Compliance Document Management Guidance

The burden of proof to demonstrate compliance with applicable NERC and Regional Reliability Standards requirements can result in vast amounts of evidence records that must be maintained and made available to a regulator upon request. An entity’s well-structured and organized document management approach is a leading indicator to regulators that evidence reviewed is likely to be reliable and credible. PCS offers document management guidance and record keeping strategies to assist entities with the structure, organization, and management of required evidence documentation.

Our strategy typically includes these steps:

  • Determination of the entity’s document management lead
  • Evaluation of the existing system(s)
  • Inventory of documents
  • Storage site and how it will be organized and utilized
  • How complex or customized the entity wants its solution to be
  • Elimination of duplicates and clutter
  • Maintenance and follow-through


  • Sound guidance and strategies
  • Assists with compliance monitoring activities
  • Being able to quickly access documentation is important. No need to spend hours looking for something when you have a process in place. 
  •  Demonstrates commitment to compliance
  •  Shows the auditors that you are organized


Compliance document management is the process of systematically organizing and storing documents which are essential for fulfilling regulatory requirements and compliances as per local norms and laws. This helps in retrieving the documents in an easy and highly accessible manner, whenever necessary. This helps to maintain industry standards and best practices.

There can be many challenges to managing document compliance. Some of them are constantly changing regulations, which require newer documents or certain specifications and certifications to be uploaded. Maintaining accurate records is also a challenge in these systems. These systems must be highly accessible and meticulously address non-compliance risks.

Document compliance is the process of following the local norms and regulations regarding the submission of the latest and updated documents, which are necessary for verification and licensing. Document compliance helps prevent any legal conflicts and ensures that you conform to the best industry practices and local norms immaculately.

To create a compliance document, you need to peruse the local regulations that are applicable to you or your organization and identify which documents are sought by these regulations. Next, you need to obtain these documents if you dont already have them and then store the latest and updated documents in a secure and accessible method.