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[DOCUMENT TITLE]
1
ELECTRICITY INSPECTION AND AUDIT MANUAL
2
TABLE OF CONTENTS
1 INTRODUCTION ................................................................................................................................. 4
2 THE MANUAL ...................................................................................................................................... 4
2.1 OBJECTIVE .................................................................................................................................. 5
2.2 POWER TO CONDUCT INSPECTION .................................................................................... 5
3 TECHNICAL AUDIT OVERVIEW ..................................................................................................... 5
3.1 Types of Audits ........................................................................................................................... 5
3.1.1 Compliance Audit .............................................................................................................. 5
3.1.2 LICENSING AUDIT ............................................................................................................. 6
3.1.3 ACCIDENTS/INCIDENTS INVESTIGATIONS ................................................................ 6
3.1.4 CONSUMER COMPLAINT INVESTIGATION ................................................................. 6
3.1.5 ENVIRONMENTAL IMPACT ASSESSMENT REVIEWS ................................................ 6
3.2 AUDIT PHASES ........................................................................................................................... 7
3.2.1 PRE-AUDIT PREPERATIONS ............................................................................................. 7
3.2.2 CONDUCTING THE AUDIT .............................................................................................. 8
3.2.3 AUDIT REPORT ................................................................................................................... 8
4 AUDIT METHODOLOGY................................................................................................................... 8
4.1 COMPLIANCE AUDITS ............................................................................................................. 8
4.1.1 SYSTEMS AUDITS ............................................................................................................... 9
4.1.2 SITE INSPECTIONS .......................................................................................................... 13
LIST OF APPENDICES ............................................................................................................................. 14
APPENDIX 1: PRE-LICENSING SITE INSPECTION CHECKLIST ...................................................... 15
APPENDIX 2: LARGE HYDROPOWER STATION INSPECTION CHECKLIST ................................ 18
APPENDIX 3: SMALL HYDROPOWER STATION INSPECTION CHECKLIST ................................ 24
APPENDIX 4: SUBSTATION INSPECTION CHECKLIST (VOLTAGE ABOVE 33kV) ..................... 30
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APPENDIX 5: DISTRIBUTION SUBSTATION INSPECTION CHECKLIST (VOLTAGE BELOW
33kV) 35
APPENDIX 6: THERMAL POWER STATION INSPECTION CHECKLIST ......................................... 39
APPENDIX 7: Environmental Inspection checklist on Hydropower projects, ............................. 43
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1 INTRODUCTION
The Energy and Water Utilities Regulatory Authority (EWURA, here in after referred
to the Authority) is a statutory body established by the Energy and Water Utilities
Regulatory Authority Act, Cap 414 of the Laws of Tanzania to regulate the energy
sector through the establishment and enforcement of technical and performance
standards encompassing quality, safety and reliability of supply of energy and water.
The Electricity Technical Audit Manual activities shall be anchored on the systematic
efforts to carry out infrastructure and pre-licensing inspection in electricity
generation, transmission and distribution facilities. The Manual will be useful for the
Authority's Inspectors as well as for Licensees.
Among the Authority’s objectives are to provide better regulation that promotes
economic and technical efficiency in all aspects of the energy sector through an
implementation of an incentive-based regulation, performance benchmarking and
enforcement of standards and regulations. The focus shall be on improvement of
supply quality and reliability, promotion of security of supply and increased access
to electricity services in Tanzania. The manual therefore shall be used for compliance
audit and sites inspections. Also, the checklists attached to this Manual will be used
by EWURA as well as Licensee for inspection purposes. The licensee will give
commitments as to when the defects found during Auditing and Sites inspection as
well as be free to give suggestions and comments for better improvements on
inspected facilities will be cleared.
The Manual is divided into four sections: Section 1 gives some background
information to audits and inspections, while Section 2 introduces the manual. Section
3 gives an overview of technical audits inspections to be conducted and Section 4
outlines the audit methodology. Checklists are provided in Appendices 1, 2, 3, 4,5 &
6.
2 THE MANUAL
Technical audits are key element in the process of ensuring that licensed entities are
adhering to stipulated standards and guidelines.
5
2.1 OBJECTIVE
The manual is intended to provide guidance to the Authority and Licensees on how
technical audits and infrastructure inspections of different categories are to be
conducted. It clearly stipulates the responsibilities of the regulator and the licensee,
during and after the inspection audits. The manual therefore aims at ensuring
effective and efficient inspection audit practices to accomplish the fore-going goals.
2.2 POWER TO CONDUCT INSPECTION
This manual is made pursuant to Sections 31 of the Electricity Act, Cap 131, which
requires the Authority to monitor and assess compliance of licensees to governing
laws, rules and guidelines through inspections. The Authority has the power of
monitoring technical and safety standards (refer to Section 45, (b), (viii) of the
Electricity Act, Cap 131).
3 TECHNICAL AUDIT OVERVIEW
3.1 Types of Audits
The following audit and inspection activities shall be conducted by EWURA or
authorized entities:
3.1.1 compliance audits;
3.1.2 licensing audits;
3.1.3 accident/incident investigations;
3.1.4 consumer complaint investigations; and
3.1.5 Environmental impact assessment review
3.1.1 Compliance Audit
Compliance audits shall involve establishing whether the licensee is complying with
the stipulated licence conditions, standards, rules and regulations. Standards
enforcement shall be anchored on the following:
a) power quality and reliability ;
b) electricity safety code;
c) quality of consumer service;
d) the grid code and distribution code; and
e) electrical wiring and installations standards
The Authority shall monitor performance of servicee providers or licensees with
regard to prescribed performance benchmarks. Compliance audits shall generally
be conducted once every year, or as shall otherwise be deemed necessary.
