Utilities & Energy Compliance & Ethics Conference

UTILITIES & ENERGYCOMPLIANCE & ETHICS CONFERENCE

FEBRUARY 19–22, 2017 WASHINGTON DC

NEW LOCATION IN

2017The utilities and energy industries are highly regulated.

Take advantage of the opportunity to discuss your concerns and enjoy sharing and exchanging ideas with others facing the same regulations.

Learn more and register at

corporatecompliance.org/utilities

Questions: [email protected] SAME GREAT EDUCATION AND NETWORKING

DON’T MISS THIS

ONCE- A-YEAR OPPORTUNITY

UTILITIES & ENERGYCOMPLIANCE & ETHICS CONFERENCEFEBRUARY 19–22, 2017 | WASHINGTON DC | GRAND HYATT

2 *For the most current and updated agenda, visit corporatecompliance.org/utilities +1 952 933 4977 or 888 277 4977

PROGRAM AT A GLANCESUNDAY, FEBRUARY 19: PRE-CONFERENCE

12:00 - 5:30 pm Registration Open

1:00 - 2:30 pm

P1 5 Things You Can Do to Improve Your Compliance Training – Laurie E. Rosenbaum, Compliance and Ethics Coordinator, ONEGas

P2 An Ethical Nudge: Using behavioral ethics to bridge compliance and culture when navigating change in the utilities and energy sector, including the regulatory environment, business relationships, as well as organizational staffing –Catharyn A. Baird, CEO/Founder, EthicsGame; Thor Nelson, Partner, Holland and Hart, LLP

2:30 - 3:00 pm Networking Break (Beverage service only)

3:00 - 5:00 pm

P3 Building Commitment to your Compliance Program through Effective Communication – Kyle Zamcheck, Speech Coach, The Speech Improvement Company

P4 It Takes a Lot of Hard Work: Developing, Promoting and Growing Your Compliance Program – William E. Brown, Director Ethics, Spectra Energy; Jacqueline L. Phillips, VP, Corporate Ethics and Compliance Officer, Spectra Energy Corp

5:00 - 6:00 pm Welcome Reception

MONDAY, FEBRUARY 20: CONFERENCE

7:15 am - 6:00 pm Registration Open

7:15 - 8:15 am Continental Breakfast (provided)

8:15 - 8:30 am Opening Remarks

8:30 - 9:30 am General Session 1: Easiest Catch: Don’t Be Another Fish In The Dark ‘Net – Mark Lanterman, Chief Technology Officer, Computer Forensic Services, Inc.

9:30 - 10:30 am General Session 2: Inside NERC Enforcement: A Fireside Chat – Samantha Kelen Greves, CCEP, Lead Ethics Analyst, Duke Energy Corporation; Ed Kichline, Senior Counsel and Associate Director, Enforcement, North American Electric Reliability Corporation

10:30 - 11:00 am Networking Break

11:00 am - 12:00 pm

101 Crafting a Communication Plan that Works – Samantha Kelen Greves, CCEP, Lead Ethics Analyst, Duke Energy Corporation

102 Catalyzing a Contemporary, Tech Savvy Code while planning a Merger & Acquisition – Marsha H. Ershaghi-Hames, Managing Director, Strategy & Development, LRN; Bill Cameron, Assistant General Counsel; Manager, Ethics, Exelon Business Services Company, LLC

12:00 - 1:00 pm Networking Lunch (provided)

1:00 -2:00 pm

201 How to Create a Successful Compliance & Ethics Week – Dana D. Gillett, Lead Compliance Specialist, OGE Energy Corp

202 Establishing Internal Controls to Regulatory Compliance (NERC CIP, FERC, PHMSA, etc.) – Tibyasa Matovu, Compliance, Director, PricewaterhouseCoopers; Jake Stricker, CPA, CIA, CFE, NERC Compliance Director, PricewaterhouseCoopers; Andrew Gunter, Manager, Governance Risk Compliance Technology, PricewaterhouseCoopers; Patrick Wells, CPA, Federal Regulatory Compliance Manager, San Diego Gas & Electric

2:00 - 2:30 pm Networking Break

2:30 - 3:30 pm301 Emerging and Best Practices in Utilities & Energy Company and Third Party Codes of Conduct – Jason L. Lunday, Consultant, IntegrityFactor

