Transcript of "4th Annual Regulatory Compliance Final Agenda"
4th AnnualManaging Regulatory Compliancefor Electric UtilitiesImplementing and Standardizing a Comprehensive InternalCompliance Program to Minimize Violations and PenaltiesApril 25-27, 2012Sheraton Atlanta | Atlanta, GA Examining FERC’s and NERC’s Perspectives On the Regulatory Landscape to Better Plan Future Compliance Tactics.Chairman: Featuring Case Studies From Leading Regulatory Compliance Experts:John Rhea Gary Guy Mike Beer Jodi MoskowitzCompliance Officer & Attorney Chief FERC Counsel Vice President, Federal General RegulatoryOGE Energy Baltimore Gas & Electric Regulation and Policy Counsel – Operations LG&E and KU Energy LLC and Compliance & NERC Richard Dewey Compliance Officer Senior Vice President & Chief Mary-James (Jami) Young PSEGAttending This Premier marcus evans Information Officer Senior Compliance & RegulatoryConference Will Enable You To: New York ISO Counsel Jeffery B. Erb • Ensure compliance success from MISO John Rhea Vectren Corporation Assistant General Counsel Compliance Officer & Attorney Pacificorp by integrating organizational compliance models across Deanna Phillips OGE Energy various business units Senior Electrical Engineer Jana Utter • Understand how LG&E-KU Energy LLC is meeting Renee Thorne Bonneville Power Director, Corporate Compliance Attorney- Advisor Administration & Risk Management the strict EPA regulations affecting generation FERC, Office of Enforcement MISO • Hear PPL Corporations CIP compliance lessons Division of Investigations Bob Lane learned and stay informed of Version 5 updates Bob Hoopes Director, FERC CISO & Compliance Thomas Wrenbeck • Prepare for audits through Vectren Corporations San Diego Gas Director, Regulatory Strategy Senior Director, NERC Compliance & Electric ITC Holdings guide on audit survival and success PPL Corporation Michael Mertz Andrew Ginter John Hepokoski Director NERC Compliance Director of Industrial Security Regulatory Compliance Manager Who Should Attend: PNM Resources Waterfall Security Solutions ComEdmarcus evans invites C-Level Executives, VPs, Directors Sidney Davies Nipa Patel Claudia Kuzmaand Managers from leading electric utilities with Assistant General Counsel- Tariff Senior Vice President Vice Presidentresponsibilities in: California ISO Sath Technologies Business Development• Regulatory Compliance Sath Technologies Andrew Gallo Aisha L. Jolly• Regulatory Policy / Affairs / Strategy Director, Reliability Compliance IT Compliance Point of Contact / Robert V. Eckenrod• Associate / Assistant General Counsel Austin Energy Lead Analyst Senior Counsel• Regulatory or Corporate Counsel Exelon Business Services PJM Interconnection LLC Daniel Simon• NERC / FERC Compliance Partner Ballard Spahr• CIP ComplianceSilver Sponsors: Panel Sponsor: Media Partners: EARN UP TO 14 HOURS OF CLE CREDITS
Day One | Wednesday, April 25, 2012 Day Two | Thursday, April 26, 201212:00 Registration and Coffee 8:00 Registration and Morning Coffee12:45 Chairmans Opening Address 8:20 Chairmans Opening Address John Rhea, Compliance Officer & Attorney, OGE Energy John Rhea, Compliance Officer & Attorney OGE Energy1:00 Interactive Workshop 8:30 Case StudyAssessing the Current Generation Reliability Issue Due Integrating Methods to Build, Communicate and Demonstrateto Stringent EPA Regulations a Culture of ComplianceThe future of generation reliability has been questionable due to recent EPA • Defining a "culture of compliance"regulations regarding air emissions for power generators. This has been • Utilizing strategies to build, communicate, and demonstratean ongoing issue for many companies who are under strict deadlines a culture of complianceto meet these requirements. Determining the projected cost implications • Identifying the roles of a culture of compliance in mitigationand power availability are serious uncertainties for many organizations. Andrew Gallo, Director, Reliability Compliance, Austin EnergyPrepare for these industry changes in this interactive workshop.Mike Beer, Vice President, Federal Regulation and Policy 9:15 Case StudyLG&E-KU Energy LLC Standardizing an Internal Compliance Program Across the Companys Business Units2:30 Networking Break • Ensuring executive involvement and effective documentation for various policies and procedures • Creating consistency across the organization by standardizing ENHANCING INTERNAL COMPLIANCE processes and training MODELS AND PROGRAMS • Promoting extensive communication between the business units to execute enterprise wide compliance3:00 Case Study John Hepokoski, Regulatory Compliance Manager, ComEdComparison & Contrast: NERC or Regional Entity Compliance Auditsand FERC Reliability 10:00 Networking Break• Understanding the different needs of performance audits vs. compliance audits 10:30 Case Study• Examining reliability standards audit worksheets (QRSAWs) vs. FERC Compliance Process Management – A Key Foundation data requests of a Robust Compliance