Current through Reg. 50, No. 13; March 28, 2025
(a) Purpose. This section establishes
reporting requirements to allow the commission to obtain information to be used
for evaluation of the performance of the retail electric market in
Texas.
(b) Application. This
section applies to:
(1) Electric Reliability
Council of Texas (ERCOT) as defined in Public Utility Regulatory Act (PURA)
§31.002(5) and §
25.5 of this title (relating to
Definitions);
(2) Retail electric
providers (REPs) as defined in PURA §31.002(17) and §
25.5 of this title (relating to
Definitions); and
(3) Transmission
and distribution utilities (TDUs) operating in a qualifying power region in the
State of Texas where customer choice has been introduced as defined in PURA
§31.002(19) and §
25.5 of this title (relating to
Definitions), except transmission service providers that provide only wholesale
transmission.
(c) Filing
requirements. Using forms prescribed by the commission, a reporting entity
shall report activities as required by this section. Such reports shall be
filed with the commission under the project number assigned by the commission's
central records office for all filings required each calendar year.
(1) Each entity shall file four copies of the
printed report and any attachments in accordance with §
22.71 of this title (related to
Filing of Pleadings, Documents, and Other Material). Additionally, each entity
shall file an electronic version of its report consistent with the commission's
electronic filing standards set forth in §
22.72(h) of this
title (relating to Formal Requisites of Pleadings and Documents to be Filed
with the Commission).
(2) A
quarterly report shall be filed no later than the 45th day following the end of
the preceding quarterly reporting period. Quarterly periods shall begin on
January 1, April 1, July 1, and October 1.
(3) The reporting entity may designate
information that it considers to be confidential. A reporting entity must file
as confidential any information relating specifically to any other entity
unless the commission has determined that such information is not competitively
sensitive or the disclosing entity has given the reporting entity express
written permission to release such information publicly. Information designated
as confidential shall be processed in accordance with §
22.71 of this title and the
requirements of commission rules pertaining to information received from
ERCOT.
(d) Key
performance indicators. Reporting entities shall report on the following key
performance indicators on a quarterly basis:
(1) Competitive market indicators. These
measures will allow the commission to assess the activity in the competitive
market through the number of customers and corresponding load served by
non-affiliated REPs and the number of active REPs.
(2) Technical market mechanics. These
measures will allow the commission to assess whether the technical systems of
the reporting entities are functioning properly to perform market transactions
necessary for a customer to select a REP and to receive timely electric service
with accurate and timely bills for that service.
(e) Supporting documentation. Each
performance measures report shall include:
(1) Analysis. The reporting entity shall
include an analysis of its data and performance for the reporting period with a
comparison to performance in the previous period.
(2) Report attestation. All reports submitted
to the commission shall be attested to by an owner, partner, officer, or
manager of the reporting entity under whose direction the report is prepared.
The attestation shall also verify that an internal review was conducted to
confirm the accuracy of the information contained in the performance measures
report.
(3) Supporting documents
available for inspection. All supporting documents, including records, books,
and memoranda shall be made available at the reporting entity's main office for
inspection by the commission or its designee upon request. Supporting documents
shall be maintained for a period of 24 months after the report date. Supporting
documents may be kept outside the State of Texas so long as those records are
returned to the State for any inspection requested by the commission or its
designee.
(4) Waiver of certain
information. The commission may waive the reporting of any information required
in this subchapter if it determines that it is either impractical or unduly
burdensome for the reporting entity to furnish the requested information. If
any such information is omitted by commission waiver, a written explanation of
the omission and a copy of the waiver must be included in the report.
(f) Other reports. Reporting
entities may be required to submit special reports to allow the commission to
analyze the changing dynamics of the retail electric market or to obtain
information on specific issues that may require additional diagnostic review.
(1) Supplemental information requested by the
commission. Upon request by the commission or its designee, a reporting entity
shall provide any special and additional information that relates to its
performance measures report. Such request shall specify a time for the
reporting entity to respond that is reasonable in consideration of the
information requested.
(2)
Additional reports requested through ERCOT. Reporting entities may be required
to provide to ERCOT, or groups operating under the authority of ERCOT, special
and additional information that relates to market performance for specific
analytical or diagnostic purposes.
(g) Enforcement by the commission.
(1) Failure to timely file accurate report.
The commission may impose all applicable administrative penalties pursuant to
PURA, Chapter 15, Subchapter B, consistent with §
22.246 of this title (relating to
Administrative Penalties) for failure of a reporting entity to timely file an
accurate performance measures report.
(2) Technical market mechanics.
(A) Prohibited conduct. Each entity shall
complete within the parameters set forth in the ERCOT Protocols and/or the
Standard Tariff for Retail Delivery Service pursuant to §
25.214 of this title (relating to
Terms and Conditions of Retail Delivery Service Provided by Investor Owned
Transmission and Distribution Utilities), at least 98% of all its technical
market transactions in each transaction category identified in the filing
package.
(B)
Performance-improvement plan. Prior to imposing any penalty for a violation of
subparagraph (A) of this paragraph, the commission or its designee shall meet
with the reporting entity and develop a performance-improvement plan. The
performance-improvement plan shall contain specific goals and timeframes for
improving performance and shall be reasonable in view of all relevant
circumstances.
(C) Penalties. If a
reporting entity violates subparagraph (A) of this paragraph and fails to meet
the performance required in a performance-improvement plan, the commission may
impose the following penalties, as appropriate:
(i) Administrative penalties under PURA,
Chapter 15, Subchapter B, consistent with §
22.246 of this title;
(ii) Any penalty against ERCOT as established
by commission rule and as authorized by PURA §39.151; or
(iii) Suspension, revocation, or amendment of
a REP's certificate or registration as authorized by PURA § 39.356 and
§
25.107 of this title (relating to
Certification of Retail Electric Providers (REPs)).
(3) Factors to be considered. In
assessing penalties pursuant to paragraphs (1) and (2) of this subsection, the
commission shall consider the following factors:
(A) The reporting entity's prior history of
performance;
(B) The reporting
entity's efforts to improve performance;
(C) Whether the penalty is likely to improve
performance; and
(D) Such other
factors deemed appropriate and material to the particular
circumstances.
(h) Public information. The commission may
produce a summary report on the performance measures using the information
collected as a result of these reporting requirements. Any such report shall be
public information. The commission may provide the reports to any interested
entity and post the reports on the commission's Internet website.
(i) Commission review. The commission may
evaluate the reporting requirements as necessary to determine if modifications
to the performance measures are necessary due to changing market conditions.
Such evaluation process shall include notice and opportunity for public
comment.