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Transmission Operator Audit Information

Certain North American Electric Reliability Corporation (NERC) Reliability Standards are selected for inclusion in compliance audits based on risk to the reliability of the bulk-power system. Below are Reliability Standards Audit Worksheets (RSAWs) that Texas Reliability Entity, Inc. (Texas RE) uses for compliance audits of NERC-registered Transmission Operators (TOPs).

Texas RE provides these RSAWs for use by TOPs in preparing for audits as well as creating a culture of compliance. Texas RE will provide these RSAWs to a TOP prior to an audit and expect the TOP to provide the requested information as well as the documentation verifying compliance.

Certain entities in the ERCOT Region have entered into a Coordinated Functional Registration (CFR) for the TOP function. For more information, please see Coordinated Functional Registration.

DOCUMENTS
Compliance Questionnaire and RSAW - BAL-005 - Automatic Generation Control
(Mar 30, 2011 , .doc, 289 KB)

Compliance Questionnaire and RSAW - CIP-001 - Sabotage Reporting
(Mar 30, 2011 , .doc, 147 KB)

Compliance Questionnaire and RSAW - CIP-002 - Cyber Security - Critical Cyber Asset Identification
(Mar 30, 2011 , .doc, 188 KB)

Compliance Questionnaire and RSAW - CIP-003 - Cyber Security - Security Management Controls
(Mar 30, 2011 , .doc, 213 KB)

Compliance Questionnaire and RSAW - CIP-004 - Cyber Security - Personnel and Training
(Mar 30, 2011 , .doc, 178 KB)

Compliance Questionnaire and RSAW - CIP-005 - Cyber Security - Electronic Security Permiter(s)
(Mar 30, 2011 , .doc, 204 KB)

Compliance Questionnaire and RSAW - CIP-006 - Cyber Security - Physical Security of Critical Cyber Assets
(Mar 30, 2011 , .doc, 247 KB)

Compliance Questionnaire and RSAW - CIP-007 - Cyber Security - Systems Security Management
(Mar 30, 2011 , .doc, 259 KB)

Compliance Questionnaire and RSAW - CIP-008 - Cyber Security - Incident Reporting and Response Planning
(Mar 30, 2011 , .doc, 140 KB)

Compliance Questionnaire and RSAW - CIP-009 - Cyber Security - Recover Plans for Critical Cyber Assets
(Mar 30, 2011 , .doc, 175 KB)

Compliance Questionnaire and RSAW - COM-001 - Telecommunications
(Mar 31, 2011 , .doc, 154 KB)

Compliance Questionnaire and RSAW - COM-002 - Communications and Coordination
(Mar 30, 2011 , .doc, 101 KB)

Compliance Questionnaire and RSAW - EOP-001 - Emergency Operations Planning
(Mar 31, 2011 , .doc, 170 KB)

Compliance Questionnaire and RSAW - EOP-003 - Load Shedding Plans
(Mar 31, 2011 , .doc, 169 KB)

Compliance Questionnaire and RSAW - EOP-004 - Disturbance Reporting
(Mar 30, 2011 , .doc, 137 KB)

Compliance Questionnaire and RSAW - EOP-005 - System Restoration Plans
(Mar 31, 2011 , .doc, 216 KB)

Compliance Questionnaire and RSAW - EOP-008 - Plans for Loss of Control Center Functionality
(Mar 31, 2011 , .doc, 91 KB)

Compliance Questionnaire and RSAW - FAC-014 - Establish and Communicate System Operating Limits
(Mar 30, 2011 , .doc, 167 KB)

Compliance Questionnaire and RSAW - IRO-001 - Reliability Coordination - Responsibilities and Authorities
(Mar 30, 2011 , .doc, 191 KB)

Compliance Questionnaire and RSAW - IRO-004 - Reliability Coordination - Operations Planning
(Mar 30, 2011 , .doc, 162 KB)

Compliance Questionnaire and RSAW - IRO-005 - Reliability Coordination - Current-Day Operations
(Mar 30, 2011 , .doc, 294 KB)

Compliance Quesrionnaire and RSAW - IRO-006 - Reliability Coordination - Transmission Loading Relief
(Mar 31, 2011 , .doc, 140 KB)

Compliance Questionnaire and RSAW - NUC-001 - Nuclear Plant Interface Coordination
(Mar 30, 2011 , .doc, 198 KB)

Compliance Questionnaire and RSAW - PER-001 - Operating Personnel Responsibility and Authority
(Mar 31, 2011 , .doc, 81 KB)

Compliance Questionnaire and RSAW - PER-002 - Operating Personnel Training
(Mar 31, 2011 , .doc, 132 KB)

Compliance Questionnaire and RSAW - PER-003 - Operating Personnel Credentials
(Mar 31, 2011 , .doc, 84 KB)

Compliance Questionnaire and RSAW - PRC-001 - System Protection Coodination
(Mar 30, 2011 , .doc, 154 KB)

Compliance Questionnaire and RSAW - PRC-007 - Assuring Consistency of Entity Underfrequency Load Shedding Programs with RRO
(Mar 30, 2011 , .doc, 104 KB)

Compliance Questionnaire and RSAW - PRC-009 - Analysis and Documentation of Underfrequency Load Shedding
(Mar 30, 2011 , .doc, 95 KB)

Compliance Questionnaire and RSAW - PRC-010 - Assessment of the Design and Effectiveness of UVLS Program
(Mar 30, 2011 , .doc, 105 KB)

Compliance Questionnaire and RSAW - TOP-001 - Reliability Responsibilities and Authorities
(Mar 30, 2011 , .doc, 177 KB)

Compliance Questionnaire and RSAW - TOP-002 - Normal Operations Planning
(Mar 30, 2011 , .doc, 311 KB)

Compliance Questionnaire and RSAW - TOP-003 - Planned Outage Coordination
(Mar 30, 2011 , .doc, 131 KB)

Compliance Questionnaire and RSAW - TOP-004 - Transmission Operations
(Mar 31, 2011 , .doc, 144 KB)

Compliance Questionnaire and RSAW - TOP-005 - Operational Reliability Information
(Mar 30, 2011 , .doc, 123 KB)

Compliance Questionnaire and RSAW - TOP-006 - Monitoring System Conditions
(Mar 30, 2011 , .doc, 160 KB)

Compliance Questionnaire and RSAW - TOP-007 - Reporting SOL and IROL Violations
(Mar 31, 2011 , .doc, 118 KB)

Compliance Questionnaire and RSAW - TOP-008 - Response to Transmission Limit Violations
(Mar 31, 2011 , .doc, 121 KB)

Compliance Questionnaire and RSAW - VAR-001 - Voltage and Reactive Control
(Mar 30, 2011 , .doc, 223 KB)
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