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3.1.2 LICENSING AUDIT
Licensing Audit shall involve undertaking site visits to appreciate the physical
aspects relating to the projects technical and financial assessment of licence
applications. Technical assessments shall generally be conducted with regard to the
following:
a) verification of information given in the licensee application and other issues in
accordance with the site verification checklist;
b) establishment of the applicant’s technical expertise;
c) establishment of premises for the proposed activity and status of project
implementation; and
d) Compliance with Technical, Health, Safety and Environmental issues.
Prior to undertaking a site visit, the Inspector assigned shall make the necessary
arrangement for the visit with the Utility's Designated Officer. The Inspector shall
obtain answers of the items described in Appendix I of the checklists of this
manual, and will comment on all abnormalities.
3.1.3 ACCIDENTS/INCIDENTS INVESTIGATIONS
Accident/Incident investigations shall be conducted following receipt of a verbal or
written incident/accident report. EWURA may make use of investigation report
carried out by other relevant authorities as a reference to its main investigation
report.
3.1.4 CONSUMER COMPLAINT INVESTIGATION
Consumer complaints that require an investigation shall be conducted in
collaboration with appropriate personnel from the utility company who is conversant
with the matter.
3.1.5 ENVIRONMENTAL IMPACT ASSESSMENT REVIEWS
Electricity infrastructure shall be inspected to verify whether they comply with
Environmental requirements as per“ The Environmental Impact Assessment and
Audit Regulations 2005 “ and “Environmental Management Act , 2004 “ .
EWURA recognizes issued certificate by a National Environment Management
Council (NEMC), and therefore findings of the inspections on environmental issues of
a particular site / project will be documented either in the form of an environmental
project brief (for small projects with minimal environmental impacts or an
environmental project statement (for big projects with significant environmental
impacts assessments). Appropriate measures will be taken against those who will not
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comply with environmental issues. Furthermore, EWURA’s Inspector will fill in
Appendix 7 by providing comments when is on site , such that although he has seen
the NEMC Certificate from the project developer, he/she has to verify some
important environmental aspects , just for self satisfaction that some one who did the
EIA study report he did not forget anything.
3.2 AUDIT PHASES
The following phases shall be followed;
a) Pre-audit preparations (Audit initiation);
b) Conducting the Audit; and
c) Audit report
3.2.1 PRE-AUDIT PREPERATIONS
At the beginning of every year, or within 30 days after the work plans have been
developed, general audit introduction and notification letters with indicative dates
shall be sent to utilities that will be audited.
Prior to carrying out an audit, the Inspector responsible shall satisfy himself beyond
doubt that he/she is conversant with the following:
a) this Manual;
b) the facilities to be audited;
c) relevant provisions of prescribed standards;
d) provisions of the relevant licence; and
e) the Electricity Act, EWURA Act, and any other relevant legislation including
the Environmental Management Act.
The Inspector shall also endeavour to familiarize himself with relevant internal
policies of the licensee to be audited.
At least seven (7) working days prior to the intended date of commencement of the
audit, the Inspector responsible for carrying out the inspection shall ensure that
written communication is sent to the appropriate Licensee's office (Regional office,
Divisional office and/or the corporate office, as the case may be) of the Utility to be
audited. Furthermore, the Inspector shall also endeavour to inform the relevant
utility's personnel verbally within the 7 days notice period. Written communication
shall cover the following:
a) audit participants;
b) the objective and period for the audit;
c) the time and date of the opening meeting;
d) the number of auditors in the audit team and the date and length of their visit;
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e) the audit coordinator whom the Utility may contact for clarifications with
regard to the notification letter; and
f) Utility's records that will be reviewed during the audit.
In the event that non-compliance is established at a particular facility, the preferred
course of action shall be a notice for remedial measures and/or sanction by the
Authority.
3.2.2 CONDUCTING THE AUDIT
Unless otherwise required, all audits shall begin with communications with the Head
Office of the Utility. Copy of the communications shall be sent to the respective area
to be audited. At any given time, audit shall be conducted in the presence of senior
member of management in-charge or representative of the area to be audited. The
absence of any Utility's Senior Officers or Representative during an audit exercise
will be considered and recorded as a non compliance.
3.2.3 AUDIT REPORT
Following the completion of an audit, the Inspector shall conduct an exit meeting to
conclude the audit. The completed audit checklist signed by the inspector in-charge
shall also be signed by the utility's authorised representative, and a copy left with the
utility staff for record and follow-up action. The final report shall be submitted to the
utility within a period not exceeding 30 days from date of completion of the audit.
The Utility shall submit a detailed action plan on non-complied matters within a
prescribed period, failure to which the Authority will take appropriate action.
4 AUDIT METHODOLOGY
Audit methodology discussed herewith relates to compliance with standard
operating procedures of the energy utilities companies. There will be two sections
for Auditing, one is compliance audit and the second is site inspection Audit. These
are discussed in detail in sections 4.1 and 4.2 below :
4.1 COMPLIANCE AUDITS
Compliance audits shall comprise of systems audits and site inspections. System
Audit referred to checking compliance to quality and reliability of supply, safety,
maintenance, planning, performance monitoring, and demand side management and
compliance to the Electricity Act, 2008. The Audit shall also verify the information
previous provided by the utility company. Site Inspection will be done to oversee
and identify the actual electricity facilities conditions on site as well as recording all
findings for the utility company to rectify. The site inspection shall involve the items
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indicated in a checklists attached to this manual (No.1 to 6 ) which shall be signed by
both parties after inspection.
