Compliance Analysis of Events and Complaints

With the assistance of the Electric Reliability Council of Texas (ERCOT) independent system operator (ISO), Texas Reliability Entity, Inc. (Texas RE) analyzes system events and submitted complaints for possible violations of compliance with North American Electric Reliability Corporation (NERC) Reliability Standards or ERCOT Protocols and Operating Guides. Compliance analysis may lead to an investigation.

System Events

Typically, system events that warrant compliance analysis fall into one or more of the following categories:

• Implementation of Energy Emergency Alert (EEA) procedures
• Issuance of an emergency notice
• Simultaneous loss of any combination of three generation units, transmission lines, and autotransformers (138 kV and above)
• Special protection system (SPS) activation
• Remedial action plan (RAP) implementation
• Under-frequency relay operation (or frequency deviation greater than 0.3 Hz from schedule frequency)
• Sustained voltage deviations greater than 5% on a 345 kV system
• First contingency security violations for significant transmission elements
• Computer system failure at ERCOT, qualified scheduling entity (QSE), or transmission owner (TO)
• Voltage collapse on portions of 138 kV or 345 kV system
• Loss of an ERCOT, QSE, or TO control center
• Black start plan initiation
• Uncontrollable loss of 150 megawatts or more of firm load shed for more than 15 minutes from a single incident
• An event determined by the Reliability and Operations Subcommittee (ROS) to be significant
• ERCOT failure to meet NERC performance standards related to frequency control or transmission security

Event Analysis

In the occurrence of an event, ERCOT will immediately (within one hour or as soon as possible) notify Texas RE of the event. ERCOT will then have 10 days to research and compile a report discussing the details of the event. From this report, Texas RE may either decide that no further action is necessary or may decide to proceed further with the inquiry.

If the event pertains to possible non-compliance with NERC Reliability Standard(s), Texas RE will proceed by issuing a spot check or, depending on the severity, a compliance violation investigation (CVI).

• Texas RE may request additional information regarding the event from the entities involved. Texas RE will analyze the gathered data and information to assess whether or not a possible violation of a NERC Reliability Standard may have taken place.
• Should the evidence indicate a possible violation, Texas RE will notify the entities and NERC. 
• Texas RE determines whether or not the entity in question has in fact violated a NERC Reliability Standard.

Please note: For Disturbance Control Standard (DCS) events, the applicable entity is also required to notify NERC and the Federal Energy Regulatory Commission (FERC) immediately following the event. Find the procedure and forms for this event type in NERC standard EOP-004, Disturbance Reporting, in NERC Reliability Standards .

If the event pertains to possible non-compliance with an ERCOT Protocol(s), Texas RE will proceed with its analysis:

• Texas RE may request additional information from the entities involved to assess whether a possible violation of an ERCOT Protocol may have occurred.
• Should the evidence indicate that a possible violation, Texas RE will notify the entities involved and the Public Utility Commission of Texas (PUCT).
• The investigation will then be carried out by the PUCT for violation determination and processing.

Complaint Analysis

If a complaint is filed against an entity, Texas RE will notify the entity and either NERC (if the complaint is regarding possible non-compliance with a NERC Reliability Standard) or the PUCT (if the complaint is regarding possible non-compliance with an ERCOT Protocol). Texas RE will then issue a request for information from the entity regarding the complaint. Texas RE will review the evidence produced by the complainant and by the entity to determine if any further action is necessary.

If the complaint pertains to the possible violation of a NERC Reliability Standard(s), Texas RE may proceed by issuing a spot check or, depending on the severity, a CVI.

• Texas RE may request additional information from the entities involved. Texas RE will analyze the gathered data and information to assess whether or not a possible violation of a NERC Reliablity Standard may have taken place.
• Should the evidence indicate that a possible violation, Texas RE will notify the entities involved and NERC. 
• Texas RE determines whether or not the entity in question has in fact violated a NERC Reliability Standard.

If the complaint pertains to the possible violation of an ERCOT Protocol(s), Texas RE will proceed with its analysis:

• Texas RE may request additional information that would assist in determining whether a possible violation of an ERCOT Protocol may have occurred.
• Should the evidence indicate a possible violation, Texas RE will notify the entities involved and the PUCT.
• The investigation will then be carried out by the PUCT for violation determination and processing.

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Submit a Complaint

Alleged violations of NERC Reliability Standards or ERCOT Protocols may be reported by emailing a complaint form to Texas RE Complaints or via the Compliance Hotline site , which allows anonymous and confidential reporting.

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