Compliance Monitoring

Compliance monitoring is accomplished through several compliance monitoring methods:  Audits, Spot Checks, Self-Certifications, Compliance Investigations, Self-Reports, Periodic Data Submittals, and Complaints. Multi-Region Registered Entities (MRRE) are subject to monitoring based on the Lead Region’s implementation plan. More information can be found on the Coordinated Oversight (MRRE) page.

With the implementation of the Risk-based Compliance Monitoring and Enforcement Program, SERC determines the type and frequency of the compliance monitoring tools (i.e., off-site or on-site audits, spot checks or self-certifications) that are warranted for a particular registered entity based on reliability risks. The determination of the appropriate CMEP tools will be adjusted, as needed, within a given implementation year.

Additional documents about the annual Compliance Monitoring program, including the SERC Annual Implementation Plan and Filing Due Dates matrix,are listed in the Documents section.


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