Audit Information by NERC Entity Type
Texas Reliability Entity, Inc. (Texas RE) monitors compliance with the North American Electric Reliability Corporation (NERC) Reliability Standards in the Electric Reliability Council of Texas (ERCOT) region. Any entity that is registered with NERC is subject to audit for compliance with the NERC Reliability Standards that apply to the functions for which the entity is registered.
Actively monitored standards are selected for inclusion in compliance audits based on risk to the reliability of the bulk-power system. Texas RE may also choose to audit a registered entity’s compliance to additional standards based on standards that were violated during that entity’s past performance, and/or merger(s) or acquisition(s) that have increased the compliance responsibility of that entity.
Texas RE recommends that you refer to the 2011 Compliance Monitoring and Enforcement Program Requirements (CMEP) Spreadsheet on the NERC web site for the complete set of standards and requirements that are actively monitored. To find the spreadsheet, go to Compliance, then Resources. Select Resource Documents 
on the left navigation bar. From the list, select 2011 Actively Monitored Reliability Standards.
Texas RE conducts compliance audits on regular cycles.
| Audit Cycle |
NERC Functions |
| One Year On-site Audit, Partial Monitoring |
ERCOT Independent System Operator (ISO) Registered Functions:
- Balancing Authority
- Interchange Authority
- Planning Authority
- Reliability Coordinator
- Resource Planner
- Transmission Operator
- Transmission Service Provider
|
| Three Year On-site Audit Typically |
- Generator Operator with QSE control room
- Transmission Owner with Local Control Center
- Transmission Planner with Local Control Center
|
| Six Year Off-site Audit Typically |
- Distribution Provider
- Generator Owner
- Generator Operator with no QSE control room
- Load Serving Entity
- Purchasing-Selling Entity
- Transmission Owner with no Local Control Center
- Transmission Planner with no Local Control Center
|
The entity will receive an audit package with a NERC Reliability Standards questionnaire and Reliability Standard Audit Worskeet for each reliability standard included in the scope of the audit. The audit notification package will be e-mailed to the audited entity at least 60 days prior to the audit. The responses must be provided to Texas RE no later than 30 days prior to the first day of the audit. The audit notification package will contain specific milestone dates and deadlines for the progress of the audit.
Below is a typical on-site audit agenda:
- Introductory presentations
- Data and document reviews
- Interviews with subject matter experts
- Closing presentations
For entities that are registered both as a Generator Owner (GO) and/or Generator Operator (GOP) with the North American Electric Reliability Corporation (NERC) and as a QSE with the ERCOT ISO, Texas RE attempts to minimize the impact of dual audits on the organization by scheduling each protocol compliance audit to coincide with a NERC compliance audit. After the GO/GOP audit, Texas RE will review ERCOT Protocols-related questions during the same visit. Two audit reports are prepared, one for ERCOT Protocol compliance and one for NERC Reliability Standards compliance.