Research Papers

Regulation, Governance and Judicial Review

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Brown, Ashley. "Assuring Coherence in Regulation and Trade: Institutional Arrangements for Doing So." Presentation to UNCTAD's Multi-Year Expert Meeting. Geneva, Switzerland, May 18, 2016.

Brown, Ashley. "Electricity Markets: Interface between Regulation and Trade." Presentation to UNCTAD's Multi-Year Expert Meeting. Geneva, Switzerland, May 18, 2016.

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Brown, Ashley. "Public Policy and Modernization of Energy Systems Regulatory Options." Presentation to the Smart Grid Forum, Sao Paulo, Brazil, November 2015.

Brown, Ashley. "Transparency, Accountability, and Credibility in Regulation." Presentationto the 6th World Forum    on Energy Regulation, Istanbul, Turkey, May 2015.

Brown, Ashley and Carolina Lembo. “Electricity Services Toolkit.” Sponsored by UNCTAD. Sept. 2015.

Perez-Arriaga, Ignacio, Carlos Batlle, and Christopher Knittel. "Engineering, Economics and Regulation of the     Electric Power Sector." Massachusetts Institute of Technology, Cambridge, MA, Spring 2015.

Rossi, Jim. "The Federal Power Act's Federalism(s)." Presentation to the Harvard Electricity Policy Group's 79th       Plenary Session, Washington, DC, June 2015.

Shanker, Roy. "Stakeholder Processes: A Good Idea, But..." Presentation to the Harvard Electricity Policy Group     78th Plenary Session, Half Moon Bay, CA, March 2015.

Supreme Court of the United States. On Writs of Certiorari: Brief of Robert L. Borlick, Joseph Bowring, James       Bushness, and 19 Other Leading Economists as Amici Curiae in Support of Respondents. Nos. 14-840, 14-841.       Washington, DC, 2015.

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Clark, Tony. "The DC Circuit Court Decision on Order No. 745." FERC: Media, June 11, 2014.

Electric Power Supply Association v. Federal Energy Regulatory Commission, No. 11-1486, United States Court of Appeals for the District of Columbia Circuit. Decided May 23, 2014.

Raskin, Dave. "Jurisdiction Over Net Metering." Presentation to the Harvard Electricity Policy Group 75th Plenary     Session, Cambridge, MA, June 2014.

Scherman, William, Brandon Johnson and Jason Fleischer. "The FERC Enforcement Process: Time for Structural Due Process and Substantive Reforms." Energy Law Journal Vol. 35, No. 1 (2014).


Willett, Ed. "Reflections from the Main Game: The Economic Regulation of Infrastructure." Network, Issue 48, August 2013.

Abraham, Spencer, and Mark P. Mills. Dodd-Frank and Energy Price Stability: Time to Rein In Unintended Consequences. Abraham Energy Report White Paper (November 4, 2013).

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Binz, Ron, Richard Sedano, Denise Furey and Dan Mullen. "Practicing Risk-Aware Electricity Regulation: What Every State Regulator Needs to Know." A Ceres report, April 2012.

Borlick, Robert. "Role of Retail Regulation in Demand Response." Mid-Atlantic Distributed Resources Initiative Working Group Meeting, February 2, 2012.

Cicala, Steve. "When Does Regulation Distort Costs? Lessons from Fuel Procurement in US Electricity Generation." Harvard University mimeo, November 9, 2012.

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Pociask, Steve, and Joseph P. Fuhr, Jr. "Progress Denied: A Study on the Potential Economic Impact of Permitting
Challenges Facing Proposed Energy Projects.
" Report commissioned by the U.S. Chamber of Commerce in conjunction with its Project No Project initiative. March 10, 2011.

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COMPETE Coalition Study: Regulation and Oversight of the Electric Power Industry. Sept 14, 2010.

Weston, Frederick. Revenue Regulation in the US: Mid-Term Report. Presentation to the Harvard Electricity Policy Group, Sixty-First Plenary Session, Marana, AZ, December 9, 2010. 14 pages.

