1. Small Company,
Big Shoes
David W. Weber, P.E., Supervising Engineer
Nicholas S. Nelson, Utility Compliance Specialist
Superior Water, Light & Power Co.

2. Company Profile
Superior, WI
Chicago, IL
You are here.
Wisconsin
Lake Superior
Michigan
Minnesota
Iowa
Illinois LakeMichigan

3. Company Profile
1889
SWL&P – a 125-year-old company

4. Corporate Organization

5. Compliance Organization
ALLETE
Board of Directors
SWL&P
Board of Directors
SWL&P
President
ALLETE
Compliance
Management
Committee
Supervisor,
Compliance
Manager,
Accounting, Rates &
Gas Procurement
Manager,
Customer Service
& Electric
Manager,
Gas & Water
Operations
Supervisor,
Gas & Water
Meter
Supervisor,
Water Plant
Supervisor,
Electric
Supervisor,
Customer
Service &
Dispatch
Supervisor,
Gas & Water
Distribution
Accounting, Rates &
Gas Procurement
Operations Staff
Customer Service
& Electric
Operations Staff
Gas & Water
Operations Staff
Utility
Compliance
Specialist
SWL&P Compliance Committee

6. Compliance Committee Scope
AWARENESS ACTION
RESOURCES
Personal Integrity
Ethical Behavior
Compliance
Culture

7. Compliance Staff Roles
Source: blog.tenthamendmentcenter.com

8. Compliance Staff Approach
Source: michiganemploymentlawadvisor.com

9. Compliance Staff Approach
Source: asalesguy.com
“Integrity is doing
the right thing, even
when no one is
watching.”
- C.S. Lewis

10. Procedure
Enhancement
Process
Completion &
Documentation
of Compliance
Actions
SWL&P Standards
SharePoint
Audit Action
Plans
Regulator
Audits
Industry
Associations
Regulation
Awareness
Spreadsheet
Code
Correlation
Spreadsheet
Revisions
Identified
by Users
Strategy Development
External
Awareness
Internal Awareness Action & Tracking
Operational
Excellence
Employee Involvement
AWARENESS ACTION
RESOURCES
Personal Integrity
Ethical Behavior
Compliance
Culture

11. Evolution of Compliance Tools

12. Compliance Using SharePoint

13. Compliance Using SharePoint

14. Compliance Using SharePoint

15. Compliance Using SharePoint
Team Sites Document Center Record Center
Committee & large project documents
Documents in development
Department documents
Company living documents
Completed documents & records
Documents kept for retention policies
Life Cycle of Documents

16. Tone at the Top
Source: corruptioncrimecompliance.com

17. Accountability

18. Challenge and Support
Challenge
SupportSupport
Challenge
Support
Challenge
ComforterTaskmasterDeveloper

19. Evolution of Ethics Training
Source: jessbenda.wordpress.com

20. Evolution of Ethics Training
Source: unknown & ang.af.mil

21. Evolution of Ethics Training
Values-Based Decisions
Resources

22. Lessons Learned
Compliance
Operations
Source: markgeorgephotography.co.uk

23. Lessons Learned
Source: foundmediagroup.com

24. Lessons Learned
“Culture eats strategy for lunch.”
- Peter Drucker

25. Questions?
David W. Weber, P.E., Supervising Engineer
W: +1 715 395 6312
M: +1 218 591 9843
E: dweber@swlp.com
Nicholas S. Nelson, Utility Compliance Specialist
W: +1 715 395 6353
M: +1 218 409 9125
E: nnelson@swlp.com