302 Lesson from Recent FCPA Enforcement: To Infinity and Beyond – Thomas R. Fox, Principal, Advanced Compliance Solution


4:00 - 5:00 pm

401 Assessing your ethics and compliance program—what culture findings can tell you about your compliance program – Stacy Mines, Fraud Investigations and Dispute Services, Ernst & Young; Marisa Hardy, Manager, Fraud Investigations and Dispute Services, Ernst & Young; Holly H. Wenger, Director, Ethics and Compliance, Duke Energy Corporation

402 Retaliation - The Reality: Everyone’s got an anti-retaliation policy, but what’s really going on - and how would you know? – Keith Read, Managing Director EMEA, Convercent

5:00 - 6:30 pm Networking Reception

TUESDAY, FEBRUARY 21: CONFERENCE7:30 am - 5:00 pm Registration Open

7:30 - 8:30 am Continental Breakfast (provided)

8:30 - 9:30 amGeneral Session 3: From the Horse’s Mouth: FERC Enforcement – Jay Matson, Branch Chief, Office of Enforcement - Division of Investigations, Federal Energy Regulatory Commission

9:30 - 10:30 am General Session 4: Ethics & Compliance Program Review - A Look at Three Corporate Compliance Programs – Amy T. Lilly, CCEP, Director Ethics & Compliance, CenterPoint Energy, Inc.; Joya Williams, CCEP, Compliance Paralegal, Shell Oil Company; Stella Raymaker, Director, Ethics & EEO Compliance, Waste Management

10:30 - 11:00 am Networking Break

11:00 am - 12:00 pm

501 Interpreting the Energy Risks from EY’s 2016 Global Fraud Survey – Ryan C. Hubbs, Sr Mgr. Fraud Investigation & Dispute Services, Ernst & Young LLP

502 FERC Training: Targeted, Effective, and Concise – Christian E. Whicker, Director, Corporate Compliance, Duke Energy

12:00 - 1:00 pm Networking Lunch (provided)

1:00 - 2:00 pm

601 Reaching (and Monitoring) Remote Workers – Eric O. Morehead, Principal Consultant, Morehead Compliance Consulting

602 Attorney-Client Privilege and Leading Practices for Investigations – Elaine Vullmahn Dorsett, Corporate Counsel, Midcontinent Independent System Operator (MISO); Kristina Pacovsky, Corporate Counsel, Midcontinent Independent System Operator (MISO)


2:15 - 3:15 pm701 From Awareness to Engagement: How a sitcom can create an ethical culture – Jim Shields, Creative Director, Twist and Shout Media

702 Sanctions & Export Compliance across Your Business– Julie Myers Wood, CEO, Guidepost Solutions


3:30 - 4:30 pm801 Ethics, Transparency, and Building Public Trust – Joynicole Martinez, CEO, The Alchemist Agency

802 How to Socially Engineer Businesses (and Get Rich Too) – Brand Barney, Security Analyst, SecurityMetrics

WEDNESDAY, FEBRUARY 22: POST-CONFERENCE8:00 - 11:30am Registration Open

8:30 - 9:45 am W1 General Electric’s Risk Roll Up: Targeting the Elusive Tone in the Middle – Joseph Suich, Chief Compliance Officer & Counsel, GE Power9:45 - 10:00 am Networking Break (Beverage service only)

10:00 - 11:15 amW2 Tools for Transparency: Due Diligence Tips for the Energy Sector – Anne-Marie Zell, Manager, Member & Advisory Services, TRACE International, Inc.; Flora A. Francis, Senior Compliance Counsel, GE Oil & Gas; Kwesi Baiden, Chief Compliance Officer, ENSCO

1:00 - 1:30 pm Exam Check-In: Certified Compliance & Ethics Professional (CCEP)® Exam Check-In

1:30 - 4:30 pm Certified Compliance and Ethics Professional (CCEP)® Exam (Optional)


*For the most current and updated agenda, visit corporatecompliance.org/utilities +1 952 933 4977 or 888 277 4977 3

