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AssurX Delivers Compliance Solutions for Constantly Changing Energy & Utilities Landscape

The AssurX Energy Compliance System (ECOS)  helps manage operations, identify risk, and demonstrate compliance across all critical operations through automated workflow processes that connect compliance and risk data

ECOS enables energy generators and utility companies to organize, track and manage corporate and compliance challenges, including internal controls and risk management, evidence collection and assessment, asset and change management, incident reporting and mitigation, and ensuring cybersecurity system-wide.

The platform expands and integrates seamlessly to address all all energy industry regulations including regional and state requirements. Use AssurX’s out-of-the-box, pre-configured processes or configure your own for unique or complex applications.

AssurX ECOS | NERC Energy Compliance System Software

Learn about the AssurX system for Energy & Utilities compliance.

Selecting & Implementing Automated NERC Compliance Management Software

Best Practice Guide:
Selecting & Implementing Automated NERC Compliance Management Software

This document provides an overview and guide of what to consider when evaluating an automated compliance management system. It explores best practices for building your business case, aligning corporate objectives, stakeholder commitment, requirements gathering, shortlisting vendors, and vendor selection.

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

AssurX ECOS - Energy and Utilities Compliance Management

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

AssurX delivers central control, improved compliance, and business performance.

AssurX Energy & Utilities Compliance Solution Features

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 appropriately 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 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

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

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

Key Functionality

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Regulatory Compliance Management

Automate to consistently track, measure, and demonstrate compliance for various 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 the configurable approval workflow.

Powerful built-in analytics/reporting and dashboards give a detailed real-time view into compliance status and trends.

View the AssurX Energy Compliance System (ECOS) Brochure

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 to change compliance needs.

The system quickly absorbs new/revised standards, notifications, and internal procedures, practices, or organization changes. 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.”

velco energy entity selects assurx for evidence management and nerc compliance

NERC Reliability Standards Update Service

Stay current with our update service, which monitors NERC for new or revised reliability standards. Then parses the information, including PDFs and RSAWs (Reliability Standard Audit Worksheets), into AssurX-ready format keeping your system up to date in minutes.

When a new update is available, Energy & Utilities customers receive e-notification and all materials needed to update/import automatically 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 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 period.

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

Significantly reduce the 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!”

Portland GE selects assurx solutions

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.”

first energy nerc compliance utilities company

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.”

velco patch management for energy sector

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. Simultaneously, 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.

View the Webinar: Simplifying NERC Compliance by Automating Reliability Standard Audit Worksheets (RSAWs)

Patch Compliance Management

Stay on top of cybersecurity efforts with AssurX’s Patch Compliance Management solution. Begin with an asset repository for IT and OT assets maintained in AssurX or 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 asset management software. Dashboards provide up-to-date status, access to relevant data, show compliance, and more, to ensure nothing is overlooked.

View AssurX Patch Compliance Management Software.

Read the Patch Compliance Management Data Sheet

CIP Access Management

Manage CIP Access Change Requests to grant, modify, or revoke user access to one or more systems and security perimeters. Monitor user personnel risk assessment and CIP training dates or integrate with the AssurX training management solution to provide CIP training.

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 generate access reports and metrics for managers and compliance purposes.

View the AssurX Energy Compliance System (ECOS) 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 and 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 trending and analysis metrics. 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.”

velco evidence management for energy sector

Audit Management for Energy & Utilities Industry

Manage internal quality and compliance audits end-to-end. Audits are conducted after being planned and scheduled, findings are classified, and follow-up activities are 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 essential activities and issues are appropriately handled and fully integrated with other quality management processes such as CAPA, compliance tracking, and change management.

View AssurX Audit Management.

Download the Audit Management Brochure

Corrective and Preventive Actions (CAPA) Management for Energy & Utilities Industry

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 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 directly reports 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.

View AssurX Corrective and Preventive Action Software (CAPA Software).

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

Energy Harbor document management and CAPA for energy sector

Training Management for Energy & Utilities Industry

Ensure that employees and contractors are up to date on training and adequately qualified to perform work at all times. Quickly identify, assign, and maintain unique training requirements and courses/materials for each employee or contractor. The software tracks training tasks, send users notification of upcoming and late training, and escalates any supervisors’ issues. 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 and materials and 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 that training is automatically launched for events happening across operations.

View AssurX Training Management Software.

“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.”

Portland GE use AssurX for FERC and NERC compliance management

Document Management for Energy & Utilities Industry

Creates a central library where critical 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 who can view a given document can do so.

AssurX document control software provides a central repository for critical policies, procedures, instructions, or 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.

Visit AssurX Document Management Software.

“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.”

pg&e selects AssurX ECOS

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