Utilities & Energy
Compliance & Ethics
Conference

Sunday, February 26, 2012

8:00 am - 5:00 pm | Registration Open

Pre Conference Sessions | 9:00 am – 12:00 pm
(includes 15 min break)

P1: Compliance Program: Metric Considerations

Sheryl Vacca, SVP/Chief Compliance & Audit Officer, University of California
Lynda Hilliard, Deputy Compliance Officer, University of California

• Participants will discuss variables which influence the development of Compliance Program metrics.
• Participants will discuss with their peers different methods of using metrics to establish ROI.
• The session will develop at least 1 tool for use in any setting.

P2: Linking Risk and Compliance: Why Risk Management Should be a Key Component of a Compliance Program

Jana Utter, Director, Corporate Compliance & Risk Management, MISO
Lori Spence, Deputy General Counsel, MISO

• Applying risk management to corporate compliance – Wait! I’m the CCO not the CRO, isn’t risk assessment something for the Chief Risk Officer to manage?
• Strong business processes leads to a strong Compliance Program, assessing risk is key to prioritizing resources – how do process, risk, and compliance effectively integrate?
• An effective compliance program includes an effective risk management program – how are both effectively accomplished?

12:00 – 1:30 pm | Lunch (on your own)

Pre Conference Sessions | 1:30 – 4:30 pm
(includes 15 min break)

P3: Nuts and Bolts of Overseeing a Periodic Compliance Assessment

Peter C. Anderson, Partner, Anderson Terpening PLLC
William F. Hederman, Director, Regulatory Compliance, Energy and Resources, Deloitte & Touche LLP
Bryan Manges, Manager, Enterprise Compliance Piedmont Natural Gas
Allen Stewart, Managing Director, Ethics & Compliance, Duke Energy

• Legal and policy background on “effectiveness” criteria and the role of periodic assessments
• In-depth discussion of periodic assessments in the real world: “Best practices, common challenges & lessons learned”

P4: How to Build a Comprehensive Risk Assessment Process in the New Era of Enforcement

Ryan Morgan, Anti Corruption Specialist, WorldCompliance
Michael Volkov, Partner, Mayer Brown LLP

• Beyond FCPA: Keys to structuring a global anti corruption program
• Global Risk Assessment: what is the foundation to a successful strategy?
• Enforcement Trends: What new regulations will have the most affect on your business in 2012?

4:30 – 5:30 pm | Opening Reception

Monday, February 27, 2012

7:30 am – 4:30 pm | Registration Open

7:30 – 8:30 am | Continental Breakfast

8:30 – 9:30 am | General Session 1

Sustaining a Culture of Trust and Integrity in Challenging Times

Duane C. Woods, Senior Vice President, Waste Management

• Are you seeing increased compliance or integrity issues in your workforce?
• Are you struggling to identify incentives and metrics that drive performance but also maintain integrity and trust?
• What safeguards and strategies can uncover underlying ethics and compliance problems in your workforce

9:30 – 10:30 am | General Session 2

The Ethics of Business Continuity Planning

Shane Creel, Director, Risk Management and Sustainability, Texas A&M University- Kingsville

• Back to business: planning for disaster
• The benefits of desktop procedures
• Disaster recovery: chaotic ethical decisions

10:30 – 11:00 am | Networking Break

11:00 am – 12:00 pm | Concurrent Breakout Sessions

101:The Federal Sentencing Guidelines in Today’s Compliance World

John R. Steer, (Retired) Vice Chair, U.S. Sentencing Commission

• The federal sentencing guidelines for organizations have been developed and amended over a 20-year period. Here are the highlights:
• The guidelines are relevant today as a compliance program model to help businesses avoid trouble and add value.
• Recent US Sentencing Commission data and current policy issues illustrate a dynamic enforcement and policymaking environment.

102: Getting Your Boss to Pay Attention

James Lukaszewski, President, Lukaszewski Group Division

• How to build your personal and professional influence, respect, and impact
• How to give advice from a management perspective
• Learn the seven powerful disciplines of the trusted strategic advisor

12:00 – 12:45 pm | Networking Lunch

12:45 – 1:45 pm | Concurrent Breakout Sessions

201: How Social Media Compliance Can Grow Your Business

Sarah Carter, VP, Actiance, Inc.