AGENDA

SUNDAY, FEBRUARY 19PRE CONFERENCE

12:00 – 5:30 pm

Registration Open

1:00 – 2:30 pm

CONCURRENT SESSIONS

P1 5 Things You Can Do to Improve Your Compliance Training

Laurie E. Rosenbaum, Compliance and Ethics Coordinator, ONEGas

• Easy steps you can use right now to improve your training

• Practical advice for developing employee-focused training

• Shatter the check-the-box paradigm

P2 An Ethical Nudge: Using behavioral ethics to bridge compliance and culture when navigating change in the utilities and energy sector, including the regulatory environment, business relationships, as well as organizational staffing

Catharyn A. Baird, CEO/Founder, EthicsGame

Thor Nelson, Partner, Holland and Hart, LLP

• During times of change, ethical principles help bridge compliance and culture. To smooth the way, professionals facilitating change can use principles of behavioral ethics to identify core values and nudge both the shaping of rules and expected behaviors.

• As leadership and staffs of regulatory agencies change, the rules--and corresponding value commitments--also change. Those skilled in evaluating the ethical strengths and challenges of those priorities can effectively nudge the direction of change.

• Professionals advising companies through a merger or acquisition or changing business practice can skillfully listen for core values and use behavioral ethics strategies to encourage nuanced solutions that meet ethical expectations of the stakeholders.

2:30 – 3:00 pm

Networking Break (Beverage service only)

3:00 – 5:00 pm

CONCURRENT SESSIONS

P3 Building Commitment to your Compliance Program through Effective Communication

Kyle Zamcheck, Speech Coach, The Speech Improvement Company

• Equip yourself with tools to motivate others and shape behavior.

• Develop a positive and proactive culture in your compliance program.

• Practice negotiation skills that can be leveraged in every environment.

P4 It Takes a Lot of Hard Work: Developing, Promoting and Growing Your Compliance Program

William E. Brown, Director Ethics, Spectra Energy

Jacqueline L. Phillips, VP, Corporate Ethics and Compliance Officer, Spectra Energy Corp

• OUTLINE: Compliance leaders from Spectra Energy will share experiences about how they have developed their organization’s program into one that is recognized and accepted across the company and how hard work through compliance training hit “pay dirt.”

• FOCUS AREAS (1 and 2): 1. Starting with a strategy and our code of business ethics to build awareness; 2. Making a personal connection to compliance with laughter and serious talk for a deeper commitment

• FOCUS AREA 3: Understanding your personal accountability for compliance through: (a) An elevated compliance conversation that discusses our business and; compliance responsibilities as one subject; (b) Technological enhancements (AR, video and animation)

5:00 – 6:00 pm

Welcome Reception

MONDAY, FEBRUARY 20

7:15 AM – 6:00 pm

Registration Open

7:15 – 8:15 am

Continental Breakfast (Provided)

8:15 – 8:30 am

Opening Remarks

8:30 – 9:30 am

GENERAL SESSION 1: Easiest Catch: Don’t Be Another Fish In The Dark ‘Net

Mark Lanterman, Chief Technology Officer, Computer Forensic Services, Inc.

• Recent high profile cyber-crime events, including Web Site breaches impacting utility and other power grid organizations

• Particularly dangerous types of threat that might affect individuals posed by the Dark Web, the Internet of Things, phishing, and Wi-Fi attacks

• Realistic advice for cyber protection in utilities and energy organizations

9:30 – 10:30 am

GENERAL SESSION 2: Inside NERC Enforcement: A Fireside Chat

Samantha Kelen Greves, CCEP, Lead Ethics Analyst, Duke Energy Corporation

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

• Hear about the life cycle of an issue of noncompliance during this interactive session with a member of the NERC Enforcement team.

• Learn about NERC’s oversight of regional compliance monitoring and enforcement, especially for Multi-Region Registered Entities (MRRE).

• Gain understanding of how Enforcement focuses on the greatest risks to reliability.

10:30 – 11:00 am

Networking Break

11:00 AM – 12:00 pm

CONCURRENT SESSIONS

101 Crafting a Communication Plan that Works


• Following an assessment of the implementation of its business ethics program in a particular business unit, Duke Energy identified a need to improve awareness of its Code of Business Ethics, the ways to report a concern or ask a question, and its policy against retaliation.

• Learn about the process to create a multi-layered, top down targeted communication strategy, as well as pre and post communication plan surveys to measure results.