4.1.1 SYSTEMS AUDITS
Systems audits shall encompass the following:
4.1.1.1 quality and reliability of supply;
4.1.1.2 safety;
4.1.1.3 maintenance;
4.1.1.4 planning;
4.1.1.5 performance monitoring ;and
4.1.1.6 demand side management
4.1.1.1 QUALITY AND RELIABILITY OF SUPPLY
In establishing the adequacy of internal systems with regard to quality and
reliability of supply, the audit criteria shall comprise the establishment of
adherence to provisions of quality and reliability standard.
The following aspects shall be examined:
1. Power quality:
a) Does the Utility monitor and control voltage within required limits?
b) Does the Utility determine and set operating voltage limits which will
ensure adequate post-contingency voltage?
c) Does the Utility determine, set and monitor reactive reserve requirements
such that post-contingency voltage is adequate? The reactive reserve
requirement may be expressed by pre-contingency voltage limits.
2. Prudent utility practice:
a) Does the Utility determine the needed amount and location of operating
reserves, implements generator commitment and dispatch schedules?
b) Does the Utility monitor the levels of real and reactive reserves to ensure
they are adequate and takes action when they are not?
c) Does the Utility monitor and take action against transmission congestion?
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3. Emergency preparedness:
a) Does the Utility prepare and maintain emergency operating procedures,
which describe the responsibilities and actions to be taken by plant
personnel during system emergencies
b) When emergencies appear imminent, does the Utility seek regulatory
relief from those regulatory requirements that reduce output?
c) Does the emergency operating procedures address the following system
disturbances and the facility’s response to these disturbances on :
(i) low Frequency System Instability;
(ii) high Frequency;
(iii) low Voltage;
(iv) low System Reserve Margins;
(v) low VARs; and
(vi) loss of normal communications.
d) Does the Utility have a procedure and an authority to shed load when an
emergency is declared without any management approval?
e) Does the Utility have site specific emergency preparedness procedures?
f) Does the site emergency response plan address the following?
i. how to report emergencies;
ii. notification of appropriate site personnel;
iii. notification of outside parties; both organizational as well as
civil;
iv. the location and staffing of a “command” centre;
v. individual roles and responsibilities;
vi. egress procedures and assembly points;
vii. all clear and re-entry procedures;
viii. isolation and shut-down of vital processes and work areas;
ix. chemical spills clean-up and mitigation procedures;
x. search and rescue procedures;
xi. control of visitors and contractors;
xii. emergency telephone numbers;
xiii. off-site emergencies;
xiv. communications with the general public and media; and
xv. radiation sources.
g) Does the Utility have at least one means of communication during
emergencies?
h) Does the Utility perform real-time contingency studies to ensure
system is being operated in a manner that will allow it to recover
from any N-1 contingency within sixty minutes?
4. Load Management
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a) Does the Utility implement generator dispatch schedules to ensure that
load and generation are balanced?
b) Does the Utility maintain approved scheduled generation outages?
c) Does the Utility maintain approved scheduled transmission outages?
d) Does the Utility have a policy on load shedding?
4.1.1.2 SAFETY
In auditing safety systems requirements, the Inspector shall seek answers to the
following questions:
1. Personal protective Equipment (PPE);
Does the Utility have a procedure to provide required Personal Protective
Equipment (PPE) to its employees?
2. Does the Utility have a procedure for prompt communication of information
gained from an accident/incident investigation throughout the utility and to
the relevant statutory bodies?
3. Does the Utility have a procedure that requires general safety
inspections/technical audits to be conducted at its sites at regular (at least
quarterly) intervals?
4. Permit systems
a) Does the Utility have adequate senior authorized personnel at the site?
b) Does the Utility have a procedure that is used to identify the requirements
for site-specific permits and special work practices (WPs) for work
associated with: confined spaces, Energy sources, hazardous materials,
flammable atmospheres, hot work, Excavation?
c) Does the Utility keep copies of issued permits kept on file in accordance
with regulatory requirements and good practices?
5. Does the Utility have a procedure for orienting and educating employees on
relevant rules prior to starting new or different work assignments?
6. Does the Utility have a procedure to allocate the appropriate signs and colour-
coding to be used to reinforce rules and work processes?
7. Does the Utility have a procedure for analyzing the site's significant operations
to identify hazards and risks associated with them?
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8. Does the Utility have a procedure to ensure all new employees receive a
general orientation to the site's safety program?
9. Does the Utility have a formal refresher process for the competency training
program which ensures employees receive update training for vital skills at
least every three years?
10. Does the Utility keep accurate records of who received safety management
training?
11. Does the Utility have a procedure for collecting and providing feedback to
employees regarding their safety concerns?
12. Does the Utility have a policy on safety, health, environment and quality?
4.1.1.3 MAINTENANCE
Maintenance systems shall be audited with regard to preventive and breakdown
maintenance. The following criteria shall be used:
1. Does the Utility have an annual maintenance schedule?
2. Does the Utility adhere to the annual maintenance schedule?
3. Does the Utility have a system to evaluate the effectiveness of the annual
maintenance schedule?
