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Conference Handouts

SUNDAY | Pre-Conference



P1: Relevant, Interactive, and Transferred to the Job: Explore How to Make This Describe Your Compliance Training!

  • Microlearning: Action-focused design.
  • Permanence: Scheduled remembering.
  • Support: Critical in-the-moment help.


Leah Yoder, Senior Advisor, UL Pure Learning

P2: Risk Assessments, Evaluations, Auditing and Monitoring

  • 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 enterprise-wide risk assessments.
  • Compare and contrast a risk assessment with (i) evaluations, (ii) audits, and (iii) continuous monitoring.


Josh Wallenstein, Managing Member, Wallenstein Law Group


P3: Implementation of Microsoft Office 365: The Compliance Factor

  • 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.


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

P4: The Board’s Essential Role in Compliance and Ethics Programs and Tips for Making it Happen

  • A summary of current legal requirements, stakeholder expectations and best practices regarding board engagement 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.


Jane R. Lewis-Raymond, Partner, Adams & Bernstein, LLP

Douglas Harmon, Attorney, Parker Poe, Adams & Bernstein LLP






GENERAL SESSION 1: How Much Due Diligence is Enough?; Will More Be Expected And If So How Much More?

  • Revisiting the requirements of due diligence programs.
  • Where are due diligence programs being challenged and where are they falling short?
  • What changes could we see in due diligence programs, and requirements, in the coming years.

No presentation available

Ryan C. Hubbs, Global Anticorruption & Fraud Manager, Schlumberger


GENERAL SESSION 2: Why Good People Do Bad Things

  • Explore how integrity, reputation and working in the gray areas impact an organization
  • Review how we treat people who “make the numbers” but “ignore the values” of the company
  • Analyze character traits leading to improper behavior


Paul Fiorelli, CCEP, Director, Cintas Institute for Business Ethics, Xavier University


101: Post-Incident Communication with Regulators

  • 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.


Charlene Wright, Managing Member, Wright & Associates PLLC


102: Code 3.0: Changing Expectations for Written Compliance Standards

  • 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?

No presentation available

Eric Morehead, Principal Consultant, Morehead Compliance Consulting

201: Major Recent Developments in Anti-Corruption Compliance Across Latin America

  • 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?


Brian Weihs, Managing Director, Kroll, a division of Duff & Phelps

202: Energy Storage – Federal Regulatory Developments and Implications

  • 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.


Levi McAllister, Partner, Morgan Lewis


301: You Had Me at ‘Compliance’: Get Ready for Your Close-Up with Federal Regulations

  • 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.


Stephen Lau, Senior Security Specialist, GreyCastle Security


302: Risk, Audit, and OpEx: Three Strategies to Operationalize Your Program

  • 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.


Samantha E. Kelen, Lead Ethics Analyst, Duke Energy


401: Handling a Cybersecurity Investigation: An Interactive Tabletop Exercise led by a Regulator, a Lawyer, and a Security Expert

  • 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.

Presentation (2 slides/page)

Jay Johnson, Partner, Jones Day

Chad Pinson, Managing Director, Stroz Friedberg

Scott Mascianica, Assistant Regional Director, U.S. Securities and Exchange Commission


402: OFAC Sanctions: Navigating the Minefield

  • 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.

Presentation (2 slides/page)

Robert J. Ward, Jr., Director of Trade Compliance, WESCO Distribution






GENERAL SESSION 3: Utilities & Energy Infrastructure: In the Crosshairs of Cyber Terrorists

  • Intelligence reveals increased cyber reconnaissance and knowledge acquisition of unique critical infrastructure operational technology (OT) systems and protocols. An oil & gas case study will highlight potential threat capabilities against SCADA & ICS.
  • As once unique OT systems & protocols transition to common IT and internet interconnectivity, they become increasingly vulnerable to cyber-attack. Cyber terrorism is eminent. Interactive discussions will focus on actions to mitigate this threat.
  • Cyber-attacks on gas & oil SCADA & ICS can produce fear, destruction and death. Mitigation requires a well-designed strategy that can minimize expenditures. Discussion will include practical tools/procedures can produce effective & cost efficiency.


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

GENERAL SESSION 4: Compliance Investigations – Lessons from the Trenches

  • Learn to identify and avoid the ten most common potentially fatal mistakes in performing compliance investigations, including issues involving:
    Investigation scope and goals.
  • Use of electronic evidence.
  • When and how to utilize external assistance.


Gerry Zack, CEO, HCCA & SCCE


501: Strategic Monitoring and Analytics for Meaningful Metrics

  • 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.


Valorie Ciechanowski, Compliance Manager, Advanced Bionics


502: Step Right Up: How to Throw a Compliance Carnival

  • 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.


Laurie E. Rosenbaum, Compliance & Ethics Coordinator, ONEGas

601: The Future Compliance Officer: New Dimensions of AI and How Compliance Officers can Leverage Machine Learning

  • 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.

No presentation available

Alexandra Wrage, President, TRACE International, Inc.

Ramona Ortiz, Senior Counsel, Exxon Mobile Corporation

Hentie Dirker, Chief Compliance Officer, SNC-Lavalin Inc.


602: Managing Antitrust Risk in Joint Ventures

  • 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.


Justin Hedge, Counsel, Antitrust, Arnold & Porter


701: Exploding Training Myths: How Marathon Oil and Other Organizations are Building Affordable Compliance Training that Works

  • The training industry is always innovating, which is a good thing, but for those of us at the coal face of training delivery, we need realistic affordable 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.


Dan Brown, Interactive Services

Steven Gyeszly, Chief Compliance Counsel, Marathon Oil Corporation

Adriana Herrera, Sr. Global Compliance Analyst, Phillips 66


702: Cyber Security Crisis Management – Are You Ready?

  • 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 and reputation stay intact.


Lori Spence, Executive Director, Compliance Strategy, MISO

David Douglass, FERC Compliance, Evergy Inc.

Paul Tiao, Partner, Hunton Andrews Kurth LLP

Brian Zimmet, Senior Attorney, Hunton Andrews Kurth LLP


801: Building a Winning Team

  • 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.


Tayo Kurzman Kinnane, Compliance Management, Operations, Con Edison Company of NY

Kevin Jamieson, Director, Compliance Management, Con Edison of NY


802: Mobile Communications: Are You Doing It Right?

  • 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; and
  • How do you know if what you are doing is working?

No presentation available

Ben DiPietro (moderator), Ethics and Compliance Thought Leader, LRN

Antonio Fernandez, Chief Compliance Officer, PSEG

Lori Spence, Executive Director, Compliance Strategy, MISO Energy