Program• Assessing schedules and timelines • Managing compliance processes for standardization, optimization• Breaking down SME Interviews vs. SME collaborations and efficiency gains and overarching goals • Promoting a culture of compliance by documenting and automating• Reviewing FERC audit litigation hold and documentation compliance processes update requirements • Measuring the compliance program by assessing process• Looking at the perspectives of a sprint vs. a marathon performance and adherenceDeanna Phillips, Senior Electrical Engineer • Reducing risk of non-compliance by continued training andBonneville Power Administration communication strategies Nipa Patel, Senior Vice President, Sath Technologies3:45 Case StudyEnsuring Effective NERC Documentation Management Claudia Kuzma, Vice President Business Development& Addressing the Ever Changing NERC Requirements Sath Technologies• Maintaining adequate operational compliance documentation Aisha L. Jolly, IT Compliance Point of Contact/ Lead Analyst (quality & quantity) Exelon Business Service• Standardizing operational compliance documentation with an eye towards NERC audits 11:15 Case Study• Keeping track and understanding the differences and value Reducing Risk of Tariff Non-Compliance between the various "tools" NERC offers • Identifying and documenting tariff requirements and business• Identifying additional resources for best practices around unit responsibility NERC compliance • Documenting business processes that implement tariff requirementsJohn Rhea, Compliance Officer & Attorney, OGE Energy • Ensuring appropriate controls are incorporated as part of the business processes4:30 Closing Remarks of Chair and End of Day One • Implementing an ongoing process to correct tariff errors and remove anachronistic tariff language Sidney Davies, Assistant General Counsel– Tariff, California ISO 12:00 Luncheon 1:00 Case Study A Field Guide to Audit Preparation: How to Survive and Succeed in a Reliability Audit • Recognizing the key elements for successful audit preparation • Mapping an audit preparation strategy • Securing officer and subject-matter expert buy-in to the preparation processSPONSORSHIP INFO • Managing audit logisticsDoes your company have solutions or technologies that the conference delegates would • Delivering effective, accurate and persuasive audit presentationsbenefit from knowing? If so, you can find out more about the exhibiting, networking Mary-James (Jami) Young, Senior Compliance & Regulatory Counseland branding opportunities available by contacting: Darrin Grove at 312 894 6345 Vectren Corporationor firstname.lastname@example.org.
Day Two | Continued Day Three | Friday, April 27, 20121:45 Case Study 8:30 Registration and Morning CoffeeDeveloping a Robust Organizational Compliance Modelto Ensure Compliance Fulfillment 8:50 Chairmans Opening Address• Understanding the concept that compliance is a means John Rhea, Compliance Officer & Attorney, OGE Energy to an end result of reliability and security for the bulk power system• Maturing compliance activities to ensure there is a well-designed 9:00 Case Study program in place that is process-focused and meets business unit needs Identifying the Methods to Overcome the Common Struggles• Putting processes in place that allow information to flow of CIP Compliance up and down the chain of command • Comprehending the breadth of the business and number of assets• Utilizing a gap analysis compliance program design that are impacted by CIP compliance• Establishing an IT assisted compliance support to build sustainability • Determining how to manage the zero tolerance policy across a wideJana Utter, Director, Corporate Compliance & Risk Management, MISO range of assets • Implementing a communication strategy across all the different2:30 Networking Break departments to ensure adequate compliance coordination Richard Dewey, Senior Vice President & Chief Information Officer3:00 Case Study New York ISOEnsuring Documents Tell the Story You Want Them to DuringCompliance Activities STAYING AWARE OF CRUCIAL INDUSTRY• Assessing the 2011 sufficiency review of compliance documentation REGULATIONS AND STANDARDS• Understanding lessons learned with evidence that must demonstrate compliance• Realizing there are multiple procedures for accomplishing the same task 9:45 Case Study• Overcoming the struggle of assembling documentation Reviewing the FERC Office of Enforcements Role in Reliability and producing records • Examining the Office of Enforcement and the reliability staffs functions• Determining the next steps to standardize procedures across multiple • Sharing lessons learned from the Annual Report business units • Identifying what FERC looks for within utilities compliance programs• Ensuring that production of "artifacts" remains consistent, • Assessing NOPS and recent reliability investigations to prepare accordingly in circumstances where procedures can not be standardized Renee Thorne, Attorney- AdvisorBob