• Discussion will include the tactics used to gain middle management support, considerations made for our remote work force, and use of existing channels to optimize effectiveness.

102 Catalyzing a Contemporary, Tech Savvy Code while planning a Merger & Acquisition

Marsha H. Ershaghi-Hames, Managing Director, Strategy & Development, LRN

Bill Cameron, Assistant General Counsel; Manager, Ethics, Exelon Business Services Company, LLC

• Creating a contemporary Code that reflects who you are as a company: Combining concise language, engaging graphics and modern technology to build an accessible and user friendly guide for employees and stakeholders.

• Spreading the word: Using multiple deployment formats, including an eCode and Code mobile app to increase access and awareness. Staying focused: Building stakeholder ownership; strategic planning during a mergers & acquisition.

• Creating Accountability and Commitment to Manage the Message: Providing managers at all levels with the tools to lead conversations about behavioral expectations and core values.

12:00 – 1:00 pm

Networking Lunch (Provided)



AGENDA

1:00 – 2:00 pm

CONCURRENT SESSIONS

201 How to Create a Successful Compliance & Ethics Week

Dana D. Gillett, Lead Compliance Specialist, OGE Energy Corp

• Why - getting buy-in and tips on how to get started if you’ve never held a Compliance & Ethics Week.

• Who - forming a great team and identifying your audience.

• How - get the most out of a limited budget and implement your plan.

202 Establishing Internal Controls to Regulatory Compliance (NERC CIP, FERC, PHMSA, etc.)

Tibyasa Matovu, Compliance, Director, PricewaterhouseCoopers

Jake Stricker,CPA, CIA, CFE, NERC Compliance Director, PricewaterhouseCoopers

Andrew Gunter, Manager, Governance Risk Compliance Technology, PricewaterhouseCoopers

Patrick Wells, CPA, Federal Regulatory Compliance Manager, San Diego Gas & Electric

• Internal Audit Controls Framework

• Assessment of Regulatory Polices

• Implementation of Continuous Controls Monitoring for CIP 6

2:00 – 2:30 pm

Networking Break

2:30 – 3:30 pm

CONCURRENT BREAKOUT SESSIONS

301 Emerging and Best Practices in Utilities & Energy Company and Third Party Codes of Conduct

Jason L. Lunday, Consultant, IntegrityFactor

• Exploring current and emerging standards of conduct that specifically impact utilities and energy company ethics & compliance programs and their related operations.

• Review of emerging and best practices in utilities and energy corporate codes of conduct that address industry-specific risk.

• Review of leading practices in utilities and energy company third party codes and other standards of conduct, especially given the increased focus placed on these industries’ supply chains.

302 Lesson from Recent FCPA Enforcement: To Infinity and Beyond

Thomas R. Fox, Principal, Advanced Compliance Solution

• Learn how 2016 changed the FCPA enforcement paradigm.

• The lessons from 2016 will take your program into the next decade...and beyond

• Compliance-the new corporate governance and business process

3:30 – 4:00 pm

Networking Break

4:00 – 5:00 pm

CONCURRENT BREAKOUT SESSIONS

401 Assessing your ethics and compliance program – what culture findings can tell you about your compliance program

Stacy Mines, Fraud Investigations and Dispute Services, Ernst & Young

Marisa Hardy, Manager, Fraud Investigations and Dispute Services, Ernst & Young

Holly H. Wenger, Director, Ethics and Compliance, Duke Energy Corporation

• Surprises are not a good thing when it comes to compliance programs! In this session we will cover how program and culture assessment help you limit surprises about your program’s status.

• The U.S. Sentencing Guidelines expressly state that organizations should evaluate the effectiveness of their compliance programs.

• An important component of program assessment is culture assessment - and, you may be surprised to find out what your employees think about your organization’s culture and commitment to ethics and compliance

402 Retaliation - The Reality: Everyone’s got an anti-retaliation policy, but what’s really going on - and how would you know?

Keith Read, Managing Director EMEA, Convercent

• Learn about the realities of retaliation and how to assess retaliation in your organisation. Understand the Key Retaliation Indicators – and how to transform anti-retaliation policy into anti-retaliation practice.

• Talk about types of retaliation, including ‘hard ‘and ‘soft’. Explore what prevents people reporting retaliation, and discover how to establish a positive anti-retaliation environment. How to respond to the board and audit committee on retaliation issues.

