1. (a) An electric reliability organization shall file a notice of penalty and the record of its proceeding with the commission and provide a copy of the notice of penalty to the entity that is the subject of the penalty. A notice of penalty by the electric reliability organization must include

   1. (1) the name of the entity subject to the penalty;
   2. (2) identification of each violated reliability standard;
   3. (3) a statement setting out findings of fact with respect to the act or practice resulting in the violation of each reliability standard;
   4. (4) a statement describing the monetary or nonmonetary penalty imposed; and
   5. (5) other matters the electric reliability organization finds relevant to the imposition of the penalty.

2. (b) The record of the electric reliability organization's penalty proceedings must include

   1. (1) prepared written findings of fact and the reasons for the penalty decision;
   2. (2) information and documentation supporting the penalty findings;
   3. (3) a record of the hearing in accordance with AS 42.05.775(a)(2) held to address the assessment of the penalty; and
   4. (4) copies of all documents or other evidence presented at the hearing.
3. (c) A person or entity submitting documentation to the commission for a notice of penalty, for a record of proceeding, or supporting an appeal of a penalty may petition the commission, in accordance with the requirements of 3 AAC 48.045, for confidential status of the information contained within the documentation.
4. (d) A penalty imposed by an electric reliability organization must take into consideration all mitigating factors. The penalty may be a monetary or nonmonetary penalty and may include a limitation on an activity, function, or operation, or another appropriate sanction. Provisions for the imposition of nonmonetary penalties must be described in the tariff.

(Eff. 3/11/2022, Register 241)

Authority: AS 42.05.141, AS 42.05.762, AS 42.05.775, AS 42.05.151, AS 42.05.770