Lane, Director, FERC CISO & Compliance, San Diego Gas & Electric FERC, Office of Enforcement, Division of Investigation 10:30 Networking Break REVIEWING CIP BEST PRACTICES AND UPDATES 11:00 Interactive Panel Discussion3:45 Case Study Evaluating Regulatory Requirements for Generator Acquisitions,Creating the Appropriate Strategies to Transition from Dispositions, and RetirementsCIP Version 3 to Versions 4 and 5 • Identifying FERC requirements for acquiring or selling a generator• Understanding what needs to be done to move forward from • Evaluating NERC reliability standard risks when acquiring or retiring Version 3 to Versions 4 and 5 a generator• Setting up direction with the CIP compliance department and • Understanding how an ISO/RTO evaluates and addresses a generators notice management to follow the new standards of retirement and its implications• Discussing the differences between the three versions Moderator: and how to respond to them Daniel Simon, Partner, Ballard SpahrBob Hoopes, Senior Director NERC Compliance, PPL Corporation Panelists:4:30 Case Study Jodi Moskowitz, General Regulatory Counsel- OperationsCIP Asset Identification: Avoiding Scrutiny at Audit and Compliance & NERC Compliance Officer• Reviewing common pitfalls of critical asset and critical cyber PSEG asset identification• Addressing co-owned / shared assets Robert V. Eckenrod, Senior Counsel, PJM Interconnection LLC• Understanding applicable compliance application notices (CANs), interpretations, and guidelines 11:45 Case Study• Identifying the "other" cyber assets Ensuring the Standards of Conduct Issued By FERC Order 717• "Newly" identified assets, particularly while preparing for versions Are Being Met 4 and 5 • Keeping the marketing and transmission functions separate to stayMichael Mertz, Director NERC Compliance, PNM Resources in line with the FERC Order 717 requirements • Making sure compliance groups and any other affected business units5:15 Closing Remarks of Chair and End of Day Two are aware of their obligations to meet the FERC Order 717 requirements • Understanding the training tactics going forward that are needed to comply with the Order 717 rules Jodi Moskowitz, General Regulatory Counsel- Operations and Compliance & NERC Compliance Officer PSEG CONTINUING LEGAL EDUCATION marcus evans has requested CLE accreditation from all appropriate states. marcus evans certifies that this conference has been pre approved for CLE credits by the Pennsylvania, California and West Virginia State continuing legal education authorities and also approved for New Jersey and Colorado CLE credits via reciprocity. To qualify for CLE credits you are required to sign-in with your state bar number for every conference day that you are in attendance. CLE credits are subject to final approval from the individual state boards and certificates will be issued 6-8 weeks after the conference is held.
Day Three | Continued SILVER SPONSORS:12:30 Luncheon Corporate Risk Solutions, Inc. (CRSI) is an independent, full-service security consulting firm specializing in NERC Compliance (693 and 706) as well as cyber1:30 Case Study and physical security solutions to the electric utilityMeeting the Requirements of FERC Order 1000- Transmission industry. CRSI has provided consulting services to more than 100 electric utilities acrossPlanning and Cost Allocation all eight (8) NERC regions and is also under contract by multiple NERC Regional Entities for Audit Support.• Participating in the required regional transmission planning processes to create the plan for transmission expansion The goal of Sath’s NERC CIP Compliance• Deciphering the cost allocation for new transmission facilities consulting services is to design a partnership within the regions where our clients achieve true excellence. Implementing and standardizing a comprehensive• Identifying the regional and interregional concerns and needs when internal NERC CIP Compliance program aids to minimize violations and penalties. At Sath, developing transmission plans we specialize in helping organizations mitigate riskand manage compliance with• Recognizing the struggles in meeting the deadlines set by FERC administration and business process improvements. for completion Waterfall Security Solutions Ltd. is the leadingThomas Wrenbeck, Director, Regulatory Strategy, ITC Holdings provider of Unidirectional Security Gateways and data diodes for Process Control Systems,2:15 Case Study SCADA systems, Remote Monitoring and Segregated Networks, enabling secureApplying CIP Version 3 Critical Cyber Assets, Version 5 and real-time data transfer, from critical (e.g.: SCADA, production, industrial, etc…) networks to external / business networks.Impact Ratings, and CAN-0024 To Hardware-EnforcedUnidirectional Communications• Reviewing firewalls and hardware-enforced unidirectional PANEL SPONSOR: communications concepts• Understanding the Version 3 advice in CAN-0024 Ballard Spahr is a nationally recognized leader• Comparing