• Participate in a ‘realities of retaliation’ discussion, and hear novel ways of both detecting and measuring retaliation - and getting people to speak up about it. Discover the potential for real-time compliance technology to positively impact retaliation.

5:00 – 6:00 pm

Networking Reception

TUESDAY, FEBRUARY 21

7:30 am – 5:00 pm

Registration Open

7:30 – 8:30 am

Continental Breakfast (provided)

8:30 – 9:30 am

General Session 3: From the Horse’s Mouth: FERC Enforcement

Jay Matson, Branch Chief, Office of Enforcement – Division of Investigations, Federal Energy Regulatory Commission

• In the form of tips, referrals, and self-reports, matters of interest come to FERC Enforcement from various sources. Some are closed without action; some become preliminary or formal investigations. An exploration of the milestones seen in many cases.

• FERC collects evidence to develop the record. Where does that evidence lead – how are cases resolved – closure, settlement, litigation?

• Penalties and remedies. What are some of the considerations in the guidelines that FERC enforcement uses to determine an appropriate penalty? And who pays?

9:30 – 10:30 am

General Session 4: Ethics & Compliance Program Review - A Look at Three Corporate Compliance Programs

Amy T. Lilly, CCEP, Director Ethics & Compliance, CenterPoint Energy, Inc.

Joya Williams, CCEP, Compliance Paralegal, Shell Oil Company

Stella Raymaker, Director, Ethics & EEO Compliance, Waste Management

• How each of the speaker companies have structured their ethics and compliance programs, including staffing and reporting structure.

• What areas of responsibilities are handled by the ethics and compliance programs for each of the speaker companies, including primary and secondary responsibilities.

• What data and metrics are used when reporting to executive management and/or at board meetings for each of the speaker companies.

10:30 – 11:00 amNetworking Break

11:00 am – 12:00 pm

Concurrent Breakout Sessions



AGENDA

501 Interpreting the Energy Risks from EY’s 2016 Global Fraud Survey

Ryan C. Hubbs, Sr Mgr. Fraud Investigation & Dispute Services, Ernst & Young LLP

• Highlight where organizations are seeing their fraud related risks and concerns grow and develop.

• Discuss when and where employees are most likely to circumvent controls.

• Discuss regional and industry insights on where to bolster anti-fraud detective and preventative defenses.

502 FERC Training: Targeted, Effective, and Concise

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

• Review and discuss today’s dynamic compliance training environment and the complexity in determining who should take required annual FERC training. Explore new ways to deliver effective training to address training fatigue and pushback from learners.

• Discuss the importance of having consistent criteria and sound methodology for developing deployment lists for administering annual Standards of Conduct training pursuant to Order 717 and explore new ways to communicate other compliance requirements.

• Demonstrate creative ways to deliver engaging, concise, and targeted messaging outside the traditional computer based training and classroom setting via animation and whiteboard in less than two minutes.

12:00 – 1:00 pm

Networking Lunch (provided)

1:00 – 2:00 pm


601 Reaching (and Monitoring) Remote Workers

Eric O. Morehead, Principal Consultant, Morehead Compliance Consulting

• Remote workers and workers who operate in difficult locations pose specific training and communication challenges to organizations. What are some strategies and resources organizations can use to reach them?

• Regulators and other stakeholders expect a compliance and ethics program that is “risk-based”. What are some ways to show your plan for remote workers is “risk-based” and appropriate?

• Delivering the message is one thing, but what are some practical strategies and resources for monitoring compliance for remote operations?

602 Attorney-Client Privilege and Leading Practices for InvestigationsElaine Vullmahn Dorsett, Corporate Counsel, Midcontinent Independent System Operator (MISO)

Kristina Pacovsky, Corporate Counsel, Midcontinent Independent System Operator (MISO)

• Attorney-Client Privilege and Attorney Work Product Doctrine

• Case Law and FERC Context

• Do’s and Don’ts

2:00 – 2:15 pm

Networking Break

2:15 – 3:15 pm


701 From Awareness to Engagement: How a sitcom can create an ethical culture

Jim Shields, Creative Director, Twist and Shout Media

• Traditionally, compliance training simply ticks a box. What if we could actually change behavior and build a culture around ethical business practices?

