FERC Compliance and Enforcement
March 13, 2018
Portland, OR

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If this course is of interest you may also be interested in FERC Electricity 101, Monday March 12, 2018

This course looks at many of the substantive requirements with which utilities – and in some cases, other participants in the electricity markets – must comply.  In addition, it addresses steps that can be taken before FERC initiates an investigation or audit, describes what happens if FERC decides to act and when and what an organization should do in that case, and reviews the array of penalties that could be imposed when a violation occurs.

Learning Outcomes

  • Identify the substantive requirements involved in ensuring compliance with FERC regulations
  • Discuss the FERC organization and describe the divisions that are responsible for enforcement of FERC requirements
  • Describe the essential elements of protecting an organization by establishing proactive measures focused on maintaining compliance
  • Explain what makes an internal compliance and audit program effective
  • Define the purpose of the FERC hotline
  • Examine various scenarios of actions that can be taken by FERC and consider organizational responses
  • Recognize penalties that can be imposed by FERC
  • Consider mitigating factors that may apply to FERC actions and their benefits



EUCI has been accredited as an Authorized Provider by the International Association for Continuing Education and Training (IACET).  In obtaining this accreditation, EUCI has demonstrated that it  complies with the ANSI/IACET Standard which is recognized internationally as a standard of good practice. As a result of their Authorized Provider status, EUCI is authorized to offer IACET CEUs for its programs that qualify under the ANSI/IACET Standard.

EUCI is authorized by IACET to offer 0.7 CEUs for this event.


Instructional Methods

This program will use PowerPoint Presentations, group discussions, as well as active participation.

Requirements for a Successful Completion of Program

Participants must sign in/out each day and be in attendance for the entirety of course to be eligible for continuing education credit.


Tuesday, March 13, 2018

8:00 – 8:30 a.m. :: Registration and Continental Breakfast

8:30 – 8:40 a.m. :: Welcome, Introduction, and Overview

8:40 – 9:25 a.m. :: Introduction to Electric Reliability:  Mandatory and Enforceable Reliability Regime

  • Reliability History
  • Federal Power Act and Energy Policy Act of 2005
  • NERC

9:25 – 10:15 a.m. :: Current Threats and Emerging Issues 

  • Use of FERC’s Top-Down Authority
  • Scope of Emerging and Evolving Challenges

10:15 – 10:30 a.m. :: Morning Break

10:30 – 11:15 a.m. :: Transition to Risk-Based Monitoring and Enforcement

  • Monitoring and Enforcement Processes
  • Risk-Based Enforcement

11:15 a.m. – 12:30 p.m. :: Reliability Compliance Best Practices

  • Understanding Regulatory Context
  • Cultivating Internal Structure
  • Conducting Compliance Reviews
  • Engaging in ERO CMEP Activities

12:30 – 1:30 p.m. :: Group Luncheon

1:30 – 2:45 p.m. :: Introduction to Market Manipulation 

  • FERC Enforcement Background
  • Historical Development of FERC Enforcement
    • Prior to FERC: 1930s – 1970s
    • Non-FERC Agency Enforcement Regimes
    • Initial FERC Regime: 1977 – 2005
  • Current FERC Regime: 2005 – Present
    • Order No. 670
    • Typical Enforcement Issues
    • Examples of Prohibited Actions
    • Case Studies

2:45 – 3:00 p.m.  :: Afternoon Break

3:00 – 4:00 p.m. :: FERC Enforcement Process and Audits

  • How Enforcement Investigations Undertaken
  • Settlement Procedures
  • Orders to Show Cause
  • Appeal Routes
  • Penalties
  • Guidance Letters
  • Audits
    • How conducted
    • Recent Examples

4:00 – 4:30 p.m. :: Enforcement Penalties and Best Practices

  • FERC Penalty Guidelines
  • Best Practices for Handling the FERC Enforcement Process

4:30 – 5:30 p.m. :: Questions and Discussion


Tyler Mansholt, Senior Associate, Duncan, Weinberg, Genzer & Pembroke, P.C.

Tyler is a senior associate in the firm with a practice focused on matters before the FERC, as well as other Federal and state agencies, involving the electric, natural gas, and hydropower industries. 

With regard to electric regulation, Tyler has advised clients on a wide range of Federal matters associated with wholesale markets, mergers and acquisitions, transmission incentives, and formula rates.  In addition, he has assisted clients on matters before state utility commissions, including interconnection procedures, distributed generation, and integrated resource planning. 

In the area of natural gas, Tyler has advised clients regarding the Federal implications associated with the development of pipeline infrastructure, particularly as it regards compliance with environmental requirements.  Tyler’s hydropower practice at the firm has also counseled clients on jurisdictional issues, permitting requirements, and preference power conditions.