4. Does the Utility have a system to monitor equipment condition at regular
intervals?
5. Does the Utility have general guidelines on equipment restoration following a
breakdown?
4.1.1.4 PLANNING
System planning shall be audited with regard to network expansion and
reinforcement plans. Planning principles shall be evaluated using the following
criteria:
1. Does the Utility conduct regular least cost transmission and generation
planning?
2. Does the Utility maintain system expansion plans based on thorough load
forecasting studies?
3. Does the Utility have a system to identify areas requiring reinforcement?
4. Does the Utility carry out periodic load flow studies?
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4.1.1.5 PERFORMANCE MONITORING
Performance monitoring systems shall be monitored with regard to the following:
1. Does the Utility have a system to analyze their performance in terms of
prescribed Key Performance Indicators?
2. Does the Utility set internal performance benchmarks for key performance
indicators?
4.1.1.6 DEMAND SIDE MANAGEMENT
Demand Side Management (DSM) efforts shall be monitored with regard to the
following:
1. Does the Utility have a DSM program?
2. Does the Utility have Educational program to educate its customers?
3. Does the Utility have Metering targets for its unmetered customers?
4. Does the Utility have meters at all its bulk supply points?
5. Does the Utility enforces power factor improvements requirements for its
industrial customers?
4.1.2 SITE INSPECTIONS
Site inspections shall be undertaken to verify regulatory information submitted by
the Utility to the Authority. Prior to conducting site visits, the Officers assigned shall
satisfy themselves that the report has all the necessary sections and information
(including detailed site maps) for decision making.
14
LIST OF APPENDICES
1. Appendix 1 : Pre licensing Site Inspection Checklist
2. Appendix 2 : Large Hydropower(>10MW ) station Checklist
3. Appendix 3: Small Hydropower (<10MW) Station Inspection Checklist
4. Appendix 4 : Substation Inspection Checklist (Voltage above 33kV )
5. Appendix 5 : Distribution Substation Inspection Checklist (Voltage below 33kV )
6. Appendix 6 : Thermal power station Inspection checklist
7. Appendix 7 : Environmental Inspection checklist on Hydropower plants,
Transmission and Distribution lines
15
APPENDIX 1: PRE-LICENSING SITE INSPECTION CHECKLIST
NAME OF LICENSEE
PLANT NAME
REGION/TOWN
DATE
INSTALLED CAPACITY
( MVA/MW )
AVAILABLE CAPACITY (MVA/MW )
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
CAPACITY(MW)
AVAILABLE
CAPACITY
(MW)
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PHYSICAL SITE VERIFICATION CHECKLIST
Applicant:……………………………………………………………………………………..
Application Reference:……………………Date:………………………………………...
License Details:…………………………… MW Location:………………………………
Date of Site Visit: …………………………………………………………………………...
1. LOCATION
Site description (size, boundaries, neighbourhood): ……………………..........
Land acquisition (leased or acquired?):……….....………………………............
Interference to other human activities: ……………………………………...........
Interference to other infrastructure (power line, water or gas systems, road diversions or
blockage etc)……………………………………………
Availability to utilities/services/access road, power/water/gas
supply:…………………………………………………………………………...........
2. PLANT LAYOUT
Suitability to personnel/equipment movement?:………………………….........
Suitability to emergency response (exits and signs, fire extinguishers, passage ways
etc):……………………………………………………………................................
Functional interfaces (e.g. various connections for power, water, fuel, drainage etc) including
metering where applicable:……………………..............................................
Location of key equipment relative to their functions (engines, generators, transformers,
auxiliary facilities etc):………………………..................................................
3. ELECTRICAL LAYOUT
Single line diagram:........ ...………………………………………………….........
Metering points:………………………………………………………………..........
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4. MAIN EQUIPMENT DESCRIPTION
Equipment Type/ID Capacity No Units Other Specification
Engine/Turbine
E1=
E2=
E3=
Generator G1=
G2=
G3=
Transformer Type/ID Size Voltages
Any other comments.............................................................................
Name of EWURA’s Inspector: .................................................................................
Signature..................................................................................................................
Date.........................................................................................................................
I acknowledge the contents of the above document as has been served upon me by the above
named EWURA official
Name of Licensee Official: ………………………………………………………………....
Job Title: ……………………………………………………………………………………....
Signature: ……………………………………………………………………………………..
Date: …………………………………………………………………………………………..