• We need to think like marketers. By making compliance entertaining, we connect them emotionally to the behaviors we need.

• Moving beyond awareness to engagement means we start the right employee conversations around issues of bribery and corruption, money laundering, and other business issues.

702 Sanctions & Export Compliance across Your Business

Julie Myers Wood, CEO, Guidepost Solutions

• Learn how OFAC sanctions and export restrictions can impact your various business lines as well as your back office support functions creating significant compliance challenges.

• Identify all aspects of your business operations where a compliance program is needed and where trained compliance personnel should be monitoring.

• Explore emerging sanctions programs that are more difficult to implement and monitor and how they can greatly affect cross-border activities in unexpected ways.

3:15 – 3:30 pm

Networking Break

3:30 – 4:30 pm


801 Ethics, Transparency, and Building Public TrustJoynicole Martinez, CEO, The Alchemist Agency

• Understanding ethics from the consumer’s perspective

• Demonstrating transparency strategically and credibly

• Consumer engagement to win public trust

802 How to Socially Engineer Businesses (and Get Rich Too)

Brand Barney, Security Analyst, SecurityMetrics

• Understand why social engineering is so effective in stealing data.

• Recognize the signs of successful social engineers, from their conduct to their methods.

• Adequately train staff in the spirit of professional skepticism to combat social engineers.

WEDNESDAY, FEBRUARY 22

POST CONFERENCE

8:00 – 11:30 am

Registration Open

8:30 –9:45 am

W1 General Electric’s Risk Roll Up: Targeting the Elusive Tone in the MiddleJoseph Suich, Chief Compliance Officer & Counsel, GE Power

• The RRU is a multi-division wide, manager-led, employee driven compliance risk assessment, using a bottom up approach where each manager meets with her or his reports, selecting three of the 16 GE code of conduct topics to discuss.

• 1000s of questions are answered on the spot, thousands are put into a tool where a subject matter expert responds on both to the manager and the concern raiser. The manager then meets with their manager and so on until entire divisions are rolled up, with CEOs of the sub-divisions reporting out to the division CEOs on top compliance issues—as identified by their employees, not by leadership—and action items.

• The process works to drive the unknown unknown issues to the compliance team, makes managers in the middle the face of compliance, requires the managers to better understand the compliance topics to teach them and potentially results in the avoidance of major misses and business interruptions.

10:00 – 11:15 am

W2 Tools for Transparency: Due Diligence Tips for the Energy Sector

Anne-Marie Zell, Manager, Member & Advisory Services, TRACE International, Inc.

Flora A. Francis, Senior Compliance Counsel, GE Oil & Gas

Kwesi Baiden, Chief Compliance Officer, ENSCO

• How is the oil industry downturn affecting compliance? Learn how to maintain a compliance program that is both cost-effective and that follows best practices.

• What risks do third parties pose for multinationals, and how can your company mitigate or avoid those risks?

• Once you’ve identified red flags, what comes next? This panel will highlight the nuts and bolts of working effectively in the face of risk.

1:00 – 1:30 pmCCEP® Exam Check-In

1:30 – 4:30 pm

Certified Compliance & Ethics Professional (CCEP)® Exam (Optional)The CCEP® exam is optional. You must register in advance to sit for the exam. The cost of the exam is not included in the conference registration fee. To register for the exam, complete the date-specific exam application and mail or fax as directed on the application. For a link to the exam application, visit www.corporatecompliance.org and look for the Utilities & Energy Compliance & Ethics Conference.

SpeakerBio:Anne-MarieZellAnne-MarieZellManager,MemberandAdvisoryServicesTRACEInternational,Inc.AsManagerofMemberandAdvisoryServices,Anne-Marieassistsmultinationalcorporationsin

developingandsupportingtheiranti-briberycomplianceprogramsandadvisesontailoredanti-bribery

compliancesolutions.Sheisanexperiencedanti-briberyandcomplianceattorneywithaspecialfocuson

theretailindustry.PriortojoiningTRACE,Anne-Marieservedasin-housecounseltotheU.S.subsidiaryofalarge,

multinationalgroceryretailerwheresheoversawthedevelopmentofcompliancepoliciesandprocedures.

