Compliance Audit

Auditing is the primary tool used by Texas Regional Entity (Texas RE) for compliance monitoring. Entities registered with the North American Electric Reliability Corporation (NERC) are subject to audit for compliance with the NERC Reliability Standards that apply to the functions for which the entity is registered. Organizations that are registered with the Electric Reliability Council of Texas (ERCOT) as qualified scheduling entities with resources or transmission operators will also be audited for compliance with ERCOT Protocols and Operating Guides.

Texas RE conducts compliance audits in accordance with NERC guidelines. Two months before an audit, Texas RE notifies the entity to be audited and sends questionnaires. Please refer to the Texas RE Compliance Monitoring and Enforcement Program (CMEP) for the steps Texas RE follows in conducting the audit and issuing the audit report.

Most audits are three-day audits that are conducted on-site at the audited entity’s location. "Table Top" audits are conducted off-site by Texas RE using information that the entity provides.

Please be aware that certain NERC Reliability Standards are also subject to planned spot-checks. Please refer to the CMEP for NERC standards for which Texas RE may conduct a spot-check of an entity’s compliance. For a spot-check, Texas RE may ask for a data submittal, visit the entity’s site for an audit or observation, conduct a table top audit, or begin a compliance investigation.

Texas RE auditors abide by the code of conduct, respect confidentiality and conflict of interest provisions, and complete NERC auditor training prior to participation in audits.