1. (a) Purpose. This section establishes the procedure by which an entity, including commission staff and the Office of Public Utility Counsel (OPUC), may file a complaint regarding ERCOT's conduct as the independent organization certified under PURA §39.151 or any successor in interest to ERCOT.

2. (b) Definitions. The following terms, when used in this section, have the following meanings unless the context indicates otherwise.

   1. (1) Applicable ERCOT Procedures--the applicable sections of the ERCOT protocols that are available to challenge or modify ERCOT conduct, including Section 20 (Alternative Dispute Resolution Procedures, or ADR) and Section 21 (Process for Protocol Revision), and other participation in an applicable revision process.
   2. (2) Conduct--a decision, act, or omission.
   3. (3) Resource--refers to a generation resource, load resource, or an energy storage resource, as defined and used in the ERCOT protocols.
   4. (4) Resource entity--an entity that owns or controls a resource.

3. (c) Scope of complaints.

   1. (1) The scope of permitted complaints includes ERCOT's performance as the independent organization certified under PURA §39.151, including ERCOT's promulgation and enforcement of standards and procedures relating to reliability, transmission access, customer registration, and the accounting of electricity production and delivery among generators and other market participants.
   2. (2) An affected entity may file a complaint with the commission, setting forth any ERCOT conduct that is alleged to be in violation of any law that the commission has jurisdiction to administer, any order or rule of the commission, or any protocol, procedure, or binding document adopted by ERCOT in accordance with any law that the commission has jurisdiction to administer.
   3. (3) A resource entity may file a complaint with the commission regarding a decision by ERCOT on the resource entity's exemption or extension request under §25.517 of this title (relating to Exemption Process for ERCOT Reliability Requirements) in accordance with this section, including the provisions in subsection (r) of this section. Any other affected entity may file a complaint with the commission regarding a decision by ERCOT on an exemption or extension request under §25.517 of this title as ERCOT conduct under the general provisions of this section.

4. (d) ERCOT Protocols compliance prerequisite. An affected entity must attempt to challenge or modify ERCOT conduct using the Applicable ERCOT Procedures before filing a complaint with the commission under this section. If a complainant fails to use the Applicable ERCOT Procedures, the presiding officer may dismiss or abate the complaint to afford the complainant an opportunity to use the Applicable ERCOT Procedures.

   1. (1) A complainant may file a complaint with the commission directly, without first using the Applicable ERCOT Procedures, if:

      1. (A) the complainant is commission staff or OPUC;
      2. (B) the complainant is not required to comply with the Applicable ERCOT Procedures;
      3. (C) the complainant seeks emergency relief necessary to resolve health or safety issues;
      4. (D) compliance with the Applicable ERCOT Procedures would inhibit the ability of the affected entity to provide continuous and adequate service; or
      5. (E) the commission has granted a waiver of the requirement to use the Applicable ERCOT procedures in accordance with paragraph (2) of this subsection.
   2. (2) An affected entity may file with the commission a request for waiver of the Applicable ERCOT Procedures. The waiver request must be in writing and clearly state the reasons why the Applicable ERCOT Procedures are not appropriate. The commission may grant the waiver for good cause shown.
   3. (3) For complaints for which ADR proceedings have not been conducted at ERCOT, the presiding officer may require informal dispute resolution.

5. (e) Formal complaint.

   1. (1) A formal complaint must be filed within 35 days of the ERCOT conduct that is the subject of the complaint, except as otherwise provided in this subsection. When an ERCOT ADR procedure has been timely commenced, a complaint concerning the ERCOT conduct or decision that is the subject of the ADR procedure must be filed no later than 35 days after the completion of the ERCOT ADR procedure. The presiding officer may extend the deadline, upon a showing of good cause, including the parties' agreement to extend the deadline to accommodate ongoing efforts to resolve the matter informally, and the complainant's failure to timely discover through reasonable efforts the injury giving rise to the complaint.

