Compliance
ERCOT helps to ensure that its region meets reliability standards set by the North American Electric Reliability Corporation (NERC) as well as encouraging market participants to comply with obligations and refrain from market manipulation. As part of these responsibilities, ERCOT develops standards that define accountability and expectations for market participants, including the consequences of non-compliance.
Please refer to the ERCOT Compliance Process below for more information. Call 512-225-7000 to contact the Texas Regional Entity and its compliance team.
Qualified scheduling entities (QSEs) providing ancillary services must meet performance measures to operate within the ERCOT service area. Instances of QSE underperformance may be viewed using the Operations Message Search 
; select "Violations" as the message type.
In This Section
Key Documents
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ERCOT Compliance Process Flowcharts
Flowcharts detailing compliance process for day-ahead and real-time operations, data gathering and reporting, audit, self-certification and event investigation (from ERCOT Compliance Process)
(10/29/07, .pdf, 627.7 KB) -
2007 Compliance Rollout Presentation
(03/16/07, .zip, 1.5 MB) -
ERCOT Compliance Process
Process approved by the PUCT on July 20, 2006, pursuant to PUCT Substantive Rule 25.503(j); PUCT Docket No. 32350
(02/15/07, .pdf, 685.7 KB) -
ERCOT Compliance Process
Word version of ERCOT compliance process
(02/15/07, .doc, 826.5 KB) -
2005 ERCOT Operations Performance Audit
(11/03/05, .doc, 65.5 KB) -
2005 Compliance Rollout Presentation
(08/30/05, .zip, 3.1 MB)