Office of Enforcement (OE)

OE Org Chart

What We Do

The Office of Enforcement serves the public interest by protecting consumers through market oversight and surveillance; assuring compliance with tariffs, rules, regulations, and orders; detecting, auditing, and investigating potential violations; and crafting appropriate remedies, including civil penalties and other measures.

Functions

• Initiates and executes investigations of possible violations of the Commission's rules, orders, and regulations relating to energy market structures, activities, and participants. Recommends remedies to address violations and, where authorized, pursues remedies through negotiation or litigation.
• Conducts analytical studies of energy market structures and activities to provide early warning of vulnerable market conditions.
• Advises the Commission on enforcement and compliance issues.
• Maintains the Enforcement Hotline to informally resolve disputes concerning any matter subject to the Commission's jurisdiction, including activities that may raise barriers to competition in the natural gas and wholesale electric markets or impede market-responsive pricing.
• Conducts market research and develops market models and simulations. Acquires and analyzes public and proprietary information data bases in support of its market oversight and investigatory activities.
• Oversees compliance with the Uniform System of Accounts and otherwise advises the Commission on accounting and financial matters affecting energy markets.

Division of Investigations

Mission

Initiates and executes investigations of possible violations of the statutes administered by the Commission and the rules, orders, and regulations issued thereunder. Recommends remedies to address violations and pursues remedies through settlement or enforcement action. Administers the implementation of 18 C.F.R. Parts 1b and 1c. Maintains the Enforcement Hotline. Advises the Commission on enforcement and compliance issues.

Functions

• Provides overall guidance on all aspects of the enforcement program.
• Conducts preliminary investigations concerning possible violations of statutes, orders, opinions, or regulations.
• Advises the Commission on whether to issue formal orders of investigation.
• Conducts formal investigations that may include the issuance of subpoenas.
• Represents the Commission in actions for injunctive and other relief in Federal District Court.
• Represents the Commission and explains and advocates its legal and enforcement positions in meetings with industry, other agencies, and the public.
• Appears in administrative adjudicatory proceedings involving alleged violations.
• Negotiates settlements to obtain compliance with, and remediate, violations of statutes, regulations, and orders.
• Recommends transmittal of evidence of probable criminal violations to the Department of Justice (DOJ) and other agencies and, if approved by the Commission, coordinates with DOJ and other agencies during the resulting criminal investigation and prosecution.
• Participates in development of the Commission's strategic plan and recommends regulatory and statutory changes necessary to carry out the enforcement and compliance process.
• Establishes and maintains communication with other federal agencies, state utility Commissions, and other groups that aid in the enforcement and compliance process.
• Drafts orders, rulemakings, and associated memoranda and advises the Commission on matters pertaining to enforcement and compliance.
• Maintains the Enforcement Hotline to receive complaints, informally resolve disputes, and provide informed staff opinions and general information to callers concerning any matter subject to the Commission's jurisdiction.

The Division of Investigations is led by Director, Geof Hobday and Deputy Director, Jay Matson.

Division of Audits and Accounting

Mission

Performs financial and operational audits of industry participants to ensure compliance with the Commission's rules, orders, regulations, and statutes. Maintains a forum to informally resolve disputes and advises the Commission compliance issues. Acts as the focal point for interpretive guidance concerning the Commission's financial accounting and reporting rules, orders, regulations, and statutes. Maintains a forum to informally resolve disputes and advises the Commission on accounting and other financial issues.

