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Enforcement Resources


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Subject Regulation
Rules of Investigation 18 CFR Part 1b External Link
Enforcement Hotline
(Order No. 602)
18 CFR § 1b.21 External Link
Prohibition of Energy Market Manipulation
(Order No. 670)
18 CFR Part 1c External Link
Open Access Same-Time Information System (OASIS) (Order No. 889) 18 CFR Part 37 External Link
Standards of Conduct for Transmission Providers
(Order No. 717)
18 CFR Part 358 External Link
Rule of Practice and Procedure 18 CFR Part 385 External Link
Hearing Procedures 18 CFR § 385.501 External Link
Off-the-Record Communications (Ex Parte)
(Order No. 718)
18 CFR § 385.2201 External Link
Freedom of Information Request (FOIA) 18 CFR Part 388 External Link

Southwest Power Pool, Inc. Order on Clarification, Rehearing, and Compliance (with Order No. 719)   PDF
(October 20, 2011)

Wholesale Competition in Regions with Organized Electric Markets (Order on Rehearing) PDF
(Order No. 719-A, July 16, 2009)

Wholesale Competition in Regions with Organized Electric Markets  PDF
(Order No. 719, October 17, 2008)

Policy Statement on Market Monitoring Units PDF
(May 27, 2005)

Order Authorizing Secretary to Issue Staff’s Preliminary Notice of Violations (Order on Requests for Rehearing and Clarification) PDF
(January 24, 2011)

Order Authorizing Secretary to Issue Staff's Preliminary Notice of Violations PDF
(December 17, 2009)

Revised Policy Statement on Penalty Guidelines PDF
(September 17, 2010)

Policy Statement on Penalty Guidelines PDF
(March 18, 2010)

Policy Statement on Disclosure of Exculpatory Materials PDF
(December 17, 2009)

Standards of Conduct for Transmission Providers (Order on Rehearing and Clarification) PDF
(Order No. 717-A, October 15, 2009)

Standards of Conduct for Transmission Providers PDF
(Order No. 717, October 16, 2008)

Policy Statement on Compliance with Statutes, Regulations, and Orders PDF
(October 16, 2008)

Ex Parte Contacts and Separation of Functions PDF
(Order No. 718, October 16, 2008)

Mandatory Reliability Standards for Critical Infrastructure Protection (Order on Rehearing) PDF
(Order No. 706-A, May 16, 2008)

Mandatory Reliability Standards for Critical Infrastructure Protection PDF
(Order No. 706, January 18, 2008)

Revised Policy Statement on Enforcement PDF
(May 15, 2008)

Policy Statement on Enforcement PDF
(October 20, 2005)

Submissions to the Commission upon Staff Intention to Seek an Order to Show Cause PDF
(Order No. 711, May 15, 2008)

Interpretative Order Modifying No-Action Letter Process and Reviewing Other Mechanisms for Obtaining Guidance PDF
(May 15, 2008)

Interpretive Order Modifying No-Action Process PDF
(October 19, 2006)

Interpretive Order Regarding No-Action Letter Process PDF
(November 18, 2005)

Facilities Design, Connections and Maintenance Reliability Standards PDF
(Order No. 705, December 27, 2007)

Mandatory Reliability Standards for the Bulk-Power System – Order on Rehearing PDF
(Order No. 693-A, July 19, 2007)

Mandatory Reliability Standards for the Bulk-Power System PDF
(Order No. 693, March 16, 2007)

Administrative Policy Regarding Process for Assessing Civil Penalties PDF
(December 21, 2006)

Rules Concerning Certification of the Electric Reliability Organization; and Procedures for the Establishment, Approval, and Enforcement of Electric Reliability Standards – Order on Rehearing PDF
(Order No. 672-A, March 30, 2006)

Rules Concerning Certification of the Electric Reliability Organization; and Procedures for the Establishment, Approval, and Enforcement of Electric Reliability Standards PDF
(Order No. 672, February 3, 2006)

Procedures for Disposition of Contested Audit Matters PDF
(Order No. 675, February 17, 2006)

Conditions for Public Utility Market-Based Rate Authorization Holders PDF
(Order No. 674, February 16, 2006)

Amendments to Codes of Conduct for Unbundled Sales Service and for Persons Holding Blanket Marketing Certificates PDF
(Order No. 673, February 16, 2006)

Investigation of Terms and Conditions of Public Utility Market-Based Rate Authorizations PDF
(February 16, 2006)

Prohibition of Energy Market Manipulation PDF
(Order No. 670, January 19, 2006)

Enforcement Hotline PDF
(Order No. 602, March 31, 1999)

Open Access Same-Time Information System (OASIS)
(Order No. 889, April 24, 1996)

2013 Report on Enforcement PDF
(November 21, 2013)

2012 Report on Enforcement PDF
(November 15, 2012)

2011 Report on Enforcement PDF
(November 15, 2012)

2010 Report on Enforcement PDF
(November 18, 2010)

2009 Report on Enforcement PDF
(December 17, 2009)

2008 Report on Enforcement PDF
(October 31, 2008)

2007 Report on Enforcement PDF
(November 14, 2007)




Updated: June 3, 2014