business
day of each month in the reporting period.
This allows ERCOT to generate these reports during normal business operations
instead of week-ends in those months where the last calendar day falls on
a Saturday, Sunday or holiday. The commission removes all references to a
"web-based reporting system" in order to allow ERCOT greater flexibility to
determine how data and reports can best be disseminated to market participants.
References to a web-based reporting system were found in Measures B-1 and
B-2 under Schedule A: Reporting Requirements for ERCOT. The commission also
removes references to ERCOT's Market Metrics as this website will no longer
be used for the purposes of collecting market performance data. References
to Market Metrics appeared in Measures B-1 and B-2 under Schedule A: Reporting
Requirements for REPs, as well as in the introductory paragraph of Schedule
C and in Measure B-1 under Schedule C. In Measures B-1 and B-2 under Schedule
A: Reporting Requirements for ERCOT, the commission clarified that information
for Measure B-1: Customer Enrollment Success Rate and Measure B-2: Meter Reading
Transaction Success Rate will be provided by REP and by TDU service territory.
Staff learned through discussion at an informal performance measures workshop
on February 26, 2003, that the requirements for ERCOT to measure the TDU's
production of 867_04 transactions and to measure whether or not the TDU sends
the 867_04 within three days of completion of the move-in were not possible
for ERCOT to track. The commission removed these requirements from Measure
B-2 under Schedule A: Reporting Requirements for ERCOT. Staff also learned
through that same discussion that the requirement for ERCOT to track whether
or not the TDU uses a specific move-in date on an 814_04 was also not possible
for ERCOT to track. The commission removed this requirement from Measure B-2
under Schedule A: Reporting Requirements for ERCOT. The commission added a
requirement for ERCOT to track the 814_10 Transfer to affiliated REP transaction.
The filing package already required ERCOT to track the 814_11 transaction,
which is the response to the 814_10. For this reason, ERCOT expected to track
the 814_10 even though it was not originally listed in Schedule A: Reporting
Requirements for ERCOT. Therefore, there is no additional burden to ERCOT
to report this measure. Finally, two very similar requirements in Measure
B-2 related to reporting on 867_03 transactions were combined into one requirement
and language was added to clarify that ERCOT would measure the amount of time
it takes ERCOT to send the 867_03 to the REP after ERCOT receives the 867_03
from the TDU.
All comments, including any not specifically referenced herein, were fully
considered by the commission. In adopting this section, the commission makes
other minor modifications for the purpose of clarifying its intent.
This new section was adopted under the Public Utility Regulatory
Act, Texas Utilities Code Annotated (Vernon's 1998 and Supplement 2003) (PURA) §14.002,
which provides the commission with authority to make and enforce rules reasonably
required in the exercise of its powers and jurisdiction; and specifically,
PURA §14.001, which provides authority to regulate and supervise the
business of each public utility within its jurisdiction and to do anything
specifically designated or implied by PURA that is necessary and convenient
to the exercise of that power; §14.003, which provides authority to require
reports of a public utility; §15.023, which provides for commission imposition
of an administrative penalty against a person regulated under PURA who violates
PURA or a rule adopted under PURA; §31.003, which requires the commission
to report to the Legislature on the scope of competition in electric markets
and the effect of competition and industry restructuring on customers in both
competitive and noncompetitive markets; §39.001, which sets forth the
legislative policy and purpose of PURA Chapter 39, Restructuring of Electric
Utility Industry; §39.101, which sets forth customer safeguards; §39.151,
which subjects to commission review procedures established by an independent
operator relating to the reliability of the regional electrical network and
accounting for the production and delivery of electricity among generators
and all other market participants; §39.352, which sets forth standards
for certification of REPs; §39.356, which provides for suspension, revocation,
or amendment of a REP's certificate; and §39.357, which provides for
the imposition of administrative penalties on a REP for violations described
by §39.356.
Cross Reference to Statutes: Public Utility Regulatory Act §§14.001,
14.002, 14.003, 15.023, 31.003, 39.001, 39.101, 39.151, 39.352, 39.356, and
39.357.
§25.88.Retail Market Performance Measure Reporting.
(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.
This agency hereby certifies that the adoption has been reviewed
by legal counsel and found to be a valid exercise of the agency's legal authority.
Filed with the Office of
the Secretary of State on April 21, 2003.
TRD-200302583
Rhonda G. Dempsey
Rules Coordinator
Public Utility Commission of Texas
Effective date: May 11, 2003
Proposal publication date: February 14, 2003
For further information, please call: (512) 936-7223