VOLUME 1-11

CONDUCT OF
POWER OPERATIONS

FACILITIES INSTRUCTIONS,
STANDARDS, AND TECHNIQUES

UNITED STATES DEPARTMENT OF THE INTERIOR

BUREAU OF RECLAMATION
DENVER, COLORADO

Form Approved
OMB No. 0704-0188

REPORT DOCUMENTATION PAGE

Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including
suggestions for reducing this burden to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suit 1204, Arlington VA 22202-4302,
and to the Office of Management and Budget, Paperwork Reduction Report (0704-0188), Washington DC 20503.

1. AGENCY USE ONLY (Leave Blank)

2. REPORT DATE

3. REPORT TYPE AND DATES COVERED

December 2002

Final

4. TITLE AND SUBTITLE

5. FUNDING NUMBERS

FIST 1-11, Conduct of Power Operations

6. AUTHOR(S)

Cory Danson, Jeanette Jensen, Larry R. Anderson, Mitchell Samuelian, Robert

Mattson, Shawn Halverson
7. PERFORMING ORGANIZATIONS NAME(S) AND ADDRESS(ES)

8. PERFORMING ORGANIZATION
REPORT NUMBER

Bureau of Reclamation
Denver Federal Center
PO Box 25007
Denver CO 80225-0007

FIST 1-11

9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES)

10. SPONSORING/MONITORING
AGENCY REPORT NUMBER

Power Resources Office

Office of Policy
Bureau of Reclamation
Mail Code D-5400
PO Box 25007
Denver CO 80225
11. SUPPLEMENTARY NOTES

12a. DISTRIBUTION AVAILABILITY STATEMENT

12b. DISTRIBUTION CODE

Available from the National Technical Information Service, Operations Division,

5285 Port Royal Road, Springfield, Va 22161

13. ABSTRACT (Maximum 200 words)

FIST 1-11, Conduct of Power Operations, lists the policies, resources, and assessment required in the operations of
Reclamation Power Facilities. The organization and administration of operations is intended to achieve a high level
of safety and performance that is accomplished through effective implementation and control of operational
activities. Operational policies and procedures recognize that protecting the environment and ensuring safety and
efficient operations are compatible goals. Such policies and procedures reflect the standards of excellence used in
operating Reclamation facilities. These policies set up the lines of responsibility for normal and emergency
operations and provide a method to monitor and assess performance.

14. SUBJECT TERMS

15. NUMBER OF PAGES

Conduct of Power Operations, Operation Policies, Operations Standards, Reclamation

Power Facilities

16. PRICE CODE

17. SECURITY CLASSIFICATION OF

REPORT

18. SECURITY CLASSIFICATION OF

THIS PAGE

19. SECURITY CLASSIFICATION

OF ABSTRACT

20. LIMITATION OF ABSTRACT

UL

UL

UL

UL

NSN 7540-01-280-5500

Standard Form 298 (Rev. 2-89)

Prescribed by ANSI Std. 239-18
298-102

FACILITIES INSTRUCTIONS,
STANDARDS, AND TECHNIQUES
VOLUME 1-11

CONDUCT OF
POWER OPERATIONS

December 2002

OFFICE OF POLICY
POWER RESOURCES OFFICE

UNITED STATES DEPARTMENT OF THE INTERIOR

BUREAU OF RECLAMATION
DENVER, COLORADO

PREFACE
This document presents guidelines for operations of powerplants owned
and operated by the Bureau of Reclamation. These guidelines are not
intended to replace operators judgment. Instead, they are intended to
provide criteria and procedures that should be considered for
incorporation into all levels of operations.
These guidelines were developed by power maintenance, operations, and
management personnel from Reclamations Denver, Regional, and Area
Offices.
For more information on these guidelines and the Power Review of
Operations and Maintenance Program, please contact Mitchell
Samuelian at the Power Resources Office, D-5400, 303-445-3712.

DISCLAIMER
This written matter consists of general information for internal Bureau
of Reclamation operations and maintenance staff use. The information
contained in this document regarding commercial products or firms may
not be used for advertising or promotional purposes and is not to be
construed as an endorsement of any product or firm by the Bureau of
Reclamation.

CONTENTS
Page

1. General Description of Reclamations Powerplant Operations ............

2. Scope ......................................................................................................

3. Management Role in Operations ..........................................................

4. Definitions ...........................................................................................
4.1 Controls Area ................................................................................
4.2 Logsheets ......................................................................................
4.3 Logbooks........................................................................................
4.4 Operations Head ...........................................................................
4.5 Operator Reading Files.................................................................
4.6 Operator Rounds...........................................................................
4.7 Recorder Charts ............................................................................
4.8 Shift Turnover...............................................................................
4.9 Three-Part Communications ........................................................

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5. Industry Standards and Guidance........................................................

5.1 Western Electricity Coordinating Council ...................................
5.1.1 History ...............................................................................
5.1.2 Location of Web Site..........................................................
5.2 North American Electric Reliability Council ...............................
5.2.1 History ...............................................................................
5.2.2 Location of Web Site..........................................................
5.3 Summary of Procedures Pertaining to Generators......................
5.3.1 Automatic Voltage Regulator (AVR).................................
5.3.2 Automatic Generation Control (AGC)...............................
5.3.3 Blackstart ..........................................................................
5.3.4 Forced Outages..................................................................
5.3.5 Governor Droop .................................................................
5.3.6 Power System Stabilizers (PSS) .......................................

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6. Operating Procedures and Criteria.......................................................

6.1 Operating Procedures ...................................................................
6.2 Abnormal or Unusual Operating Procedures...............................
6.3 Monitoring of Operating Performance .........................................
6.4 Standing Operating Procedures ...................................................
6.5 Emergency Action Plan (EAP)......................................................
6.6 Designers Operating Criteria (DOC)...........................................
6.7 Facilities Instructions, Standards, and Techniques Volumes .....

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7. Shift Routines and Operating Practices ...............................................

7.1 Scope ...........................................................................................

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CONTENTS (CONTINUED)
Page

7. Shift Routines and Operating Practices (continued)

7.2 Purpose .........................................................................................
7.3 Guidelines .....................................................................................
7.3.1 Operator Rounds ...............................................................
7.3.2 Round Sheets.....................................................................
7.3.3 Essential Equipment.........................................................
7.3.4 Response to Indicators ......................................................
7.3.5 Resetting Protective Devices.............................................

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8. Controls Area Activities ........................................................................

8.1 Scope ...........................................................................................
8.2 Purpose .........................................................................................
8.3 Guidelines .....................................................................................
8.3.1 Access to the Controls Area ..............................................
8.3.2 Professional Behavior .......................................................
8.3.3 Monitoring the Main Control Panels ................................
8.3.4 Monthly Reports................................................................
8.3.5 Controls Area Ancillary Duties.........................................
8.3.6 Operation of Controls Area Equipment ............................
8.3.7 Continuity of Operations...................................................
8.3.8 Self-Checking ....................................................................
8.3.9 Potentially Distractive Materials and Devices.................

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9. Communications....................................................................................
9.1 Scope ...........................................................................................
9.2 Purpose .........................................................................................
9.3 Guidelines .....................................................................................
9.3.1 Emergency Communications Systems..............................
9.3.2 Communication System Failure .......................................
9.3.3 Contacting Operators ........................................................
9.3.4 Communication with Dispatchers ....................................
9.3.5 Radios ................................................................................
9.3.6 Testing of Radios ...............................................................
9.3.7 Abbreviations and Acronyms ............................................
9.3.8 Oral Instructions and Information Communication ........
9.3.9 Communication of Testing Activities................................