Anne-Mariealsoworkedinthelegaldepartmentofamultinationalonlineclothingretailerwhilein

GermanyonaRobertBoschFoundationFellowship.

Earlierinhercareer,Anne-MariewasanattorneyinthelitigationdepartmentatSkadden,Arps,Slate,

Meagher&FlomLLPinWashington,D.C.There,shespecializedinForeignCorruptPracticesActandother

governmentenforcementmatters,workingonabroadrangeofgovernmentinvestigations,enforcement

actions,internalinvestigations,andwhitecollarcriminalinvestigationsandlitigation.

Anne-MariereceivedherJurisDoctorfromtheWilliam&MarySchoolofLawandaBachelorofArts

degreefromIndianaUniversity.SheisproficientinGermanandisamemberofboththeVirginiaand

DistrictofColumbiabarassociations.



REGISTRATION OPTIONS (Registration fees are as listed and considered net of any local withholding taxes applicable in your country of residence.)

after 1/18/17

SCCE Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $799

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New Membership & Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $999 new members only / dues regularly $295 annually.

Pre-Conference Session Sunday . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $125

Post-Conference Session Wednesday. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $125

Group Discount: subtract from my total (SEE DETAILS FOR MORE INFORMATION)

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SESSION SELECTIONPlease indicate below which sessions you would like to attend. Your choices will be used to assist us in planning. You are not obligated to attend the sessions you select.

SUNDAY

PRE-CONFERENCE

1:00 – 2:30 pm

p1 p2

3:00 – 5:00 pm

p3 p4

TUESDAY

11:00 am – 12:00 pm

501 502

1:00 – 2:00 pm

601 602

2:15 – 3:15 pm

701 702

3:30 – 4:30 pm

801 802

WEDNESDAY

POST-CONFERENCE

8:30 –9:45 am

W1

10:00 –11:15 am

W2

MONDAY

11:00 am – 12:00 pm

101 102

1:00 – 2:00 pm

201 202

2:30 – 3:30 pm

301 302

4:00 – 5:00 pm

401 402

REGISTRATION



Conference & Hotel Accommodations:Grand Hyatt Washington 1000 H Street NW Washington, DC 20001 Phone +1 202 582 1234

A reduced rate of $199 per night single/double occupancy plus applicable taxes (currently 14.5%) has been arranged for this program. The rate includes complimentary standard wireless internet in guest rooms and complimentary access to the fitness center and indoor pool. The cutoff date is Friday, January 27, 2017. Reservations requests received after this date will be accepted based on availability at the hotel’s prevailing rates. SCCE recommends making your reserva-tion early as our room block is likely to sell out. To make your reservations, please visit our dedicated reservation link: https://resweb.passkey.com/go/SocietyCorpComp

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Cancellations/Substitutions: You may send a substitute in your place or request a conference credit. Refunds will not be issued. Conference credits are issued in the full amount of the registration fees paid, and will expire 12 months from the date of the original cancelled event. Conference credits may be used towards any SCCE service or product. If a credit is applied towards an event, the event must take place prior to the credit’s expiration date. If you need to cancel your participation, notification is required by email at [email protected], prior to the start date of the event. Please note that if you are sending a substitute, an additional fee may apply.

Group Discounts: Discounts take effect the day a group reaches the discount number of registrants. Please send registration forms together to ensure that the discount is applied. A separate registration form is required for each registrant. Note that discounts will NOT be applied retroactively if more registrants are added at a later date, but new registrants will receive any group discount.

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10 or more: $100 discount for each registrant

Special Needs/Concerns: Prior to your arrival, please call SCCE at +1 952 933 4977 if you have a special need and require accommodation to participate.

Dress Code: Business casual dress is appropriate

Recording: No unauthorized audio or video recording of SCCE Conferences is allowed

Agreements & Acknowledgements: I agree and acknowledge that I am undertaking participation in SCCE events and activities as my own free and intentional act, and I am fully aware that possible physical injury might occur to me as a result of my participation in these events. I give this acknowledgement freely and knowingly and assert that I am, as a result, able to participate in SCCE events, and I do hereby assume responsibility for my own well-being. I agree and acknowledge that SCCE plans to take photographs and/or video at the SCCE Utilities & Energy Compliance & Ethics Conference and reproduce them in SCCE educational, news, or promotional material, whether in print, electronic, or other media, including the SCCE website. By participating in the SCCE Utilities & Energy Compliance & Ethics Conference, I grant SCCE the right to use my name, photograph, video and biography for such purposes.

