2010 Sessions in Detail


Sunday, February 28

11:00 am – 6:00 pm Registration

Concurrent Workshops – 1:30 pm – 4:30 pm

P1 – 7 Steps to Investigate Alleged Employee Misconduct

Andrew Foose, JD, Co-President, Global Compliance,
Brightline Learning Division

  • How to strategically investigate “he said/she said” allegations when there are no eyewitnesses
  • Questioning techniques that will help you maximize the information you receive from witnesses
  • Practical points and key legal “dos” and “don’ts” that every investigator needs to know to avoid lawsuits, grievances and disruption

P2 – Practical Aspects of Complying with the Foreign

Mary Shaddock Jones, Assistant General Counsel and Director of
Insurance and Compliance, Global Industries, Ltd.

  • Understanding of the Components of the FCPA
  • Understand practically how to protect your company through due diligence and contracting with Third Parties
  • How to train your employees on reviewing invoices to comply with the FCPA

4:30 – 5:30 pm – Opening Reception


Monday, March 1, 2010

7:00 am – 6:00 pm – Registration

7:00 – 8:15 am – Continental Breakfast

8:20 – 8:30 am – Opening Remarks

8:30 – 10:30 am – General Sessions

GS 1: Connecting the Dots...Helping Employees and Leaders Understand How Their Activities Impact Compliance and Ethics Program Effectiveness

Thomas R. McCormick, Group Compliance & Ethics Officer, BP PLC

  • Business/functional risk management
  • Investigations
  • Performance evaluations, promotions and leadership development
  • Speaking up
  • Culture

GS 2: FERC Update

Susan J. Court, Former Director, FERC Office of Enforcement, Partner, Hogan and Hartson, LLP

  • Developments in agency’s primary means (market monitoring, audits, and investigations) to enforce Federal energy laws after almost five years of experience under the Energy Policy Act of 2005
  • Developments in agency’s enforcement of energy laws embodied in standards governing affiliate relations, business practices, and grid reliability

10:30 – 11:00 am – Networking Break


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


101 – Vendor Due Diligence: Does Your Supply Chain Comply with the FCPA?

Thomas Fox, Principal, TomFoxLaw.com

  • Explain application of FCPA enforcement to a company through its vendors
  • Set forth the parameters and requirements for FCPA based ethics and compliance program for vendors
  • Explain the roles of Supply Chain, Compliance and the Law Department in the creation, maintenance and enforcement of an FCPA based ethics and compliance program for vendors

102 – Ten Things In-House Counsel Should Have Known About Electric Reliability Compliance

Mary-James (Jami) Young, JD, LLM, Senior Regulatory Counsel, Vectren Corporation

  • Strategies for internal communication and facilitation in
    implementation of cross-functional requirements, and introduction
    to the “Internal Compliance Customer” service model
  • Strategies for training operations and technical professionals in the
    fine arts of evidence and documentation
  • Strategies for regulatory interpretation in the compliance context, or,
    “so you think you can run an electric system”

12:00 pm – 1:00 pm – Networking Luncheon

1:30 – 2:30 pm – Concurrent Sessions

201 – Trust and Economic Prosperity: How Trust Helps Organizations Sustain Success

Catherine Finamore Henry, CIA, VP, Business Development and Ethics Officer, SmartPros Legal & Ethics Ltd.

  • Understand the nature of trust as a key element of healthy professional relationships, organizations, economic markets and societies
  • Discover how trust in leaders and coworkers impacts employee performance
  • Explore how to gauge trust in an organization and ways to build, restore and extend organizational trust

202 – Labor and Employment

Le Hammer, Senior Labor & Employment Counsel, Baker Hughes Legal Department

2:30 – 3:00 pm – Networking Break

3:00 – 4:00 pm – Concurrent Sessions

301 – Ear to the Ground: A Process for Internal Disclosure

Kate Chisholm, LLB, MBA, CCEP, Senior Vice President, General Counsel, and Corporate Secretary, Capital Power Corporation
Leah Fitzgerald, LLB, CCEP, Director, Ethics and Assistant Corporate Secretary, Capital Power Corporation

  • Simple, no-cost, flexible tool for managing compliance reporting
  • Improving your internal disclosure
  • Creating a culture focused on proactive due diligence

302 – Planning for an Independent Assessment of Your Compliance and Ethics Program

Anthony M. Tocco, CCEP, CIA, CFE, Chief Compliance Officer, DT E Energy

  • Benefits of having an independent assessment performed
  • Preparing for the assessment
  • How to use the information reported to improve your program

4:00 – 4:15 pm – Networking Break


4:15 – 5:15 pm – Concurrent Sessions

401 – Staying Clear of the ICE Storm: Employment Verification Compliance Monitoring

Kevin Lashus, Senior Attorney, Foster Quan LLP

  • Setting-Up a comprehensive compliance plan to address employment verification exposure
  • Addressing the risk of E-Verify related data mining
  • Preparing for paper Form I-9 inspections and worksite investigations
  • Protecting the attorney/client privilege during a mitigation/ remediation processes

402 – From NERC Compliance to NERC Compliance Mangement

Richard Dahl, CTO , SCIF Software, Inc.