Prior to joining the firm, Tyler was employed at the FERC as an Attorney-Advisor in the Office of General Counsel.  While at FERC, Tyler provided council on natural gas matters, including market-based rate and jurisdictional determinations, and applications for the construction of pipeline facilities, storage facilities, liquid natural gas facilities, presidential permits, and abandonment.  Tyler also provided legal and policy advice on a wide range of hydropower matters, including preliminary permits, exemptions, licenses, relicenses, and surrenders.

Kristen Connolly McCullough, Partner, Duncan, Weinberg, Genzer & Pembroke, P.C.

Since 2012, Kristen Connolly McCullough has been a Partner with Duncan, Weinberg, Genzer, & Pembroke, P.C.  Her practice generally consists of energy law, administrative law and regulatory matters.  She represents and advises municipal utilities, municipal joint action agencies, electric cooperatives, and national trade associations on a variety of issues, including matters pertaining to North American Electric Reliability Corporation (NERC) and Regional Entity proceedings, rate and tariff filings before the Federal Energy Regulatory Commission (FERC) and state utility commissions, rulemaking proceedings, legislation, compliance and enforcement, and settlement negotiations.  In addition, she handles appeals of FERC cases before the US Court of Appeals for the DC Circuit and the US Court of Appeals for the Ninth Circuit. 

With the increased national focus on cyber attacks generally, there have been a multitude of executive actions and legislative initiatives intended to maintain national security, economic prosperity, and civil liberties by reducing threats to the nation’s critical assets, including the bulk electric system, via cyber attacks. These initiatives are intended to supplement or supersede the NERC Critical Infrastructure Protection (CIP) Reliability Standards.  Accordingly, Ms. Connolly McCullough actively monitors these activities, advocates her clients’ positions, and advises clients regarding best practices, trends, and potential regulation arising from these legislative and executive initiatives with respect to addressing potential vulnerabilities of the bulk power system.  She participated in NIST’s development process of its Cybersecurity Framework, a framework consisting of standards, guidelines, and practices (not specific to the electric sector) designed to protect critical infrastructure by minimizing any cybersecurity-related risk, on behalf of her clients. 

With respect to reliability, Ms. Connolly McCullough regularly advises clients on the full panoply of issues stemming from the mandatory and enforceable Reliability Standards, including with respect to navigating their way through the NERC and Regional Entity Compliance Monitoring and Enforcement Programs, e.g., compliance audits, NOAVs, data submittals, self-reporting and self certifications, as well as audit preparation for subject matter experts and assisting with the compilation of compliance evidence and RSAWs.  She has negotiated numerous settlements with the relevant Regional Entities on behalf of her clients regarding alleged violations of Reliability Standards and proposed penalties.  Ms. Connolly McCullough routinely updates clients on developments pertaining to the NERC Reliability Standards at both the NERC industry stakeholder level through ballots and initiatives and the FERC level through NERC filings.  She also routinely counsels clients through the development of internal compliance programs, document retention policies, and compliance trainings, and drafts formal and informal delegation agreements pertaining to the performance of the Reliability Standards. 

Eric Olson, Internal Controls Program Manager – Reliability Compliance and Coordination, Sacramento Municipal Utility District

Eric Olson is the Internal Controls Program Manager within SMUD’s Reliability Compliance and Coordination department. Eric is responsible for managing SMUD’s Internal Controls Evaluation Program, working with colleagues in the compliance department and across operational business units to identify and evaluate SMUD’s internal controls related to compliance with the North American Electric Reliability Corporation (NERC) reliability standards. He also participates in a wide range of risk assessment and compliance oversight of activities related to SMUD’s obligations pursuant to the NERC Compliance Monitoring and Enforcement Program. 

Prior to joining SMUD, Eric was an Associate Director at Navigant. As a consultant to the energy industry, Eric developed internal compliance programs, participated in reliability standards development activities, and conducted reviews of registered entities’ compliance evidence. Eric also assessed energy markets in the western United States; prepared reports and filings for federally funded energy projects; managed economic feasibility and revenue forecast models; researched, analyzed, and reported on critical issues for fuels and electric transmission markets; and served in a project management capacity for several client engagements. 


Courtyard by Marriott Portland City Center
550 SW Oak St
Portland, OR 97204

To reserve your room, please call 1-503-505-5000
Please indicate that you are with the EUCI group to receive the group rate.

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Room Rate:

The room rate is $169.00 single or double plus applicable taxes.

Room Block Dates:

A room block has been reserved for the nights of March 11 – 12, 2018.

Rate Available Until:

Make your reservations prior to February 11, 2018. There are a limited number of rooms available at the conference rate. Please make your reservations early.


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