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10. Control of On-Shift Training.................................................................

10.1 Scope ...........................................................................................
10.2 Purpose .........................................................................................
10.3 Guidelines .....................................................................................
10.3.1 Adherence to Training Program .......................................
10.3.2 On-Shift Instructor Qualifications....................................
10.3.3 Qualified Operator Supervision and
Control of Apprentices...................................................

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CONTENTS (CONTINUED)
Page

10. Control of On-Shift Training (continued)

10.3 Guidelines (continued)
10.3.4 Suspension of Training .....................................................
10.3.5 Maximum Number of Apprentices....................................
10.3.6 Use of Apprentices to Support Operations .......................

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11. Investigation, Evaluation, and Documentation of Incidents................

11.1 Scope ...........................................................................................
11.2 Purpose .........................................................................................

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12. Notification Procedures .........................................................................

12.1 Scope ...........................................................................................
12.2 Purpose .........................................................................................
12.3 Guidelines .....................................................................................
12.3.1 Management Notification .................................................
12.3.2 Types of Notifications........................................................
12.3.3 Notification Responsibility................................................

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13. Configuration Management ..................................................................

13.1 Scope ...........................................................................................
13.2 Description ....................................................................................
13.3 Guidelines .....................................................................................
13.3.1 Status Change Authorization and Reporting ...................
13.3.2 Equipment and Systems Check ........................................
13.3.3 Equipment Locking and Tagging......................................
13.3.4 Disabling Alarms or Protective Devices ...........................
13.3.5 Equipment Deficiency Identification and
Documentation..........................................................................
13.3.6 Changes in Relay Settings ................................................
13.3.7 Alarm Status .....................................................................
13.3.8 Temporary Modification Control.......................................

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14. Hazardous Energy Control Program, FIST 1-1 ....................................

14.1 Scope ...........................................................................................
14.2 Purpose .........................................................................................

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15. Log Keeping ...........................................................................................

15.1 Scope ...........................................................................................
15.2 Purpose .........................................................................................
15.3 Guidelines .....................................................................................
15.3.1 Establishment of Operating Logs .....................................
15.3.2 Timeliness of Recordings...................................................
15.3.3 Controls Area Log Requirements......................................
15.3.4 Information To Be Recorded .............................................
15.3.5 Legibility............................................................................

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CONTENTS (CONTINUED)
Page

15. Log Keeping (continued)

15.3 Guidelines (continued)
15.3.6 Corrections ........................................................................
15.3.7 Log Review ........................................................................
15.3.8 Care and Keeping of Logs .................................................

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16. Shift Turnover .......................................................................................

16.1 Scope ...........................................................................................
16.2 Purpose .........................................................................................
16.3 Guidelines .....................................................................................
16.3.1 Information Exchanged at Turnover ................................
16.3.2 Turnover Checklists ..........................................................
16.3.3 Plant Status Review..........................................................
16.3.4 Control Panel Walk Down.................................................
16.3.5 Purpose and Exchange of Responsibility..........................
16.3.6 Relief Occurring During the Shift.....................................

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17. Operator Reading Files .........................................................................

17.1 Scope ...........................................................................................
17.2 Purpose .........................................................................................
17.3 Guidelines .....................................................................................
17.3.1 File Index...........................................................................
17.3.2 Reading Assignments........................................................
17.3.3 Required Dates for Completion of Reading ......................
17.3.4 Documentation ..................................................................
17.3.5 Review ...............................................................................

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18. Development and Use of Operating Procedures ...................................

18.1 Scope ...........................................................................................
18.2 Purpose .........................................................................................
18.3 Guidelines .....................................................................................
18.3.1 Procedure Development ....................................................
18.3.2 Procedure Content.............................................................
18.3.3 Procedure Changes and Revisions ....................................
18.3.4 Procedure Approval...........................................................
18.3.5 Procedure Review ..............................................................
18.3.6 Procedure Availability.......................................................

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19. Operator Aids ........................................................................................

19.1 Scope ...........................................................................................
19.2 Purpose .........................................................................................
19.3 Guidelines .....................................................................................
19.3.1 Operator Aid Development ...............................................
19.3.2 Approval ............................................................................
19.3.3 Postings .............................................................................

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CONTENTS (CONTINUED)
Page

19. Operator Aids (continued)

19.3 Guidelines (continued)
19.3.4 Use of Aids.........................................................................
19.3.5 Recommended Operator Aids............................................
19.3.6 Control of Operator Aids ...................................................
19.3.7 Review ...............................................................................

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20. Equipment Labeling..............................................................................

20.1 Scope ...........................................................................................
20.2 Purpose .........................................................................................
20.3 Guidelines .....................................................................................
20.3.1 Components Requiring Labeling ......................................
20.3.2 Label Information .............................................................
20.3.3 Label Placement ................................................................
20.3.4 Replacing Labels ...............................................................

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vii

1. GENERAL DESCRIPTION OF RECLAMATIONS POWERPLANT

OPERATIONS
Reclamation is responsible for generating hydroelectric power and releasing water
for authorized project purposes at its dams and powerplants. Powerplant Operators
ensure the safe and sound operation of all structures and equipment associated with
the fulfillment of this responsibility. At some facilities, powerplant Operators are
responsible for a limited amount of transmission, but, for the most part, the power
marketing administrations (PMAs) are responsible for transmission and marketing
of the generation.
Reclamation power facilities maintain system voltage by providing reactive support.
They respond to system emergencies by controlling powerplant loading and system
frequency and voltage as required by the system dispatcher.
Reclamation powerplant Operators follow operating procedures and criteria that
have been developed for each dam and powerplant. These procedures and criteria
are contained in the Standing Operating Procedures (SOP) and the Designers
Operating Criteria (DOC). Powerplant Operators also follow Facilities Instructions,
Standards, and Techniques (FIST) volumes that have been developed by
Reclamation. In addition, powerplant Operators follow guidelines on system
operations from the Western Electricity Coordinating Council (WECC) and the
North American Electric Reliability Council (NERC).
Power operation functions include the operation of all machinery and equipment
used in the generation of hydroelectric power. These functions include the overall
operation of the power and water system. The Operator is responsible for control of
powerplant and water release equipment.
2. SCOPE
The organization and administration of operations is intended to achieve a high
level of safety and performance accomplished through effective implementation and
control of operational activities. Operational policies and procedures recognize that
protecting the environment and ensuring safe and efficient operations are
compatible goals. Such policies and procedures reflect the standards of excellence
used in operating Reclamation facilities. These policies set up the lines of
responsibility for normal and emergency operations and provide a method to monitor
and assess performance. This FIST manual, FIST 1-11, Conduct of Power
Operations, discusses the policies, resources, and assessment needed in operations.
3. MANAGEMENT ROLE IN OPERATIONS
Reclamation facilities achieve a high level of excellence because the operations
management establishes high performance standards. This excellence is achieved
by management communicating these standards to the staff. Management is
responsible to ensure personnel are well trained by committing time and resources
to training. Management is also responsible for monitoring employee performance.

