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Handout - 2018 - National - Utilities & Energy Compliance & Ethics Conference

SUNDAY | Pre-Conference



P1: Soft Does Not Equal Weak: Skills to Support Your Success in Compliance and Ethics

  • Compliance and ethics professionals need more than just subject matter expertise to be effective. Communication, negotiation, collaboration, networking, and influence are also critical to our success.
  • Learn tips to further develop these areas and apply them in your day-to-day work.
  • Join the conversation and participate in exercises to practice what you’ve learned.

Presentation (2 slides/page)
Presentation (3 slides/page)

Samantha Kelen, Lead Ethics Analyst, Duke Energy Corporation

P2: Utilities/Energy Sector: Emerging Cyber Terrorist Target?

  • The energy industry's transition to modern multidirectional generation and distribution systems opens possibilities for terrorist to employ devastating cyber attacks
  • Nation state and organized crime cyber-attacks have proven the vulnerabilities within the Utility/Energy industry and regulatory compliance is not postured to ensure proper security
  • Compliance & Ethics professionals must use their unique skill sets and holistic vantage point within the industry to better understand and properly prepare for an inevitable attack

No presentation available

Charles Shugg, Partner, Chief Operating Officer, Sylint Group, Inc.


P3: Turn of a Century: How does a company with over 100 years of history in the gas, electric and steam industries implement a corporate compliance program?

  • Change management: how we are building partnerships and gain buy-in.
  • Failure is an option: create a compliance culture that fosters the ability for employees to identify and escalate issues, and fix processes to become more compliant.
  • Communication plan: use simple messages and designated points of contact from stakeholder groups to roll out program information to business units.

Presentation (2 slides/page)
Presentation (3 slides/page)

Tayo Kurzman, Section Manager, Consolidated Edison of New York, Inc.

Kevin Jamieson, Dir BEC- Compliance Mgmt, Consolidated Edison Company of NY

P4: Why Modern-Day Slavery is a Risk for Your Company and How to Deal with It

  • Understand and prevent modern day slavery risks
  • Compliance with modern day slavery regulations in global supply chains
  • Compliance with modern day slavery regulations in global supply chains

Presentation (2 slides/page)
Presentation (3 slides/page)

Kirill Boychenko, Campaign Coordinator, International Labor Rights Forum






360 Leadership: Leading Across, Down and Up to advance the Compliance Function

  • Awareness of the leadership challenges that are at the root cause of E&C issues.
  • Understanding the practical steps E&C leaders can take to impact change.
  • How to become a partner in the process.

No presentation available

Meredith Persily Lamel, CEO, Aspire@Work

Kira Fuller, Compliance Officer, Department of Defense


Business Risk Through a Government Lens: Putting Your Company in the Best Light

  • Learn from actual case examples how energy companies have transgressed in areas that have resulted in criminal, civil, and administrative resolutions.
  • Understand the process the Government undertakes in case development and investigations, and how to put the best foot forward when under Government scrutiny.
  • Explore the factors the Government considers in evaluating your ethics and compliance program, and the remedies often deployed.

Presentation (2 slides/page)
Presentation (3 slides/page)

Daniel H. Coney, ASAC, U.S. Deptartment of the Interior, OIG

Lori Y. Vassar, Director, Administrative Remedies Division, U.S. Deptartment of the Interior, OIG


101: CMS Energy: A New Step Forward

  • Leading engagement, education & communication practices to build momentum for trust and growth
  • Scaling organizational culture transformation through reputation ambassadors
  • Role of leadership as culture change agents, threading purpose through community and social impact

Presentation (2 slides/page)
Presentation (3 slides/page)

Christina DuVall, Director of Corporate Compliance, CMS Energy

Marsha Ershaghi Hames, Managing Director, Strategy & Development, LRN, Inc.


102: On the Offensive: How to Use Outsourcing in the Era of Shrinking Budgets and High Compliance Demands

  • With shrinking budgets, increasing regulatory scrutiny and growing demands on teams, many companies are now considering outsourcing portions of their compliance program. But how do you know if this is the right move for you?
  • Learn why and how Noble Energy re-imagined their compliance program and used outsourcing to overcome resource challenges, create consistency among processes, and reduce the burden of administrative tasks.
  • Review the growing demands on the Compliance Officer to focus more on non-traditional tasks and high-risk areas. Learn what tasks are better suited for outsourcing than others, best practices and pitfalls to avoid.

No presentation available

Christopher Sindik, Senior Associate, Professional Services, The Red Flag Group

John Sardar, Chief Compliance Officer, Noble Energy, Inc.

201: How to Build a Great Code of Conduct that Works for Your Organization

  • A Great Code of Conduct Program
  • Five Foundations and Five Functions of a Great Code
  • The Fourteen Elements of a Great Code

Presentation (2 slides/page)
Presentation (3 slides/page)

Jason Lunday, VP, Product Development, Syntrio, Inc.