Functions

• Plans and performs audits of jurisdictional companies in the electric power, natural gas, and oil pipeline industries, concentrating on materially relevant issues. Reports the audit findings to both the Commission and the affected companies. Recommends corrective actions in cases of error and suggests preventive measures to avoid problems in the future.
• Represents the Commission and explains accounting and auditing positions in meetings with industry, other agencies, and the public.
• Drafts orders, rulemakings, and associated memoranda and advises the Commission on matters pertaining to auditing, accounting, and related compliance matters.
• Updates and documents audit and accounting processes. Develops and documents new types of audits that respond to the needs of the Commission, the industry, and jurisdictional companies. Develops criteria for performing audits, including pilot audits when appropriate.
• Performs trend analysis on industry related financial issues. Develops suggested courses of action to anticipate industry's direction and practices.
• Advises OE and the Commission on the accounting and financial reporting policy matters involving, but not limited to, acquisitions and dispositions of jurisdictional facilities, rate filings, and gas pipeline certificate applications.
• Reviews exposure drafts and pronouncements of authoritative accounting bodies such as the Security and Exchange Commission and the International Accounting Standards Board to determine the effect of new or proposed accounting standards on regulated industries and the Commission's regulatory programs. Prepares comments on such proposals as appropriate.
• Conducts/participates in accounting studies to evaluate the need for changes or the establishment of new accounting standards for new or unique transactions or events.
• Prepares and coordinates necessary revisions and or amendments to the Commission's Uniform Systems of Accounts.
• Analyzes, coordinates, and recommends action on all applications concerning Commission approval of proposed accounting or requests for interpretive guidance.
• Provides expert counsel to Commission Officials concerning a variety of financial, accounting, tax, and other related matters.

The Division of Audits and Accounting is led by Director & Chief Accountant Kristen Fleet and Deputy Director, Justice Dagadu.

Division of Analytics and Surveillance

Mission

Performs surveillance and analysis of data relating to physical natural gas and electric power markets and related financial products. Develops and implements surveillance tools to detect potential manipulation, anticompetitive behavior, and other anomalous activity. Identifies potential subjects of nonpublic investigations that are conducted in conjunction with the Division of Investigations. Conducts forensic analysis of complex market data and information to assist in determining whether manipulation or other improper conduct occurred or is occurring.

Functions

• Develops surveillance tools to review available market data to identify behavior that may violate Commission rules.
• Conducts continuous surveillance of natural gas and electric power markets.
• Identifies potential investigative subjects based on surveillance tools.
• Conducts the technical forensic analysis of market data needed for investigations, particularly those involving potential market manipulation.
• Determines what information is needed to assess and oversee developing energy markets and the areas where energy markets interact. Periodically reviews information needs to guide changes in information collection.
• Develops and implements new techniques to enhance electric power and natural gas market surveillance.
• Establishes and maintains contact with other Federal agencies and RTOs/ISOs that aid in surveillance of the energy markets.
• Drafts orders, rulemakings, and associated memoranda and advises the Commission on matters pertaining to energy market surveillance and analysis.
• Provides technical analysis to the Commission and its various Offices.

The Division of Analytics and Surveillance is led by Director Sean Collins and Deputy Director Jamie Marcos.

Administration Staff

Mission

The Administration Staff directs the strategic planning, human resources, and administrative operations of the Office of Enforcement (OE).

Functions

• Coordinates OE's strategic management activities, including:
  • Coordinates with OE's Divisions and Office of the Executive Director (OED) on the development of a Commission-wide strategic plan and OE's Government Performance and Results Act compliance.
  • Prepares OE's portion of the Commission's OMB and Congressional budget requests and justifications.
  • Monitors all budget expenditures and prepares reports for management on allocations, year-to-date expenditures, and forecasts (manage-to-budget).
  • Prepares and updates OE's business plan.
• Coordinates human resources management and development for OE, including:
  • Coordinates OE's Human Capital Plan, including the Hiring (Recruiting) Plan, with OE's Divisions and OED.
  • Implements OE's Recruiting Plan including defining individual positions identified on the Hiring Plan and advertising positions in such a way as to identify excellent candidates.
  • Develops and oversees OE's mentoring program, including new employee orientation and career development for current employees.
  • Provides career development for OE employees through development of a training schedule including both outside and inside programs. Assists OE's Divisions on developing and presenting the inside programs.
  • Coordinates with OE's Divisions on the development of Individual Development Plans for staff.
  • Administers OE's performance appraisal review and award process.
  • Administers OE's human resources programs such as Student Loan/Tuition Reimbursement, Leave Administration, Alternate Work Schedule, and Flexiplace.
• Provides administrative support for OE, including:
  • Coordinates with OE's Divisions and OED on the procurement of resources, including subscriptions, publications, information technology, and other services.
  • Administers OE's travel authorization program, including travel, speech, and conference approvals.
  • Coordinates with OE's Divisions and OED on the development and use of information technology in the office, including the Market Monitoring Center.
  • Coordinates office logistics, including space, phones, computers, property inventory, and emergency procedures.

The Administration Staff is led by Karen Duncan, Chief.