The Operations Head establishes standards, defines goals, and determines the
responsibilities of the operational staff. The operations staff provides input and
feedback to standards and training. Management uses reports and goals to measure
performance. Personnel are held accountable for their performance through
supervisory counseling, performance appraisals, and, when necessary,
administrative action. Remedial training is provided, if appropriate.
4. DEFINITIONS
4.1 Controls Area
The control area is the area from which the Operator monitors and operates
plant and system equipment. It is normally the area where clearances are
issued and released.
4.2 Logsheets
Logsheets are procedures or forms used to record equipment operation and data
that provide information necessary for evaluating and trending plant conditions
4.3 Logbooks
Logbooks are narrative records maintained and used by the operations personnel
that describe and record operating information and events that aid in evaluating
present and past plant status.
4.4 Operations Head
Operations head is the term used in the FIST manual to identify the operations
person responsible for setting operational policies at the facility. Depending on
the local facility practices, this could be the Operations Manager, Operations
Supervisor, Operations and Maintenance (O&M) Supervisor, Shift Supervisor,
Control Center, or person designated as Plant Operator.
4.5 Operator Reading Files
Operator reading files are reading materials that operations staff should be
knowledgeable of as determined by the Operations Head and Facility Manager.
4.6 Operator Rounds
Operator rounds include monitoring the operations of plant equipment through
local observations and recording appropriate equipment parameters.

4.7 Recorder Charts

A recorder chart provides a record of plant process instrumentation plotting
versus time. The record is automatically charted by the associated instrument.
4.8 Shift Turnover
Shift turnover is the process of information and responsibility transfer to the
oncoming Operator from the offgoing Operator.
4.9 Three-Part Communications
Three-part communications include the sender giving the information, the
receiver repeating the information back, and the sender acknowledging the
correctness of the repeated information. This form of communication is used to
limit the possibility of human error during switching operations and during
critical or emergency operations.
5. INDUSTRY STANDARDS AND GUIDANCE
5.1 Western Electricity Coordinating Council
5.1.1 History
The Western Electricity Coordinating Council was created on April 18, 2002,
by merger of the Western Systems Coordinating Council (WSCC), the
Western Regional Transmission Association (WRTA), and the Southwest
Regional Transmission Association (SWRTA). Reclamation is a member of
WECC and agrees to comply with WECC policies.
5.1.2 Location of Web Site
The WECC Operations Handbook can be found on the Internet at
<http://www.wecc.biz/committees/oc/documents/oc_handbook.html>. WECC
follows the NERC Policies, Standards Principles, and Guides.
5.2 North American Electric Reliability Council
5.2.1 History
NERC was created in 1968 as a voluntary organization to promote bulk
electric system reliability and security.
NERCs membership is unique. As a not-for-profit corporation, NERCs
members are 10 Regional Councils. The members of these Regional Councils
come from all segments of the electric industry: investor-owned; Federal
power agencies; rural electric cooperatives; State, municipal, and provincial
utilities; independent power producers; power marketers; and end-use

customers. These entities account for virtually all the electricity supplied in
the United States; Canada; and a portion of Baja California Norte, Mexico.
NERC promotes electric system reliability and security by:
a) Establishing operating policies and planning standards to ensure electric
system reliability.
b) Reviewing the reliability of existing and planned generation and
transmission systems.
c) Critiquing past electric system disturbances for lessons learned and
monitoring the present for compliance and conformance to its policies.
d) Educating others about how bulk electric systems operate.
e) Maintaining liaisons with the Federal, State, and provincial governments
in the United States and Canada and electricity supply industry
organizations in both countries.
f) Serving as the electric industrys primary point of contact with the
Federal Government on issues relating to national security and terrorism.
5.2.2 Location of Web Site
The NERC Policies, Standards Principles, and Guides are available on the
Internet at <http://www.nerc.com/noc/opermanl.htm>.
5.3 Summary of Procedures Pertaining to Generators
The following are summaries of standards from the Minimum Operating
Reliability Criteria that generating agencies should comply with. These
standards are based on WECC, NERC, and Reclamation standards.
5.3.1 Automatic Voltage Regulator (AVR)
a) The AVR Shall be kept in service to the maximum extent possible. The
AVR Shall maintain voltages specified by the Host Control Area
Operator.
b) AVR equipment Shall be tested and calibrated in conjunction with the
balance of the excitation system as often as necessary to maintain
calibration/performance, but at least once every 5 years or following any
repairs to the excitation system. Calibration Shall include verification
that all limiters and protective features in the excitation system are
functional and coordinated with the balance of plant protection.
c) AVR operation Shall be reported monthly in accordance with the
WECC Reliability Management System (RMS) reporting procedures.

5.3.2 Automatic Generation Control (AGC)

The AGC, where applicable, Shall remain in service as long as its action
continues to be beneficial. If the AGC is out of service, manual control Shall
be used to adjust generation. AGC Shall be returned to service as soon as
practicable.
5.3.3 Blackstart
Each control area Shall develop and maintain a blackstart capability plan
that includes:
a) A list of all blackstart generators with MW capacity, type of unit, date of
latest test, starting method, and transmission switching requirements of
each unit.
b) A demonstration of blackstart capability through simulation or testing
that Shall be performed at least every 5 years.
c) Each blackstart unit Shall be tested annually to show that it can be
started and operated without being connected to the system. The test
Shall be documented.
5.3.4 Forced Outages
The Operations Head of any key facility Shall notify the host control area of
a forced outage. The host control area Shall make the required WECC
notification.
5.3.5 Governor Droop
Governor droop should be set at 5 percent on all hydrogenerators.
5.3.6 Power System Stabilizers (PSS)
a) Keep PSS on on-line generators operational.
b) Install PSS on all new generators. Install PSS on 30-MVA and larger
generators when a new excitation system is installed.
c) Test and calibrate PSS equipment in conjunction with AVR testing and
calibration. Test and calibrate as often as necessary to maintain reliable
PSS performance in accordance with WECC PSS Tuning Criteria
(available on WECC website <www.wecc.biz>). PSS recalibration must
be performed if AVR response parameters are modified.
d) Report PSS operation monthly in accordance with the WECC RMS
reporting procedures.

6. OPERATING PROCEDURES AND CRITERIA

The following are guides to be followed by operating personnel in performing their
duties.
6.1 Operating Procedures
Develop Standing Operating Procedures for activities that could adversely
impact safety, the environment, or operations. Provide training for critical or
especially complex procedures. Facility management should ensure that
qualified personnel conduct on-the-job training (OJT) or formal classroom
training (or both) covering SOPs.
6.2 Abnormal or Unusual Operating Procedures
Develop procedures to handle conditions that require a response to failed
equipment or situations that require an immediate response by plant personnel.
Examples are the loss of station service power, failure of facility sumps,
activation of the evacuation plan, and the loss of generation. Include these
procedures as a section in the SOP.
6.3 Monitoring of Operating Performance
Operations are monitored and reviewed by the Operations Head. Record all
operating problems or conditions in the Operators logbook. Document
equipment failures in the facilities maintenance tracking system, which usually
is Maximo.
6.4 Standing Operating Procedures
The SOP is a comprehensive, single-source manual that establishes procedures
to be used in the operation of Reclamation facilities. The purpose of the SOP is
to ensure adherence to approved operating procedures over long periods of time
and during changes in operating personnel. A current and accurate SOP Shall
be available at the dam or operating facility according to the requirements in
FAC 02-01 Operating Practices and Procedures for High- and Significant-Hazard
Dams
Operations personnel Shall review the facility SOP annually, at a minimum. All
required changes will be noted and submitted to the Operations Head. The
Operations Head is responsible to ensure the SOP is updated and reflects
accurate information. The annual SOP review Shall be documented in the
control room logbook.
6.5 Emergency Action Plan (EAP)
The EAP outlines emergency action procedures for each facility. It includes
detection of an event, decisionmaking, notification, response levels, expected

