Holmes & Associates regularly serves as advisors to executive leaders and boards of directors on matters relating to federal regulatory compliance. The regulatory environment has become increasingly complex and enforcement proceedings are on the rise. For companies, executives, and business leaders facing investigation or enforcement actions, having the fully informed judgment of experienced counsel to conduct internal investigations and advise on issues such as corporate governance, compliance programs, and litigation defense is critical. Holmes & Associates attorneys conduct internal investigations and represent clients facing actual or threatened government enforcement. We also have experience representing clients in False Claims Act litigation and administrative proceedings.

Representative Matters

• Performed a systematic compliance review of all Federal Transit Administration (FTA) program areas including procurement and government contacting, financial/grants management, Americans with Disabilities Act, Title VI, Disadvantaged Business Enterprises, Drug and Alcohol Program, and Equal Employment Opportunity Program on behalf of one of the nation’s largest public transportation systems. Worked with regulators at the United States Department of Transportation (USDOT) and the FTA and also responded on behalf of the agency to inquiries from the USDOT Inspector General. Advised the Executive Leadership Team on needed revisions to policies and procedures and lead internal teams in developing implementing procedures necessary to meet board directives and the obligations of the FTA Master Agreement under the USDOT grant program.
• Led efforts to address the findings of FTA federal management oversight compliance audit that determined that a transit agency’s grants management and procurement practices were noncompliant with FTA regulations. In addition, supervised multi-front rapid response to audit findings including changes to processes and procedures in the procurement function throughout the agency. Supervised development and implementation of the agency’s first-ever grants management policies and procedures manual.
• Led several internal investigations into possible billing irregularities at a public transportation agency and managed team dedicated to reforming business practices and procedures relating to budget coding, timekeeping, and characterization of funding. Worked closely with federal regulators to avoid penalty and loss of federal funding resulting from program non-compliance with business practices required by the Office of Management and Budget.
• Represented a public transportation agency in a qui tam (False Claims Act) proceeding brought by the United States Department of Justice and others in federal district court for the District of Columbia alleging violations of government contracting requirements. Negotiated a favorable settlement of all claims. Provided advice and counsel to CEO and governing board to manage public relations exposure resulting from these proceedings.
• Negotiated with the Office of the Secretary of Transportation and FTA a compromise solution to the application of the American with Disabilities Act level boarding requirements in a shared-corridor commuter rail environment. Resolution of this issue was a condition to receiving federal approvals and funding for a commuter rail project.
• Negotiated comprehensive Prospective Purchaser Agreements and Covenants Not to Sue with the United States Environmental Protection Agency and corresponding state regulatory agency to limit the Authority’s liability for historical contamination and established procedures to identify and address environmental contamination in the project alignment.
• Led efforts to address the findings of federal program compliance audit determining that a public transportation agency’s contracted paratransit service was noncompliant with Americans with Disabilities Act implementing regulations. Designed and implemented organizational changes to restructure paratransit operations; concurrently drafted voluntary compliance plan and negotiated with FTA, USDOT, and US Department of Justice to prevent the loss of federal funding.

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Representative PRESENTATIONS AND PUBLICATIONS

• “New Developments in ADA-Level Boarding,” American Public Transportation Association 2006 Legal Affairs Seminar, San Francisco, California (February 2006)

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