• Learn how social media compliance can deliver return on engagement
• Discover how social media issues go beyond data leakage
• How controlling and archiving content can lead to an increase in business

202:Benchmarking & Efficiency

Bob Conlin, Senior Vice President of Business Strategy, EthicsPoint
Michael Scheller, Director, PriceWaterhouse Coopers LLP

• Demonstrate how efficiency and compliance programs work together by providing increased insight from the data you already collect
• Show how benchmarking can strengthen compliance programs and identify costly waste in the business
• Design compliance programs that fund themselves by taking advantage of ongoing analysis

1:45 – 2:15 pm | Networking Break

2:15 – 3:15 pm | Concurrent Breakout Sessions

301:Emerging Compliance Issues for Overseas Operations

Eric Morehead, Senior Compliance Counsel, Corpedia Corp.
Ryan McConnell, Partner, Haynes & Boone

• Overseas compliance issues from the front lines
• Listen to perspectives from those who have been on both sides of the table
• Hear what these experts believe “the next big thing” in overseas compliance might be

302: NERC Rules Changes: Implications for Participants in Regional Entity Enforcement Actions

Susan J. Court, Principal, SJC Energy Consultants, LLC

• NERC (proposed) rules changes significantly contemplate significant expansion of third parties in regional reliability enforcement proceedings.
• Entities affected cover the entire chain of activity from notices of possible violations to submissions of Notices of Penalty to FERC.
• Affected entities must understand the implications of these changes to be prepared for meaningful participation in regional enforcement actions.

3:15 – 3:30 pm | Networking Break

3:30 – 4:30 pm | Concurrent Breakout Sessions

401: Information Governance: The Fourth Dimension

Deborah H. Juhnke, Director, Information Management Consulting, Husch Blackwell LLP Brandon M. Barkhuff, Assistant General Counsel, NV Energy

• Learn about the three key foundational elements of a compliant information governance program
• Find out how one large utility company overcame inertia to develop their program
• Understand why tackling information governance is an imperative...that things will not get better with time and search technology is not the answer

402: NERC Compliance in Practice

Andrew Gallo, Director, Reliability Compliance, Austin Energy

• Assistance in creating an Internal Compliance Program
• Practical advice for how to handle a NERC compliance audit - before, during and after the audit
• Practical advice on how to negotiate a settlement with a Regional Entity

4:30 – 6:00 pm | "Center Court" Networking Reception, Sponsored by Ethics Point

Tuesday, Feburary 28, 2012

7:30 am – 4:30 pm | Registration Open

7:30 – 8:30 am | Continental Breakfast

8:30 – 9:30 am | General Session 3

Building Meaningful Incentives Into Your Compliance & Ethics Program

Daniel Roach, VP Compliance & Audit, Dignity Health

• Why incentives?
• Creating meaningful incentives
• Selling incentives to your board and management

9:30 – 10:30 am | General Session 4

Compliance Considerations When the World is Watching

Janet McQuaid, Partner, Fulbright & Jaworski LLP

• Shale plays and hydraulic fracturing, East and West
• Developments in environmental laws and regulations
• Enforcement and litigation trends

10:30 – 11:00 am | Networking Break

11:00 am – 12:00 pm | Concurrent Breakout Sessions

501:Compliance is Not Enough: Changing Daily Behaviors to Create a Welcoming Workplace Culture

Stephen M. Paskoff, President and CEO, ELI, Inc.

• Participants will be given specific skills and tools that are necessary for integrating key behaviors into the utility/energy workplace on a daily basis
• Participants will be interactively taught how to build a framework for development, reinforcement and consistent follow-up for effective compliance training
• Participants will learn how the presented simple yet specific behaviors lead to compliance but also a more efficient, effective and civil workplace

502: TBA

12:00 – 12:45 pm | Networking Lunch

12:45 – 1:45 pm | Concurrent Breakout Sessions

601: The Impact and Challenges of the Dodd Frank/ Conflict Minerals Provision on the Energy Sector

Charles Riepenhoff, Jr., Managing Director, KPMG LLP

• Recent developments on Dodd-Frank/Conflict minerals Section 1502 in the Energy industry
• Learn how to determine if your company is impacted
• Key components of an effective compliance program around this new legislation

602: You are a Monopoly: Why Care about Effective Customer Service?

Jack Matens, Director of Human Resource Services, Russ Blakely & Associates

• Understanding the “drivers” of exceptional customer service: your mission, your values, your culture and your customer expectations
• Apply appropriate behaviors in handling discontent customers- of all generations – in person, over the phone, mail, e-mail and social media
• Examine key procedures and behaviors that insure exceptional customer service

1:45 – 2:00 pm | Networking Break

2:00 – 3:00 pm | Concurrent Breakout Sessions

701: Cutting-Edge Compliance Training & Communications

Courtney McBurney, Compliance Officer, GE Energy Management

• Revamp your compliance communications
• Learn how to reach key groups
• Be aware of privilege and other legal concerns

702: The Human Factor: Strategies for Addressing Human Error in Utility Compliance Programs

