Compliance, Audits & Enforcement

Van Ness Feldman has assisted electric utility clients for nearly 30 years in protecting their corporate integrity.  The firm has over 40 attorneys whose practices focus primarily on federal and state energy regulatory compliance issues.  Our experience extends to all aspects of a federal energy compliance practice, from conducting regulatory compliance reviews, to helping clients develop compliance plans and training programs, to defending clients in FERC, NERC, or state utility commission audits, investigations and enforcement actions.  In particular, Van Ness Feldman has experience counseling and representing clients with respect to:

Regulatory and Reliability Compliance Reviews

We review companies’ internal policies, practices, and structures to help assess their level of compliance and to identify potential problem areas.

Compliance Programs and Procedures

We help companies formulate compliance strategies and develop specific programs and procedures to implement those strategies.

We facilitate the implementation of compliance programs through the preparation of informational materials and employee training programs, coordination among business units, and all other issues that arise in putting a compliance program into effect.

Audit Committee Counsel

We serve as retained federal energy regulatory counsel to companies’ audit committees.

Audit/Investigation/Enforcement Response Counsel

We serve as retained counsel to provide an experienced response to FERC, NERC, and state utility commission audits, investigations and enforcement actions.  In this regard, our expertise allows us to help clients develop audit/investigation/enforcement defense strategies that will achieve the most favorable end result.

Leadership Seminars

We present seminars to management and directors relating to corporate integrity and the need for compliance programs to protect that integrity.

Compliance Maintenance Services

We have the knowledge and skills to ensure that a company’s compliance program remains current – even as regulatory requirements and interpretations change – by:

• Developing compliance “checklists.”
• Providing refresher training to employees.
• Reviewing and updating reference manuals.
• Assessing levels of compliance and the health of corporate integrity at any time (whether through a formal audit process or an informal spot-check).
• Answering day-to-day compliance questions.