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Hogan, William. Regulation and Electricity Markets. Presentation to the Harvard Electricity Policy Group 53rd Plenary Session, December 11, 2008. 9 pages.

Kahn, Robert.  Can we mitigate utilities’ “self-build” bias?  Regulatory Treatment of Purchased Power. Presentation to the HEPG 52nd Plenary Session. October, 2008. 24 pages

Roach, Craig.  Financial Incentives for Utilities to Purchase Resources: the Right Reasons, the Right Way. Presentation to the HEPG 52nd Plenary Session. October, 2008.  8 pages.

Tierney, Susan.  Regulatory Treatment of Purchased Power: Pass Through or Profit Center? Give Away or Value Creation? Presentation to the HEPG 52nd Plenary Session. October, 2008. 26 pages.

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Hemmingway, Roy. Independence of Regulatory Decisions in New Zealand. 30 November 2006. Presentation, 8 pages.

Vasconcelos, Jorge. Towards the Internal Energy Market: How To Bridge a Regulatory Gap and Build a Regulatory Framework. 30 September 2006. Paper, 17 pages.

Joskow, Paul. Regulating Markets. 22 September 2006. Presentation, 22 pages.

Brown, Ashley. Load Serving Entities and Hedging: Critical Regulatory Issues. 21 September 2006. Presentation,
7 pages.

Connolly, Paul. To Hedge or Not To Nedge. 21 September 2006. Presentation, 42 pages.

Jurewitz, John. Regulation of Utility Power Procurement and Hedging Activities. 21 September 2006. Presentation,
14 pages.

Rose, Kenneth. Regulation and Hedging for Load Serving Entities. 21 September 2006. Presentation, 9 pages.


Melnyk, Markian. PUHCA Repeal and the Challenges Ahead. 8 December 2005. Presentation, 33 pages.

Hempling, Scott. Corporate Structure Regulation After PUHCA: Challenges for Regulators. 8 December 2005. Presentation, 15 pages.

Brown, Ashley. Transparency and Good Decision-Making: Irreconcilable Differences or Happy Bedfellows? 3 March 2005. Presentation, 17 pages.


United States Court of Appeals for the District of Columbia Circuit. On Petition for Review of Orders of the Federal Energy Regulatory Commission. 10 December 2004. No. 03-1182. Decision, 20 pages.

Hederman, William. The Challenges of Maintaining Market Efficiency in Mitigated Markets. 8 October 2004. Presentation, 22 pages.

United States Court of Appeals for the Ninth Circuit. People of the State of California vs. Dyengy, et al. 6 July 2004. No. 02-16619, et al. Decision, 39 pages.

United States Court of Appeals for the District of Columbia Circuit. California Independent System Operator Corporation v. Federal Energy Regulatory Commission. 22 June 2004. No. 02-1287. Decision, 16 pages.

Lockyer, Bill (Attorney General, State of California). Attorney General's Energy White Paper: A Law Enforcement Perspective on the California Energy Crisis. Recommendations for Improving Enforcement and Protecting Consumers in Deregulated Energy Markets. April 2004. White Paper, 90 pages.

Wallsten, Scott, George Clarke, Luke Haggarty, Rosario Kaneshiro, Roger Noll, Mary Shirley and Lixin Colin Xu (AEI-Brookings Joint Center). New Tools for Studying Network Industry Reforms in Developing Countries: The Telecommunications and Electricity Regulation Database. March 2004. Abstract plus links to report and databases.

Cowan, William (FERC). Docket No. ER03-262-009. 12 March 2004. Initial Decision (AEP, PJM, Virginia and Kentucky), 105 pages.


US Senate Committee on Energy and Natural Resources. The 2003 Energy Bill.

Brown, Ashley. Corporate Governance in Energy: Post-Enron. 8 May 2003. Presentation, 13 pages.

Brennan, Timothy (Resources for the Future). State and Federal Roles in Facilitating Electricity Restructuring: Legal and Economic Perspectives. A revised version of this paper will appear in Regional Transmission Organizations: Restructuring Electricity Transmission in Canada. W.D. Walls, ed. (Calgary: The Van Horne Institute, 2003). April 2003. Paper, 30 pages.

