Audits may cover a variety of areas addressed by reliability-related requirements in the ERCOT
Protocols and Operating Guides. Audit Scope periods are established at
the time the Market Entity being audited is notified of the audit.
Audits may be “table top” audits conducted at Texas RE offices or “on-site” audits at
the entity’s location, or may use a combination of the two techniques. During the table top part
of the audit, the entity’s attendance is not required; however, subject matter experts must be
available upon reasonable notice via teleconference and email to respond to inquiries by the audit team.
Approximately 105 days prior to the audit start date, Texas RE will send an email notifying the
entity of the audit date. Approximately 90 calendar days prior to the audit start date, the entity
will receive a Protocol Audit Notification Package containing details about the audit including
the audit questionnaire(s). The entity must submit the completed Protocol Audit Submittal Package 45
calendar days prior to the audit start date. Texas RE may request additional information or issue
additional data requests prior to the audit start date. Additional data requests may be required
during the course of the audit.
Upon completion of the audit, Texas RE issues a Protocol Audit Report and reports
possible violations to PUCT for appropriate enforcement action.
The Protocol and Operating Guide audits utilize questionnaires that are tailored to the
function(s) performed by the entity, such as Resource Entity, Qualified Scheduling Entity, and
Transmission and/or Distribution Service Provider. Sample questionnaires are
posted to the Texas RE website below.
Protocol Compliance also conducts limited scope audits, which are referred to as Spot Checks. The
notification and response times are usually shorter than those for a broader scope audit, and are determined
based on the number of requirements included in the Spot Check. Spot Checks do
not ordinarily include site visits.
Please contact Texas RE Protocol
with questions regarding the Protocol Audit Program.