards. The Audit Team found that TransnetBW is with all of the audited standards. On the borders TransnetBW-Amprion, TransnetBW-Tennet D, TransnetBW-APG there is no capacity management installed. TransnetBW, Tennet DE, Amprion and APG are in the same bidding zone. Therefore, the N/A declaration for the relevant standards is considered appropriate for these borders. Visiting of national control centre helped the audit team to better understand organisation and processes in the TransnetBW system. Necessary documentation was prepared and made available at the audit location and the representatives of TransnetBW demonstrated that they are familiar with the content of every single document. All explanations were focused to the matter and well presented. The audit team expresses its satisfaction with the TransnetBW approach both in the preparation phase and during the on-site audit. Table 1 describes TransnetBW compliance declaration in self-assessment questionnaire 2012 and compliance audit questionnaire 2013 with compliance level suggestion by the CME audit team after reviewing the evidence for the audited standards. Upgrades are highlighted with green. Standards which kept their declaration level are not highlighted. Page 4 of 65

5 TABLE 1: COMPLIANCE LEVEL CHANGES FOR THE AUDITED OH STANDARDS OH Standard Self- assessment questionnaire 2012 Compliance audit questionnaire 2013 On site compliance audit 2013 P4-A-S2. RELEVANT ELEMENTS P4-A-S2.1. CRITICAL ELEMENTS P4-A-S3. EXCHANGE OF INFORMATION P4-A-S4.1. LONG-TERM PLANNING P4-A-S5. CONFIRMATION OF PLANNED OUTAGES P4-B-S2. CAPACITY ASSESSMENT P4-B-S3. HARMONISATION OF CAPACITY VALUES P4-B-S4. PROCEDURE FOR THE CAPACITY ASSESSMENT P4-B-S6. WEEKLY OPERATIONAL TELECONFERENCE P4-B-S7. CALCULATION OF ATC VALUES P4-C-S2.1. NETWORK MODEL P4-C-S3. DATA COLLECTION P4-C-S9. SECURITY CHECK P4-C-S11. ADDITIONAL DATA Page 5 of 65

6 2 AUDIT REPRESENTATIVES The Audit Team has the task to prepare and perform the Compliance Audit as well as to develop the corresponding audit report. The audit team composition is given on Table 2. The TSO subject to a compliance audit may object any member of the Audit Team on the basis of a conflict of interests or the existence of other circumstances that could interfere with the impartial performance of his or her duties. The audited TSO is obligated to express its concerns with the proposed team member four weeks prior to the team s arrival on-site. TransnetBW did not have any objection. TransnetBW staff present during the compliance audit is given on Table 3. TABLE 2. CME AUDIT TEAM FOR TransnetBW Audit Team role Audit team leader Audit team member Audit team member Compliance Monitoring Advisor Company or association Name address PSE SA Rafal Kuczynski rafal.kuczynski@pse.pl SEPS Martin Jedinak martin.jedinak@sepsas.sk Transelectrica Octavia Unguroiu octavia.unguroiu@transelectrica.ro ENTSO-E Secretariat Emmanouil Styvaktakis emmanouil.styvaktakis@entsoe.eu TABLE 3. TransnetBW AUDIT STAFF Function in the company Manager Operational Planning & Grid Control Expert Capacity Calculation Expert Congestion Management Expert Grid Operation Expert Operational Planning Name Klaus-Wolfgang Tapp David Dudoignon Philipp Kurz Hubert Langen Norman Tietz Page 6 of 65