Delmas, Magali and Yesim Tokat (University of California Energy Institute). Deregulation Process, Governance Structures and Efficiency: The U.S. Electric Utility Sector. March 2003. Energy Policy and Economics Working Paper 004, 35 pages.

Delmas, Magali, and Yesim Tokat (Farsi, Mehdi, and Filippini Massimo (Centre for Energy Policy and Economics, Switzerland).). Regulation and Measuring Cost Efficiency with Panel Data Models: Application to Electricity Distribution Utilities. January 2003. CEPE Working Paper No. 19, 21 pages.


"Asleep at the Switch: FERC's Oversight of Enron Corporation" Materials from US Senate Committee on Governmental Affairs Hearing, 12 November 2002.

Berick, David. Testimony to the US Senate Committee on Governmental Affairs: FERC's Oversight of Enron.
12 November 2002. 9 pages.

Joskow, Paul. Testimony to the US Senate Committee on Governmental Affairs: FERC's Oversight of Enron.
12 November 2002. 14 pages.

Staff of the Senate Committee on Governmental Affairs. Staff Memorandum to the US Senate Committee on Governmental Affairs: FERC's Oversight of Enron. 12 November 2002. 51 pages.

Wolak, Frank. Testimony to the US Senate Committee on Governmental Affairs: FERC's Oversight of Enron.
12 November 2002. 23 pages.

Wood III, Pat. Testimony to the US Senate Committee on Governmental Affairs: FERC's Oversight of Enron.
12 November 2002. 14 pages.

Staff of the Senate Committee on Governmental Affairs. Financial Oversight of Enron: The SEC and Private Sector Watchdogs. 8 October 2002. Paper, 131 pages.

Holburn, Guy and Pablo Spiller. Interest Group Representation in Administrative Institutions: The Impact of Consumer Advocates and Elected Commissioners in Regulatory Policy in the United States. October 2002. UCEI Energy Policy and Economics Working Paper 002, 38 pages.

Federal Energy Regulatory Commission. Complaint for Declaratory Judgment and Injunctive Relief. FERC vs. CAISO – United States District Court, District of Columbia. Case No. 1:02CV01625. 19 August 2002. 23 pages.

United States Court of Appeals for the District of Columbia Circuit. Atlantic City Electric Company, et al., Petitioners v. Federal Energy Regulatory Commission, Respondent & Duquesne Light Company, et al., Intervenors. No. 97-1097. 12 July 2002. 24 pages.

Ministry of Economy, Trade and Industry: Agency for Natural Resources and Energy. First Report to the Leaders on the US - Japan Regulatory Reform and Competition Policy Initiative. 25 June 2002. 50 pages.

General Accounting Office of US Congress (GAO). Energy Markets: Concerted Actions Needed by FERC to Confront Challenges that Impede Effective Oversight. 14 June 2002. Report, 101 pages.

Supreme Court of the United States. New York et al v. Federal Energy Regulatory Commission et al. No. 00-568.
4 March 2002. Judicial decision, 45 pages.

Hempling, Scott. Testimony on PUHCA and S.1766 Before the Committee on Energy and Natural Resources, United States Senate. 6 February 2002. 38 pages.

Brown, Ashley. Confusing Means and Ends: Framework of Restructuring, Not Privatization, Matters Most. January 2002. Paper, 14 pages.

Bradford, Peter (Regulatory Assistance Project). Testimony Before the United States Senate Committee on Environment and Public Works Subcommittee on Transportation, Infrastructure and Nuclear Safety - Renewal of the Price Anderson Act. 23 January 2002. Testimony and analysis, 4 pages.

Brown, Ashley. The Duty of Regulators to Have Ex Parte Communications, The Electricity Journal. March. 5 ppages. Order from:


Shew, William. Yardstick Competition and the Regulation of Natural Monopoly. Hudson Institute. 1999.

Joskow, Paul. Regulation of Transmission Companies. 24 September 1999. Presentation.

Reed, William. Incentive Regulation for Electric Distribution Companies. 24 September 1999. Presentation.

