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.
Before the audit start date, Texas RE will send an email notifying the entity of the audit date. The entity will receive details about the audit including the audit questionnaire(s) prior to the audit start date. Upon completion of the audit, Texas RE issues a Texas Reliability Monitor Audit Report and reports possible violations to PUCT for appropriate enforcement action.
The Texas Reliability Monitor 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.