   2. (2) A formal complaint must include the following information:

      1. (A) a complete list of all complainants and the entities against whom the complainant seeks relief and the addresses and e-mail addresses of the parties or their counsel or other representatives;

      2. (B) a procedural and historical statement of the case that does not exceed two pages, as reasonably practicable, and does not discuss the facts. The statement must contain the following:

         1. (i) a concise description of any underlying proceeding or any prior or pending related proceedings;
         2. (ii) the identity of all entities or classes of entities that would be directly affected by the commission's decision, to the extent such entities or classes of entities can reasonably be identified;
         3. (iii) a concise description of the ERCOT conduct from which the complainant seeks relief;
         4. (iv) a statement of the ERCOT procedures, protocols, binding documents, by-laws, articles of incorporation, or law applicable to resolution of the dispute;
         5. (v) whether the complainant has used the Applicable ERCOT Procedures for challenging or modifying the complained-of ERCOT conduct or decision as described in subsection (d) of this section and, if not, the provision of subsection (d) of this section upon which the complainant relies to excuse its failure to use the Applicable ERCOT Procedures;
         6. (vi) a statement of whether the complainant seeks a suspension of the ERCOT conduct complained of while the complaint is pending; and
         7. (vii) a statement of the basis of the commission's jurisdiction, presented without argument.
      3. (C) a detailed and specific statement of all issues or points presented for commission review;
      4. (D) a concise statement of the relevant facts, presented without argument. Each fact must be supported by references to the record, if any;
      5. (E) a clear and concise argument for the contentions made, with appropriate citation to authorities and to the record, if any;
      6. (F) a statement of all questions of fact, if any, that the complainant contends require an evidentiary hearing;
      7. (G) a short conclusion that states the nature of the relief sought; and
      8. (H) a record consisting of a certified or sworn copy of any document constituting or evidencing the matter complained of. The record may also contain any other item relevant to the issues or points presented for review, including affidavits or other evidence on which the complainant relies.

   3. (3) If the complainant seeks to suspend the ERCOT conduct complained of while the complaint is pending, and all entities against whom the complainant seeks relief do not agree to the suspension, the complaint must include a statement of the harm that is likely to result to the complainant if the ERCOT conduct is not suspended.

      1. (A) Harm may include deprivation of an entity's ability to obtain meaningful or timely relief if a suspension is not entered.
      2. (B) A request for suspension of the ERCOT conduct must be reviewed in accordance with subsection (j) of this section.
   4. (4) All factual statements in the complaint must be verified by affidavit made on personal knowledge by an affiant who is competent to testify to the matters stated.

   5. (5) A complainant must file the formal complaint with the commission and serve a copy of the complaint and any other documents in accordance with §22.74 of this title (relating to Service of Pleadings and Documents) on:

      1. (A) ERCOT's general counsel;
      2. (B) each entity from whom relief is sought;
      3. (C) OPUC; and
      4. (D) any other party.
6. (f) Notice. Within 14 days of receipt of the complaint, ERCOT must provide notice of the complaint by email to all qualified scheduling entities and, at ERCOT's discretion, all relevant ERCOT committees and subcommittees. Notice must consist of an attached electronic copy of the complaint, including the docket number, but may exclude the record required by subsection (e)(2)(H) of this section.

7. (g) Response to complaint. ERCOT's response to a complaint is due within 28 days after receipt of the complaint by ERCOT. The deadline for other responses is 45 days after the date the complaint is filed. All responses must comply with the provisions of this subsection.