Vogelsang, Ingo. Price Regulation for Independent Transmission Companies. 10 September 1999.

Costello, Kenneth. Future Trends in Performance-Based Regulation for US Investor-Owned Electric Utilities. National Regulatory Research Institute. January 1999.


Van Doren, Peter. Executive Summary of the Deregulation of the Electricity Industry: A Primer. 6 October 1998.
Complete text available at: January 2002. Paper, 14 pages.

Brown, Ashley. Developing Sustainable Regulatory Institutions in Developing Countries: Some Long Term Considerations for Investors. 30 September 1998. Presentation.

Garber, Don. Looking to National Electric Restructuring Legislation. 22 May 1998. Presentation.

Downs, Clark Evans and Kenneth Driver. Can The FERC Lawfully Order Transmission Providers To Participate In An ISO? Will It Anyway? 9 April 1998.

Hahn, Robert and Robert Stavins. Integrating Environmental Concerns and Utility Restructuring: Lessons from Economics. 6 April 1998.

Kaplan, Susan. Federal Electricity Restructuring Legislation: The Current Scenario. April 1998.

Clinton Administration. Comprehensive Electricity Competition Plan. 25 March 1998.


Brockway, Nancy, Randle Smith and Charles Stalon (The Governor's Advisory Committee for Electric Utility Regulatory Reform). Principles Applicable to the Electric Industry Reform Legislation. 28 April 1997. Paper.

Binz, Ron. After Electric Restructuring: What's a Regulator to Do? Presentation to the Harvard Electricity Policy Group, 21 November 1997.

Cowart, Richard. FERC's Principles - PJM Order, 11/13/96. Presentation. 9 January 1997.

Fielder, John. Can Cost Accountants Be Retrained as Referees? Presentation to the HEPG Special Session on Regulation. 21 November 1997. Presentation.

Joskow, Paul. What Can Go Wrong? 21 November 1997. Presentation.

O'Neill, Richard. What's a Regulator to Do? 21 November 1997. Presentation.

Lenard, Thomas. Looking Ahead to the New Electricity Market: What Should Regulators Do? 21 November 1997. Presentation.


Brown, Ashley. "Regulatory Risk: Is the Subject Still Relevant or Do Markets Govern?" Yale Journal of Regulation 13, no 1 (Winter 1996).

Brown, Ashley. Regional Regulation: An Option in the Array of Regulatory Institutions for a Restructured Electricity Sector. 14 November 1996.

Garcia, Ileana Elsa. The Development of the Interstate Compact. Draft. 5 November 1996.

Hempling, Scott. Electric Jurisdiction: Who Decides What, And When? November 1996. Presentation.

Kates-Garnick, Barbara. Regional Regulation in Electricity: The New England Experience Past and Future.
14 November 1996. Presentation.

Harvie, Ivan. Seminar on Regional Regulation. 14 November 1996. Presentation.

Cowart, Richard, et al. (NARUC) A Declaration of Independence: Why Transmission and System Operation Must Be Truly Independent from the Ownership of Generation. 21 October 1996.

Brown, Ashley. Transparency in Regulated Industries: Elements and Importance. Draft. 20 May 1996.

Central Research Institute of Electric Power Industry (CRIEPI) Report. Masayuki Yajima and Christoph Riechman. Application of Incentive Regulations to the Electricity Supply Industry. April 1996.

Sergel, Richard. Regulating Distribution, or Life After Stranded Costs. Draft. 18 April 1996.

Alexander, Barbara. How to Construct a Service Quality Index in Performance-Based Ratemaking. The Electricity Journal 9(3). April 1996, pp. 46-53.

Comnes, G. Alan, Steven Stoft, Nathanael Greene and Larry Hill. Six Useful Observations for Designers of PBR Plans. The Electricity Journal 9(3). April 1996, pp. 16-23.

Navarro, Peter. Seven Basic Rules for the PBR Regulator. The Electricity Journal 9(3). April 1996, pp. 24-30.

Rose, Kenneth. New Regulatory Approaches to Protecting the Public's Interest in a Competitive Environment. Draft. 13 March 1996.

