Compliance Audit and Spot Check
Compliance Auditing and Spot Checks are two tools used by Texas RE for compliance monitoring. Entities registered with NERC are subject to Compliance Audit and/or Spot Check for compliance with the NERC Reliability Standards that apply to the functions for which the entity is registered.
Texas RE notifies entities of upcoming engagements by no later than the appropriate time frame called for in the Rules of Procedure. For information on what
to expect, see the
General Information Briefing and
General Engagement Plan Briefing.
Cyber Security Data Submittal Guidance is available to assist in engagements containing CIP requirements.
Texas RE uses Reliability Standards Audit Worksheets (RSAWs) as an audit tool. Below is a list of RSAWs by NERC functions.
Texas RE uses Self-Certification by registered entities to affirm that those entities meet requirements of applicable NERC Reliability Standards as determined through a risk-based approach.
Self-Certifications are conducted for areas in which risk has been identified. The results and information gathered during Self-Certifications will help provide Texas RE with reasonable assurance that compliance obligations are being met to support reliability.
The process requires a registered entity to perform and document specific tasks during the execution of the Self-Certification. The registered entity will certify its compliant status with the NERC Reliability Standard in question and is required to provide specific evidence to Texas RE to support conclusions. This process will help to establish reasonable assurance and may, in some cases, eliminate the need for the use of other traditional CMEP monitoring methods, such as a Compliance Audit of a specific NERC Reliability Standard.
In most cases, Texas RE will re-perform some of the work in order to verify the accuracy of the Self-Certifications conclusions. If issues surface during this review, Texas RE staff may conduct further communication with the registered entity.
NERC Self-Certifications are conducted through
NERC-registered entities are notified of each Self-Certification period at least 30 days before the due date for Self-Certification form submission.
If you have any questions or concerns, please contact
Texas RE Self-Certification.
If you are responsible for a Self-Certification, and you do not know if you have access to submit information associated with the Self-Certification, contact your organization’s Primary
Compliance Contact (PCC). If you do not know who your PCC is, contact
Texas RE Information.