Generator Operator is Found Compliant with Applicable NERC 693 & CIP Compliance Standards and Requirements in Record Time

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While many 693 and CIP audits may require 3 to 5 days to complete, SPP’s Audit found the GO to be in compliance with NERC standards and requirements with request for additional information and audit debrief combined lasting only 3 hours due to Certrec’s effective Audit Readiness, RSAW, and Mock Audit support.

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Certrec was chosen again to handle the Generation Operator’s 2013 NERC audit preparation based upon our success with their 2008 audit – where the GO was found to be in complete compliance. ~ Ted Enos, Certrec President

Certrec, a leading provider of NERC regulatory compliance services announced today that SPP found one of its clients, a Combined Cycle Gas Turbine (CCGT) generation operator, again compliant with all applicable standards. The scope of the 2013 audit included all applicable generator operator (GO) 693 and CIP standards and requirements.

“The Generation Operator has been a long time client of Certrec’s Office of NERC Compliance services,” says Ted Enos, President of Certrec. “Certrec was chosen again to handle their 2013 NERC audit preparation based upon our success with their previous 2008 audit – where the GO was found to be in full compliance. What was significant to us was how little time the audit took after the audit package was provided to the regulator, SPP.”

To prepare the 693 and CIP audit, Certrec’s Office of NERC Compliance experts:

  • Conducted a comprehensive review of the 2012 Audit Package requirements
  • Reviewed documentation submitted in the form of policies, procedures, emails, logs, studies, data sheets, etc., which were then validated, substantiated, and cross-checked for accuracy as appropriate.
  • Ensured that compliance evidence demonstrated that all policies and procedures were followed
  • Sampled the evidence for errors, omissions, and/or areas of possible non-compliance
  • Updated and submitted the Reliability Standard Audit Worksheets (RSAWs) and associated evidence

Next, the Certrec team put the Generator Operator’s Audit team through a thorough review of the Audit package (standard-by-standard), the RSAW compliance evidence, and key points. The Mock Audit ensured that the GO’s Management and NERC Subject Matter Experts were familiar with the current standards and confident their processes, procedures, and evidence sufficiently demonstrated compliance.

To familiarize the GO with how to communicate successfully with Auditors, Certrec then conducted a review of likely auditor questions. Certrec evaluated the client’s responses as well as ensured the proper depth of each response. Because Certrec had managed the GO’s NERC internal compliance for years, the Mock Audit review was highly efficient – requiring less than one half the normal time for audits.

Based upon Certrec’s 25 years of compliance experience, Certrec was asked to represent the GO as the audit lead during the off-site audit and subsequent debrief.

Certrec presented the compliance evidence in a complete and concise manner with expert personnel from each area available to support the evidence or provide answers. Certrec also managed all Requests for Additional Information (RAI).

While many 693 and CIP audits may require 3 to 5 days to complete, SPP’s auditors were able to efficiently review the client’s audit package submittal and determine compliance prior to the first schedule day of the audit allowing the audit day one follow-up and subsequent audit debrief to conclude in only 3 hours.

“We are excited to report that this is our second, successful NERC audit experience with this client,” notes Enos. “Due to our strong collaboration and preparation, the SPP auditors had sufficient evidence to support compliance upon commencing the audit and are pleased that SPP had no findings, no concerns, and no accommodations.”

Founded in 1988, Certrec is regulatory compliance service provider with more than 1,000 cumulative years of energy industry experience helping clients manage the regulatory process to their advantage.

Certrec's Office of Licensing and Compliance (OLC), Office of Assessment and Recovery (OAR), Office of NERC Compliance (ONC), and Office of New Plant (ONP) solutions are used by nuclear, fossil, and wind utilities and Registered Entities across the United States when complying with the Nuclear Regulatory Commission (NRC), the Federal Energy Regulatory Commission (FERC), and the North American Electric Reliability Corporation (NERC) licensing and compliance standards.

Certrec is ISO 27001 certified, ensuring that its regulatory compliance web-tools and facilities comply with an internationally recognized standard of best practices regarding business, cyber and physical security and control.

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Michelle Thomas
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