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APPENDIX 2: LARGE HYDROPOWER STATION INSPECTION CHECKLIST
NAME OF LICENSEE
PLANT NAME
REGION/TOWN
DATE
INSTALLED CAPACITY ( MVA/MW )
AVAILABLE CAPACITY (MVA/MW )
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
CAPACITY(MW)
AVAILABLE
CAPACITY
(MW)
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A. TRANSFORMER (S) - Tick the appropriate item
Oil leaks Fire blast walls
No leaks
Has leaks
Fire Blast walls appropriately installed
No fire Blast walls
Transformer maintenance Oil spillage containment
Regular maintenance done
Inadequate-partial
maintenance
No maintenance –no records
Adequate bund wall in place
No Bund wall
Plinth condition
Concrete plinth in place
No concrete
Fire fighting facilities
Extinguishers available, adequate,
serviced and appropriate
Extinguishers inappropriate, not serviced
or inadequate
Not available
Ventilation – indoor s/s
Ventilation provided
No Ventilation
Transformer protection
Adequate protection in place
Inadequate or No protection GENERAL STATE OF REPAIR
Conditions of Turbine Condition of cooling water system
Turbine casing has no
leaks
Turbine casing leaking
All cooling water components in good
repair
Inadequate maintenance
Condition of excitation
System
Condition of drainage water system
Both AVRS working
Only one AVR working
Both AVRS not working
In good working condition
Not in good working condition
Not working Condition of governors Condition of penstock
Good working condition
Governor not in good
condition
Penstock leaking
Penstock not leaking
20
Condition of lift/cranes
Lift and cranes working
and records available for
statutory inspection
Lift and cranes not working
Machine status indication lights
All indications working
Only some indications working
All indications not working
Equipment labels
Labelling available and in
good repair
Labelling not in good
repair or not there
Weed room
Good working condition
Poor condition or not working
Intake gates Trash rack
In good working condition
Poor condition or not
working
Good working condition
Not working
Spill way gates
Good working condition
Poor condition
Outfall cranes
Good working condition
Poor working condition or not working
SAFETY
Danger warning signs Competence of personnel
Appropriate notices or
signs in place
Inappropriate notices or
signs
No notices or signs
Plant manned by adequate (full
establishment )
Authorized personnel
Inadequate Authorized personnel
Fire and flood alarms Procedures for safe (emergency)
Shutdown
Available
Not available
Procedures available
Procedures not available
21
First aid
facilities available
Only procedures available
Only facilities available
Procedures and facilities
unavailable
Fire fighting facilities
Extinguishers available, adequate,
serviced and appropriate
Extinguishers inappropriate, not
serviced or inadequate
Not available
PPE procedures
PPE available
PPE not available
Fire drills
Conducted
Not conducted
Emergency escape route
Escape route clearly
marked
Escape route faded and/or
not marked
Fire assembly point
Assembly point available
Assembly point not available
Plant security
Plant manned by adequate
(full
Established
PPE not available
Safety documents (permits )
Switching instructions, permit to work
and limitation of access properly issued
and kept on file
Permits not properly issued or not kept
on file
OPERATIONS AND MAINTENANCE
Operation logbook Means of communications
Available and in use
Inappropriate notices or signs
No notices or signs
Available
Unavailable
Black start procedure
Available and in use
Available but not in use
Not available
Work procedures
Available
Not available
22
Equipment maintenance
Regular maintenance done
Inadequate partial maintenance
No maintenance –no records
Maintenance schedules (plan)
Available and adhered to
Available but not adhered to
Not available
Circuit breakers and isolators
Circuit breakers and isolators
adequate
Only circuit breakers installed
Only isolators installed
No circuit breakers and
isolators installed
Protective relays
In place ,regularly tested and in good
working condition
No test records
No relays
BATTERIES
Space around batteries Battery room floor
Space provided around
batteries
Adequate
Space inadequate
floor can contain electrolyte spillage
floor cannot contain electrolyte spillage
Battery enclosure
Battery enclosure
appropriate
Battery enclosure
inappropriate
Electrical (lighting) fixtures
Fixtures appropriately installed
Inappropriately installed
Ventilation
Ventilation available
Ventilation unavailable
Safety signs
Appropriate safety signs in place
Safety signs inappropriate or not there
23
Battery racks
Battery racks properly
anchored & earthed
Battery racks not properly
anchored ( or earthed )
Battery maintenance
Maintenance records available
No records available Eye protection
Available
Not available
Any other comments..........................................................................
Name of EWURA’s Inspector: ..................................................................................
Signature.................................................................................................................
Date........................................................................................................................
I acknowledge the contents of the above document as has been served upon me by
the above named EWURA official
Name of Licensee Official: ………………………………………………………………........
Job Title: ……………………………………………………………………………………........
Signature: ………………………………………………………………………………….........
Date: ………………………………………………………………………………………..........
