Compliance Auditing

Imagine having actual trained NERC auditors teamed up with successful compliance managers, providing you a true perspective on your current state of internal NERC and regional compliance! Proven Compliance Solutions has based its foundation on delivering your organization just that! Having a true understanding from both sides of the audit table ensures your management and subject matter experts that the compliance review provided is accurate, up to date, and will help them better prepare for the regional audits coming to your organization.

Proven Compliance Solutions offers two distinct categories of audit services, but can provide a combination of these two services as appropriate to your situation:

Compliance Assessments: The Proven Compliance Solutions team of utility industry specialists has extensive experience in gap analysis related to NERC Reliability Standards (FERC Orders 693, 706, and 716). This experience includes both Critical Infrastructure Protection (CIP) Standards and Bulk Electric System Standards (including NPIR). Our approach uses a unique combination of NERC published information, including the NERC Reliability Standard Audit Worksheets (RSAWs), our own lists of appropriate documentation, and proof for each Reliability Standard that is to be reviewed. Our team will identify all shortcomings in RSAW responses and evidence provided, and can precisely lead your compliance personnel to the best solution for those gaps. We provide a specialized grading system which allows you to focus your efforts on those areas with the greatest exposure, but also includes items where improvements still can be made to your program. The assessment results may include an overall report card showing each requirement and sub-requirement, a written detailed report identifying exactly what is needed to improve the provability of compliance, and a presentation developed with the appropriate management level for your company. Compliance assessments may be conducted remotely, saving your company travel expenses, or on-site if required by your company policy.

Mock Audits: PCS prides itself on providing an accurate portrayal of the audit experience to its clients. Unlike the actual audit, our on-site teams invite your observation and participation at every level, from the compliance manager to the system operator, so that a total understanding of the audit activities can be achieved. Our deliberations and discussions are open to your participation, and if there are specific focus areas you have identified, we can tailor our approach for added emphasis. Our team does extensive preparation prior to its arrival on-site, and will closely mimic the approach taken by your Regional Entity. We provide on the spot feedback for any and all presentation materials that you plan to use in the actual audit, RSAWs and associated evidence, coaching for subject matter experts on the appropriateness of responses to questions asked by auditors, and a realistic reporting of your likelihood of proving compliance during an actual audit. As with compliance assessments described above, audit results may include a presentation of the results, along with an overall report card for all Reliability Standards that are audited. Proven Compliance Solutions goes beyond document review to include an assessment of your evidence for compliance, the internal processes you have in place to maintain compliance, and your personnel responsible for compliance.

Nuclear Plant Interface Requirements Assessment: PCS understands the importance of accurately assessing your compliance status to NUC-001-2. Our gap analysis process includes a detailed review of NPIR agreements, evidence confirming the required entities are properly informed, and a thorough review to ensure that all the required elements of compliance have been met. If your organization has the responsibility of providing services related to the Nuclear Plant Interface Requirements under FERC Order 716, PCS offers a complete and accurate assessment and can provide assistance with any development needs.

Contact Proven Compliance Solutions today to find out how your organization can benefit from a compliance program assessment.

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