actions, and emergency termination. It covers events such as earthquakes,

floods, and dam failures. It is included as a section in the SOP.
Operations personnel Shall review the facility EAP annually, at a minimum. All
required changes will be noted and submitted to the Operations Head. The
Operations Head is responsible to ensure the EAP is updated and reflects
accurate information. The annual EAP review Shall be documented in the
control room logbook.
6.6 Designers Operating Criteria (DOC)
The DOC are intended to provide the field personnel engaged in operation and
maintenance with the designers views on the proper use of the project features.
The DOC are to be regarded as definite instructions for the safe, proper, and
effective use of the facilities.
6.7 Facilities Instructions, Standards, and Techniques Volumes
FIST manuals provide guidelines for the operation and maintenance of power
facilities. Current copies of FIST manuals may be found on the Bureau of
Reclamation Intranet at <http://www.usbr.gov/power/data/fist_pub.htm>. The
Operations Head Shall ensure current copies of the FIST manuals are available.
7. SHIFT ROUTINES AND OPERATING PRACTICES
7.1 Scope
This section describes some important aspects of routine operations practices.
7.2 Purpose
Effective monitoring of equipment is necessary to detect abnormal conditions or
adverse trends. Monitoring allows actions to be taken before the equipment
malfunctions. Notifying the Operations Head of unusual or unexpected
situations will help ensure that attention is given to any problems. The Facility
Manager is responsible for operations and formally transfers authority to operate
to the Operations Head, who decides on the response to abnormal conditions.
7.3 Guidelines
7.3.1 Operator Rounds
Operator rounds Shall be of sufficient detail to ensure that the status of
equipment is known. Operators Shall conduct a thorough tour of all areas
within their responsibilities. Inspect equipment a minimum of once per
shift. Normally, rounds should be made at the beginning of a shift.

The following checks Shall be done in conjunction with Operator rounds:

a) Determine the status of plant equipment (i.e., operating, out of service,
under clearance, or under maintenance).
b) Inspect electrical panels, alarm panels, and breakers for abnormal or
unusual conditions. Report unexpected conditions, such as equipment
vibration, noise, unusual smells, or excessive temperatures, to the
controls area.
c) Check equipment alarm panels weekly to ensure the visual and audible
alarms are working properly.
d) Ensure that Operators check all facility areas and note any deficiencies.
These deficiencies may include oil or water leaks; clogged floor drains;
housekeeping or cleanliness problems; fire and safety hazards; and
building deficiencies such as inoperative lighting, roof leaks, or doors that
do not close properly.
e) Note deficiencies in the facilities maintenance tracking system.
7.3.2 Round Sheets
Round sheets are an excellent diagnostic tool and Operator Aid.
a) Round sheets are an effective method for providing Operators with
guidance on the extent to which equipment and areas should be inspected
during routine rounds.
b) Round sheets should be detailed enough to ensure personnel visit all key
areas of the facility. However, the Round sheets should not be so detailed
and time consuming that they inhibit the Operator from performing other
assigned duties.
c) Recording key equipment parameters provides a record of equipment
performance that can be used to reconstruct events leading up to an
equipment malfunction.
d) Round sheets provide for short-term trending of equipment parameters
and assist in Operator turnover and on-the-job training.
e) Round sheets should include maximum and minimum values for readings
taken to assist the Operator in identifying abnormal readings.
f) Parameters outside the specific maximum and minimum values should be
circled or otherwise highlighted on the round sheets and promptly
reported to the controls area.
g) The round sheets should contain a narrative section to allow the Operator
to document major evolutions and abnormal conditions.

h) The Operations Head should periodically review Operator round sheets

and the performance of Operator rounds to ensure that comprehensive
tours continue to be conducted, including as necessary, periodic
inspections of equipment and areas not listed on the round sheets.
7.3.3 Essential Equipment
Essential equipment is defined as equipment that requires extra scrutiny by
operations staff because of the consequences of failure. The failure of
essential equipment can compromise the safety, environment, and
operations of the facility.
The operations staff Shall ensure that this equipment is monitored by one of
the following: procedures, Operator rounds, round sheets, or preventative
maintenance checks.
a) Cooling Water System This cooling water system consists of cooling
water pumps, regulators and piping systems. These systems ensure
proper operation of transformers and generators. A loss of cooling water
flow can cause equipment damage. If the system is at penstock pressure,
a failure of the system could cause plant flooding. Check cooling water
systems each shift or monitor with an alarm system and write a work
order if a failure occurs.
b) Critical Valves Critical valves are valves that must be operated to
isolate systems in the facility that are at reservoir static pressure or that
contain fluids that could damage equipment or cause an uncontrolled
release of undesirable materials to the environment. These valves are
often in remote locations in the plant and are infrequently operated.
These valves include, but are not limited to, penstock fill and drain
valves, cooling water valves, sump discharge and fill valves, lube oil
transfer and filling valves, and service air isolation valves. The annual
operation of these valves will ensure Operator familiarity of the valve
locations and determine whether the valves can be operated in an
emergency.
c) Emergency Lighting Emergency lighting is essential to ensure safe
egress in the event that normal lighting is lost. Reclamation has strict
testing requirements (in accordance with National Fire Protection Act
(NFPA) standards) to ensure this lighting is reliable. (See FIST 4-1B.)
Depending on facility practice, Operators may conduct or assist in
conducting this testing. Operators should observe all emergency lighting
panels and alarms and report any problems to the proper contact.
Emergency lighting should be tested monthly and load tested annually.
d) Facility Sump Pumps and Controls Facility sumps serve as barriers
to the discharge of materials from the facilities to the environment,
prevent flooding in the plant, and indicate problems with facility
equipment. Checking the sumps for proper operation shift will limit the

possibility of a release into the environment or flooding in the facility

because of leakage of plant equipment going unnoticed for a long period of
time.
e) Fire Protection and Detection and Generator CO2 Systems Plant
fire protection and detection systems are important to alerting staff that
fire is in the plant. Reclamation has strict testing requirements (in
accordance with NFPA standards) to ensure these systems are reliable.
Depending on facility practice, Operators may conduct or assist in
conducting this testing. Operators should observe all fire protection and
detection panels and alarms and report any problems to the proper
contact. Generator CO2 systems detect and suppress fires inside
generator air housings that result from faults in the stator windings.
Periodic testing and inspection of these systems are required on a regular
basis. (See FIST 4-1B.)
f) Generator Exciter and Voltage Regulator System The exciter and
voltage regulator are essential to generator operation. Failure means
that the unit will not be able to control voltage or reactive power. This
system has several alarm, indication, and shutdown functions that must
be monitored regularly; some of these are on the exciter cubicle.
Operators should periodically inspect the cubicle, observe all indicating
devices, observe any visual and audible anomalies, and report as needed
to the appropriate contact.
g) Instrument AC and DC Systems Instrumentation is essential to
plant operations. Operators often rely (especially in the controls area) on
remote indications of plant equipment. On/off status, voltage, current,
temperature, pressure, flow, power, and many other parameters allow the
Operator to monitor the performance of plant equipment and determine if
the equipment is operating properly.
h) Lubrication Systems Lubrication systems ensure the proper
operation of plant equipment. A loss of lubrication can cause a failure of
equipment bearings or an environmental release. Check lubrication
flows, levels, and temperatures every shift or monitor with an alarm
system. Write a work order if the equipment has a low lubrication level.
i) Protective Relays and Protection Circuits Protective relays
monitor critical unit quantities and act to shut down the unit when
abnormal conditions exist. Relays are essential to the protection of plant
equipment, the stability of the power system, and the safety of personnel.
Likewise, protection circuits that enable relays to actually trip plant
protective equipment (e.g., breakers) must be fully functional at all times.
Operators should periodically observe the following: relay targets to see
that they are not dropped inappropriately, relay power supply lights to
ensure proper operation, and lockout relay red lights to ensure the