24
APPENDIX 3: SMALL HYDROPOWER STATION INSPECTION CHECKLIST
NAME OF LICENSEE
SUBSTATION NAME
REGION/TOWN
DATE
INSTALLED CAPACITY
( MVA/MW )
AVAILABLE CAPACITY (MVA/MW)
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
CAPACITY(MW)
AVAILABLE
CAPACITY
(MW)
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A. TRANSFORMER (S)
Tick Oil Leakages Tick Fire Blast Walls
No Leakages
Fire Blast Walls Appropriately
Installed
Has Leakages No Fire Blast Walls
Transformer Maintenance Oil Spillage Containment
Regular Maintenance Done Adequate Bund Wall In Place
Inadequate-Partial
Maintenance No Bund Wall
No Maintenance-No Records
Transformer Mounting/
Plinth Condition Fire Fighting Facilities
Concrete Plinth In Place
Extinguishers Available, Adequate,
Serviced And Appropriate
Not Concrete
Extinguishers Inappropriate, Not
Serviced Or Inadequate
Not Available
Ventilation - indoor s/s Transformer Protection
Ventilation Provided Adequate Protection In Place
No Ventilation Inadequate Or No Protection
B. GENERAL STATE OF REPAIR
Tick Condition Of Turbines Tick Condition Of Cooling System
Turbine Casing Has No Leaks
All Cooling Water Components
In Good Repair
Turbine Casing Leaking Inadequate Maintenance
26
Condition Of Excitation System
Condition Of Drainage Water
System
Both AVRs Working In Good Working Condition
Only One AVR Working Not In Good Working Condition
Both AVRs Not Working Not Working
Condition of Governors Condition of Penstock
Good Working Condition Penstock Leaking
Governor Not In Good Condition Penstock Not Leaking
Condition of Lift/Cranes Machines Status Indication
Lights
Lifts And Cranes Working And
Records Available For Statutory
Inspection
All Indications Working
Lift And Cranes Not Working Only Some Indications Working
All Indications Not Working
Equipment Labels Weed Boom
Labelling Available And In Good
Repair
Good Working Condition
Labelling Not In Good Repair Or
Not There
Poor Condition Or Not Working
Intake Gates Trash Rack
In Good Working Condition Good Working Condition
Condition Poor Or Not Working Not Working
27
C. SAFETY
Tick Fire Fighting Facilities Tick Danger/warning signs
Extinguishers Available,
Adequate, Serviced And
Appropriate Extinguishers
Appropriate Notices or Signs In
Place
Inappropriate, Not Serviced or
Inadequate
Inappropriate Notices or Signs
Not Available No Notices or Signs
Tick
Fire Alarm
Tick
Procedures For Safe
(Emergency) Shut Down
Available Procedures Available
Not Available Procedures Not Available
First Aid PPE
Procedures and facilities
Available
PPE available
Only Procedures available PPE Not available
Only Facilities available
Procedures and facilities
unavailable
Emergency Escape Route Plant Security
Escape route clearly marked Plant secured
Escape route faded and/or not
Marked
Plant not secured
Competency of Personnel Safety documents (Permits)
Plant manned by adequate (Full
Establishment)authorized
Personnel
Switching instructions, Permits to
Work and limitation of access
Properly issued and kept on File
Inadequate authorized Personnel Permits not properly issued or
not kept on File
28
D. OPERATIONS AND MAINTENANCE
Operational Logbook Means Of Communication
Available and in use Available
Available but not in use Unavailable
Not Available
Black start Procedure Work Procedures
Available and understood Available
not available and/or not
understood
Not available
Equipment Maintenance Maintenance Schedules (Plan)
Regular maintenance done Available and adhered to
Inadequate-Partial Maintenance Available but not adhered to
No maintenance-no records Not available
Circuit Breakers And Isolators PROTECTIVE RELAYS
Circuit Breakers And Isolators
Adequate
In place, regularly tested and in
good working condition
Only circuit breakers installed No test records
Only isolators installed No Relays
No circuit breakers and isolators
installed
E. BATTERIES
Space around Batteries Battery room floor
Space provided around batteries
adequate
floor can contain electrolyte
spillage
Space inadequate floor cannot contain electrolyte
spillage
Battery enclosure Electrical (lighting) Fixtures
29
Battery enclosure appropriate Fixtures appropriately installed
Battery enclosure inappropriate Inappropriately installed
Ventilation Safety Signs
Ventilation available appropriate safety signs in place
Ventilation unavailable safety signs inappropriate or not
there
Battery racks Battery Maintenance
Battery racks properly anchored
(&/or earthed)
maintenance records available
Battery racks not properly
anchored (or earthed)
no records available
Eye protection
Available
not available
Any Other Comments: ............................................................................
Name of EWURA’s Inspector: …………………………………………………..........................
Signature:………………………………………………………………………….........................
Date………………………………………………………………………………...........................
I acknowledge the contents of the above document as has been served upon me by
the above named EWURA Official
Name of Licensee Official:............................................................................................
Official:…..………………………………………………………............................................
Job Title:……………………………………………………………………….…………...............
Signature..………………………………………………………………………………….............
Date:……………………………………………………………..………...................................
30
APPENDIX 4: SUBSTATION INSPECTION CHECKLIST (VOLTAGE ABOVE 33kV)
NAME OF LICENSEE
SUBSTATION NAME
REGION/TOWN
DATE
SUBSTATION CAPACITY ( MVA )
SUBSTATION MAXIMUM DEMAND (MVA )
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
TRANSFORMERS
CAPACITY(MVA)
AVAILABLE
CAPACITY
(MVA)
REACTORS
(MVAr )
CAPACITORS
(MVAr)
31
A.TRANSFORMER (S) - Tick the appropriate item
Oil leaks Fire blast walls
No leaks
Has leaks
Fire Blast walls appropriately installed
No fire Blast walls
Transformer maintenance Oil spillage containment
Regular maintenance
done
Inadequate-partial
maintenance
No maintenance –no
records
Adequate bund wall in place
No Bund wall
Transformer maintenance Fire fighting facilities
Plinth condition
Concrete plinth in place
No concrete
Extinguishers available, adequate,
serviced and appropriate
Extinguishers inappropriate, not serviced
or inadequate
Not available
Earthing
Properly done
Not properly done
Transformer protection
Adequate protection in place
Inadequate or No protection
B. SUBSTATION IN GENERAL
Equipment maintenance Protective relays