7 3 AUDIT PLAN 3.1 GENERAL PROCEDURES The audit covered a chosen set of Operation Handbook (OH) standards which had already been monitored within the Compliance Monitoring Program 2012 self-assessment process. The completed Audit Worksheet was sent by to the ENTSO-E Secretariat and carbon copies to all Audit Team members three weeks before the first audit day. The complete schedule of the audit process for TransnetBW is given on Table 4. All documentation (evidence) required for the onsite audit of each standard was available as a hard copy or in electronic format at the audit location. The Control Area Manager and/or other responsible expert personnel were available during the audit to provide guidance to the Audit Team on where to look in the documentation for compliance to the OH standard and, if requested, to give further explanation on criteria and procedures implemented. In preparation for the audit, TransnetBW organised its supporting compliance documentation which is the evidence of the compliance with audited standards. If needed, TransnetBW provided English versions of the documents. In some cases, TransnetBW translated the main title, index and last update of the document for the Audit Team. Previously mentioned preparations was completed prior to the start of the audit. The ENTSO-E RGCE SG CME acknowledges a satisfactory preparation for the audit. All documentation will be considered as confidential audit records and treated as such. The Audit Team will prepare a public report of its audit findings. Page 7 of 65

8 TABLE 4. SCHEDULE FOR THE COMPLIANCE AUDIT Submittal of the audit material on behalf of the Audit Team Objection or concern about audit team personnel Submittal of the completed Audit Worksheet to the Audit Team by TransnetBW Initial draft of the audit report based on the Audit Worksheet sent to TransnetBW by the Audit Team Opening meeting of the Audit Team and CAM of TransnetBW (1) Introduction of the Audit Team members, (2) Description of how the on-site audit will be conducted, (3) Discussion on how confidential information will be handled, (4) Discussion on data access required by the Audit Team, (5) Announcement that TransnetBW will be asked to provide feedback on the audit process and results, (6) Presentation of the TSO and TSO s organization. Start of the OH standards review* Continuation of the OH standards review Internal Audit Team meeting Closing meeting with CAM of TransnetBW (1) Presentation of preliminary audit findings and recommendations to be included on the draft audit report, with a strong emphasis on the evidences for each compliance level or non-compliance identified by the Audit Team, (2) Discussion and feedback by TransnetBW with a possibility to object the findings, (3) In case of any non-compliance or lack of evidence of compliance, first draft proposal of the TSO on an adequate mitigation plan, including deadline. Should such an immediate proposal not be possible, the TSO must submit it afterwards in written copy within seven days. 7 weeks prior to audit weeks prior to audit weeks prior to audit working days prior to audit First audit day, :00 09:30 First audit day, :30 17:30 Second audit day, :00 12:30 Second audit day, :30 14:00 Second audit day, :00 15:30 Delivery of the draft audit report to TransnetBW for review 2 weeks after the audit Remarks by TransnetBW 4 weeks after the audit Delivery of the final audit report to TransnetBW 6 weeks after the audit Acknowledgement of the final Audit Report by ENTSO-E RGCE Plenary and decision on its possible internal or external publishing. RGCE Plenary in 2014 (*) A visit to the control room will be requested by the Audit Team during the standards review. Page 8 of 65