   1. (1) A response to a complaint must be confined to the issues or points raised in the complaint and must otherwise conform to the requirements for the complaint established under subsection (e) of this section except for the following items:

      1. (A) the list of parties and counsel unless necessary to supplement or correct the list contained in the complaint;
      2. (B) a procedural and historical statement of the case, a statement of the issues or points presented for commission review, or a statement of the facts, unless the responding party contests that portion of the complaint;
      3. (C) a statement of jurisdiction, unless the complaint fails to assert valid grounds for jurisdiction, in which case the reasons why the commission lacks jurisdiction must be concisely stated; and
      4. (D) any item already contained in a record filed by another party.
   2. (2) If the complainant seeks a suspension of the ERCOT conduct that is the subject of the complaint, the response to the complaint must state whether the responding party opposes the suspension and, if so, the basis for the opposition, specifically stating the harm likely to result if a suspension is ordered.

8. (h) Comments by commission staff and motions to intervene.

   1. (1) Commission staff representing the public interest must file comments within 45 days after the date on which the complaint was filed.
   2. (2) Any party desiring to intervene in accordance with §22.103 of this title (relating to Standing to Intervene) must file a motion to intervene accompanied by a response to the complaint within 45 days after the date on which the complaint was filed.
9. (i) Reply. The complainant may file a reply addressing any matter in a party's response or commission staff's comments. A reply, if any, must be filed within 55 days after the date on which the complaint was filed. The commission may consider and decide the complaint before a reply is filed.

10. (j) Suspension of conduct. The ERCOT conduct that is the subject of the complaint remains in effect until the presiding officer issues an order suspending the conduct.

    1. (1) If the complainant seeks to suspend the ERCOT conduct that is the subject of the complaint while the complaint is pending and all entities against whom the complainant seeks relief do not agree to the suspension, the complainant must demonstrate that there is good cause for suspension. A good cause determination under this subsection will be based on the presiding officer's assessment of:

       1. (A) the harm that is likely to result to the complainant if a suspension is not ordered;
       2. (B) the harm that is likely to result to others if a suspension is ordered;
       3. (C) the likelihood of the complainant's success on the merits of the complaint; and
       4. (D) any other relevant factors as determined by the commission or the presiding officer.
    2. (2) The presiding officer may issue an order, for good cause, on such terms as may be reasonable to preserve the rights and protect the interests of the parties during the processing of the complaint, including requiring the complainant to provide reasonable security, assurances, or to take certain actions, as a condition for granting the requested suspension.
    3. (3) A party may appeal a decision of a presiding officer granting or denying a request for a suspension, in accordance with §22.123 of this title (relating to Appeal of an Interim Order and Motions for Reconsideration of Interim Orders Issued by the Commission).
11. (k) Oral argument. If the facts are such that the commission may decide the matter without an evidentiary hearing on the merits, a party desiring oral argument must comply with the procedures set forth in §22.262(d) of this title (relating to Commission Action After a Proposal for Decision). In its discretion, the commission may decide a case without oral argument if the argument would not significantly aid the commission in determining the legal and factual issues presented in the complaint.

12. (l) Extension or shortening of time limits.

    1. (1) The presiding officer may grant a request to extend or shorten the time periods established by this rule for good cause shown.

       1. (A) Any request or motion to extend or shorten the schedule must be filed prior to the date on which any affected filing would otherwise be due.
       2. (B) A request to modify the schedule must include a representation of whether all other parties agree with the request and a proposed schedule.
    2. (2) For cases to be determined after the making of factual determinations or through commission ADR as provided for in subsection (o) of this section, the presiding officer will issue a procedural schedule.

13. (m) Standard for review.

    1. (1) If the factual determinations related to the ERCOT conduct complained of have not been provided or established in a manner that meets the procedural standards under paragraph (3) of this subsection, or if factual determinations necessary to the resolution of the matter have not been provided or established, the commission will resolve any factual issues on a de novo basis.
    2. (2) If the factual determinations supporting the ERCOT conduct complained of have been made in a manner that meets the procedural standards specified under paragraph (3) of this subsection, the commission will reverse a factual finding only if it is not supported by substantial evidence or is arbitrary and capricious.

