The Investigations group is responsible for conducting Compliance Investigations. A Compliance Investigation is one of the eight types of formal compliance monitoring methods identified in the NERC Rules of Procedure, Appendix 4C, Section 3.4. Compliance Investigations are non-public, confidential matters.
The Investigations Group handles all complaints reported to NERC which that allege the violation of Reliability Standards. These matters are reported through the Compliance Hotline or by phone call to 866-888-0451. Complaints are another one of the eight formal compliance monitoring methods described in the NERC Rules of Procedure in Appendix 4C, Section 3.7.
Investigators participate as observers on investigations conducted by FERC. These non-public, confidential investigations seek to identify possible violations of NERC Reliability Standards in response to complaints, bulk power system disturbances, or other similar triggers.
Investigations works closely with Regional Entity compliance staff to review significant bulk power system disturbances. This review includes evaluation of events with a compliance perspective, and also includes a review for possible gaps in existing NERC Reliability Standards. Registered entities are encouraged to conduct a compliance self-assessment for bulk power system disturbances. This process is described in the NERC 2013 Compliance Monitoring and Enforcement Program Annual Implementation Plan (see, “Compliance Reviews of Events and Disturbances” section).