Regularly maintenance
done
Inadequate-partial
maintenance
No maintenance-no
records
In place and regularly tested
No test records
No relays
Drainage
Drainage is available
Not available
Substation lighting
Adequate lighting
Inadequate lighting
32
Circuit breakers and
isolators
Substation Earthing and bonding
Circuit breakers and
isolators adequate
Only circuit breakers
installed
No circuit breakers and
isolators installed
Earthing installed, regularly tested and
all equipment bonded
No test records available
No Earthing
Substation
accessibility
Substation easily
accessible
Substation difficult to
access
Means of communication
All indications working
Only some indications working
All indications not working
Colour coding /phase
identification
Danger/warning signs
Phases have
appropriate color
coding or identification
Phase have
inappropriate color
coding or identification
Phases have no color
coding or means of
identification
Appropriate notices or signs in place
Inappropriate notices or signs
No notices or signs
First aid Safety document (permits)
Procedures and
facilities available
Only procedures
available
Only facilities available
Both procedures and
facilities not available
Switching instructions, permits to work
and limitation of access properly issued
and kept on file
Permits not properly issued
or not kept on file
PPE procedures
PPE available
PPE not available
Substation fencing
Substation fencing in good repair and
locked
33
Operational logo book
Substation fencing not in good repair
Security of supply
Available and in use
Not available
Substation capacity firm
Capacity not firm
Substation grounds Equipment labels
Substation grounds
covered with high
resistivity material
No high resistivity
material
Labelling available in good repair
Labelling not in good repair or not there
Voltage regulation
Voltage within
allowable limits
Voltage outside
allowable limits
Substation house keeping
Orderly
Not orderly
C. BATTERIES
Space around batteries Battery room floor
Space provided around
batteries
Adequate
Space inadequate
floor can contain electrolyte spillage
floor cannot contain electrolyte spillage
Battery enclosure
Battery enclosure
appropriate
Battery enclosure
inappropriate
Electrical (lighting) fixtures
Fixtures appropriately installed
Inappropriately installed
Ventilation
Ventilation available
Ventilation unavailable
Safety signs
Appropriate safety signs in place
Safety signs inappropriate or not there
34
Battery racks
Battery racks properly
anchored & earthed
Battery racks not
properly anchored ( or
earthed )
Battery maintenance
Maintenance records available
No records available
Eye protection
Available
Not available
Any other comments.............................................................................
Name of EWURA Inspector: .......................................................................................
Signature:.................................................................................................................
Date: .......................................................................................................................
I acknowledge the contents of the above document as has been served upon me by
the above named EWURA official
Name of Licensee Official: ………………………………………………………………..........
Job Title: ……………………………………………………………………………………..........
Signature: ……………………………………………………………………………………........
Date: ……………………………………........................................................................
35
APPENDIX 5: DISTRIBUTION SUBSTATION INSPECTION CHECKLIST
(VOLTAGE BELOW 33kV)
NAME OF LICENSEE
SUBSTATION NAME
REGION/TOWN
DATE
SUBSTATION CAPACITY ( MVA )
SUBSTATION MAXIMUM DEMAND (MVA )
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
TRANSFORMERS
CAPACITY(MVA)
AVAILABLE
CAPACITY
(MVA)
36
A. TRANSFORMER (S)
Tick Oil Leakages Tick Fire Blast Walls
No Leakages
Fire Blast Walls Appropriately
Installed
Has Leakages No Fire Blast Walls
Transformer Maintenance Oil Spillage Containment
Regular Maintenance Done Adequate Bund Wall In Place
Inadequate-Partial
Maintenance No Bund Wall
No Maintenance-No Records
Transformer Mounting/
Plinth Condition Fire Fighting Facilities
Concrete Plinth In Place
Extinguishers Available, Adequate,
Serviced And Appropriate
Not Concrete
Extinguishers Inappropriate, Not
Serviced Or Inadequate
Not Available
Transformer Protection Ventilation – Indoor Substation
Adequate Protection In Place Ventilation Provided
Inadequate Or No Protection No Ventilation
B. SUBSTATION IN GENERAL
Tick Equipment Maintenance Tick Danger/Warning Signs
Regular Maintenance Done Appropriate Notices Or Signs In Place
Inadequate-Partial
Maintenance Inappropriate Notices Or Signs
No Maintenance-No Records No Notices Or Signs
37
Substation Accessibility Substation Lighting
Substation Easily Accessible Adequate Lighting
Substation Difficult To Access Inadequate Lighting
Colour Coding/Phase
Identification Substation Earthing and Bonding
Phases Have Appropriate Color
Coding Or Identification
Earthing Installed, Regularly Tested
And
All Equipment Bonded
Phases Have Inappropriate
Color Coding Or Identification No Test Records Available
Phases Have No Color Coding
Or Means Of Identification
Earthing Installed but not all
equipment bonded.
No Earthing
PPE Security Of Supply
PPE Available Substation Capacity Firm
PPE Not Available Capacity Not Firm
Substation Fencing Safety Documents (Permits)
Substation Fencing In Good
Repair And Locked
Switching Instructions, Permits To
Work And Limitation Of Access
Properly Issued And Kept On File
Substation Fencing Not In Good
Repair
Permits Not Properly Issued Or Not
Kept On File
No Fencing
Voltage Regulation Substation Housekeeping
Voltages Within Allowable
Limits
Orderly
Voltages Outside Allowable
Limits
Not Orderly
38
Any Other Comments:........................................................................
Name of EWURA’s Inspector: …………………………………………………….................
Signature: …………………………………………………………………………...................
Date: ………………………………………………………………………………...................
I acknowledge the contents of the above document as has been served upon me by
the above named EWURA Official
Name of Licensee Official: ..………………………………………………………................
Job Title: ..……………………………………………………………………….…………........
Signature: ..………………………………………………………………………………..........
Date: ..……………………………………………………………..…………………………......