    3. (3) Facts must be determined:

       1. (A) in a proceeding to which the parties have voluntarily agreed to participate; and
       2. (B) by an impartial third party under circumstances that are consistent with the guarantees of due process inherent in the procedures established by the Texas Government Code Chapter 2001 (Administrative Procedure Act).

14. (n) Referral to the State Office of Administrative Hearings (SOAH).

    1. (1) If resolution of a complaint does not require determination of any factual issues, the commission may decide the issues raised by the complaint on the basis of the complaint, including any comments and responses.
    2. (2) If factual determinations must be made to resolve a complaint brought under this section, disposition by summary decision under §22.182 of this title (relating to Summary Decision) is not appropriate, and the parties do not agree to the making of all factual determinations in accordance with a procedure described in subsection (o) of this section, the matter may be referred to SOAH.
15. (o) Availability of alternative dispute resolution. In accordance with Texas Government Code Chapter 2009 (Governmental Dispute Resolution Act), the commission will make available to the parties alternative dispute resolution procedures described by Civil Practices and Remedies Code Chapter 154, as well as combinations of those procedures. The use of these procedures before the commission for complaints brought under this section must be by agreement of the parties only.

16. (p) Granting of relief. Where the commission finds merit in a complaint and that corrective action is required by ERCOT, the commission will issue an order granting the relief the commission deems appropriate. The commission order granting relief may include:

    1. (1) entering an order suspending the ERCOT conduct complained of;
    2. (2) ordering that appropriate protocol revisions be developed and implemented; or
    3. (3) providing guidance to ERCOT for further action, including guidance on the development and implementation of protocol revisions.

17. (q) Notice of proceedings affecting ERCOT.

    1. (1) Within seven days of ERCOT receiving a pleading instituting a lawsuit against it concerning ERCOT's conduct as described in subsection (b) of this section, ERCOT must notify the commission of the lawsuit by filing with the commission, in the commission project number designated by the commission for such filings, a copy of the pleading instituting the lawsuit.
    2. (2) Within seven days of receiving notice of a proceeding at the Federal Energy Regulatory Commission in which relief is sought against ERCOT, ERCOT must notify the commission by filing with the commission, in the commission project number designated by the commission for such filings, a copy of the notice received by ERCOT.

18. (r) Complaint related to a request for exemption from or extension for an ERCOT reliability requirement. In a complaint by a resource entity involving a decision by ERCOT on the resource entity's exemption or extension request under §25.517 of this title, the following additional provisions apply:

    1. (1) the complainant is not required to comply with the Applicable ERCOT Procedures prior to submitting a complaint to the commission;
    2. (2) a proceeding under this subsection is exempt from ADR or other informal dispute resolution procedures otherwise available in this section;
    3. (3) the complaint must include the resource's history of violations of reliability-related ERCOT protocols, operating guides, or other binding documents;

    4. (4) commission staff's comments under subsection (h) of this section may include consideration of the following, in addition to the specific claims by the complainant:

       1. (A) ERCOT's most relevant outlook for resource adequacy;
       2. (B) date of interconnection of the resource in question;
       3. (C) the potential impact to system reliability of new resources that have been approved for energization by ERCOT;
       4. (D) the resource's history of violations described in paragraph (3) of this subsection;
       5. (E) the complainant's cost to comply with the reliability requirement, or the cost to other affected entities as a result of a resource entity's being granted or denied an exemption; and
       6. (F) any condition related to the exemption.
    5. (5) Notwithstanding any other provision in this section or §25.517 of this title, the commission may grant or deny an extension or exemption, with or without conditions, if doing so is in the public interest. In making its determination, the commission may consider any relevant information, including evidence of reliability risks to the grid and operational or economic impacts to the resource entity. The commission may impose conditions on an extension or exemption as appropriate to protect the public interest.

Source Note:The provisions of this §22.251 adopted to be effective March 30, 2003, 28 TexReg 2489; amended to be effective July 10, 2025, 50 TexReg 3871.