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NERC's compliance efforts are comprised of three (3) key activities:
- Compliance monitoring is the process used to assess, investigate, evaluate, and audit in order to measure compliance with NERC Reliability Standards.
- Compliance enforcement is the process by which NERC issues sanctions and ensures mitigation of confirmed violations of mandatory NERC Reliability Standards. As part of these efforts, NERC can also issue remedial action directives to immediately address and deter new or further violation(s), irrespective of the presence or status (i.e. confirmed or alleged) of a violation. Sanctioning of confirmed violations is determined pursuant to the NERC Sanction Guidelines and is based heavily upon the Violation Risk Factors and Violation Severity Levels of the standards requirements violated and the violations' duration. Entities found in violation of any standard must submit a mitigation plan for approval by NERC and, once approved, must execute this plan as submitted.
- Due Process provides registered entities the opportunity to contest any finding of a violation of a NERC Reliability Standard. The process allows for hearings at the regional entity and appeals before NERC. Further appeals may be possible at the appropriate governmental authority.
Regional Entity Compliance Monitoring and Enforcement Programs
NERC relies on the regional entities to enforce the NERC Reliability Standards with bulk power system owners, operators, and users through approved regional delegation agreements. Regional entities are responsible for monitoring compliance of the registered entities within their regional boundaries, assuring mitigation of all violations of approved reliability standards and assessing penalties and sanctions for failure to comply.
Regional hearing processes are available to resolve contested violations or penalties or sanctions. If resolution cannot be achieved at the regional level, NERC maintains an appeals process to hear disputes.
Who Must Comply?
All bulk power system owners, operators, and users must comply with approved NERC Reliability Standards. These entities are required to register with NERC through the appropriate regional entity.
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