Stalon, Charles. Regulating in Pursuit of Competitive Markets: the problem of Concentration in Generation. Draft. 25 January 1996.

Bradford, Peter. Regulator, Restructure Thyself. Presentation to the Harvard Electricity Policy Group, 25 January 1996.

Johnston, J. Bennett. Electricity Competition Act of 1996. Senate Bill S-1526, 104th Congress, 2nd Session. 1996.


Bradford, Peter. "A Regulatory Compact Worthy of the Name." The Electricity Journal, November 1995.

Moskovitz, David and Peter Bradford. Paved with Good Intentions: Reflections on FERC's Decisions Reversing State Power Procurement Processes. The Electricity Journal. August/September 1995.

National Association of Regulatory Utility Commissioners. Resolution on Legislation to Reform Section 210 of the PURPA of 1978; Resolution on the FERC's Proposed Rules on Open Access Wholesale Transmission Services and Recovery of Stranded Costs. 26 July 1995.

Securities and Exchange Commission. Request for Comments on Modernization of the Regulation of Public Utility Holding Companies, Docket No. S7-3294. Draft: January 18, 1995.

Securities and Exchange Commission. The Regulation of Public Utility Holding Companies. June, 1995.

National Regulatory Research Institute. Missions, Strategies, and Implementation Steps for State Public Utility Commissions in the Year 2000. NRRI 95-08. May 1995.

National Independant Electricity Producers. The Electric Power Competition Act of 1995. 6 April 1995. Draft text, summary, and fact sheet.

Baker, William. The Future of the PUHCA of 1935 - From the Vantage Point of the Registered Holding Companies. Presentation to a Special Session of the Harvard Electricity Policy Group, The Watergate Hotel, Washington, DC.. 21 March 1995.

Hawes, Douglas. Whither PUHCA: Repeal or Re-Deal? Draft. 21 March 1995.

Hill, A. Karen. Benefits and Burdens of Repeal of the Public Utility Holding Company Act of 1935 on Exempt Holding Companies. Draft. 21 March 1995.

Gray, Charles. Resolution on Legislation to Change the Public Utility Holding Company Act of 1935. Draft. 1 March 1995.

San Diego Gas & Electric Co. Performance-Based Ratemaking at San Diego Gas & Electric Company. 1995. Presentation.

Stalon, Charles. Regulating In Pursuit of Efficient and Just Prices. Draft. 15 April 1994 (revised February 1995).

Hempling, Scott. Comments of Indicated Signatories. 6 February 1995. SEC filing.

National Independant Electricity Producers. Comments. 6 February 1995. SEC filing (excerpt).

Central and South West Corporation. Comments. 18 January 1995. SEC filing.

Kates-Garnick, Barbara. State/Federal Interaction: The Appeal of "Comity" During the Transition. Draft. January 1995.

Olson, Wayne and Kenneth Costello. Redesigning Regulation: Pro-Competition Incentives. The Electricity Journal 8(1). January/February 1995, pp. 28-40.

Marritz, Robert. Materials on Mechanisms for Joint State-Federal Decision Making in Electricity Policy. January 1995.


Burns, Robert, and Mark Eifert.  “A Cooperative Approach Toward Resolving Electric Transmission Jurisdictional Disputes.”  NRRI 94-06, The National Regulatory Research Institute, March 1994.  Excerpt: “The Regulatory Alliances,” pp. 22 – 26.

Costello, Kenneth and Wayne Olson. Proposed Alternative Rate Plan for an Electric Utility. NRRI/Maine PUC Case No. 92-345. November 1994, 57 pages.

McDiarmid, Robert. The Role of the Courts in Emerging Electricity Policy. Draft. 13 October 1994.

Southwestern Bell et al. v. PUC of Texas et. al. Opinion, No. 3-93-552-CV, Court of Appeals, Texas Third District.
21 September 1994.

Cajun Electric Power Cooperative v. FERC. Opinion, No. 92-1461, US Appeals Court, D.C. 12 July 1994.

