By - Jon Brown

FERC Compliance and Enforcement
November 7, 2018 | Newport Beach, CA

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If this course is of interest you may also be interested in FERC Electricity 101, Tuesday November 6, 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 0.8 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.


Wednesday, November 7, 2018

registration8:00 – 8:30 a.m. :: Registration & 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

Break10:15 – 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

lunch12:30 – 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

Break2:45 – 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


Andrew B. Art / Senior Counsel / Duncan, Weinberg, Genzer & Pembroke, P.C.

Andrew B. Art joined DWGP as Senior Counsel in January 2016, and has been a licensed attorney with a practice focused on electric utilities for the past 17 years.  Mr. Art advises primarily municipal and consumer-owned utilities in, regulatory, policy, compliance and transactional matters. 

Mr. Art has helped clients assess regulatory compliance with policy and regulatory mandates, and helped clients achieve satisfactory outcomes in disputed matters and investigations before the Federal Energy Regulatory Commission (FERC).

With respect to electric reliability matters, Mr. Art has helped clients develop and implement effective internal controls and protocols to document their compliance with the requirements of the North American Electric Reliability Corporation (NERC) and regional entities.  Mr. Art has led many presentations and has performed training sessions for utility personnel, subject matter experts, attorneys and lay audiences. 

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.  Sean’s practice has focused on the legal needs of municipal and cooperative electric utility clients.  He has advised clients on their compliance obligations under the mandatory Reliability Standards regime enforced by the North American Electric Reliability Corporation and Western Electricity Coordinating Council, including as to the preparation for audits, negotiation of delegation agreements for such standards and providing advice at regularly held, client compliance meetings.  He has helped clients navigate through the formal, standards violation and settlement process, aiding clients to reach mutually acceptable resolutions with compliance enforcement authorities.

Sean’s experience with the electric utility industry has extended to the negotiation of fundamental business transactions, including power purchase and interconnection agreements.  Sean has litigated rate and contractual disputes involving the electric utility industry before the Federal Energy Regulatory Commission, California State Court, Federal Appellate and District Court and the American Arbitration Association. He has represented clients through processes before the California Energy Commission, California Public Utilities Commission, California Air Resources Board and the California Independent System Operator Corporation, including in matters involving implementing regulations for California’s climate laws and proposals concerning administration and expansion of organized markets in California and the West.

Peter Scanlon/ Shareholder / Duncan, Weinberg, Genzer & Pembroke, P.C.

Peter  is a Shareholder with Duncan, Weinberg, Genzer, & Pembroke, P.C. with over 25 years of experience on matters involving energy law, administrative law, litigation, and the regulation of electric and natural gas public utilities.  Mr. Scanlon represents a wide range of clients before the Federal Energy Regulatory Commission (FERC) in proceedings involving electricity and natural gas tariff and rate proceedings and investigations.  Peter also represents clients’ interests in Federal Power Marketing  Administration proceedings, before state public utility commissions, and various state and federal courts.   He also regularly advises clients with respect to matters pertaining to regulatory compliance and enforcement, Regional Transmission Organization/Independent System Operator tariffs and stakeholder processes, dispute resolution, rulemakings,  interconnection agreements, municipal law,   renewable energy project development, take-off agreements, and power plant acquisitions and construction.  Mr. Scanlon regularly negotiates standard energy industry contracts, with substantial experience negotiating NAESB, ISDA, and EEI agreements on behalf of his clients.  Mr. Scanlon develops annual updates for a treatise on administrative procedures for Lexis Nexis. Prior to joining DWG&P, Mr. Scanlon was 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.


Renaissance Newport Beach Hotel

4500 MacArthur Blvd

Newport Beach, CA 92660

Reserve your room:

please call 1-949-476-2001

Click here to book online

Room Block Reserved For:

Nights of November 4 – 6, 2018

Room rate through EUCI:

$189.00 single or double plus applicable taxes
Make your reservations prior to October 19, 2018.


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