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NERC Reliability Standard Audit Worksheet
R4 Supporting Evidence and Documentation
R4. The Responsible Entity shall implement a documented process to delegate authority, unless no delegations are used. Where allowed by the CIP Standards, the CIP Senior Manager may delegate authority for specific actions to a delegate or delegates. These delegations shall be documented, including the name or title of the delegate, the specific actions delegated, and the date of the delegation; approved by the CIP Senior Manager; and updated within 30 days of any change to the delegation. Delegation changes do not need to be reinstated with a change to the delegator. [Violation Risk Factor: Lower] [Time Horizon: Operations Planning] M4. An example of evidence may include, but is not limited to, a dated document, approved by the CIP Senior Manager, listing individuals (by name or title) who are delegated the authority to approve or authorize specifically identified items. Registered Entity Response (Required): Compliance Narrative: Provide a brief explanation, in your own words, of how you comply with this Requirement. References to supplied evidence, including links to the appropriate page, are recommended.
Registered Entity Evidence (Required): The following information is requested for each document submitted as evidence. Also, evidence submitted should be highlighted and bookmarked, as appropriate, to identify the exact location where evidence of compliance may be found.
Relevant Page(s) or Section(s)
Revision or Version
Document Date
Description of Applicability of Document
File Name
Document Title
Audit Team Evidence Reviewed ( This section to be completed by the Compliance Enforcement Authority):
Compliance Assessment Approach Specific to CIP-003-7, R4 This section to be completed by the Compliance Enforcement Authority Verify that the Responsible Entity has documented a process to delegate authority, unless no delegations are used. Verify that all delegates have been identified by name or title. Verify that the delegation of authority includes the specific action delegated. Verify specific actions delegated by the CIP Senior Manager are allowed by the CIP Standards.
Verify that the dates for all delegations have been recorded. Verify that the CIP Senior Manager approved all delegations.
NERC Reliability Standard Audit Worksheet Audit ID: Audit ID if available; or REG-NCRnnnnn-YYYYMMDD RSAW Version: RSAW_CIP-003-7_2019_v1 Revision Date: May 14, 2019 RSAW Template: RSAW2018R4.0 15
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