| (3) If after conducting its fact-finding review, the
commission staff determines that a market entity may have violated
this section, the commission staff may request that the commission
initiate a formal investigation against the market entity pursuant
to §22.241 of this title (relating to Investigations).
(4) If, as a result of its investigation, commission
staff determines that there is evidence of a violation of this section
by a market entity, the commission staff may request that the commission
initiate appropriate enforcement action against the market entity.
A notice of violation requesting administrative penalties or disgorgement
of excess revenues must comply with the requirements of §22.246
of this title (relating to Administrative Penalties). Adjudication
of a notice of violation requesting both an administrative penalty
and disgorgement of excess revenues may be conducted within a single
contested case proceeding. Additionally, for alleged violations that
have been reviewed in the informal procedure established by this subsection,
the commission staff must include as part of its prima facie case:
(A) a statement either that--
(i) the commission staff has conducted the investigation
allowed by this section; or
(ii) the market entity has failed to comply with the
requirements of paragraph (5) of this subsection;
(B) a summary of the evidence indicating to the commission
staff that the market entity has violated one of the provisions of
this section;
(C) a summary of any evidence indicating to the commission
staff that the market entity benefited from the alleged violation
or materially harmed the market; and
(D) a statement that the staff has concluded that the
market entity failed to demonstrate, in the course of the investigation,
the applicability of an exclusion or affirmative defense under subsection
(h) of this section.
(5) A market entity subject to an informal fact-finding
review or a formal investigation by the commission staff has an obligation
to fully cooperate with the investigation, to make its company representatives
available within a reasonable period of time to discuss the subject
of the investigation with the commission staff, and to respond to
the commission staff's requests for information within a reasonable
time frame as requested by the commission staff.
(6) The procedure for informal fact-finding review
established in this subsection does not prevent any person or commission
staff from filing a formal complaint with the commission pursuant
to §22.242 of this title (relating to Complaints) or pursuing
other relief available by law.
(7) If, in the course of its investigation under this
subsection, commission staff determines that formal enforcement action
is not warranted, the commission staff may work with the market entity
to ensure any issues of concern are addressed and appropriate remedial
actions have been taken.
(p) Remedies. If the commission finds that a market
entity is in violation of this section, the commission may seek or
impose any legal remedy it determines appropriate for the violation
involved, provided that the remedy of disgorgement of excess revenues
will be imposed for violations and continuing violations of PURA §39.157
and may be imposed for other violations of this section.
|
| Source Note: The provisions of this §25.503 adopted to be effective February 29, 2004, 29 TexReg 1899; amended to be effective November 8, 2012, 37 TexReg 8797; amended to be effective September 13, 2015, 40 TexReg 5776; amended to be effective March 4, 2021, 46 TexReg 1372 |
