Confidential & Proprietary to Cooper Compliance Corporation Revised September 8, 2014 AUDiT-READY TM

2 Cooper Compliance Corp. First client in March 2011 – serving 7 clients in 2011 – Outsourced NERC Compliance Administrative Services Prepared procedures Documented narratives for all Requirements Collected and identified evidence Training Self-certifications Developed SharePoint platform Designers of the Audit-Ready SharePoint Solution NERC Regulatory Consultants

3 Cooper Compliance Corp. Today – Same clients in 2011 (one original client deregistered) 7 additional clients Led 9 clients in the last 2 years through audits – Minimum Data Requests – 0 – Maximum Data Requests 23 – Two of the DR’s were for positive feedback interviews. – Lowest amount of DRs for a company of this size. Designers of the Audit-Ready SharePoint Solution NERC Regulatory Consultants

4 “RSAW packages were easy to review because evidence was well structured with meaningful names.” “We were able to cut the audit time down by 2 days because the audit packages were relevant, sufficient, and well organized.” “The ability to quickly respond to data requests demonstrates a robust internal compliance program.” “The easiest audit packages I’ve ever audited are the ones produced by Cooper Compliance.”

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6 The Audit-Ready Solution by Cooper Compliance Our team of compliance and process management experts evaluate your business practice. We develop a design to integrate compliance within your organization. We train your staff to ensure they have the knowledge to perform their compliance responsibilities. We monitor the industry activities to ensure your processes are prepared to meet emerging regulations. We provide focused reporting while allowing you to efficiently manage your business.

7 Designed for NERC Compliance Audit-Ready SharePoint Solution

8 The Audit-Ready™ SharePoint® Solution Our team has developed a unique proven solution for managing compliance using a SharePoint® platform that works! – Reduces subject matter experts’ time – Provides real-time monitoring – Reduces audit preparation efforts – Audit-ready ensures data is available within a click

9 Executive level view Provides real-time status Drills down to provide additional detail Dashboard

10 Reporter Provides information on how your entity complies with the Standards. The Reporter provides all information needed to complete an RSAW. The Reporter is used for internal audits and self-certifications.

11 Document Loader SharePoint Application Document Loader is used to systematically upload and organize documents. It provides a report that allows the users to view The Process Narrative Evidence all ready load to the process All other Requirements that are applicable to the Process

12 The AUDiT-READY Solution by Cooper Compliance Smart forms Smart forms that enhance your operations while guiding your regulatory compliance Automated controls/workflows Automated controls/workflows and notifications for complete, accurate, and timely documentation

AUDiT-READY Basics: The Foundation Company Regulator Requirements FERC Standards Safety Environmental Policies Other Processes Who What When Risk Evidence Procedures Policies Documents Forms Training Controls We build the platform for your financial and compliance Success. Cyber Security Processes Physical and Cyber Security T&D Operations Generator Plant Operations Engineering Studies & Planning Scheduling Facility Maintenance Emergency Response Plans Cyber Security Processes Physical and Cyber Security T&D Operations Generator Plant Operations Engineering Studies & Planning Scheduling Facility Maintenance Emergency Response Plans

Audit-Ready SharePoint Solution Simple Fundamental Design using Open Source Code We maintain the list of FERC Approved Standards for you. We help identify and document the processes and controls. We identify the evidence. We help prepare and maintain your procedures. We tie it all together so the focus is on the process and controls. CIP R1 CIP R1 CIP R2 CIP R3 CIP R4 CIP R5 Cyber Security Policy Cyber Security Awareness Communications Cyber Security Awareness and Training Program Visitor Control Program CCA Access Approval Workflow Employee Termination Workflow Policy document Awareness s Awareness Posters Cyber Security Story Board Training Log Employee Access Log SP Approval Workflow Log

Compliance is Built into Your Processes We build compliance in to your processes. Interactive forms help guide your staff through the process to ensure all activities are performed. We build compliance in to your processes. Interactive forms help guide your staff through the process to ensure all activities are performed.

16 Why your entity should engage with Cooper Compliance 1.We are NERC compliance and process experts 2.We have been developing SharePoint solutions for NERC compliance for over 3 years 3.Our solutions have been proven 4.Our clients believe in us and love our work 5.Innovative company leading in industry best practices 6.Cooper Compliance is financially strong with positive cash flow and have no outstanding debts

© 2013 Cooper Compliance Corporation. All rights reserved. Cooper Compliance and logo design are trademarks or registered trademarks of Cooper Compliance Corporation in the U.S. and other countries. All other names or products are trademarks or registered trademarks of their respective owners. Confidential & Proprietary to Cooper Compliance Corporation coopercompliance.com Schedule your personal demonstration to learn more! Mary Jo Cooper President Cooper Compliance O C