10

integrity of trip coils.1 Any anomaly in relay and protective relay circuit
operation should be reported to the appropriate contact. Additional relay
actuation sheets should be used, as appropriate, to document relay
actuations. Operators may assist maintenance staff that periodically test
the function of lockout circuits.
j) Station Service AC System Station service AC systems provide all
necessary auxiliary power to operate critical loads such as sump pumps
and battery chargers. Failure of the AC system leaves these critical loads
unsupplied, risking the plant or generating units. Station service
AC systems should be checked regularly to ensure proper operation,
including voltage levels, current levels, transformer temperatures and
levels, and any unusual noises or visual cues. Any anomaly should be
referred to the proper maintenance or management contact.
k) Switchyards Switchyards contain components that are often the
lifeblood (station service power) of the facility. Switchyards need to be
monitored for abnormal conditions or intrusion.
l) Transformers Transformers are a critical component of the power
train for several reasons. A transformer failure can be catastrophic, and,
because many transformers are located on the tailrace of a facility, their
failure can cause an oil spill on the ground or into a body of water.
Additionally, the replacement of a transformer can take several months
and leave the associated unit unavailable. Transformer temperatures
should be checked often to ensure the transformer is performing properly.
Moisture intrusion can lead to a failure; therefore, nitrogen pressure also
should be monitored. For selected transformers, oil analysis should be
performed on a regular basis, and the results and trends should be
monitored.
7.3.4 Response to Indicators
Operators must log any abnormal operating conditions and report these
conditions to appropriate personnel for corrective actions.
7.3.5 Resetting Protective Devices
Protective devices are installed to protect personnel and equipment from
operating beyond their design limits. Protective devices may be reset only
after establishing the reason the device limit was exceeded. Corrective
action by the Operator or technical staff is taken and reported as needed.
Use relay sheets to document any relay actuations.

Most lockout relay (and circuit breaker trip coil) circuits are designed so that the red indicating
light monitors the trip coil to ensure it is intact. If the red light is not lit, the coil may be burned out,
jeopardizing the protection.

11

8. CONTROLS AREA ACTIVITIES

8.1 Scope
This section discusses the controls area activities that help to achieve safe and
efficient operations.
8.2 Purpose
The controls area is the coordination point for all operations of equipment under
the jurisdiction of the Operator. Operators should not be overburdened with
administrative responsibilities. Access to the controls area should be limited so
that Operators are not distracted from properly monitoring and adjusting facility
equipment.
8.3 Guidelines
8.3.1 Access to the Controls Area
a) Facility controls area Shall have access limited to authorized personnel in
accordance with the directive and standard covering security of
Reclamation facilities. Facility management and the Operations Head
should establish a security plan to control access to the controls area.
b) The Operator on duty has the authority to restrict access to the controls
area.
c) Personnel not specifically trained and authorized are restricted from
operating any device that controls the operation of equipment.
d) Students, visitors, and Apprentices must be made aware of safe working
habits before entering the controls area.
e) Authorized personnel should accompany visitors in the controls area.
8.3.2 Professional Behavior
The Operations Head is responsible for enforcing professional behavior in
the controls area. Personnel disrupting operations will be asked to leave the
controls area.
8.3.3 Monitoring the Main Control Panels
Operators monitor, prepare printouts, and save files of the main operating
parameters and also major changes in operational requirements. Operators
log and respond to malfunctions and alarms according to established
procedures.

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8.3.4 Monthly Reports

Monthly operational reports generated by the operations staff are listed in
FIST 1-3, Reports and Records.
8.3.5 Controls Area Ancillary Duties
The Operations Head is responsible for reviewing Operator tasks to ensure
that Operators are not performing duties that could interfere with the
proper monitoring of operations. Operators perform administrative tasks
only when operating conditions permit.
8.3.6 Operation of Controls Area Equipment
Only Operators trained and authorized by the Operations Head may operate
the controls. New operating personnel should receive operations training
through an on-the-job training program. Experienced Operators supervise
new operating personnel until the Operations Head formally approves their
ability to operate the controls.
8.3.7 Continuity of Operations
A Continuity of Operations Plan Shall be established to ensure operations
can continue in the event the controls area has to be evacuated. This plan
should list locations to operate equipment from and how communications
will be established.
8.3.8 Self-Checking
Self-checking is a work practice in which an individual consciously and
deliberately reviews intended actions and expected responses before
performing a task.
Self-checking includes distinct thoughts and actions designed to enhance an
individual's attention to detail at a specific moment before performing a
task.
The self-checking technique consists using the STAR acronym as follows:
a) Stop This is the most important step of any self-checking technique.
Pause before performing a task to enhance attention to detail. The
simple act of stopping increases the likelihood of performing each task
correctly. Attempt to eliminate distractions.
b) Think Understand specifically what is to be done before manipulating
any equipment. Identify the correct component, train, unit, etc., before
taking any action. Use all senses that apply such as sight, hearing, and
touch. Question the situation by trying to identify information, available
or unavailable, pertinent to the task. Determine if the task is appropriate

13

for the given conditions. Consider expected responses and indications

associated with intended actions (such as flow noise, breaker noise,
meters, recorders, radiation levels, and vibration). Decide what actions to
take should expected responses not occur.
c) Act Without losing eye contact, physically touch the component without
actuating it. While touching it, confirm correct component, train, unit,
etc. Compare component or device label to checklist, procedure, drawing,
or memory (if necessary). Depending on the situation, there is some
benefit to saying the component's name out loud to enhance one's
attention to detail. Without losing the hand contact established earlier,
perform the intended action.
d) Review Compare the actual response to the expected response.
8.3.9 Potentially Distractive Materials and Devices
The Operations Head should approve the use of computerized, written,
audio, or visual material not having to do with operations before any of these
is used.
9. COMMUNICATIONS
9.1 Scope
Communications should be reliable and accurate when transmitting information.
9.2 Purpose
Oral and computer communications are the primary means of sending operations
information. Since accurate communication is essential for safe and efficient
operation, guidance in its use is necessary. Operators use the facilities audio and
visual warning devices to alert personnel to abnormal or emergency conditions.
These communications are controlled to insure that they do not detract from
normal operations and are available in an emergency. Specific information on
communication procedures must be given to outside users.
9.3 Guidelines
9.3.1 Emergency Communications Systems
Each facility Shall establish who is the Local Emergency Manager or
Coordinator.
The automatic fire alarm system sounds warning bells in all areas in the
event of an emergency requiring an emergency evacuation.

14

9.3.2 Communication System Failure

The facility Shall establish a plan to deal with disruptions in the facilitys
communication system. At a minimum, this plan Shall include alternate
methods to communicate with plant staff and outside organizations that are
necessary for the continuing operation of the facility.
9.3.3 Contacting Operators
The staff normally contacts Operators by the facility telephone. The
Operators use portable radios, pagers, cell phones, satellite phones,
microwave, and portable phones to maintain contact with the controls area
and each other, when necessary.
9.3.4 Communication with Dispatchers
Because these communications are often critical, a method of documenting
verbal communications with dispatchers Shall be established. This could be
in the form of a voice recorder or a written log.
9.3.5 Radios
Portable radios may be used by the facility operations staff to maintain
contact with the controls area and each other.
9.3.6 Testing of Radios
Test radio, telephone, satellite, and cellular systems monthly.
9.3.7 Abbreviations and Acronyms
Operators should use only commonly known abbreviations and acronyms in
communications.
9.3.8 Oral Instructions and Information Communication
Oral instructions should be clear and concise, and the sender and intended
receiver should be readily identifiable. hen necessary to insure that the
instructions are understood, the receiver, should repeat instructions
involving the operation of equipment.
During switching, emergency, or critical operations, three-part
communications must be used to prevent human error.

