FERC Electricity: Compliance and Enforcement
October 4-5, 2021 | Online :: Central Time
“Extremely helpful in breaking down why we are where we are today and understanding legislative reasoning.” Credit & Risk Analyst, Midcontinent Independent System Operator, Inc.
“Sometimes it takes a training event, where you are uninterrupted and focused on material to allow yourself to fill in the knowledge gaps. This training event allowed me to obtain that knowledge.” Manager, Regulatory, AEP
The FERC Electricity: Compliance and Enforcement course provides a comprehensive overview of the agency’s impact on the electric power industry. This course is designed for attendees who are seeking a basic knowledge of FERC, desiring a refresher course, or wanting to learn about how the Biden administration and changes in congressional leadership influence the commission.
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.
FERC has a large – and growing – presence in the electric industry, especially in light of the Energy Policy Act of 2005. Attendees will be able to recognize and relate the nature of the FERC role and how agency actions may affect regulated entities and the marketplace.
- 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
Monday, October 4, 2021 Central Time
8:45 – 9:00 a.m.
Log In and Welcome
12:00 – 12:30 p.m.
9:00 a.m. – 4:00 p.m.
Electric Power: Industry Overview, Organization, and Federal/State Distinctions
Getting to Know FERC
- An Overview of FERC
- Regulation before FERC
Exploring FERC’s Jurisdiction
- FERC Authority and Jurisdiction
- State Authority and Jurisdiction
Principles of Electric Regulation
- Regulation Under the Federal Power Act
- Just and Reasonable Rates
- Prohibition Against Undue Discrimination
- Filed Rate Doctrine
- Rule Against Retroactive Ratemaking
- Due Process and Burden of Proof
- Basics of Ratemaking
FERC Practice and Procedure
- Types of Proceedings
- Overview of Regulatory Process
The Introduction of Competition
- EPAct 1992
- Order 888 and its Progeny
- Order 2000
- Recent Developments
Organized Markets (RTOs, ISO, and ITCs)
- RTO Characteristics and Functions
- Major Market Issues
12:00 – 12:30 p.m. :: Lunch Break
Utility Mergers and Acquisitions
- Historical Overview
- PUHCA and EPACT 2005
- FPA Section 203
- FERC Merger Policy
- Formula Rates
- FERC’s NEPA Review
Introduction to Electric Reliability: Mandatory and Enforceable Reliability Regime
- Reliability History
- Federal Power Act and Energy Policy Act of 2005
Current Threats and Emerging Issues
- Use of FERC’s Top-Down Authority
- Scope of Emerging and Evolving Challenges
Transition to Risk-Based Monitoring and Enforcement
- Monitoring and Enforcement Processes
- Risk-Based Enforcement
Tuesday, October 5, 2020 Central Time
8:45 – 9:00 a.m.
9:00 a.m. – 12:00 p.m.
Reliability Compliance Best Practices
- Understanding Regulatory Context
- Cultivating Internal Structure
- Conducting Compliance Reviews
- Engaging in ERO CMEP Activities
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
FERC Enforcement Process and Audits
- How Enforcement Investigations Undertaken
- Settlement Procedures
- Orders to Show Cause
- Appeal Routes
- Guidance Letters
- How Conducted
- Recent Examples
Enforcement Penalties and Best Practices
- FERC Penalty Guidelines
- Best Practices for Handling the FERC Enforcement Process
Peter Scanlon, Shareholder, Duncan, Weinberg, Genzer & Pembroke, P.C.
Mr. Scanlon is a Shareholder at Duncan, Weinberg, Genzer & Pembroke, with over three decades of experience in commercial litigation and administrative law, including rate proceedings involving electric and natural gas utilities. Mr. Scanlon’s practice involves advising clients on organized market rules, rate case litigation, regulatory compliance, enforcement matters, standards of conduct, power plant acquisitions and construction issues, hydroelectric license issues, municipal law, communications law, and energy contracts. Mr. Scanlon has extensive experience advising clients on regulatory compliance, enforcement, standards of conduct, and transactional matters. Mr. Scanlon presents regularly on energy law topics including climate policies effecting natural gas policies and usage, FERC’s market manipulation authority and enforcement, federal power marketing administrations, energy contracting issues, and FERC practice and procedures. Mr. Scanlon provides annual updates to a treatise on natural gas practice and procedures and rates issues. Mr. Scanlon previously served as in-house counsel for a natural gas public utility holding company involved in natural gas exploration, interstate pipelines, storage, local distribution, and energy production and marketing.
Sean Neal, Shareholder, Duncan, Weinberg, Genzer & Pembroke, P.C.
Sean is a Shareholder with Duncan, Weinberg, Genzer and Pembroke, P.C., practicing from the firm’s Sacramento, California office. For over two decades, Sean’s practice has focused on utility regulation, both federal and state. He has appeared in and litigated cases involving utility regulation and contractual disputes before the Federal Energy Regulatory Commission, California State Court, Federal Appellate and District Courts and the American Arbitration Association. His advice has helped client navigate and transact in independent system operator and regional electricity markets.
An additional hallmark of Sean’s practice is assisting clients with their compliance obligations, including under the mandatory Reliability Standards regime enforced by the North American Electric Reliability Corporation and Western Electricity Coordinating Council. He has assisted clients prepare for audits, negotiate compliance agreements, and act as part of client’s reliability compliance team. Sean similarly has advised clients as to compliance with federal market behavior rules. When clients have been faced with enforcement action by compliance enforcement authorities, Sean has worked with clients to reach mutually acceptable resolutions with those authorities.
