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    Hearing process for disputing decisions regarding NERC standard violations

Enforcement

In this section, you will find information about violations and enforcement of North American Reliability Corporation (NERC) standards, including information on sanctions and penalties, mitigation plans, and settlement procedures.

Texas Reliability Entity, Inc. (Texas RE) is authorized by NERC to enforce compliance with NERC Reliability Standards within the geographic boundaries of the ERCOT region.

Possible NERC standard violations may be identified by the entity itself by self-reports, exception reports, or as part of a self-certification or periodic data submission. NERC standard violations may also be discovered by Texas RE during an audit or spot check, or during the course of a compliance violation investigation.

Others may report a possible NERC standard violation by emailing a complaint form to Texas RE Complaints External Link or via the Ethics and Compliance Hotline External Link site, which allows anonymous and confidential reporting.

After Texas RE issues a Notice of Possible Violation (NPV) to a NERC-registered entity, the entity has 30 days to submit a mitigation plan. Submitting a mitigation plan is not considered to be an admittance of the violation. The entity should preserve all relevant documentation, and the process is considered to be confidential.

When Texas RE issues a Notice of Alleged Violation (NAV), Texas RE includes a penalty, which may be monetary or non-monetary, and which may include remedial actions to be taken. The entity may accept or contest the penalty; if contested, the entity may attempt to reach a settlement with Texas RE at any time.

A Notice of Confirmed Violation (NOCV) is issued if the entity has not responded to the NAV within 30 days, if the entity has accepted the violation and penalty, or if the entity has completed the appeals process with NERC. A Notice of Penalty (NOP) is then issued by NERC and filed with the Federal Energy Regulatory Commission, and posted on the NERC site.

In addition, Texas RE has been authorized by the Public Utility Commission of Texas (PUCT) and is permitted by NERC to investigate compliance with the ERCOT Protocols and Operating Guides, working with PUCT staff regarding any potential protocol violations. For information on enforcement of ERCOT Protocols and Operating Guides, please visit the Protocol Compliance section.

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DOCUMENTS
Texas RE Zip File Encryption Instructions
Instructions for encrypting Zip files when sending to Texas RE
(Aug 25, 2011 , .pdf, 1163 KB)

Texas RE Complaint Form
(Oct 14, 2011 , .doc, 229 KB)
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