39
APPENDIX 6: THERMAL POWER STATION INSPECTION CHECKLIST
NAME OF LICENSEE
PLANT NAME
REGION/TOWN
DATE
PLANT CAPACITY ( MVA )
PLANT MAXIMUM DEMAND (MVA )
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
TRANSFORMERS
CAPACITY(MVA)
AVAILABLE
CAPACITY
(MVA)
40
A. TRANSFORMER (S)
Tick Oil Leakages Tick Fire Blast Walls
No Leakages Fire Blast Walls Appropriately Installed
Has Leakages No Fire Blast Walls
Transformer
Maintenance
Oil Spillage Containment
Regular Maintenance Done Adequate Bund Wall In Place
Inadequate-Partial
Maintenance
No Bund Wall
No Maintenance Records
Transformer Mounting/
Plinth
Fire Fighting Facilities
Concrete Plinth In Place Extinguishers Available, Adequate, Serviced
And Appropriate
Not Concrete Extinguishers Inappropriate, Not Serviced
Or Inadequate
Not Available
Ventilation - indoor s/s Transformer Protection
Ventilation Provided Adequate Protection In Place
No Ventilation Inadequate Or No Protection
41
B. SYSTEM AND GENERAL REQUIREMENTS
Tick Power House Condition Monitoring Tick Condition Of Cooling System
Power House Temperature Monitored Cooling System Adequate
Power House Temperature Not
Monitored
Cooling System Inadequate
System Adequacy Fuel Storage
System Adequate Fuel Storage Adequate
System Inadequate Fuel Storage Inadequate
Fire Fighting Facilities Danger/Warning Signs
Extinguishers available, adequate,
serviced and appropriate extinguishers
Appropriate notices or signs In
place
Inappropriate, Not Serviced Or
Inadequate
Inappropriate notices or signs
Not available No notices or signs
First Aid PPE
Procedures available PPE available
Only procedures available PPE Not available
Only facilities Available
Procedures and facilities unavailable
Plant Security Equipment Labels
Plant secured Labelling available and in good
Repair
Plant not secure Labelling not in good repair or not
there
Competency of Personnel Safety Procedures
42
Plant manned ay adequate(Full
Establishment)authorized Personnel
Available
Inadequate authorized Personnel Not available
C. OPERATIONS AND MAINTENANCE
Operational Logbook Records Of Equipment Maintenance
Available and in use Records available
Available but not in use Records unavailable
Not available
Batteries Maintenance Schedules
Battery regularly maintained
and tested
Available and adhered to
Battery lacks maintenance Available but not adhered to
Not available
Circuit Breakers And Isolators Protective Relays
Circuit Breakers and Isolators
adequate
In Place, Regularly Tested And In Good
Working Condition
Only Circuit Breakers installed No test records
Only Isolators installed No Relays
No Circuit Breakers and
Isolators installed
Any Other Comments……………………………………………......................................
Name of EWURA Inspector: ……………………………………………………...........................
Signature: …………………………………………………………………………..........................
Date: ………………………………………………………………………………...........................
43
I acknowledge the contents of the above document as has been served upon me by the
above named EWURA Official
Name of Licensee Official:.......………………………………………………………..................
Job Title: ..……………………………………………………………………….…………..............
Signature: ..…………………………………………………………………………………............
APPENDIX 7: Environmental Inspection checklist on Hydropower projects,
Transmission and Distribution line
1. Hydropower plants
NAME OF LICENSEE
PLANT NAME
REGION/TOWN
DATE
PLANT CAPACITY ( MVA )
PLANT MAXIMUM DEMAND (MVA )
NO. OF UNITS 1 2 3 4 5 6 7 8 9
INSTALLED
TRANSFORMERS
CAPACITY(MVA)
AVAILABLE
CAPACITY
(MVA)
44
A Environmental Degradation Comments
Available Oil spillage from any
source to the soil and water
bodies
Waste water discharge into
water bodies e.g rivers
Efficiency use of water at site i.e.
water treatments and recycling
Dust prevention and dust
suppression at site
Measures put in place to
minimize noise and vibration
resulting from heavy equipment
or vehicle
B Catchment area of the project
Check whether the EIA study
report (if available on site) has
provided enough mitigations
and measures with regards to:
road accessibility
Any danger of ecosystem
exploitation and bio-
diversity losses
Water shed management
needs to protect
reservoir from silting
Agriculture activities and
practices that can have
an effect on vegetation
45
and soils
Land use activities in the
catchment area that can
affect vegetation and
soils
Mining activities,
including quarrying and
their associated
environmental concerns.
C Reservoir Areas
Check whether EIA project
study report has been certified
by NEMC on all issues
concerned with Reservoir areas
and water bodies
D Dam, Spillway and Diversions
Check whether NEMC has
certified EIA study report (new
projects) on issues of dams,
spillway and diversions.
46
Check whether the certified
EIA study report (for new
projects) by NEMC has
considered all issues concerned
with:
water conveyance
facilities ( e.g land use
changes, access
problems, etc ),
Power house
development and siting
(e.g design and layout
principles, access
problems e. t. c)
Contractors camp and
ancillary facilities ( if the
report has covered
pollution problems, land
use changes etc )
Did the certified project
study report by NEMC
considered issues of
water quality
downstream?
2 Transmission and
Distribution Lines
Check for availability of NEMC
certificate on transmission and
distribution lines construction
project.
