Enforcement Review

We have completed a major review of our approach to enforcement.

What we looked at

The objective of the review was to maximise the efficiency and impact of our enforcement work.

The specific aspects of the project were:

  • Enforcement processes – to ensure our internal processes were rigorous and up-to-date
  • Governance and decision making – to implement more streamlined methods of decision making
  • Policy and guidelines – to update our external policy and guidelines
  • Implement and embed – to improve our supporting processes (such as IT) and to implement the changes of the review successfully

Our conclusions

As a result of the review, we have made a number of changes. These include:

An enforcement vision with strategic objectives

In March 2013, we consulted on proposed changes to our enforcement policies and procedures. The proposals included a vision and strategic objectives for our enforcement work. We confirmed these changes on 23 May 2014.

A new Enforcement Decision Panel

On 16 April 2014, we announced the membership of our new Enforcement Decision Panel (EDP). The EDP will take important decisions in contested enforcement cases on our behalf. To find out how the EDP works, please read its Terms of Reference.

Revised enforcement guidelines

We produced revised enforcement guidelines, and issued an open letter on the guidelines and our annual enforcement priorities.

A penalty and redress policy

On 27 March 2014, we published an open letter to stakeholders about the Authority’s position on future financial penalties.

Prior to this, following consultation, we published our Statement of Policy with respect to financial penalties and consumer redress in November 2014 .

An enforcement overview

This annual report provides figures on our enforcement activities over the past financial year. View our first report: Enforcement overview 2014/15.

You can download the outputs from our enforcement review in the publications and updates section below.

Publications and updates

  • Published: 6th Nov 2014
  • Guidance, Investigations
  • 1 Associated documents
This statement sets out the factors that the Authority will normally consider before imposing a financial penalty and/or a consumer redress order.

  • Published: 12th Sep 2014
  • Guidance
  • 1 Associated documents
We have updated the Enforcement Guidelines 2014 and the REMIT guidelines 2015 to change the composition of Settlement Committees. Two members of the Enforcement Decision Panel and one Ofgem Partner or Senior Partner will now form a Settlement Committee.

  • Published: 28th Mar 2014
  • Open letters & correspondence
  • 1 Associated documents
This open letter gives our position on regulatory compliance.

  • Published: 27th Mar 2014
  • Investigations, Open letters & correspondence
  • 1 Associated documents
This open letter sets out the Authority's position on future financial penalties.

  • Published: 19th Nov 2013
  • Decisions
  • 1 Associated documents
This decision sets out our response to the key issues raised by our stakeholders during our consultation on Ofgem’s enforcement activities.

  • Published: 28th Mar 2013
  • Closed: 23rd May 2013
  • Consultations & responses
  • 18 Associated documents
In March 2013, we consulted on proposed changes to Ofgem’s enforcement policies and procedures. The proposals included the creation of a new Enforcement Decision Panel and a Vision and Strategic Objectives for our enforcement work.