9 3.2 SCOPE The objective of Compliance Audits in 2013 is to check chosen set of standards from OH Policy 4. These standards were also monitored in the 2012 regular compliance process via the self-assessment questionnaire. The scope of a compliance audit encompasses issues which are directly related to the compliance of the audited TSO with the investigated RGCE OH standards and issues which make a general background for the implementation of the OH at the audited TSO. Directly related issues Issues directly related to the audited RGCE OH standards: Existence of TSO s addenda and/or non-compliance declarations/non-compliance self-reports Follow-up of the TSO s mitigation plans to remove the declared non-compliances Self-assessment questionnaires of 2012 stored at the ENTSO-E Secretariat related to audited TSO concerning the audited OH standards Audit Worksheet (AW) 2013 Information and explanations which the Audit Team receives on site General background The compliance audit also encompasses issues of general nature listed below: General policies of the audited TSO rules and procedures for the control centre(s) related to the audited standards Procedures to control the application of the audited OH standards and their follow-up Procedures to improve the compliance with the audited OH standards TSO s internal report related to the implementation of the audited OH standards TSO s internal audits and/or documentation concerning implementation of OH standards TSO s internal bodies (forums, panels) for the implementation of the OH standards 3.3 METHODOLOGY The CME group prepared an audit schedule defining the chronological order of the compliance audit, which the audited TSO accepted without comment. The audit team reviewed the existing material on the audited TSO and its neighbouring TSOs already collected through the self-assessment process in the 2012 self-assessment questionnaires. It also processed (assessed) the answers in the 2013 Audit Worksheet filled in by the audited TSO. The applied methodology includes audit criteria and expectations based on best practices. The adopted criteria are objective, measurable (if possible), complete and relevant to the objectives. At defining the audit methodology, the auditors identified the potential sources of audit evidence and estimated the amount and type of evidence needed. The audit team used an Audit Worksheet (see chapter 4) for reviewing the audited OH standards. The purpose of the AW is to ensure consistency and fairness. By using the AW the Audit Team documented the material reviewed and the observations made. One of the main reasons for an on-site visit is to review the existing documentation and to interview the staff. Thus, the auditors obtain objective evidence which support the self-assessed declarations of the audited TSO. The audit team determined whether the evidence presented by the TSO is sufficient. They did this by assessing the relevance, validity and reliability of the information and documentation presented. Page 9 of 65

10 It was the responsibility of the audited TSO to provide evidence of compliance with all audited OH standards. In most cases the evidence was in written form like documents, plans, programs or records. In some cases the evidence consisted of a review of computerized records or additional supporting material provided at interviews by the staff of the audited TSO. 3.4 EVALUATION PRINCIPLES Preparatory phase activities in charge of Audited TSO Inspection of the exact wording of each audited OH standard and of additional questions formulated by the CME Fill in the audit questionnaire and submit to the audit team before the audit Identification of documents and other material to present to the auditors in order to demonstrate its compliance level with each OH standard Preparatory phase activities in charge of CME Audit team Identification of compliance level declaration inconsistency with neighbouring TSOs (Selfassessment questionnaire 2012 cross-border check regarding compliance level declarations) Analysis of the explanations and comments which the audited TSO made in the selfassessment 2012 and audit questionnaires 2013 in written form in order to evaluate the quality of explanations and comments Identification of the missing explanations in the self-assessment 2012 and audit questionnaire 2013 Analysis of the improvements achieved during the implementation of mitigation and improvement plans declared in the MLA Addendum/Addenda, in the self-assessment questionnaire 2012 and in the Audit Worksheet 2013 in case of non-compliance and sufficient compliance Audit phase Request to the audited TSO to give additional explanations, especially related to standards which were not or not fully addressed by documents and other material mentioned in the selfassessment questionnaire 2012 and audit questionnaire o The goal was to improve the quality of the explanations. Request to the audited TSO to present that evidence and, if necessary, additional evidence, in printed or electronic form o o The goal was to improve the quality of the presented evidence. The goal was to present material relevant to the audited OH standard at all. Request to the audited TSO to remark the titles of all presented documents, their relevant chapters and even relevant passages. Request to the audited TSO to provide further written explanations related to the presented material. 3.5 CONFIDENTIALITY By signing this report the audit team members assure that they will maintain the confidentiality of information obtained during the compliance audit and drafting of the audit report. Moreover, they express their readiness to sign a supplementary confidentiality agreement, if the audited TSO assert such a claim. Page 10 of 65

11 4 AUDIT WORKSHEET FOR 2013 ONSITE AUDIT 4.1 OH STANDARD P4-A-S2. RELEVANT ELEMENTS SELF-ASSESSMENT QUESTIONNAIRE 2012 P4-A-S2 Relevant elements. The set of network elements (e.g. TIE-LINES, internal lines, bus-bars, phase shifters, transformers, major generating units), automatic and protection devices which influence two or more TSOs while being out of operation has to be agreed among involved TSOs on a regional basis. Compliance Level: APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Explanation for the full compliance declaration: A list of network elements which influence two or more TSOs while being out of operation has been agreed with respective TSOs. This list is included in bilateral contracts (appendix 5). Respective TSOs therefore have knowledge of respective network elements. Additional Questions Do you exchange a list with relevant elements, which could influence two or more TSOs while being out of operation, with the involved partners? APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Page 11 of 65

