Enforcement Investigations

Investigations

» Revised Policy Statement

EPAct 2005 increased both the Commission’s jurisdiction and its penalty authority, thereby increasing the importance of the Commission’s enforcement program.

The Commission’s regulations allow Enforcement staff to conduct investigations relating to any matter subject to the Commission’s jurisdiction. The investigative staff initiates investigations from information received through a variety of sources, both internal and external. Internally, information is received from other Commission offices, or from the Commission itself or in the course of another investigation. Externally, information may be received from:

• A Self-Report,
  
• The Enforcement Hotline,
  
• A referral from a Market Monitoring Unit for an Independent System Operator or Regional Transmission Organization,
  
• A Complaint, or
  
• A referral from another government agency.

All information and documentation received during an investigation, as well as the existence of an investigation, is treated as non-public (only the Commission can authorize the public disclosure of the existence of an investigation or information obtained during an investigation).