  • Understand the importance of clearly defined Compliance Scopes for assets
  • Understand the importance of clearly documented and communicable Compliance Requirement interpretations
  • Understand the importance of documented and producible Compliance Artifacts (and as a bonus)
  • Understand how to integrate these concepts into the normal operations (asset management) to create an unobtrusive, effective, and efficient compliance management process

5:15 – 6:15 pm – Networking Reception


Tuesday, March 2, 2010

7:00 am – 5:15 pm – Registration

7:00 – 8:30 am – Continental Breakfast

8:30 – 10:30 am – General Sessions

GS 3: Third Parties Panel

Moderator: Marjorie Doyle, JD, CCEP, Ethics and Compliance Consultant, Marjorie Doyle & Associates LLC
Panel: TBA

9:15 – 10:15 am

GS 4: Tone at the Top

Speaker TBA

10:30 – 10:30 am – Networking Break

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

501 – Conducting Effective Workplace Interviews

Andrew Foose, JD, Co-President, Global Compliance, Brightline Learning Division

  • How to maximize the value of an interview
  • Detecting and addressing deception in an interview
  • Ways to expect and respond to unexpected interview problems

502 – Make it Stick! Experiential Learning

Marsha H. Ershaghi, Ed. D Candidate, Solutions Leader, Education, LRN

  • Optimize and expand your Ethics & Compliance education program
  • Extend the “Tone from the Middle” through Experiential Learning
  • Learn how to keep learners engaged with fresh and relevant content
  • Understand how experiential learning directly impacts attitude and behavior
  • Stay ahead of the curve: reaching & retaining the next generation

12:00 pm – 1:00 pm – Networking Luncheon

1:30 – 2:30 pm – Concurrent Sessions

601 – Implementing a Proactive Approach to Comply with FCPA

Ryan Morgan, AML/CA, FCPA Specialist, WorldCompliance

  • Case Studies on how companies have successfully implemented tools for the ongoing compliance with FCPA
  • Learn what due diligence tools are available that allow professionals to evaluate compliance risk
  • Implementing controls to enforce a company’s policies on ethics
  • What are the ways technology can be used to protect a company’s reputation

602 – Risk-Based Approaches in Reliability Standards and Compliance

Gerry Cauley, President & CEO, SERC Reliability Corporation

  • Performance-based standards
  • Risk-based compliance monitoring
  • Learning from events and near misses

2:30 pm – 3:00 pm – Networking Break

3:00 – 4:00 pm – Concurrent Sessions

701 – You’ve Deployed Your Hotline: Now What?

David Childers, CIPP, President and CEO, EthicsPoint, Inc.

  • Shaping the identification of issues and resolution process, including the associated collaboration between Ethics/Compliance, HR, and Corporate Security
  • Identifying risks associated with FERC and NERC Standards of Conduct
  • Exploring evolving carbon credit fraud
  • Practical advice for continued incorporation of social media into your ethics and compliance programs

702 – FAR Compliance: Mitigating Risk by Balancing Best Practices and Practicalities

Douglas T. Cohen, Sr. Compliance Attorney, Qwest Communications

  • Educate the audience on the new FAR reporting rules, federal government interpretation of the rules, and scope of contracts involved
  • Identify Best Practices v. Potential Practical compliance efforts
  • Engage in a robust discussion about how corporations, including those in the audience, can mitigate risk by taking a well-reasoned, balanced approach

4:00 – 4:15 pm – Networking Break

4:15 – 5:15 pm – Concurrent Sessions

801 – Compliance Assessments

Andrew E. Reisman, Senior Manager, Ernst & Young, LLP
Christopher J. Bernard, JD, Edison Mission Energy
Kenneth E. Novak, Ernst & Young, LLP

  • Describing principles of effective compliance program design for business and compliance goals.
  • Understanding the practical aspects of compliance in an energy trading environment.
  • Helping business leaders become effective compliance leaders.

802 – Self–Reporting

Jason Leif, Partner, Jones Day

  • Teach attendees how to evauluate whether a self-report is appropriate
  • Explain the steps that a company should take once it has identified a perceived violation
  • Explain the makings of a good self-report and effective communications with the Enforcement Staff

Wednesday, March 3, 2010

8:00 am – 12:30 pm – Registration

8:30 am – 10:00 am – Concurrent Sessions

W1 – Perspectives of a NERC Compliance Audit From Both Sides of the Table

Russell A. Hissom, CPA, Partner, Baker Tilly
Carol Arneson, Senior Manager–Energy and Utilities Group, Baker Tilly
Daniel P. Skaar, CEO, Midwest Reliability Organization

  • What constitutes acceptable audit evidence in a NERC compliance audit?
  • What are the aspects of a Utility NERC Compliance program that are most effective in meeting NERC Compliance Standards?
  • What are some real-life NERC audit experiences from which your organization can gain valuable insights into lessons learned, strengths and weaknesses of compliance programs and quality of evidence provided in response to a NERC Compliance Audit?

W2 – FCPA Violations: When to Investigate, Self-Report and Mount a Defense

Daniel Nardello, Principal, Nardello & Co. LLC
Barry H. Berke, Esq., Partner, Kramer Levin Naftalis and Frankel

  • Assist in-house counsel, compliance and ethics directors and CFOs in learning about the potential challenges posed by internal investigations
  • Discuss options on how to conduct the investigation, including the use of outside investigators, when faced with alleged FCPA violations
  • Lead discussion, using recent examples, on when to self-report, how to deal with the Department of Justice, and when it is prudent to design and mount a defensive strategy

10:00 – 10:30 am – Networking Break

10:30 am – 12:00 pm – Concurrent Sessions

W3 – Hot Ethics and Compliance Topics in Energy Marketing and Trading: Best Practices Panel

Michael J. Scheller, Director, PricewaterhouseCoopers LLP

  • Raise level of understanding of common energy trading and marketing processes and risks
  • Foster discussion of current practices and concerns
  • Share ideas for how to improve the effectiveness of energy trading and marketing compliance programs.

1:30 – 2:00 pm – CCEP Exam Check-in

2:00 4:00 pm – CCEP Exam

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