12 AUDIT QUESTIONNAIRE 2013 P4-A-S2 Relevant elements. The set of network elements (e.g. TIE-LINES, internal lines, bus-bars, phase shifters, transformers, major generating units), automatic and protection devices which influence two or more TSOs while being out of operation has to be agreed among involved TSOs on a regional basis. Compliance Level: APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Concise explanation and list of evidences for declared compliance level: TransnetBW and all adjacent TSOs have commonly determined in their respective transmission grids grid elements whose switching state may affect the operation of the adjacent TSOs grids. The relevant grid elements concerned are listed in the respective Agreements on Grid and System Operation Management (AGSOM), within Annexes 5a and 5b. If a risk to grid security is detected during the phase of planning, the TSOs will immediately agree upon appropriate measures to prevent insecure grid operation. The following contracts with respective annexes have been concluded: The structure of the German and English versions of the bilateral contracts is the same. Between TransnetBW and Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an RWE TSO Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von RWE TSO an EnBW TNG Between TransnetBW and APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND- Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an APG Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von APG an EnBW TNG Between TransnetBW and RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages Annex 5a: Grid elements with inter-regional relevance relevant elements (TNG to RTE) and Page 12 of 65

13 Exceptional contingency list Annex 5b: Grid elements with inter-regional relevance relevant elements (RTE to TNG) and Exceptional contingency list Between TransnetBW and swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen Annex 5a: Netzelemente mit überregionaler Bedeutung relevant elements TNG an swissgrid und Exceptional contingency list TNG an swissgrid Annex 5b: Netzelemente mit überregionaler Bedeutung relevant elements swissgrid an TNG und Exceptional contingency list swissgrid an TNG Between TransnetBW and Tennet TSO: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an E.ON Netz Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von E.ON Netz an EnBW TNG Do you have a mitigation plan to the standard? No In case of an existing Addendum or a Non Compliance Declaration; list of evidences for a mitigation plan, comments: Additional Questions Do you exchange a list with relevant elements, which could influence two or more TSOs while being out of operation, with the involved partners? APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid List of evidences, comments: TransnetBW and all adjacent TSOs have commonly determined in their respective transmission grids grid elements whose switching state may affect the operation of the adjacent TSOs grids. The relevant grid elements concerned are listed in the respective Agreements on Grid and System Operation Management (AGSOM), within Annexes 5a and 5b. TransnetBW will review and adjust the lists of relevant elements (Annexes 5a and 5b of the aforementioned bilateral contracts) according to bilateral agreements chapter 7.1 Adjustment of the Agreement on grid and system operation management when necessary yet at least once a year. Page 13 of 65

14 If necessary, TransnetBW will exchange the adjusted lists with the involved partners (cf. NSV TransnetBW TenneT D ). Between TransnetBW and Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an RWE TSO Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von RWE TSO an EnBW TNG Between TransnetBW and APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND- Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an APG Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von APG an EnBW TNG Between TransnetBW and RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages Annex 5a: Grid elements with inter-regional relevance relevant elements (TNG to RTE) and Exceptional contingency list Annex 5b: Grid elements with inter-regional relevance relevant elements (RTE to TNG) and Exceptional contingency list Between TransnetBW and swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen Annex 5a: Netzelemente mit überregionaler Bedeutung relevant elements TNG an swissgrid und Exceptional contingency list TNG an swissgrid Annex 5b: Netzelemente mit überregionaler Bedeutung relevant elements swissgrid an TNG und Exceptional contingency list swissgrid an TNG Between TransnetBW and Tennet TSO: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG Page 14 of 65