Mary-James Young, Senior Compliance and Regulatory Counsel, Vectren Corporation

• Understand human factor/human error in a compliance context
• Learn strategies for proactively addressing the human factor
• Apply human factor/human error concepts in utility operations

3:00 – 3:15 pm | Networking Break

3:15 – 4:15 pm | Concurrent Breakout Sessions

801: Compliance Convergence: The New Normal

Thomas Fox, Principle, tomfoxlaw.com

• Compliance Convergence-the New Normal
• Compliance Convergence-an opportunity for greater compliance efficiency
• Compliance Convergence-how the New World Compliance Order affects your business overseas

802: Beyond the Third-Party Due Diligence Report

Scott A. Lane, Principal & CEO, The Red Flag Group

• Beyond due diligence
• Ongoing monitoring of third parties
• Third party compliance

Wednesday, February 29, 2012

8:00 am – 12:00 pm | Registration Open

9:00 – 12:00 am | Post Conference Sessions

W1: Driving Compliance & Ethics Program Effectiveness

J. Christopher Couch, Senior Director, Corporate Executive Board

• Learn how your function's staffing, spending, risk prioritization, and activities stack up to your peers
• Understand how other C&E officers are measuring their program effectiveness.
• Identify where you can make strategic cuts in training.

W2: Sustaining Cyber Security Compliance with NERC CIP Standards, NEI 08-09 and NIST Smart Grid Guidelines, Today and Tomorrow

Anna Wang, Senior Cyber Security Consultant, Burns & McDonnell )

• NERC CIP Standards, NEI 08-09 and NIST Smart Grid cyber security compliance
• Investment in human capital
• Culture of change to sustain continuous compliance

1:30 – 2:00 pm | CCEP Exam Check-In*

2:00 – 4:00 pm | CCEP Exam*

*CCEP Exam is optional and requires advance registration and payment separate from the conference registration

Peter C. Anderson, JD, CCEP, Partner, Anderson Terpening PLLC

Brandon M. Barkhuff, Assistant General Counsel, NV Energy

Sarah Carter, VP, Actiance, Inc.

Bob Conlin, Senior Vice President of Business Strategy, EthicsPoint

Susan J. Court, JD, Principal, SJC Energy Consultants, LLC

J. Christopher Couch, Senior Director, Corporate Executive Board

Shane Creel, Ph.D., CCEP, Director, Risk Management & Sustainability, Texas A&M University-Kingsville

Thomas Fox, Principal, tomfoxlaw.com

Andrew Gallo, JD, CCEP, Director, Reliability Compliance, Austin Energy

William F. Hederman, Director, Regulatory Compliance, Energy and Resources, Deloitte & Touche LLP

Lynda Hilliard, MBA, RN, CHC, CCEP, Deputy Compliance Officer, University of California

Deborah H. Juhnke, CRM, Director, Information Management Consulting, Husch Blackwell LLP

Scott A. Lane, LLB, LLMB, Info Tech, Principal & CEO, The Red Flag Group

James Lukaszewski, ABC, APR, Fellow PRSA, President, Lukaszewski Group Division

Bryan Manges, Manager, Enterprise Compliance, Piedmont Natural Gas

Jack Matens, MS, MBTI, CCEP, Director of Human Resource Services, Russ Blakely & Associates

Ryan McConnell, Partner, Haynes & Boone

Janet McQuaid, Partner, Fulbright & Jaworski LLP

Eric Morehead, Senior Compliance Counsel, Corpedia Corp.

Courtney McBurney, JD, Compliance Officer, GE Energy Management

Ryan Morgan, AML/CA, CCEP, Anti Corruption Specialist, WorldCompliance

Stephen M. Paskoff, Esq., President and CEO, ELI, Inc.

Charles A. Riepenhoff, Jr., Managing Director, KPMG LLP

Daniel Roach, VP Compliance & Audit, Dignity Health

Michael Scheller, Director, PriceWaterhouse Coopers, LLP

Lori Spence, Deputy General Counsel, MISO

John R. Steer, JD, (Retired) Vice Chair, U.S. Sentencing Commission

Allen Stewart, Managing Director, Ethics & Compliance, Duke Energy

Jana Utter, CCEP, Director, Corporate Compliance & Risk Management, MISO

Sheryl Vacca, CHC-F, CHPC, CHRC, CCEP, SVP/Chief Compliance & Audit Officer, University of California

Michael Volkov, JD, Partner, Mayer Brown LLP

Anna Wang, Senior Cyber Security Consultant, Burns & McDonnell

Duane C. Woods, Senior Vice President, Waste Management

Mary-James Young, JD, LLM, Senior Compliance and Regulatory Counsel, Vectren Corporation