Barry Lawson, Regulatory Policy Director, Duncan, Weinberg, Genzer & Pembroke, P.C.
Mr. Lawson joined the Firm in May 2021 as a Regulatory Policy Director focusing on electric industry cybersecurity, grid security, Bulk Electric System (BES) reliability and other interrelated issues. Mr. Lawson’s focus is working with clients on these issues and providing technical and policy support to the Firm’s attorneys on these and other issues.
Prior to joining the Firm, Mr. Lawson completed a 20-year career with the National Rural Electric Cooperative Association (NRECA) as their Senior Director, Regulatory Affairs. His regulatory and policy focus at NRECA over the years transitioned from FERC open access, pricing and interconnection transmission policy to disaster planning and response, cyber and data security, electric grid security, and BES reliability issues. This work helped him to develop and establish strong relationships and contacts with electric industry trade associations (including APPA, EEI, ELCON, EPSA, LPPC, TAPS and others), the North American Electric Reliability Corporation (NERC) and its Regional Entities, and numerous federal government agencies (including the Federal Energy Regulatory Commission (FERC), Department of Energy (DOE), Department of Homeland Security (DHS) and others). Mr. Lawson’s extensive knowledge and expertise in these areas are valuable to existing and new clients.
Earlier in Mr. Lawson’s career, he performed transmission policy analysis for EEI, KEMA Consulting and Columbia Gas Transmission. Mr. Lawson’s electric industry career began with Dominion Energy (Virginia Power) in the distribution engineering and customer service areas.
Ellen Hill, Associate Attorney, Duncan, Weinberg, Genzer & Pembroke, P.C.
Ms. Hill has been with DWGP since 2020 and is duly admitted to practice law in the State of Arizona and the District of Columbia. Her work includes practice areas relating to energy, electric reliability, utility, environmental, municipal, and cybersecurity law, along with various issues relating to telecommunications. Ms. Hill has assisted with proceedings before the Federal Energy Regulatory Commission, the United States Court of Appeals for the D.C. Circuit, the Bonneville Power Administration, and the Public Service Commission of the District of Columbia concerning wholesale transmission, ancillary services, and retail distribution rates. She is familiar with both federal and state regulatory law.
Sylwia Dakowicz, Associate, Duncan, Weinberg, Genzer & Pembroke, P.C.
Ms. Dakowicz is an Associate in the Firm’s Sacramento office. Her practice focuses on renewable energy, community choice aggregation, municipal, electric reliability, communications, and hydropower law. Ms. Dakowicz drafts pleadings and provides analysis pertaining to proceedings before the Federal Energy Regulatory Commission (FERC) on matters including utility mergers, the Public Utility Regulatory Policies Act (PURPA), and transmission owner rate cases. Ms. Dakowicz represents clients in transmission revenue requirement settlement proceedings, provides clients with advice concerning participation in California Independent System Operator (CAISO) stakeholder proceedings, and assists clients in preparing and modifying contracts related to interconnections and North American Electric Reliability Corporation (NERC) Reliability Standards. She also tracks and analyzes NERC developments, CAISO tariff and market changes (including developments in the Western Energy Imbalance Market (EIM) and the Western Interconnection), as well as California Energy Commission (CEC) and California Public Utilities Commission (CPUC) proceedings.
Prior to joining the Firm, Ms. Dakowicz interned with the CAISO, as well as with the CPUC for both Commissioner Martha Guzman Aceves and the Administrative Law Judge Division. At the CPUC, Ms. Dakowicz analyzed for the Administrative Law Division matters in both the energy and telecommunications fields, involving such matters as market rules and expert testimony standards. Before attending law school, Ms. Dakowicz worked as an Anti-Money Laundering Analyst at an international bank.
We will be using Microsoft Teams to facilitate your participation in the upcoming event. You do not need to have an existing Teams account in order to participate in the broadcast – the course will play in your browser and you will have the option of using a microphone to speak with the room and ask questions, or type any questions in via the chat window and our on-site representative will relay your question to the instructor.
- You will receive a meeting invitation will include a link to join the meeting.
- Separate meeting invitations will be sent for the morning and afternoon sessions of the course.
- You will need to join the appropriate meeting at the appropriate time.
- If you are using a microphone, please ensure that it is muted until such time as you need to ask a question.
- The remote meeting connection will be open approximately 30 minutes before the start of the course. We encourage you to connect as early as possible in case you experience any unforeseen problems.
Please Note: This event is being conducted entirely online. All attendees will connect and attend from their computer, one connection per purchase. For details please see our FAQ
If you are unable to attend at the scheduled date and time, we make recordings available to all registrants for three business days after the event
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 1.0 CEUs for this event.
This program will use PowerPoint Presentations, group discussions, as well as active participation.
Requirements for a Successful Completion of Program
Participants must log in each day and be in attendance for the entirety of the course to be eligible for continuing education credit.
Who Should Attend
Those who will benefit from this course include engineers, managers, members of the financial community, attorneys, and anyone else interested in understanding the laws governing FERC in addition to its rules, policies, and procedures. The course will also be beneficial to individuals seeking insight on current agency proceedings involving electric power.
- Utility project managers
- Transmission and distribution personnel
- Members of the financial community
- Regulators and regulatory affairs personnel for utilities
- Governmental agencies interested in FERC compliance rules