15 an E.ON Netz Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von E.ON Netz an EnBW TNG AUDIT PHASE COMPLIANCE AUDIT 2013 Compliance Level suggestion by the audit team: Explanation for the suggested compliance level: TransnetBW presented the following documents (that are kept in the control room): With Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an RWE TSO and Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von RWE TSO an EnBW TNG contained the relevant elements list (latest update: ). With APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND-Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an APG and Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von APG an EnBW TNG contained the relevant elements list (latest update: ). With RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages (signed ). Annex 5a: Grid elements with inter-regional relevance relevant elements (TNG to RTE) and Exceptional contingency list and Annex 5b: Grid elements with inter-regional relevance relevant elements (RTE to TNG) and Exceptional contingency list that contained the relevant elements list (latest update , last signed version: ). With swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Netzelemente mit überregionaler Bedeutung relevant elements TNG an swissgrid und Exceptional contingency list TNG an swissgrid and Annex 5b: Netzelemente mit überregionaler Bedeutung relevant elements swissgrid an TNG und Exceptional contingency list swissgrid an TNG contained the relevant elements list (latest update: ). With Tennet: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an E.ON Netz and Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von E.ON Netz an EnBW TNG contained the relevant elements list (latest update: ). Protection devices are also included in the lists (an example was shown for the list for Amprion). Page 15 of 65

16 4.2 OH STANDARD P4-A-S2.1. CRITICAL ELEMENTS SELF-ASSESSMENT QUESTIONNAIRE 2012 P4-A-S2.1 Critical elements. A subset of relevant elements which are considered to have a major influence on the operational management of the neighbouring systems has to be agreed among involved TSOs. The scheduling of the outages of these elements must be agreed among the TSOs involved on a regional basis This set must include at least the elements considered in the EXTERNAL CONTINGENCY LIST ((?P3-A) determined by each of the TSOs involved in the region. Compliance Level: APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Explanation for the full compliance declaration: A list of network elements which have a major influence on two or more TSOs while being out of operation is included in bilateral contracts (appendix 5). Planned outages of network elements included in this list will be agreed at least by the involved TSOs on a regional basis (CWE region, Germany- Austria-Switzerland region). Additional Questions Do you have subset of critical elements whose outages must be agreed in advance with neighbouring TSOs APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Page 16 of 65

17 AUDIT QUESTIONNAIRE 2013 P4-A-S2.1 Critical elements. A subset of relevant elements which are considered to have a major influence on the operational management of the neighbouring systems has to be agreed among involved TSOs. The scheduling of the outages of these elements must be agreed among the TSOs involved on a regional basis This set must include at least the elements considered in the EXTERNAL CONTINGENCY LIST ((>>P3-A) determined by each of the TSOs involved in the region. Compliance Level: APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH Concise explanation and list of evidences for declared compliance level: swissgrid A list of network elements which have a major influence on two or more TSOs while being out of operation is included in bilateral contracts (appendices 5a and 5b). Planned outages of network elements included in this list will be agreed at least by the involved TSOs on a regional basis (CWE region, DACH (Germany-Austria-Switzerland) region). In the CWE outage planning process, TransnetBW, 50Hz, Amprion, Tennet DE, TenneT NL, ELIA, RTE, CREOS, swissgrid participate. In the DACH region Amprion, APG, swissgrid, Tinetz, TransnetBW and VÜN are cooperating. Cf. Anweisungen für den Netzbetrieb Kapitel ( Handbook for System Operation at TransnetBW ): Planned outages in the interconnected grid will be coordinated in the scope of national and international outage planning in order to avoid overlapping planned outages [.] Meetings for coordination of outages will be carried out in November (CWE region) and in December (DACH region (Germany, Austria and Switzerland). The following contracts with respective annexes have been concluded: Between TransnetBW and Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an RWE TSO Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von RWE TSO an EnBW TNG Between TransnetBW and APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND- Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an APG Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von APG an EnBW TNG Page 17 of 65

