AssurX Delivers Compliance & Control for a Constantly Changing Energy & Utilities Landscape
It’s no secret that businesses are facing increased pressure in the energy and utilities industry. In addition to more complex operations, there’s more enforcement, bigger fines and a higher, constantly shifting bar for compliance.
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Ensuring reliability of the Bulk Electric System (BES) is mission critical for today’s regulated electric, nuclear and other power entities.  Failure to meet key federal (NERC/FERC) and regional regulations can mean significant financial and even criminal penalties. In some cases, fines can reach $1 million per day. Companies must organize, track and coordinate a gauntlet of corporate and compliance challenges including internal controls and risk management, evidence collection and assessment, asset and change management, incident reporting and mitigation, and ensuring cyber security system-wide.

AssurX provides an end-to-end, automated NERC compliance software solution that expands seamlessly to address all industry regulations.  One enterprise-wide, flexible system consistently manages operations, identifies risks, and demonstrates compliance across all critical operations.

“PG&E was extremely impressed with the whole process and support from AssurX. They were open and honest from day one and demonstrated exactly what we were looking for.”

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FEATURE: HEAR FROM OUR CUSTOMERS

VIDEO: BENEFITS OF ASSURX FOR ENERGY COMPLIANCE

CASE STUDY: VELCO

Ensure compliance, manage risks and better govern your 
enterprise in one reliable system.

AssurX NERC Compliance Software

Track, Report and Document Compliance

Develop and Apply Internal Controls

Manage Enterprise Risk

Ensure Cybersecurity with Asset, Patch and Access Management

Manage NERC / FERC and Regional Standards Including CIP and PRC

Automated Import / Update of Standards

Prepare / Perform Self-Assessments & Certifications

Perform Internal Audits

Develop / Manage Mitigation Plans and Corrective Actions

Integrate Automated Document and Training Management

Gain Live, Global Oversight with Management Dashboards and Reports

COMPLIANCE-CENTRAL ENTERPRISE MANAGEMENT SOFTWARE FOR ENERGY & UTILITIES

AssurX is a highly versatile software platform that links and organizes compliance and risk data with schedules, tasks and activities, compliance requirements and evidence from every area of the organization. It automatically tracks and communicates activities and coordinates efforts between groups. Using AssurX, you’re always in control of activities and data knowing immediately when an issue that could impact compliance arises. The system automatically notifies the responsible personnel with the information needed to quickly evaluate, prioritize and resolve problems.

AssurX software is easiest on the market to deploy, configure, modify and use. Mapping precisely to your real-world operations, the software creates an electronic workflow and history of tasks, alerts, escalations and approvals that can be automated to the level you prefer. Dashboards with intelligent trending and analytics make it easy to identify and control risk exposure, avoid noncompliance problems, and improve business operations.

“We needed a system not just for one regulator, but adaptable to all regulators. That’s why we implemented AssurX because it’s ultimately configurable. “

PG&E Implements AssurX Compliance System

FEATURES

AssurX delivers central control and improved compliance and business performance:

Integrated

Creates an integrated approach to compliance and business operations with a single source of information so you KNOW all requirements are being met, all risks are being managed, and resources are properly prioritized.

PROACTIVE COMPLIANCE

Proactively identifies compliance gaps or rising risks and sends alerts to initiate quick remediation, avoiding fines, negative publicity and legal actions associated with compliance failure.

Centralized

Creates a central repository for data, history, and compliance evidence, enabling quicker and more thorough response to investigations, inquiries, and audits.

Visibility

Provides central oversight while allowing each group / division / entity to efficiently manage their own local activities, making compliance and business operations consistent and manageable—even for the most complex, multi-entity organizations.

FLEXIBILITY

Built for changing business and regulatory landscapes. Quickly incorporate changes in requirements and standards, directives, or process improvements. AssurX reduces the cost of staying current and improves reliability.

Insight

Delivers at-a-glance status of compliance and business operations with management dashboards. Track real-time metrics and identify trends.

KEY FUNCTIONALITY

One reliable platform enables compliance, identifies risks, and prioritizes and tracks activities across your enterprise.

Regulatory Compliance Management

Automate to consistently track, measure and demonstrate compliance for an array of requirements (federal, state, regional or local), all in a single versatile system. Schedule activities and assign tasks to collect and review evidence, prepare reports, mitigate issues, test controls, and more. Automated notifications, alerts and escalations ensure every regulatory deadline is met. Route tasks through configurable approval workflow. Powerful built-in analytics/reporting and dashboards give a detailed real-time view into compliance status and trends.

“Alyeska personnel are now able to hit deadlines, monitor assignments and better communicate. Better still, performance metrics have been raised to 99% of all Management Actions and Commitments completed in a timely manner, an order of magnitude improvement.”

