2019 Utilities & Energy Compliance & Ethics Conference
Houston, TX, United StatesSunday, February 10
-
08:00 AM - 05:30 PMPre Conference Session Pre Conference Session
-
09:45 AM - 11:15 AMP01-Relevant, Interactive, and Transferred to the Job: Explore How to Make This Describe Your Compliance Training! Leah Yoder, Performance Results Consultant, Leah Yoder Consulting, LLC -- Microlearning: Action-Focused Design -- Permanence: Scheduled Remembering -- Support: Critical In-The-Moment Help
-
12:30 PM - 02:00 PMP02 - Risk Assessments, Evaluations, Auditing and Monitoring Josh Wallenstein, Managing Member, Wallenstein Law Group -- Key elements of an effective and credible risk assessment (incorporating both objecting and subjective data). -- Different concepts to scoping, designing, and implementing both focused and enterprisewide risk assessments. -- Compare and contrast a risk assessment with (i)evaluations, (ii) audits, and (iii) continuous monitoring.
-
02:15 PM - 03:45 PMP03 - Implementation of Microsoft 365: The Compliance Factor Christian Whicker, Director, Corporate Compliance, Duke Energy -- Is your compliance program ready for the implementation of Microsoft Office 365? -- Learn what questions to ask and steps to take to ensure that the appropriate compliance considerations are taken. -- Review key elements related to messaging and change management to ensure that users are fully informed and understand their accountability.
-
04:00 PM - 05:30 PMP04 - The Board’s Essential Role in Compliance and Ethics Programs and Tips for Making it Happen Jane Lewis-Raymond R. Douglas Harmon, Attorney, Parker Poe Adams & Bernstein LLP -- A summary of current legal requirements, stakeholder expectations and best practices regarding boardengagement in compliance and ethics programs. -- Examples of common missteps and impediments to proper board engagement. -- Tips for overcoming impediments and ensuring board engagements to achieve effective compliance.
Monday, February 11
-
11:00 AM - 12:00 PMBreakout Sessions#101101 - Post-Incident Communication with Regulators Charlene Wright, Managing Member, Wright & Associates PLLC
-Exploring the duty of utilities communicating with regulators post incident. and why litigators sometimes get it wrong. - Recent examples of post-incident enforcement and the consequences of lack of transparency. - Why managing post-incident activities only from a litigation perspective can miss key opportunities to prevent recurrence, improve safety and improve communication with regulators.
Breakout#102102 - Code 3.0: Changing Expectations for Written Compliance Standards Eric Morehead, Principal Consultant, Morehead Compliance Consulting- How often you should review and update your code of conduct and other written standards?
- Who should be involved in the development process and what should that process look like?
- Is there any new guidance on how to develop written standards?
Breakout -
01:00 PM - 02:00 PMBreakout Sessions#201201 - Major Recent Developments in Anti-Corruption Compliance Across Latin America Brian Weihs, Managing Director, Kroll - Duff & Phelps Stacy Scott
- New laws enacted in countries across the region give new powers to enforcers and require new obligations of companies - how has this changed the ABC (anti-bribery and corruption) compliance picture in the region?.
- Enforcers are exercising new-found powers and autonomy, and working in closer collaboration with foreign authorities, resulting in several notable (game-changing?) prosecutions. Are there more coming?
- Anti-corruption has been a significant and sometimes overwhelming issue in recent and upcoming elections across the region. How will the ABC compliance picture evolve in the next couple of years?
Breakout#202202 - Energy Storage - Federal Regulatory Developments and Implications Levi McAllister, Partner, Morgan Lewis & Bockius-- An overview of the development of energy storage resources in the US and the implications of widespread storage resource deployment on existing and future generation fleets. -- FERC’s requirement that organized markets permit full and fair participation by storage resources, the implications of that requirement, and how organized market rules and regulations are evolving in response to Order No. 841. -- Commercial and financing considerations for storage resource development and procurement, including structures used for IFM and BTM energy storage projects and project finance developments for energy storage.
Breakout -
02:30 PM - 03:30 PMBreakout Sessions#301301 - You Had Me at ‘Compliance’: Get Ready for Your Close-Up with Federal Regulations Stephen Lau, Senior Security Specialist , GreyCastle Security
-- How to leverage globally recognized standards to achieve compliance. -- The different security control types that need to be implemented and tested. -- How to develop a corrective action plan for re-mediating your current cybersecurity gaps.
Breakout#302302 - Risk, Audit, and OpEx: Three Strategies to Operationalize Your Program Samantha Kelen, Chief Ethics and Compliance Officer, Cardinal Innovations Healthcare-- With increased scrutiny in recent years, more and more regulators are questioning the effectiveness and implementation of compliance and ethics programs. -- Many of them ask the simplest, yet most challenging, question: "How do you know it’s working?" -- Learn strategies to coordinate with risk, audit, and operational excellence to expand the reach of your program and increase saturation on the front lines.