18 Between TransnetBW and RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages Annex 5a: Grid elements with inter-regional relevance relevant elements (TNG to RTE) and Exceptional contingency list Annex 5b: Grid elements with inter-regional relevance relevant elements (RTE to TNG) and Exceptional contingency list Between TransnetBW and swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen Annex 5a: Netzelemente mit überregionaler Bedeutung relevant elements TNG an swissgrid und Exceptional contingency list TNG an swissgrid Annex 5b: Netzelemente mit überregionaler Bedeutung relevant elements swissgrid an TNG und Exceptional contingency list swissgrid an TNG Between TransnetBW and Tennet TSO: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an E.ON Netz Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von E.ON Netz an EnBW TNG Do you have a mitigation plan to the standard? No In case of an existing Addendum or a Non Compliance Declaration; list of evidences for a mitigation plan, comments: Additional Questions Do you have subset of critical elements whose outages must be agreed in advance with neighbouring TSOs? APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid List of evidences, comments: TransnetBW and all adjacent TSOs have commonly determined in their respective transmission grids those grid elements whose outages will be agreed in the course of the outage planning process with all neighbouring TSOs (according to bilateral contracts chapter Coordination and planning of outages ). Those critical elements ale listed in the respective Agreements on Grid and System Operation Management (AGSOM), within Annexes 5a and 5b. TransnetBW will review and adjusted the lists of critical elements (Annexes 5a and 5b of the Page 18 of 65

19 aforementioned bilateral contracts) according to bilateral agreements chapter 7.1 Adjustment of the Agreement on grid and system operation management when necessary yet at least once a year. If necessary, TransnetBW will exchange the adjusted lists with the involved partners (cf. NSV TransnetBW TenneT D ). The following contracts with respective annexes have been concluded: Between TransnetBW and Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an RWE TSO Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von RWE TSO an EnBW TNG Between TransnetBW and APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND-Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an APG Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von APG an EnBW TNG Between TransnetBW and RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages Annex 5a: Grid elements with inter-regional relevance relevant elements (TNG to RTE) and Exceptional contingency list Annex 5b: Grid elements with inter-regional relevance relevant elements (RTE to TNG) and Exceptional contingency list Between TransnetBW and swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen Annex 5a: Netzelemente mit überregionaler Bedeutung relevant elements TNG an swissgrid und Exceptional contingency list TNG an swissgrid Annex 5b: Netzelemente mit überregionaler Bedeutung relevant elements swissgrid an TNG und Exceptional contingency list swissgrid an TNG Between TransnetBW and Tennet TSO: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen Page 19 of 65

20 Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an E.ON Netz Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von E.ON Netz an EnBW TNG COMPLIANCE AUDIT 2013 Compliance Level suggestion by the audit team: Explanation for the suggested compliance level: TransnetBW presented the following documents (that are kept in the control room): With Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an RWE TSO and Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von RWE TSO an EnBW TNG contained the critical elements list (latest update: ). With APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND-Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an APG and Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von APG an EnBW TNG contained the criticalt elements list (latest update: ). With RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages (signed ). Annex 5a: Grid elements with inter-regional relevance relevant elements (TNG to RTE) and Exceptional contingency list and Annex 5b: Grid elements with inter-regional relevance relevant elements (RTE to TNG) and Exceptional contingency list that contained the critical elements list (latest update , last signed version: ). With swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Netzelemente mit überregionaler Bedeutung relevant elements TNG an swissgrid und Exceptional contingency list TNG an swissgrid and Annex 5b: Netzelemente mit überregionaler Bedeutung relevant elements swissgrid an TNG und Exceptional contingency list swissgrid an TNG contained the critical elements list (latest update: ). With Tennet: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen (signed ). Annex 5a: Schaltungskoordination regional wichtiger Betriebsmittel Information von EnBW TNG an E.ON Netz and Annex 5b: Schaltungskoordination regional wichtiger Betriebsmittel Information von E.ON Netz an EnBW TNG contained the critical elements list (latest update: ). The external contingency list contains all the elements that are defined by TransnetBW as critical. Page 20 of 65