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NERC Reliability Compliance

Automatically coordinate, track and assess activities to ensure compliance, maintain reliability and meet stringent NERC and Regional standards. The software is pre-loaded with NERC standards and requirements. Responsibility for requirements, analyses, compliance/mitigation plans and tasks are assigned, monitored and documented in a central repository. Monitor real-time progress and see status details instantly with management dashboards. Remain ready for regional NERC audits. Evidence, compliance narrative and applicable policies and procedures are linked to each requirement and are always instantly accessible. Easily manage changing compliance needs. The system quickly absorbs new/revised standards, notifications, and changes in internal procedures, practices or organization. Get instant, detailed understanding of “compliance status” and identify and manage risks at-a-glance with graphical management dashboards. The system easily scales to securely manage compliance for a single department or across multi-entity organizations.

“AssurX offered a solution that would meet our need to maintain and demonstrate NERC compliance with many changing requirements and assist us in achieving our continuous improvement goals into the future.”

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NERC Reliability Standards Update Service

The easiest way to stay current, this AssurX service monitors the NERC website for new or revised reliability standards, then parses the information, including PDFs and RSAWs (Reliability Standard Audit Worksheets), into AssurX-ready format so your system can be brought up to date in minutes. When a new update is available, customers receive e-notification and all materials needed to automatically update/import everything needed to keep current. Reduces the burden of tracking and identifying newly posted NERC standards and RSAW documents on the NERC website. Automatically import NERC Standard, Requirement, Measure and Compliance Level data, Standard PDFs and RSAWs.

View the NERC Reliability Standards Update Service Brochure

Assessment-Certification Management

Assessing compliance can be a challenging task; with AssurX the complex activities are made simple. Choose the scope of the activities ranging from focused assessment of a single requirement to full certification and filing of all applicable standards. Select one or more standards/requirements, identify the region and registered entity, choose to focus on compliance by function, location, department, or business unit, whatever granularity your entity needs at that time, across any desired time span.

Monitor progress and see status details instantly with management dashboards. Keeps all assessment-certification related tasks on schedule with automated notification and escalation integrated with email.

Significantly reduce time invested in completing RSAW documentation using AssurX’s automated RSAW feature with auto-population of RSAW template and single-click download of an evidence package for a standard using the reviewed/approved content.

“It makes my life a lot easier and the end users are loving it!”

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Evidence Management

Schedule and track evidence collection on a periodic basis for internal evidence collection or for required periodic report submittals. Set schedule frequency (weekly, monthly, quarterly, yearly, etc.) to collect evidence to meet one or more requirements. The system automatically assigns collection tasks and collected evidence is linked to applicable regulatory requirement(s). The software sends notification as tasks are due, alerts supervisors of late tasks and review requests, and documents regulatory submissions.

“The system’s flexibility allows us to configure it to meet our company-specific processes and workflows and it has strong reporting and data drill down capabilities for both users and managers.”

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Internal Controls

Develop internal controls to prevent, detect, and correct issues. Associate controls to regulations for tracking activities and evidence by regulation. Assess the effectiveness of the controls at scheduled intervals. Perform control tests in multiple environments and assign to multiple assignees and approvers.

“AssurX continues to be a strong software system used to maintain compliance with less effort, allowing our workforce to focus more of its attention on reliability and system security.”

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PRC System Maintenance Compliance

Provides a single hub for NERC PRC standards compliance by gathering data related to physical devices and assets affecting the BES—such as work orders, maintenance activities, test results and supporting evidentiary documentation—from across the organization and delivering real-time status of compliance. Dashboards visually indicate the state of PRC compliance status for all devices and assets across the utility while automated alerts and notifications to supervisors expose trends towards non-compliance well before it occurs. The system maintains a complete, audit-ready history of all devices, issues, and actions taken to maintain control and compliance. Retains all required PRC/Maintenance records and makes them accessible with the click of a button. Automated alerts and notifications warn staff before compliance lapses occur.

“What I love as a ‘non-technical’ administrator of the system is how easy it is to make changes to the AssurX product. It’s very configurable.”

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Patch Management

Stay on top of cybersecurity efforts with AssurX’s Patch Management solution. Begin with an asset repository for IT and OT assets maintained in AssurX or in an external system. Perform asset classification per CIP-002 with a decision tree questionnaire that guides the user through the assessment and then reassess the classification periodically or whenever relevant changes occur. Maintain asset baseline including information on software, firmware, patches and open ports. For each patch cycle or as needed, assign patch source review tasks for known software/firmware or seamlessly integrate with a patch discovery service. Create and monitor mitigation plans for patches that cannot be installed within the required timeframe. Assign and track patch installation tasks including verification/testing activities or integrate with an asset management software. Dashboards provide up-to-date status, access to relevant data, show compliance and more, to ensure nothing is overlooked.