15

9.3.9 Communication of Testing Activities

When performing tests on plant equipment, notify the Control Room
Operator before starting the test to prevent confusion associated with
alarms coming into the control room.
10. CONTROL OF ON-SHIFT TRAINING
10.1 Scope
The primary mode of training for operating the facility is through on-the-job
training. Training must be carefully supervised and controlled to avoid mistakes
in operations. This chapter discusses the facilities training requirements.
10.2 Purpose
On-the-job training is that part of training where the new Operator or
Apprentice receives hands-on experience with the facility controls and
equipment. Experienced operations personnel supervise this instruction. The
Operations Head is responsible for determining the training methods, materials,
and documentation.
10.3 Guidelines
10.3.1 Adherence to Training Program
The Operations Head or Apprenticeship Committee determines the training
requirements, duration of training, and when an Operator is qualified to
operate the facility without direct supervision. In addition, a checklist
should be used to ensure completion of training requirements.
New Operators and Apprentices are required to familiarize themselves with
the facility reference documents, facility systems, policies, and procedures.
The Operations Head selects which facility-specific or other training
programs personnel must attend to be qualified to operate or use the facility.
The Operations Head or Apprenticeship Committee may authorize training
exemptions based on an assessment of personnel experience.
10.3.2 On-Shift Instructor Qualifications
The Operations Head or Apprenticeship Committee determines who is
qualified to instruct the Apprentices.
10.3.3 Qualified Operator Supervision and Control of Apprentices
Qualified Operators supervise training whenever Apprentices operate
equipment, ensuring that errors are not made that could degrade facility

16

safety or operation. Qualified Operators should review log readings and

other information recorded by Apprentices.
10.3.4 Suspension of Training
Training Shall be immediately suspended in the event of an abnormal
occurrence or emergency condition.
10.3.5 Maximum Number of Apprentices
The Operations Head should limit the number of Apprentices on any given
shift to ensure quality training occurs.
10.3.6 Use of Apprentices to Support Operations
The facility Shall set standards to determine when an Operator Apprentice
is permitted to perform certain procedures independently. Because of
personnel safety concerns, Apprentices Shall not independently perform
clearances.
11. INVESTIGATION, EVALUATION, AND DOCUMENTATION OF
INCIDENTS
11.1 Scope
The Directive and Standard for Power Operations and Maintenance Incident
Evaluation and Reporting Program (FAC 04-02) establishes the minimum
requirements for incident evaluation and reporting practices at Reclamation
power facilities. The requirements include the following:
Events (emergency, abnormal, and near-miss situations) are
thoroughly investigated to assess their impacts on operations.
Occurrences meeting certain criteria are promptly reported to facility
management.
Root causes are identified.
Corrective actions are identified and taken to prevent recurrence.
The event is properly documented.
11.2 Purpose
Each facility Shall have formal training to ensure that events (emergency,
abnormal, and near-miss situations) are recognized, reported, investigated, and
corrected.

17

Abnormal events are occurrences that could:

Affect the health and safety of the public, employees, or guests.
Have an adverse effect on the environment.
Affect the operations and intended purpose of the facility.
Result in loss or damage to property.
A violation of an established rule, standard practice, or standing operating
procedure.
Result in dangerous operating conditions.
Result in an unintentional equipment or system outage.
12. NOTIFICATION PROCEDURES
12.1 Scope
To aid the operations staff, establish a process to systematically notify plant
personnel or outside personnel or both should be established.
12.2 Purpose
It is essential to notify proper personnel in a timely manner regarding incidents.
Because notifications are not often provided, establish policies to ensure
notification of appropriate personnel.
12.3 Guidelines
12.3.1 Management Notification
Promptly notify management of abnormal occurrences to ensure that the
facility is responsive to public health and safety concerns. This section
provides guidance to ensure the uniformity, efficiency, and completeness of
these notifications.
Post a Notification Call List for occurrences, which includes the Facility
Manager and alternates, together with their telephone numbers, in the
facility controls area.
12.3.2 Types of Notifications
a) Emergency Plan activations require verbal notification within
15 minutes.
b) Other event notifications will be based on local facility policies and
procedures.

18

c) All reportable events require a written report to management within

24 hours of categorization.
d) NERC requires notification when a threat or act of sabotage occurs at a
power facility.
e) Keep the Emergency Plan in the SOP manual and describe notification
procedures in the event of an emergency.
f) The facility should establish local callout procedures for maintenance
issues that occur after normal working hours.
12.3.3 Notification Responsibility
a) The facility Operations Head ensures that those individuals listed on the
appropriate call-in list have indeed been notified and that any
requirements for notification have been satisfied.
b) List the names and phone numbers of facility personnel to be notified in
the event of an emergency in the Emergency Action Plan.
c) Keep the equipment responsibility call-in lists in the facility controls
area. The call-in lists should be broken down by equipment
responsibilities and include the names of primary and alternative
personnel, their phone numbers, and their pager numbers.
d) The on-duty Operator will log all abnormal conditions and any call-in of
facility personnel.
e) All call-outs and abnormal conditions Shall be logged in the facility
logbook.
13. CONFIGURATION MANAGEMENT
13.1 Scope
Good operating practices will maintain the facility's configuration within its
design limits and provide the Operators with knowledge of the status of the
equipment and systems.
13.2 Description
Facility Operators must be aware of how the equipment and systems function.
Operators also must be aware of operational limits. Communicate changes in
equipment and system configuration to the affected operating personnel by
noting these changes in the operations logbook(s) or by other methods that allow
Operators to review the changes.
The status of the equipment and systems is controlled according to SOPs.
Identification and documentation of equipment deficiencies is important to
ensure safe and reliable operation.
19

13.3 Guidelines
13.3.1 Status Change Authorization and Reporting
Changes to major equipment and systems should be reviewed by qualified
personnel. Maintenance personnel must notify the on-duty Operator of any
equipment changes that may affect the operations or safety of the facility.
Operators ensure that changes in the facility configuration and status are
communicated to all operations personnel and must document those changes
in the facility operations log.
13.3.2 Equipment and Systems Check
Perform equipment operational checks after shutdowns for maintenance or
repairs to ensure the equipment is properly restored. Use checklists as
needed or appropriate.
13.3.3 Equipment Locking and Tagging
Train all operations personnel on Lockout/Tagout in accordance with
FIST 1-1, Control of Hazardous Energy.
Record the use of locks and tags in a logbook that is maintained in the
controls area. Audit this log on a regular basis.
13.3.4 Disabling Alarms or Protective Devices
Alarms and protective devices are an essential part of plant operations.
Alarms notify facility Operators when parameters are exceeded. Protective
devices are often the Operators first line of defense against system failures,
but the malfunction of systems or the testing of equipment may require the
disabling of alarms or protective devices.
When alarms are disabled, it is crucial that they be disabled in a controlled
manner:
a) Retain a logbook in the controls area documenting the disabling of facility
alarms.
b) The use of the controls area log to document the disabling of this
equipment is not recommended if the device will remain disabled past the
current shift.
c) Any procedures requiring the disabling of an alarm or protective device
Shall contain a step to restore that alarm.
d) The review of disabled alarms or protective devices Shall be a part of the
shift turnover.