21 4.3 OH STANDARD P4-A-S3. EXCHANGE OF INFORMATION SELF-ASSESSMENT QUESTIONNAIRE 2012 P4-A-S3 Exchange of information. TSOs collect and share information about planned outages of the relevant elements within regional groups. The scheduled outages of critical elements are reviewed at the Weekly Operational Teleconference (>>B- S7: WOPT). Compliance Level: APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Explanation for the full compliance declaration: Relevant elements are defined in bilateral contracts appendix 5. The outages of these elements communicated to the CWE and CEE WOPT participants upfront the repsective teleconferences. During the CWE WOPT, the outages for the upcoming week are coordinated finally with the affected TSOs. Additional Questions Do you collect and share the planned outages of all relevant elements (in the meaning of critical elements) within the WOPT or other kinds of information exchange (i.e. only with one partner)? APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid Page 21 of 65

22 AUDIT QUESTIONNAIRE 2013 P4-A-S3 Exchange of information. TSOs collect and share information about planned outages of the relevant elements within regional groups. The scheduled outages of critical elements are reviewed at the Weekly Operational Teleconference (>>B- S7: WOPT). Compliance Level: APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH Concise explanation and list of evidences for declared compliance level: swissgrid Information about planned outages of the relevant elements is exchanged in the scope of the yearly outage planning process within CWE and DACH region. The updated outages for the rest of the year are also sent to adjacent TSOs every month in the year. On a weekly basis TransnetBW exchanges the planned outages for the upcoming week with CWE and CEE WOPT participants. Yearly Planning: Document CWE-Liste_2013_v2_offiziell.xls Document DACH_2013_V3_Liste_bearbeitet.xls Monthly Planning: Process description Monatsplanungsprozess (engl. Monthly Outage Planning ) s Monthly Outage Planning Weekly Planning: _Netzsicherheitskonzept_Anlage_1_WOPT_V2R4 - Nachbereitung und Berichtswesen (eng.: Grid security concept Annex 1 WOPT - Reviewing and Documentation) Example of exchanged WOPT document Folder structure in shared mailbox The following contracts naming all relevant elements with respective annexes have been concluded: Between TransnetBW and Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen Between TransnetBW and APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND- Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen Page 22 of 65

23 Between TransnetBW and RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages Between TransnetBW and swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen Between TransnetBW and Tennet TSO: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen Do you have a mitigation plan to the standard? No In case of an existing Addendum or a Non Compliance Declaration; list of evidences for a mitigation plan, comments: Additional Questions Do you collect and share the planned outages of all relevant elements (in the meaning of critical elements) within the WOPT or other kinds of information exchange (i.e. only with one partner)? APG-Austrian Power Grid AG RTE Amprion TenneT TSO GmbH swissgrid List of evidences, comments: Planned outages of all relevant elements are shared within the WOPT (including all adjacent TSOs). Process description WOPT: _Netzsicherheitskonzept_Anlage_1_WOPT_V2R4 - Vorbereitung (eng.: Grid security concept Annex 1 WOPT - Preparation) Example of exchanged WOPT document Folder structure in shared mailbox COMPLIANCE AUDIT 2013 Compliance Level suggestion by the audit team: Explanation for the suggested compliance level: TransnetBW presented the above mentioned documents (that are kept in the control room) that describe the exchange of information process: Page 23 of 65

24 With Amprion: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen (signed ). With APG: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND-Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen (signed ). With RTE: Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages (signed ). With swissgrid: Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen (signed ). With Tennet: Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen (signed ). An for the confirmation of the 2013 outage planning was shown (an from Amprion to the relevant TSOs CWE and DACH); the 2013 planned outages included in this was also shown. An for the confirmation of the monthly outage planning was also presented. In the monthly process, updated outages for the rest of the year are exchanged. TransnetBW shares with the neighbouring TSOs the list produced by a software tool used by TransnetBW for outage planning. For the weekly process, example information exchanged within WOPT was shown. Page 24 of 65

