SC Self Audit Attestation & SQMD Plan Affirmation Elaine Siegel - - PowerPoint PPT Presentation

CAISO Public CAISO Public

SC Self Audit Attestation & SQMD Plan Affirmation

Elaine Siegel Market Services Policy Lead Stakeholder Web Conference August 23, 2018 1:00 PM – 2:00 PM (PDT)

CAISO Public

Agenda Differences between the SC Self Audit Attestation and the SQMD Plan Affirmation Similarities between the SC Self Audit Attestation and the SQMD Plan Affirmation SC Self Audit Attestation Process Overview SQMD Plan Affirmation Process Overview Next Steps

SC Self Audit Attestation & SQMD Plan Affirmation

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CAISO Public

SC Self Audit Attestation vs. SQMD Plan Affirmation Differences SC Self Audit Attestation

• ISO Tariff Section 10.3.10.1
• Effective since 1999
• Bi-Annual activity (every even year)
• Audit of the processes for creating and

submitting SQMD and adherence to the Scheduling Coordinator’s Local Regulatory Authority

• Includes SCME and PDR/RDRR

SQMD Plan Affirmation

• ISO Tariff Section 10.3.7.5 (10.3.7.1)
• Effective since April 10, 2017
• Annual activity
• Self assessment and affirmation that

the Scheduling Coordinator has implemented and continues to comply with the approved SQMD plan on file

• Includes SCME with approved SQMD

Plan, NO PDR/RDRR

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CAISO Public

SC Self Audit Attestation vs. SQMD Plan Affirmation Similarities

• For Scheduling Coordinator Metered Entities
• Executed through a digital signature process, initiated by the CAISO
• Due on October 31st of the applicable year
• Where October 31st lands on a weekend, due date will be the next business

day

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CAISO Public

SC Self Audit Attestation Process Overview

• The SC Self Audit activity is for Scheduling Coordinators who submit Meter

Data to the ISO, including entities who participate in Demand Response

• ISO Tariff 10.3.10.1 “At least every two years, each scheduling coordinator

shall (or engage an independent, qualified entity to conduct) audit and test the Metering Facilities of the Scheduling Coordinator Metered Entities that it represents and the Meter Data provided to the Scheduling Coordinator in

• rder to ensure compliance with all applicable requirements of any relevant

Local Regulatory Authority….”

• Auditor must be independent of the processes relating to the collection of

meter data, the Validating, Estimating and Editing process and data submission to the CAISO.

• Audit Period: follow your normal audit schedule or perform a 1 year

lookback.

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CAISO Public

SC Self Audit Attestation Process Overview

• No template for audit content

– Evaluate process flow of Meter Data

• Collecting meter data
• Validation, Editing and Estimation process
• Submission process (through Actual SQMD)
• Audit Report should be able to provide your management the assurance that your

processes are:

• Complete
• Accurate
• Timely
• Meet your Local Regulatory Authority requirements
• Content of Audit Report is no longer required by the CAISO
• CAISO Tariff 10.3.10.2 Audit and Testing by CAISO

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CAISO Public

SC Self Audit Attestation Process Overview

• Attestation Due to CAISO on 10/31 of applicable year

– Digital Signature process will begin mid October

• CAISO will provide the SC Self Audit Attestation
• Management signature is required
• Identify the time period reviewed during the audit
• Name, Title and Company of Auditor
• List of auditors findings with corrective actions
• CAISO Tariff 37.6.3.2, Rules of Conduct penalties apply to all late SC Self

Audit Attestations

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CAISO Public

SQMD Plan Affirmation Process Overview

• Effective April 10, 2017 all Scheduling Coordinators who have a CAISO

approved SQMD Plan, must annually submit an SQMD Plan Affirmation.

• Any Scheduling Coordinator participating before April 10, 2017 is not

required to have a SQMD Plan, unless the Scheduling Coordinator is:

• Repowering
• Modifying their meter data interval
• Adding generator capacity
• Adding a new resource
• The SQMD Plan Affirmation process does not apply to PDR and RDRR
• resources. (ISO Tariff 10.3.7.1 is applicable)

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CAISO Public

SQMD Plan Affirmation Process Overview

• ISO Tariff 10.3.7.5 “….on an annual basis the Scheduling Coordinator Metered Entity

must perform a self assessment and affirm to the CAISO, in writing, that it has implemented and continues to comply with its SQMD Plan….”

• Affirmation is due to CAISO on 10/31 of applicable year

– Digital Signature process will begin mid October

• CAISO will provide the SQMD Plan Affirmation
• Management signature is required
• Scheduling Coordinator will attach a list of resources that are applicable to

the plan

• CAISO Tariff 37.6.1 Rules of Conduct penalties apply to all late SQMD Plan

Affirmations

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CAISO Public

Next Steps SC Self Audit Attestation Process

• CAISO will reach out by phone to confirm contacts
• CAISO will email Scheduling Coordinators who have been identified as a

SC Metered Entity

• If you have not received an email by 9/17/18, and you feel you are an SC

Metered Entity, please email EDAS@caiso.com

• Scheduling Coordinators should be working on their audit report
• CAISO will initiate digital signature process mid-October, 2018.

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CAISO Public

Next Steps SQMD Plan Affirmation Process

• CAISO will email Scheduling Coordinators who have been identified as a

SC Metered Entity

• Scheduling Coordinators should be working on their self assessment
• CAISO will initiate digital signature process mid October

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CAISO Public

Questions?

• Please send all inquiries to EDAS@caiso.com. Thank you!

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