critical cyber assets to CIP Version 5 impact ratings in the electricity sector, advising utilities, ISOs / RTOs, and project developers on a broad spectrum of legal and applying the concepts to unidirectional communications issues, including FERC compliance. We provide effective guidance based on a deep• Assessing both short-term and long-term compliance costs understanding of the legal and business challenges todays complex electricity sector presents. and benefits arising from unidirectional communicationsAndrew Ginter, Director of Industrial SecurityWaterfall Security Solutions MEDIA PARTNERS: ENERGY OVERVIEWS delivers actionable industry3:00 Networking Break intelligence in today’s energy and transportation industry in our five daily email newsletters, Renewable3:30 Case Study and Sustainable Energy, BioEnergy & BioFuels, Electric, Hybrid & Clean Transportation , Carbon, EmissionsReviewing Dodd-Frank Commodity Compliance for Utilities and Climate Change and Energy Storage Grid & Efficiency ENERGY OVERVIEWS’ believes(A Developing Story) that time is money and distills each story into its essentials, to provide quick comprehension.• Developing CFTC definitions of "sway", "swap dealers", "major swap Our editors include the sources of their information and accurate contact names, telephone participant", or "eligible contract participant" and how they could numbers, emails and website addresses to provide usable business information designed affect load-serving utilities to "Show me the money" and “the clear commercial value". For a free complimentary trial, please visit our website www.epoverviews.com/trial.php or call toll free 1-866-558-3001.• Identifying potential new swap and CFTC recordkeeping requirements for utilities Established in 1986 Electricity Today magazine continues to be the• Assessing requirement to submit swaps for clearing to a derivatives publication of choice for North Americas utility transmission and distribution sectors. clearing organization• Determining end-user exemptions for non-financial entities Electricity Today, a CCAB audited publication, is published 9 timesJeffery B. Erb, Assistant General Counsel, Pacificorp a year. It is distributed free of charge to electric utility personnel and electrical consulting engineers across Canada and the United States.4:15 Case Study The Society of Corporate Compliance and Ethics is a non-profitOverview of FERC Approach to Imposing Penalties, Enforcing association serving over 1700 compliance and ethics professionals globally. The SCCE helps its members improveReliability Standards, and Promoting Anti-Manipulation Rules the quality of corporate governance, compliance and ethics by providing a forum• Examining FERCs non-public investigations and settlements for understanding the complicated compliance environment and offering tools, resources,• Assessing FERCs review of NERC proceedings networking and educational opportunities.• Analyzing FERCs re-examination of penalty guidelines Dow Jones Financial Information Services produces leading• Identifying and understanding FERC audit and accounting inquires databases, electronic media, newsletters, conferences, directories,Gary Guy, Chief FERC Counsel, Baltimore Gas & Electric webinars, custom products and other information about specialized markets and industry sectors. Dow Jones Financial Information Services provides insight,5:00 Closing Remarks of the Chair and End of Conference perspective and data on areas including private equity, venture capital, fund-raising, risk & compliance, debt & bankruptcy, energy, commodities and other areas TESTIMONIALS: "Fantastic opportunity to learn from other professionals and to network." OGE Energy "Thank you for organizing this event; one of the few I have found of its kind."WHY YOU MUST ATTEND: National Grid "Excellent program with very good speakers, very applicable to my situation. I picked upElectric utilities today face many challenges when complying with the constantly changing many good ideas to further pursue."regulatory landscape. It is crucial for compliance and regulatory professionals to have Centerpoint Energythe right organizational compliance programs in place to avoid penalties without delayingbusiness operations. Organizations must ensure they have the most up to date processesto identify, manage, report and monitor their requirements. Key to these efforts is alsomaking certain the entire organization is adequately demonstrating, documenting PRODUCER INFO:and reporting compliance. The marcus evans 4th Annual Managing Regulatory I would like to thank everyone who has assisted with the research and organization of theCompliance for Electric Utilities conference will focus on the best strategies utilities event, particularly the speakers for their support and commitment. Samantha Rice,are putting in place to expand their organizational compliance programs, as well as staying Samanthar@marcusevansch.comaware of evolving standards and regulations.