Pierce, Richard. Regulatory Decision-Making Reform. Draft. April 1994.

Massey, William. RTG's State/Federal Cooperation Draft Presentation. 11 February 1994.

Pierce, Richard. FERC vs. State Jurisdiction Over Transmission Lines, Transactions, and Rates. Draft. February 1994.

Stalon, Charles. Redefining Regulatory Jurisdictions for the Electricity Industry. 13-14 January 1994.

Brown, Ashley. Some Thoughts on State-Federal Jurisdictional Issues in Transmission, and the Transition to a Competitive Electricity Market. Draft. 12 January 1994.

Stalon, Charles. Rethinking Regulatory Jurisdiction for the Electricity Industry. Draft. January 1994.


Simon, Harvey, with Steven Anderson (Kennedy School of Government, Harvard University). Competing for Electrons: The Public Service Commission of New Mexico and the City of Albuquerque. October 1993. Case Study.

Varley, Pamela, with Carter Wall (Kennedy School of Government, Harvard University). Fighting for Customers: Atlantic Bluffs Confronts a Competitive Challenge. October 1993. Case Study.

California Public Utilities Commission v. FERC/Southern California Gas Co. v. FERC. Opinion, 988 F.2d 154, 300 US App. D.C. 206. 19 March 1993.

Darr, Frank. Electric Holding Company Regulation by Multistate Compact. Energy Law Journal, Volume 14:357. 1993.


Brown, Ashley. "Sunshine May Cloud Good Decision Making." Forum for Applied Research and Public Policy, Summer 1992.

Asimov, Michael. "California Underground Regulations." Administrative Law Review 44, no. 43 (Winter, 1992): pp. 43-77.

Pierce, Richard. The Unintended Effects of Judicial Review of Agency Rules. 43 Administrative Law Review 7. Winter 1991.

Pierce, Richard. "Unruly Judicial Review of Rulemaking." Natural Resources and Environment, Vol. 5, No. 2. Fall 1990.

Brown, Ashley. "The Overjudicialization of Regulatory Decision Making." Natural Resources and Environment. Vol. 5, No. 2. Fall 1990.

Brown, Ashley. "State Power Over Transmission Access and Pricing: The Giant Will Not Sleep Forever." Public Utilities Fortnightly. 9 November 1989.

Pierce, Richard. Public Utility Regulatory Takings: Should the Judiciary Attempt to Police the Political Institution? Georgetown Law Journal. 1989.

Duquesne Light Co. v. Barasch. 488 US 299, 316. 11 January 1989 (excerpt).

Kaplow, Louis. An Economic Analysis Of Legal Transitions. 99 Harvard Law Review. pp. 511-617. 3 January 1986.

Jones, Douglas. Sunshine Laws and Public Utility Commissions: Partly Sunny Preferable? NRRI Quarterly Bulletin 15:1.


US Congress. Tennessee Valley Authority Act. 1933.


Capacity Markets

Climate Change


Competitive Market Models and Transitions to Competition

Distributed Energy Resources

Electric Storage

Environment - Clean Air

EPAct and Predictions for the Future

FERC Rulings and Reports

Financial Markets

Financial Transmission Rights

Investment Incentives/Risk Allocation

Lessons from Abroad

Lessons from Other US Industries


Market Liquidity

Market "Manipulation"

Merchant Transmission

Mergers, Market Power and Anti-Trust

National Energy Policy

Natural Gas

Nuclear Power

PEV (Plug-in Electric Vehicles)

Public Power

Regional Transmission Organizations

Regulation, Governance and Judicial Review


Renewable Energy

Research and Development

Resource Adequacy

Retail Pricing

Scarcity Pricing


Smart Grid

Standard Market Design and Demand-Side Activities

State and Regional Activities

Stranded Benefits (Including Public Policy, Environment, DSM, IRP)

Stranded Investments, Assets, Costs (Including the Nuclear Question)

Technology Incentives

Transmission: Cost Allocation, Investment, and Planning

Wholesale and Retail Competition

Miscellaneous (Including Electricity Futures, Economic Principles, Financial Reform)