202: ISO 37001: FCPA Program Leverage Opportunities

  • Existing corporate FCPA programs can provide the foundation for ISO 37001 certification - and all the associated business and legal benefits. This presentation will help CCOs and GCs pivot their programs to also include ISO 37001 system components.
  • Among the benefits: reduced compliance and supply chain costs, revenue generation possibilities and alignment with the “operationalization” priorities of DOJ.
  • ISO 3700 benefit for companie1 certification provides a tangible “front-end”s that is recognized and viewed positively by both C-suite members and external stakeholders.

Presentation (2 slides/page)
Presentation (3 slides/page)

Worth D. MacMurray, Principal, Governance & Compliance Initiatives, LLC


301: Responding to Investigations: Considerations for Compliance Officers

  • In today’s highly regulated business environment, compliance personnel are increasingly called upon by corporations to respond to, address and remediate sensitive and complex investigations.
  • The presentation will outline keys to successfully handling significant internal and regulatory enforcement matters and highlight pitfalls and risks that often arise during these investigations.
  • Additionally, we will discuss specific steps compliance officers should consider taking during “blue sky”days to ensure their departments are adequately prepared for substantive inquiries.

Presentation (2 slides/page)
Presentation (3 slides/page)

Rachel B. Goldman, Bracewell LLP

Thomas F. Kokalas, Bracewell LLP


302: Managing Conflicts of Interest and Encouraging Ethical Decision-Making in the Utilities & Energy Sector

  • Explore various conflict of interest dilemmas as a risk factor to ethical decision-making and survey strategies for management and communication
  • Apply lessons from behavioral economics, psychology, and management to incentives for and obstacles to ethical decision-making in the utilities and energy sector
  • Develop the control framework between conflict of interest management and ethical decision-making by organisations and individuals and discover defense strategies

Presentation (2 slides/page)
Presentation (3 slides/page)

Sally Afonso, Compliance Advisor, ABN AMRO Bank N.V.


401: Political Law Compliance Considerations for Energy Companies and Utilities

  • Communicating with state and local officials on industry matters and concerns, and when this raises compliance or other disclosure obligations under lobby laws, or the SEC’s municipal advisor registration rule
  • Giving things of value to public officials or government entities, and the difference between gifts and political contributions
  • Strategies for providing the business flexibilitiy to interact with government officials and entities, while maintaining compliance with these rules

Presentation (2 slides/page)
Presentation (3 slides/page)

Patricia Zweibel, Counsel, Skadden, Arps, Slate, Meagher & Flom LLP


402: Records and Information Management: Why Should I Care?

  • When it comes to records, are you floating in a cloud, meandering along a path to nowhere, or trekking along a steady and sometimes bumpy road? Discover tips and lessons learned for building a successful Records and Information Compliance program.
  • Learn why it’s better to prepare now before a potential FERC audit data request and understand why it’s essential to be able to demonstrate that you have a strong RIM compliance program.
  • “I might need this later” and other acceptable or possibly not-so-acceptable classifications for records. Learn techniques for effectively educating and engaging the masses.

Presentation (2 slides/page)
Presentation (3 slides/page)

David H. Douglass, FERC Compliance, KCP&L

Christian E. Whicker, Director of Corporate Compliance, Duke Energy

Jayne Riske, Director of Corporate Compliance Black Hills Corporation





Ensuring Reliability and Security in Uncertain Times

No presentation available

David S. Ortiz, Deputy Director of the Office of Electric Reliability Federal Energy Regulatory Commission

Internal Controls Related to Identifying, Mitigating, and Preventing Recurrence of Noncompliance

  • Discussion with registered entity representative (TBD) of internal identification, prompt self-reporting, root cause analysis, mitigation/remediation activities. Including available reference material such as User Guides, NERC website, etc.
  • The impact of internal controls and mitigating activities on compliance monitoring and enforcement determinations.
  • Case study showing start to finish: internal identification, root cause analysis, self-reporting, mitigation, settlement and disposition/penalty determination.

Presentation (2 slides/page)
Presentation (3 slides/page)


Leigh Faugust, Counsel, NERC

Ed Kichline, Senior Counsel & Associate Director of Enforcement, North American Electric Reliability Corporation


501: The Human Element of Data Protection

  • We are all aware of the “bad guys” of data protection, the hackers and the schemers. But perhaps that is not the only threat to our data. We should also consider internal threats, or, the “human element” of data protection.
  • The question I begin to answer in this presentation is: how do we keep the “good guys”, those who are required to have access to customer data to effectively serve our customers, from leaking it to third parties?
  • I will also discuss AT&T’s approach to building an effective data protection compliance program to effectively mitigate the risk of this “human element”.

Presentation (2 slides/page)
Presentation (3 slides/page)

Jeff Lewis, Senior Vice President of Compliance AT&T Corporation


502: Current Compliance Enforcement Trends and Priorities

  • What did the first year bring in FCPA enforcement?
  • What were the messages communicated by the Sessions Justice Department on compliance programs?
  • How did the departure of Hui Chen impact the compliance profession?