25 4.4 OH STANDARD P4-A-S4.1. LONG-TERM PLANNING SELF-ASSESSMENT QUESTIONNAIRE 2012 P4-A-S4.1 Long-term planning. In the second half of the preceding year, TSOs start outages scheduling in regional groups for the forthcoming year. At the end of the preceding year, TSOs agree on a joint schedule of outages of all network elements impacting two or more TSOs for the next year. Compliance Level: Explanation for the full compliance declaration: At the end of each year, outage planning for the upcoming year is coordinated within CWE-region (including TransnetBW, 50HzT, Amprion, Tennet DE, TenneT NL, ELIA, RTE, CREOS, swissgrid) as well as in the D-A-CH-region (TransnetBW, Amprion, Tennet DE, APG, swissgrid, VKW and TIWAG). As a result a co-ordinated and agreed list of planned outages is shared amongst all affected TSOs. Additional Questions Do you have established a long-term respectively yearly operational outage planning? Do you have at the end of the year a jointly agreed list of planned outages of all relevant elements of all involved partners for the next year? Page 25 of 65

26 AUDIT QUESTIONNAIRE 2013 P4-A-S4.1 Long-term planning. In the second half of the preceding year, TSOs start outages scheduling in regional groups for the forthcoming year. At the end of the preceding year, TSOs agree on a joint schedule of outages of all network elements impacting two or more TSOs for the next year. Compliance Level: Concise explanation and list of evidences for declared compliance level: Each year the responsible colleagues of the CWE-region (RTE, Elia, Creos, TenneT NL, Amprion, swissgrid, TenneT D and TransnetBW) and the DACH-region (APG, swissgrid, TenneT D, Amprion, VÜN, Tinetz and TransnetBW) have meetings where outages for the upcoming year are coordinated and agreed. The main focus is to coordinate all outages of grid elements which have an influence to another TSO s grid and its own outage planning. As a result, the outage of all critical elements will be agreed amongst the respective TSOs. Adjacent TSOs will be informed about the outage of relevant elements. The possibly problematic outages are discussed one by one and adapted if necessary. Evidences: Anweisungen für den Netzbetrieb Chapter Hierzu finden die Koordinationsbesprechungen im November (CWE-Region) und im Dezember (DACH-Region) statt. (eng. Handbook for System Operation at TransnetBW chapter Therefore coordination meetings take place for CWE-Region in November and DACH-Region in December. Bilateral contracts, Chapter Coordination and planning of outages, Chapter Long-term planning Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und RWE Transportnetz Strom GmbH, Dortmund über den Systembetrieb zwischen der EnBW TNG und RWE TSO, Chapter Koordination und Planung von Schaltungen, Chapter Langfristplanung Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und VERBUND-Austrian Power Grid AG, Wien über den Systembetrieb zwischen der EnBW TNG und APG, Chapter Koordination und Planung von Schaltungen, Chapter Langfristplanung Agreement on Grid and System Operation Management between Contracting party TransnetBW GmbH, Germany and Réseau de Transport d Electricité, France, Chapter Coordination and planning of outages Chapter Long-term planning Netz- und Systemführungsvertrag zwischen TransnetBW GmbH, Stuttgart und swissgrid ag, Laufenburg über den Systembetrieb zwischen der TNG und swissgrid, Chapter Koordination und Planung von Schaltungen, Chapter Langfristplanung Netz- und Systemführungsvertrag zwischen EnBW Transportnetze AG, Stuttgart und E.ON Netz GmbH, Bernecker Straße 70, Bayreuth über den Systembetrieb zwischen der EnBW TNG und E.ON Netz, Chapter Koordination und Planung von Schaltungen, Page 26 of 65