20

13.3.5 Equipment Deficiency Identification and Documentation

Equipment deficiencies are noted in MAXIMO and are reported to the
responsible group for repair by the appropriate craftsperson.
13.3.6 Changes in Relay Settings
Changes in relay settings Shall be peer reviewed and documented.
13.3.7 Alarm Status
Operators are trained to respond to all facility equipment and system
alarms. After establishing and/or correcting the cause, the Operator may
reset equipment alarms.
13.3.8 Temporary Modification Control
The Operations Head or the Facility Manager or both must approve
temporary modifications. Temporary modifications Shall be logged in the
operations logbook(s) by the on-duty Operator, and a special condition tag
may be issued, if appropriate, in accordance with FIST 1-1.
14. HAZARDOUS ENERGY CONTROL PROGRAM, FIST 1-1
14.1 Scope
This section provides a method to control equipment through locking or tagging
or both. These actions protect personnel from injury and protect equipment from
damage. Accidental operation of equipment during normal operation, servicing,
or maintenance has the potential to cause personal injury or equipment damage.
The Hazardous Energy Control Program allows workers to be sure that
equipment has been removed from service and later restored to operation.
14.2 Purpose
All clearances and lockouts on the facility will be done in accordance with
FIST 1-1. Clearances and lockouts will be in accordance with the FIST 1-1 local
implementing policy.
15. LOG KEEPING
15.1 Scope
Operations records contain a narrative log of the facility status and all events
required to reconstruct a history of operations. In this context, logs are defined
as a narrative sequence of events or functions performed by the operations staff.

21

15.2 Purpose
Operation logs are established to record the data necessary to provide a history
of facility operations. FIST 1-3, Reports and Records, contains additional
information about Operation logs.
The scope, type, and amount of data required by management is entered into the
logs, including documentation of actions taken, activities completed, and data
necessary to reconstruct events. Logs are reviewed to ensure that they are
adequately maintained and that operations personnel are aware of the
information in the logs.
15.3 Guidelines
15.3.1 Establishment of Operating Logs
Maintain the facility operations logs in the facility controls area. Only
authorized personnel may make entries in the controls area log.
15.3.2 Timeliness of Recordings
Information is entered, promptly or as soon as reasonably possible, to
prevent inaccuracies. Log keeping does not take precedence over controlling
and monitoring the facility.
15.3.3 Controls Area Log Requirements
Record all information pertaining to the safe and efficient operation of the
facility in the operations logbooks. To aid in reconstructing events, log as
much information as possible during emergencies and abnormal or
unexpected events.
a) The controls area logbook is a legal record of facts about project
operations. It is not a forum for opinions or philosophies.
b) Each logbook entry Shall be preceded by the time associated with the
event recorded.
c) All references to time Shall be made utilizing the 24-hour clock.
d) Activities of only 1 day Shall appear on an individual logbook page. At
remote facilities, this is not required because of the limited number of
entries. At remote plants, log the date and time for each entry.
e) If a logbook entry contains an out of chronological order sequence, note
the logbook entry by the phrase Late Entry or LE.
f) Commonly used acronyms are acceptable for logbook entries.
g) Individual pages Shall not be removed from the controls area logbook.

22

15.3.4 Information To Be Recorded:

a) A chronological history of all communications involving plant operations
b) Switching operations
c) Hot line orders
d) General switching
e) Changes in reservoir elevation operating criteria or water releases
f) Relay operations, including the relay identification
g) Clearances (issued or released), including the clearance number and
equipment cleared
h) Special condition tags (issued or released), including the equipment they
are placed on.
i) Unit start and stop times
j) Any pertinent alarms
k) Any equipment failures or malfunctions
l) Line outages
m) Breaker opening and closing
n) Call-outs
o) Any change in unit status:
Generator number
Condensing
Standby
Unavailable/available
p) The status of all major equipment at 0000 hours
15.3.5 Legibility
All log entries must be legible, understandable, and made in ink of a color
that can be photocopied.
15.3.6 Corrections
Score incorrect entries with a single line and initial.

23

15.3.7 Log Review

The Operations Head should review the operations logbook daily.
15.3.8 Care and Keeping of Logs
The Operators Supervisor is responsible for filing and storing the logs for
the expected life of the facility. Previous logs Shall be available for review
by Operators or staff returning after an absence.
16. SHIFT TURNOVER
16.1 Scope
Shift turnover provides oncoming Operators with an accurate picture of the
overall status of the facility. This section describes the important aspects of good
operations turnover.
16.2 Purpose
Operations turnover is a critical part of the facility's operation. Inaccurate or
improper (incomplete) shift turnover can contribute to or cause incidents, so it is
essential that operations personnel perform shift turnovers in a manner so that
an effective transfer of information takes place. Personnel Shall not assume
operational duties unless they are physically and mentally fit to do so and not
until they and the offgoing personnel have a high degree of confidence that an
appropriate information transfer has taken place.
Oncoming personnel Shall review logs, the turnover check sheet, visual displays,
computer pages, and alarm pages; and they Shall receive a verbal briefing before
assuming the responsibility of operating the facility.
16.3 Guidelines
16.3.1 Information Exchanged at Turnover
At a minimum, the following information should be exchanged during a shift
turnover:
a) Equipment on clearance
b) Major equipment status
c) Alarm status
d) Work in progress
e) Any abnormal plant conditions
f) Work scheduled

24

16.3.2 Turnover Checklists

A turnover checksheet is an invaluable tool to alert the oncoming Operator
to the status of the facility. If used, the oncoming Operator should review
the turnover checksheet.
16.3.3 Plant Status Review
Before being relieved, the offgoing Operator should perform a plant status
review to provide the latest details to the oncoming Operator. Oncoming
Operators use the first part of the shift to scan various SCADA displays,
alarm displays, disabled alarms, protective devices, and computer pages.
They also read the operations log to familiarize themselves with the current
operating conditions. The plant status review should include a walk down of
control panels to determine equipment-operating parameters.
16.3.4 Control Panel Walk Down
As part of Operator takeover, the oncoming Operator reviews the equipment
status and previous operational history.
16.3.5 Purpose and Exchange of Responsibility
Before taking responsibility for operating the facility, the on-coming
operation staff will discuss operating conditions with the out-going operation
staff. The operation staff will then sign in the controls area log.
16.3.6 Relief Occurring During the Shift
The Operations Head or a qualified Operator, cognizant of the operating
conditions of the facility, may relieve the on-duty Operator.
When a relief occurs during the shift, the out-going Operator gives the
oncoming Operator a verbal briefing containing at least the minimum
information for turnover discussed in this section.
17. OPERATOR READING FILES
17.1 Scope
A reading file for operations personnel should ensure that appropriate
individuals are aware of the important information related to job assignments
and plant operating conditions. This section describes such a reading program.

25

17.2 Purpose
Facility operations personnel receive important information from the Operations
Head. The Operations Head is responsible for distributing information to the
Operators.
17.3 Guidelines
17.3.1 File Index
A list of documents maintained in the Operator reading files should include:
Operational logs
Incident reports
Material containing powerplant operations emergency operating
procedures
Spill Prevention, Control, and Countermeasures Plan (SPCC)
Operational bulletins (containing changes in operational procedures and
equipment)
Operational schedules and maintenance schedules
The facility Standing Operating Procedure
These documents should be a part of the initial Operator training.
Facility management may require seasoned operations staff members to
review only revisions or the entire document on a periodic basis.
17.3.2 Reading Assignments
The Operations Head gives reading assignments to the operations staff.
Certain assignments require signatures by the operations staff to indicate
that they have read and understand the document.
17.3.3 Required Dates for Completion of Reading
The operation logs must be read by the oncoming shift before relief of the
out-going personnel.
Operational bulletins and information pertaining to operational schedules or
changes to plant procedures must be read by the oncoming operations staff.
The oncoming operations staff must be fully cognizant of the status of the
facility before taking over the shift.
The Operations Head will determine all other required reading completion
dates of material placed in the required reading file.