Certified Compliance and Ethics Professional (CCEP)® Exam: Wednesday, February 22, 2017 1:30 – 4:30 pm Grand Hyatt WashingtonDeadline for receipt of applications is Monday, February 13, 2017. To download the exam application please visit www.corporatecompliance.org and look for the Utilities & Energy Compliance Conference. The CCEP exam requires advance registration and payment separate from the confer-ence registration. To qualify to sit for the CCEP exam, 20 CCB CEUs and the necessary work experience are required.

To obtain CEUs from this conference, fill out the CEU Application available on-site at the conference, noting the sessions attended. Please contact us with questions at +1 952 933 4977 or 888 277 4977 or [email protected]. Note that all credits will be awarded based on actual time on-site spent in session.

Visit www.compliancecertification.org for more information about the CCEP certification.

Continuing Education Units: SCCE is in the process of applying for additional credits. If you do not see information on your specific accreditation and would like to make a request, please contact us at +1 952 933 4977 or 888 277 4977. Visit SCCE’s website, www.corporatecompliance.org for up-to-date information.

ASIS: Participants completing this course may be eligible to receive Continuing Professional Education credit or CPEs toward ASIS re-certification. Individuals seeking re-certification credit should check with ASIS and review the filing process at https://www.asisonline.org/Certification/Recertification/Pages/default.aspx. As sponsors, we will provide all supporting documentation required for participants to submit to ASIS for credit approval.

Compliance Certification Board (CCB): Certified in Healthcare Compliance (CHC)®, Certified in Healthcare Compliance–Fellow (CHC-F), Certified in Healthcare Privacy Compliance (CHPC)®, Certified in Healthcare Research Compliance (CHRC)®, Certified Compliance & Ethics Professional (CCEP)®, Certified Compliance & Ethics Professional–Fellow (CCEP-F), Certified Compliance & Ethics Professional–International (CCEP-I): CCB has awarded a maximum of 21.6 CEUs for these accreditations.

CLE: The Society of Corporate Compliance and Ethics is a State Bar of California Approved MCLE provider, Pennsylvania Accredited Provider, and Texas Accredited Sponsor. An approximate maximum of 18 clock hours of CLE credit will be available to attendees of this conference. All CLE credits will be awarded based on individual attendance.

(ISC)2: The (ISC)2 does not endorse or “approve” any events or education in advance, however any curriculum that falls within at least one of the 10 domains of knowledge for the CISSP can be used by participants in continuing education activities to satisfy their CPE credit needs. Portions of this event may qualify for CPE credits. All (ISC)2 members are responsible for validating CPE credit worthiness no matter what the cir-cumstances. SCCE will provide all supporting documentation required for members to submit to (ISC)2 for credit approval. To view the (ISC)2 10 domains of knowledge visit https://www.isc2.org/sscp/default.aspx and view the links within the Certifications tab drop-down menu.

NASBA/CPE: The Society of Corporate Compliance and Ethics is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors, Sponsor Identification No: 105638. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit and may not accept one-half credits. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

A recommended maximum of 21.6 credits based on a 50-minute hour will be granted for the entire learning activity. This program addresses topics that are of a current concern in the compliance environment. This is an update, group-live activity. Advanced Preparation: None. For more informa-tion regarding administrative policies such as complaints or refunds, call SCCE at (952) 988-0141

SCCE would like to thank the 2017 Utilities & Energy Compliance & Ethics Conference Planning Committee

David Douglass, CCEP. FERC Regulatory Compliance, KCP&L


Amy Lilly, CCEP, Director Ethics & Compliance, CenterPoint Energy, Inc.

Stacy Mines, Fraud Investigations and Dispute Services, Ernst & Young

Adam Turteltaub, CHC, CCEP, Vice President, Strategic Initiatives and International Programs, SCCE

DETAILS

The Society of Corporate Compliance & Ethics 6500 Barrie Road, Suite 250Minneapolis, MN 55435, United Stateswww.corporatecompliance.org

Learn more and register at corporatecompliance.org/utilities

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