Compliance Monitoring and Enforcement Program

Maintaining the reliability of the bulk power system is necessary to ensure a robust competitive marketplace for electricity and protect the health, welfare and safety of the public. Failure to comply with NERC and the regional reliability standards could place markets and end-use customers at risk and jeopardize the security of the interconnected electric system.

The North American Electric Reliability Corporation (NERC) relies on the regions to enforce the NERC reliability standards with their members. All entities responsible for planning, operating and using the bulk electric system must comply with NERC reliability standards approved by the Federal Energy Regulatory Commission (FERC). Other NERC reliability standards will not be actively assessed but may be investigated after a triggering event or complaint. For a complete list of standards, consult the NERC website: regulatory approved standards, including FERC-approved standards ; standards approved by the NERC Board of Trustees ; and NERC standards under development .

Compliance Enforcement

Below is information on the compliance enforcement program (CEP) used by NERC and Texas Regional Entity (RE) to monitor, assess and enforce compliance with reliability standards. NERC-registered entities are to assess their own compliance with reliability standards. The compliance team strongly encourages self-reporting of non-compliance and the development of responsive mitigation plans.

Documentation Texas RE 2008 Audit Schedule List of entities and dates (01/25/08, .pdf, 18.4 KB) Master NERC Compliance Monitoring and Enforcement Program CMEP to be used by NERC and the regional entities to monitor, assess and enforce compliance with reliability standards within the United States; April 19, 2007 (03/13/08, .pdf, 822.3 KB) Texas RE CMEP Modifications Hearing procedure in the Delegation Agreement, Attachments 1 and 2. Filed with FERC on 10-30-2007 (03/13/08, .pdf, 2 MB) NERC Compliance Monitoring and Enforcement Program Flowcharts Flowcharts detailing compliance process for NERC CEP program, compliance audit, self-certification, spot-checking, investigation process, self-reporting, data submittal, complaint process, appeal process, mitigation plan process, remedial action planning and the hearing process (10/30/07, .pdf, 372.6 KB) Texas RE 2008 Compliance Enforcement Program - Implementation Plan (11/01/07, .pdf, 373.7 KB) 2007 ERCOT Region Actively Monitored Standards Implementation Plan Summary of the assessment plan for the subset of FERC-approved standards selected for active monitoring in 2007; view the full list or by ERCOT entity type (ISO, Resource, QSE, TDSP); all FERC-approved standards are mandatory, and those not listed may be investigated for compliance (08/24/07, .xls, 42.5 KB) Master NERC Compliance Monitoring and Enforcement Program - Implementation Plan CEP implementation plan to be used by NERC and the regional entities to monitor, assess and enforce compliance with reliability standards within the United States (06/05/07, .pdf, 242.1 KB)

Forms 2007 Texas RE Self-Certification Form GO Form to be used by NERC-registered Generator Owners to self-certify their compliance with the NERC 2007 Actively Monitored Reliability Standards (08/02/07, .xls, 31 KB) 2007 Texas RE Self-Certification Form GOP Form to be used by NERC-registered Generator Operators to self-certify their compliance with the NERC 2007 Actively Monitored Reliability Standards (08/02/07, .xls, 27.5 KB) 2007 Texas RE Self-Certification Form TO Form to be used by NERC-registered Transmission Owners to self-certify their compliance with the NERC (08/02/07, .xls, 64.5 KB) 2008 Approved NERC Standards Self-Reporting Form Form to be used by NERC-registered entities to review reliability standards and assess their own compliance with the applicable requirements of the standards (02/21/08, .xls, 96.5 KB) Texas RE Complaint Form Form to be used by entities to report apparent non-compliance with a NERC standard or ERCOT protocol by a market participant or ERCOT; separate form to be used for each complaint (04/17/08, .doc, 170.5 KB) Texas RE Mitigation Plan Form to be used by NERC-registered entities to document a mitigation plan to meet NERC reliability standards (04/10/08, .doc, 201 KB)

Related Correspondence ERCOT Letter to NERC: Draft Compliance Monitoring and Enforcement Program Letter on draft of CMEP document and changes, October 25, 2006 (02/23/07, .pdf, 26 KB) NERC Letter to Texas RE: Texas RE 2008 Compliance Enforcement Program - Implementation Plan Letter on NERC acceptance of Texas RE's plan to implement the 2008 CEP Program; November 28, 2007 (03/05/08, .pdf, 48.3 KB)