26

17.3.4 Documentation
The Operations Head should establish a method to track the Operator
reading files.
17.3.5 Review
Periodic reviews of the Operator reading files will be made by the Operations
Head to ensure that relevant and up-to-date information is available.
18. DEVELOPMENT AND USE OF OPERATING PROCEDURES
18.1 Scope
Operating procedures provide specific direction for operating systems and
equipment during normal, abnormal, and emergency conditions. This section
describes the important aspects of the development and use of operating
procedures.
18.2 Purpose
Procedures are a key factor affecting the operations staff performance.
Operating procedures should be sufficiently detailed so that the required actions
can be undertaken without direct supervision. The format may range from
detailed step-by-step instructions to general operating guidelines or outlines
based on complexity and risk. In all cases, procedures should be written so that
they can be easily used without making mistakes. To ensure that procedures are
effective and that the best possible instruction is provided, procedures should
receive periodic review and feedback.
18.3 Guidelines
18.3.1 Procedure Development
Procedures exist for all normal operations, postulated abnormal, and
emergency situations. The detail used in the procedures is based on the
complexity of the task, the experience and training of the operations staff,
the frequency of performance, and the significance of the consequences of
errors. Therefore, procedures can range from step-by-step instruction to
general operating guidance.
At a minimum, procedures should exist for complex tasks, infrequent
operations (more than one month interval), abnormal operations, and
operations where personal, public, or equipment safety is a concern.
18.3.2 Procedure Content
To provide uniformity in operations procedures, facility procedures conform
to the following guidelines:

27

a) The scope and purpose are clearly defined.

b) All procedures should be included in the SOP book.
c) Procedures should include references.
d) Warnings, notes, and cautions are easily identifiable (printed in bold) and
appear on the same page as the step of the procedure that the warning,
note, or caution applies.
18.3.3 Procedure Changes and Revisions
Procedures should be written and checked by a second qualified person.
Make changes and revisions to procedures to reflect current operating
practices and requirements. Facilities should set policies to control minor
changes to procedures. Place all procedure changes in the required reading
file for operations personnel.
18.3.4 Procedure Approval
The Operations Head or the Facility Manager or both will review the
procedures before issuance to ensure their accuracy.
The Operations Head is responsible for approving all operating procedures.
The Operations Head will sign and date new or revised operation procedures
with red ink. The signature in red ink indicates the original copy.
Revisions to the operating procedures require the same level of approval as
the initial versions.
18.3.5 Procedure Review
Emergency procedures are reviewed to insure that all aspects of safety and
environmental impact have been fully covered before issuance.
Operational procedures are periodically reviewed by the Operators
Supervisor to ensure that they are accurate and current.
Applicable procedures are reviewed after any abnormal event to ensure their
adequacy.
Drills covering the fire plan, facility evacuation, emergency action plan,
action plan, and other similar procedures should be performed on an annual
basis.
18.3.6 Procedure Availability
Up-to-date emergency and operational procedures are maintained at the
facility.

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19. OPERATOR AIDS

19.1 Scope
Operator Aids should provide information to Operators in performing their
duties. The Operations Head Shall ensure that posted Operator aids are
current, correct, and useful.
19.2 Purpose
Operator aids have an important function in the safe operation of the facility and
may come in many forms: complete or partial copies of procedures, system
drawings, memos, and placards. They can be placed throughout the facility to
assist the operations staff. These postings must reflect the most current
information and must not supersede or conflict with any procedure.
19.3 Guidelines
19.3.1 Operator Aid Development
Any facility staff member may develop an Operator Aid. However, Operator
Aids must be approved by the Operations Head before they can be posted in
the controls area or in the facility.
19.3.2 Approval
Each facility should establish a local practice to ensure Operator Aids have
an approval and control process.
19.3.3 Postings
Operator Aids are posted so they do not obscure instruments or controls.
Aids are located near the area of their expected use.
19.3.4 Use of Aids
Operator Aids are used as a convenience and for supplementing approved
procedures. They are not used to circumvent approved procedures.
19.3.5 Recommended Operator Aids
This is the list of recommended Operator Aids:
Unit outage schedules
Plant single-line diagram
Plant switching diagram

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 Generator capability curves

Procedures for difficult or complicated tasks
19.3.6 Control of Operator Aids
A log should be established and maintained listing all current Operator Aids
and their revision number.
19.3.7 Review
Operator Aids should be reviewed at least annually or after power plant
procedure changes to insure that they are accurate, current and necessary.
20. EQUIPMENT LABELING
20.1 Scope
A well-established and maintained program for labeling equipment will help to
ensure that the facility and support personnel can identify instrumentation,
controls, and equipment. In addition, equipment labeling is required by
Operational Safety and Health Administration (OSHA) regulations and various
national consensus standards.
20.2 Purpose
A good labeling program that is understood and maintained by operations and
maintenance personnel enhances the effectiveness of training. Such a program
also helps to reduce errors in operations and errors made by maintenance
personnel. Errors can result from incorrect identification of equipment and
controls.
The labeling program should allow personnel to identify instrumentation,
controls, and equipment needing labels. In addition to equipment, doors to
rooms should be labeled to help facility and support personnel to identify rooms
and, if applicable, the equipment inside.
20.3 Guidelines
20.3.1 Components Requiring Labeling
At a minimum, the following items should be labeled:
a) Emergency exits, fire alarms, fire protection, fire extinguishers
b) Rescue and first aid equipment

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c) Circuit breakers and power panels

d) Valves, piping systems, and major plant equipment
20.3.2 Label Information
Label information must be consistent with the information found in facility
procedures, drawings, and other documentation.
a) Labels must be permanently attached and have easy-to-read information.
The label should use common names of facility systems and equipment,
along with a number designator.
b) Valves should be labeled with a number and name describing the purpose
consistent with system drawings.
c) Piping systems should be labeled with flow direction and contents.
d) Major plant equipment should also be labeled by equipment number and
function.
e) Circuit breakers and panels are labeled so as to designate which circuit
they are fed from and what devices they feed.
f) Emergency exits, fire alarms, fire extinguishers, and fire protection
equipment are labeled in a standard industrial format.
20.3.3 Label Placement
Labels are placed on, or as near as practical to, the controls or equipment
being labeled. Labels are oriented so that they are easy to read.
20.3.4 Replacing Labels
The Operations Head (or other designated person) is responsible for
ensuring that missing or damaged labels, once identified, are promptly
replaced and that newly installed equipment or new modifications to
existing equipment are properly labeled.

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Acronyms and Abbreviations

AC

alternating current

AGC

automatic generation control

AVR

automatic voltage regulator

CO2

carbon dioxide

DC

direct current

DOC

Designers Operating Criteria

EAP

emergency action plan

FIST

Facilities Instructions, Standards, and

Techniques

kV

kilovolt

LE

late entry

MVA

megavoltampere

MW

megawatt

NERC

North American Electric Reliability Council

NFPA

National Fire Protection Association

O&M

operations and maintenance

OJT

on-the-job training

OSHA

Occupational Safety and Health Administration

PMAs

power marketing administrations

PSS

power system stabilizer

SCADA

Supervisory Control and Data Acquisition

SOP

Standing Operating Procedures

SPCC

Spill Prevention, Control, and Countermeasures

Plan

STAR

stop, think, act, review

SWRTA

Southwest Regional Transmission Association

WECC

Western Electricity Coordinating Council

WSCC

Western System Coordinating Council

WRTA

Western Regional Transmission Association