Breakout -
04:00 PM - 05:00 PMBreakout Sessions#401401 - Handling a Cybersecurity Investigation: An Interactive Tabletop Exercise led by a Regulator, a Lawyer, and a Security Expert Chad Pinson, President of Engagement Management, Stroz Friedberg Jay Johnson, Partner, Jones Day Scott Mascianica, Assistant Regional Director , U.S. Securities and Exchange Commission
- Interactive tabletop exercise featuring a security incident at a hypothetical company subject to regulatory oversight by a hypothetical agency! The panelists will trade thoughts and solicit real-time feedback from the audience on appropriate next steps. -Provide a high-level introduction to regulatory compliance in the cybersecurity/privacy space.
- Review regulatory requirements; best data protection practices; preservation, privilege and other litigation issues; and effectively interfacing with regulators.
Breakout#402402 - OFAC Sanctions: Navigating the Minefield Robert Ward, Director of Trade Compliance, WESCO International- Introduction to OFAC as well as recent new sanctions law enactment in Aug 2017 impacting Russia, Iran and North Korea.
- Review of recent enforcement actions for lessons learned involving PNB Paribas, Schlumberger and ZTE.
- Discussion on key steps to take to prevent violations including best practices for policies/procedures, screening, due diligence and training.
Breakout
Tuesday, February 12
-
11:00 AM - 12:00 PMBreakout Sessions#501501 - Strategic Monitoring and Analytics for Meaningful Metrics Valorie Ciechanowski, Head of Compliance and Privacy, Shockwave Medical, Inc.
-- Identify and differentiate between individual compliance violations and systemic compliance issues that may require further root cause analysis. -- Assist in the development of improved policies and procedures as well as the enhancement of your current communications and training.
Breakout#502502 - Step Right Up: How to Throw a Compliance Carnival Laurie Rosenbaum, Organizational Development Consultant, ONEGas-- Are you looking for something new and exciting to reinforce your compliance message? -- Step by step guide for building a compliance carnival. -- Games and ideas to spice up your compliance and ethics program.
Breakout -
01:00 PM - 02:00 PMBreakout Sessions#601601 - The Future Compliance Officer: New Dimensions of AI and How Compliance Officers can Leverage Maching Learning Alexandra Wrage, President, TRACE International, Inc. Ramona Ortiz, Senior Counsel, Exxon Mobil Corporation Hentie Dirker, Chief Integrity Officer, SNC-Lavalin Inc.
-- Artificial intelligence from a compliance perspective: opportunities and challenges. -- How companies can use AI to enhance due diligence and anti-bribery controls. -- Leveraging your data assets: what compliance officers need to know to benefit from AI.
Breakout#602602 - Managing Antitrust Risk in Joint Ventures Justin Hedge, Counsel, Antitrust, Arnold & Porter-- Antitrust laws restrict certain agreements and information sharing between competitors. -- While some joint activities like purchasing, bidding, production, and marketing can have pro-competitive benefits, particularly in energy industries, they can carry a risk of government enforcement actions and private litigation with trebled damages. -- This panel will discuss best practices to minimize antitrust risk both when forming joint ventures and managing joint activities on an on-going basis.
Breakout -
02:15 PM - 03:15 PMBreakout Sessions#701701 - Exploding Training Myths: How Marathon Oil and Other Organizations are Building Affordable Compliance Training that Works Steven Gyeszly, Chief Compliance Counsel, Marathon Oil Corporation Adriana Herrera, Sr. Global Compliance Analyst, Phillips 66 Dan Brown, Interactive Services
- The training industry is always innovating,which is a good thing, but for those of us at thecoal face of training delivery, we need realisticaffordable solutions, not future ware -- The good news is, great training and great communications doesn’t have to be expensive, and can be simple, effective and fun -- Join us for a discussion about how Marathon Oil and other organizations are building affordable compliance training that works
Breakout#702702 - Cyber Security Crisis Management - Are You Ready? David Douglass, FERC Compliance, Evergy, Inc. Lori Spence, Director of Corporate Compliance, Alliance for Cooperative Energy Services Power Marketing LLC Paul Tiao, Partner, Hunton Andrews Kurth LLP Brian Zimmet, Senior Attorney, Hunton Andrews Kurth LLP-- As a compliance professional, are you comfortable with how your Company would respond to a cyber threat or breach that significantly impacted your operations? -- Have your Executives drilled or participated in cyber security crisis management exercises? Do you know what your role is? -- This session will run through various scenarios on how to respond to cyber security threats and breaches to ensure operations andreputation stay intact.
Breakout -
03:30 PM - 04:30 PMBreakout Sessions#801801 - Building a Winning Team Tayo Kinnane, Director, Con Edison Company of NY Kevin Jamieson, Dir BEC- Compliance Mgmt, Con Edison Company of NY
-Balancing compliance and ethics professionals and operations professionals to form a strong, credible, understandable C&E program to connect with the business - Gaining trust of business partners, and getting them to want to join and support our team - Plans for turnover on the team
Breakout#802802 - Mobile Communications: Are You Doing It Right? Lori Spence, Director of Corporate Compliance, Alliance for Cooperative Energy Services Power Marketing LLC Ben DiPietro, Thought Leadership, LRN Corp- Ways the oil, gas and utilities are using mobile technology to engage with their workforces, partners, stakeholders
- Data privacy and cybersecurity aspects of a mobile workforce as it relates to regulatory and compliance concerns
- How do you know if what you are doing is working?
Breakout
Agenda subject to change.