Audit Information by ERCOT Type

Texas Reliability Entity, Inc. (Texas RE) monitors compliance with Electric Reliability Council of Texas (ERCOT) Protocols and Operating Guides for the Public Utility Commission of Texas. Any organization that is registered with the ERCOT independent system operator (ISO) as (1) a qualified scheduling entity (QSE) with resources level 3 or 4, or (2) a transmission operator is subject to a protocol compliance audit by Texas RE, on a three-year cycle. A QSE without a local control center is audited on a six-year cycle.

Before the audit, the entity will receive an audit package with a protocol questionnaire 60 days prior to the audit. This section provides the questions that will be asked of QSEs and transmission operators. The responses must be provided to Texas RE within 30 days from the date that the questionnaire is issued.

Below is a typical audit agenda:

• Introductory presentations
• Data and document reviews
• Interviews with subject matter experts
• Closing presentations

For entities that are registered both as a QSE with the ERCOT ISO and as a Generation Owner (GO) and/or Generation Operator (GOP) with the North American Electric Reliability Corporation (NERC), 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 Protocols compliance and one for NERC Reliability Standards compliance.