AICPA SOC Service Organizations - Certrec

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

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.

Fort Worth, TX (PRWEB) November 26, 2013 — 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.”

About Certrec:
Certrec is a leading provider of regulatory compliance solutions for the energy industry with the mission of helping ensure a stable, reliable, bulk electric supply. Since 1988, Certrec’s SaaS applications and consulting know-how have helped hundreds of power-generating facilities manage their regulatory compliance and reduce their risks.

Certrec’s engineers and business teams bring a cumulative 1,500 years of working experience in regulatory areas of compliance, engineering, and operations, including nuclear, fossil, solar, wind facilities, and other Registered Entities generation and transmission.

Certrec has helped more than 200 generating facilities establish and maintain NERC Compliance Programs. We manage the entire NERC compliance program for 80+ registered entities in the US, Canada, and Mexico that trust us to decrease their regulatory and reputational risk. Certrec is ISO/IEC 27001:2022 certified and has successfully completed annual SOC 2 Type 2 examinations.

For press and media inquiries, please contact