Audit Timeline
RSAW/Evidence
PRC-005
Compliance Culture
Miscellaneous
100
When does your first official audit notification arrive?
What is 90 days
100
What does RSAW stand for?
What is Reliability Standard Audit Worksheet
100
Fill in the blank: PRC-005 is the ______ most violated NERC standard.
What is the 2nd most violated standard.
100
What does ICP stand for?
What is Internal Compliance Program.
100
CMEP stands for ________
What is Compliance Monitoring Enforcement Program?
200
How many months prior to a NERC audit do we recommend beginning starting audit preparations?
What is 6 months.
200
What format should evidence files be submitted in?
What is PDF format.
200
Provide an example of a Associated Communications System.
What is : Communications equipment involved in power‑line‑carrier relaying Communications equipment involved in various types of permissive protection system applications Direct transfer‑trip systems Digital communication systems
200
Who should be responsible for the funding of the NERC compliance program.
Who is the senior manager.
200
The "Bright Line" criteria pertain to which set of NERC Standards?
What are the CIP standards
300
Letters of attestation should be completed when?
What is just prior to submitting RSAWs and evidence binders.
300
Policies and Procedures should corporate markings, approval dates, signatures and what?
What is Revision history.
300
PRC-005-2 intervals are determined based on _________ attributes.
What are monitoring attributes.
300
The compliance officer should be independent and have direct access to what?
Who are the CEO/President/Board of directors.
300
If degraded, destroyed, or rendered unavailable, these assets would have a significant impact on the BES
What are Critical Assets.
400
When do RSAWs and evidence binders need to be submitted?
What is 40 days prior to the audit.
400
Work product includes testing records, PI data, log
What is scheduling documents.
400
What components make up the "Protection System"
What are: • Protective relays which respond to electrical quantities, • Communications systems necessary for correct operation of protective functions • Voltage and current sensing devices providing inputs to protective relays, • Station dc supply associated with protective functions (including batteries, battery chargers, and non-batterybased dc supply), and • Control circuitry associated with protective functions through the trip coil(s)
400
Name an example of an effective preventative measure.
What is (1) Disciplinary action related to violation of policies, (2)Independent management of the compliance program, (3)Training, (4)Compliance monitoring controls.
400
ICP is an abbreviation for what?
What is Internal Compliance Program
500
When does the Pre-Audit Survey need to be submitted by?
What is 60 days prior to the audit.
500
Using multiple pieces of evidence to prove a single point is called_________?
What is stacking evidence.
500
Pertaining to PRC-005-2, what are the 3 types of maintenance allowed?
What are time based, condition based, and performance based.
500
There are 4 key components to a successful ICP - name two of them
What are (1)actions of Senior Management, (2) effective preventive measures,(3) prompt detection, cessation and reporting, (4) Remediation.
500
Formal audit communications begin with what document?
What is 90 day audit notification letter.
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