Presentation (2 slides/page)
Presentation (3 slides/page)

Thomas R. Fox, Compliance Evangelist, Advanced Compliance Solutions

601: Managing the Information Security Risk of Your Data in Your Enterprise Third-Party Risk Strategy

  • Mounting regulations, outsourcing trends and cyber threats are fast changing the information security landscape but organizations that only control internal threats and systems are just managing the tip of the iceberg.
  • The majority of today's information security budgets are spent on internal defenses. However, when it comes to protecting your organization's sensitive and confidential data, 63% of data breaches are due to third parties.
  • Learn how CCOs and CISOs must work together to keep businesses safe in today's volatile regulatory environment by implementing a robust and efficient process ensuring their third parties follow sound information security protocols.

Presentation (2 slides/page)
Presentation (3 slides/page)

Sam Mele, Vice President of Sales, Hiperos LLC


602: The Hero’s Journey: A Must-Have Tool in the EC Toolkit to Boost Engagement & ROI

  • Negative reactions to boring compliance training present an obstacle that impacts its effectiveness. A negative state of mind adversely impacts learning and hinders absorption, retention and application of information. This impedes skill development.
  • The Hero’s Journey provides a universal framework that when applied to compliance training and messaging, can significantly boost engagement, learning and application of information. This in turn can lead to improved program ROI.
  • In this session, attendees will learn about this powerful framework, see the results of it applied to compliance content and messaging and learn how to leverage it to improve their program content.

Presentation (2 slides/page)
Presentation (3 slides/page)

Ivy Walker, CEO, Helios Digital Learning, Inc.


701: Auditing Ethics Programs to Address Culture and Conduct

  • In the wake of recent ethical failures, there is renewed focus by regulators, prosecutors, Board members and shareholders on the topic of culture and conduct within an organization.
  • While many companies have relied on their control environment as a bellwether of workplace well-being, many CCOs are undertaking in-depth reviews of ethics programs to better understand the strength of foundational business principles and practices.
  • Join us for an interactive and tactical discussion about auditing an organization’s ethics-related objectives, programs and activities.

Presentation (2 slides/page)
Presentation (3 slides/page)

Pamela Verick, Director, Protiviti, Inc.


702: Compliance and Corporate Strategy: Where Shall the Two Meet?

  • The goal of an effective compliance and ethics program is to manage risks that may impede meeting strategic growth without adding unnecessary cost to the bottom line.
  • Although formal communications are necessary, embedding compliance and ethics into day-to-day operations is more impactful and requires frequent reinforcement.
  • Compliance participation in strategic planning will result in an enhanced profile for the compliance function across your organization and will better position the function to anticipate and mitigate compliance and ethics-related risks.

Presentation (2 slides/page)
Presentation (3 slides/page)

Andrea M. Falcione, Managing Director, PricewaterhouseCoopers

Laura Lonsdale, Director, Corporate Compliance, Xcel Energy


801: Third-Party Anti-Bribery, Corruption, and Reputational Risk Management in Oil & Gas

  • Learn how Artificial Intelligence can help companies automate a bribery, corruption and reputational risk assessment process;
  • Understand technology's role (and limitations) in managing risk; attendees will hear real-world case studies, including lessons learned;
  • Learn how to enlist your organization and third parties to embrace transparency and effective risk management in supply chain, contractor and distributor operations

Presentation (2 slides/page)
Presentation (3 slides/page)

Brandon Daniels, President, ExigerTech and Global Head of Analytics, Exiger


802: Ethical Culture in the Utilities & Energy Industries

  • An analysis of numerous ethical culture frameworks and use of an integrated framework for identifying ethical culture in an industry, locality and organization.
  • Exploration of ethical culture in the utilities and energy industries.
  • Discussion of ethical culture factors in these industries and in the localities where they operate and how they can influence an industry participant’s own ethical culture.

Presentation (2 slides/page)
Presentation (3 slides/page)

Jason L. Lunday, Vice President of Product Development & Advisory Services, Syntrio, Inc.



WEDNESDAY Post Conference



W1: Do Not Operate at Your Own Risk - Integrating Risk Assessment Functional Activities Across the Organization

  • Identifying risk assurance functions throughout the organization
  • Integrating various functional risk assessment activities for greater efficiency and effectiveness
  • Reporting using an integrated approach for improved clarity

Presentation (2 slides/page)
Presentation (3 slides/page)

Anthony M. Tocco, Chief Compliance Officer, DTE Energy


W2: Compliance, Ethics, and Irrational People (All of us)

  • How we think (and don’t).
  • How much people cheat when given the opportunity.
  • The gap between how ethical people are vs. how ethical they think they are.

Presentation (2 slides/page)
Presentation (3 slides/page)

Adam Turteltaub, CCEP, CHC, Vice President of Strategic Initiatives & International Programs, SCCE/HCCA