Download the CIP System Management Brochure

CIP Access Management

Manage CIP Access Change Requests for granting, modifying, or revoking user access to one or more systems and/or security perimeters. Monitor user personnel risk assessment and CIP training dates. Change requests include justification for access and necessary approvals. Track access provisioning tasks through completion. Results in a comprehensive revision history of all access records, and generates access reports and metrics for managers.

Download the CIP Access Management Brochure

Enterprise Risk Management

Assess and manage enterprise risk to ensure reliability, meet regulatory/compliance objectives, and drive operational excellence. Monitor and track risk related activities, and perform evaluations of financial, operational, and compliance impact. Determine risks for small and large projects, as well as state, FERC or NERC regulatory requirements. The software calculates probability, assigns priorities, and links risks to appropriate internal controls. Real-time graphical dashboards deliver risk and activity status, threat heat maps and detailed metrics for trending and analysis. The system seamlessly integrates with corrective action software to automatically launch and track the resolution of any issues—preventing avoidable threats and reducing overall risks. Risk parameters such as significance, likelihood, control, etc., can be flexibly defined for any activity. An automated system of notices and escalation alerts appropriate personnel of rising threats before they become problems.

“With the industry heading towards an internal controls focus, AssurX offers the ability to successfully meet the new expectations of auditors.”

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Audit Management

Manage internal quality and compliance audits end-to-end. Audits are conducted after being planned and scheduled, findings are classified and follow-up activities assigned to managers. When all follow-up actions are addressed, a final report is issued and routed for closure—all in a closed-loop workflow. Automatically log audit findings, manage responses, and launch corrective actions. Reports and dashboards provide live data for instant status and metrics. Automatic task assignment, escalation and notifications to keep audits efficient and ensure important activities and issues are being properly handled. Fully integrated with other quality management processes such as CAPA, compliance tracking and change management, etc.

Download the Audit Management Brochure

Corrective And Preventive Actions Management

Detect, correct and prevent recurrence of regulatory violations, cyber incidents, equipment and test failures, procedural lapses, and more with a closed-loop corrective action tracking system that automates and streamlines the entire CAPA process. Issues initiated from any department are investigated, root causes identified, corrective/preventive actions planned and implemented across operations, and then evaluated for effectiveness. An automated alert system instantly notifies the proper personnel when a current or potential problem is identified. Set up checklists that assign corrective action tasks to specific personnel with deadlines and automatic follow-up that reports directly to supervisors. Fosters a “culture of compliance” through a corrective action process that extends across operations from incident identification through disposition and root cause analysis. Dashboards with live metrics let you see at-a-glance what current or potential compliance or operational issues you may have. Fully integrates with other AssurX solutions such as risk management, compliance management, Internal Controls, etc.

“If you’re looking to manage your compliance activities, or need a corrective action management system, I would not hesitate recommending AssurX.”

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Training Management

Ensure employees and contractors are up to date on training, and properly qualified to perform work at all times. Easily identify, assign and maintain unique training requirements and courses/materials for each employee or contractor. The software tracks training tasks, sends users notification of upcoming and late training, and escalates any issues to supervisors. It creates a permanent record and audit trail of personnel qualifications, training requirements, and histories, and other regulatory compliance obligations in one database. Simple-to-use dashboards deliver fast access for administrators and a user-friendly way for trainees to access their assignments, materials, and to register for training. Paired with AssurX Document Management (or other document control software), the system automatically assigns training and notifies appropriate staff as each new or revised document is ready. Seamlessly integrates with other AssurX applications such as CAPA or Compliance Management, so training can be automatically launched for events happening across operations.

“We’re using AssurX for a number of compliance processes. It’s exciting because our end users—even outside of the Compliance Department—are coming up with ideas on their own for new ways to use the system and they’re loving it.”

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Document Management

Creates a central library where key documents are stored, and manages the entire document lifecycle including change requests; redlining; approval routing; release; notification and training. Easily organize documents into groups/categories for quick search and recall, using familiar folder views. Access is controlled so that only those personnel who are allowed to view a given document can do so. Provides a central repository for key policies, procedures, instructions or any other documents. Used with the Compliance Management solution, it links specific documents to each requirement for fast, easy reference. Makes documents quickly accessible to prepare for, and during, audits. Paired with AssurX Training Management (or other learning management software), the system automatically assigns training tasks and notifies staff as each new or revised document is ready.

“The flexibility of AssurX software allows us to leverage it to support VELCO’s growing tracking & compliance needs.”

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AssurX OnDemand Solutions

Learn How AssurX Works

View the Energy & Utilities Brochure

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Software Name
Assurx - Quality and Regulatory Compliance Solution
Operating System
Windows, MacOSx, Linux
Software Category
Business, Energy & Utilities