1. 4th Annual
Managing Regulatory Compliance
for Electric Utilities
Implementing and Standardizing a Comprehensive Internal
Compliance Program to Minimize Violations and Penalties
April 25-27, 2012
Sheraton 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 Moskowitz
Compliance Officer & Attorney Chief FERC Counsel Vice President, Federal General Regulatory
OGE 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 PSEG
Attending This Premier marcus evans Information Officer Senior Compliance & Regulatory
Conference 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 Corporation's 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 Corporation's 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 ComEd
marcus evans invites C-Level Executives, VP's, Directors Sidney Davies Nipa Patel Claudia Kuzma
and Managers from leading electric utilities with Assistant General Counsel- Tariff Senior Vice President Vice President
responsibilities 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 Compliance
Silver Sponsors: Panel Sponsor: Media Partners: EARN UP TO 14
HOURS OF CLE
CREDITS

2. Day One | Wednesday, April 25, 2012 Day Two | Thursday, April 26, 2012
12:00 Registration and Coffee 8:00 Registration and Morning Coffee
12:45 Chairman's Opening Address 8:20 Chairman's Opening Address
John Rhea, Compliance Officer & Attorney, OGE Energy John Rhea, Compliance Officer & Attorney
OGE Energy
1:00 Interactive Workshop
8:30 Case Study
Assessing the Current Generation Reliability Issue Due
Integrating Methods to Build, Communicate and Demonstrate
to Stringent EPA Regulations
a Culture of Compliance
The 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 demonstrate
an ongoing issue for many companies who are under strict deadlines a culture of compliance
to meet these requirements. Determining the projected cost implications • Identifying the roles of a culture of compliance in mitigation
and power availability are serious uncertainties for many organizations. Andrew Gallo, Director, Reliability Compliance, Austin Energy
Prepare for these industry changes in this interactive workshop.
Mike Beer, Vice President, Federal Regulation and Policy 9:15 Case Study
LG&E-KU Energy LLC Standardizing an Internal Compliance Program Across
the Company's Business Units
2:30 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 compliance
3:00 Case Study John Hepokoski, Regulatory Compliance Manager, ComEd
Comparison & Contrast: NERC or Regional Entity Compliance Audits
and 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 adherence
Deanna Phillips, Senior Electrical Engineer • Reducing risk of non-compliance by continued training and
Bonneville Power Administration communication strategies
Nipa Patel, Senior Vice President, Sath Technologies
3:45 Case Study
Ensuring 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 requirements
John Rhea, Compliance Officer & Attorney, OGE Energy • Ensuring appropriate controls are incorporated as part
of the business processes
4:30 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 process
SPONSORSHIP INFO • Managing audit logistics
Does your company have solutions or technologies that the conference delegates would • Delivering effective, accurate and persuasive audit presentations
benefit from knowing? If so, you can find out more about the exhibiting, networking Mary-James (Jami) Young, Senior Compliance & Regulatory Counsel
and branding opportunities available by contacting: Darrin Grove at 312 894 6345 Vectren Corporation
or darring@marcusevansch.com.

3. Day Two | Continued Day Three | Friday, April 27, 2012
1:45 Case Study 8:30 Registration and Morning Coffee
Developing a Robust Organizational Compliance Model
to Ensure Compliance Fulfillment 8:50 Chairman's 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 wide
Jana Utter, Director, Corporate Compliance & Risk Management, MISO range of assets
• Implementing a communication strategy across all the different
2:30 Networking Break departments to ensure adequate compliance coordination
Richard Dewey, Senior Vice President & Chief Information Officer
3:00 Case Study New York ISO
Ensuring Documents Tell the Story You Want Them to During
Compliance 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 Enforcement's Role in Reliability
and producing records • Examining the Office of Enforcement and the reliability staff's 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- Advisor
Bob 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 Discussion
3:45 Case Study Evaluating Regulatory Requirements for Generator Acquisitions,
Creating the Appropriate Strategies to Transition from Dispositions, and Retirements
CIP 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 generator's 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 Spahr
Bob Hoopes, Senior Director NERC Compliance, PPL Corporation
Panelists:
4:30 Case Study Jodi Moskowitz, General Regulatory Counsel- Operations
CIP 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 (CAN's),
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 stay
Michael Mertz, Director NERC Compliance, PNM Resources in line with the FERC Order 717 requirements
• Making sure compliance groups and any other affected business units
5:15 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.

4. 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 cyber
1:30 Case Study and physical security solutions to the electric utility
Meeting the Requirements of FERC Order 1000- Transmission industry. CRSI has provided consulting services to more than 100 electric utilities across
Planning 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 leading
Thomas 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 secure
Applying 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-Enforced
Unidirectional 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 today's complex electricity sector presents.
and benefits arising from unidirectional communications
Andrew Ginter, Director of Industrial Security
Waterfall Security Solutions MEDIA PARTNERS:
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3:30 Case Study and Sustainable Energy, BioEnergy & BioFuels, Electric,
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Reviewing Dodd-Frank Commodity Compliance for Utilities and Climate Change and Energy Storage Grid & Efficiency ENERGY OVERVIEWS’ believes
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• Developing CFTC definitions of "sway", "swap dealers", "major swap Our editors include the sources of their information and accurate contact names, telephone
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• 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 America's utility transmission
and distribution sectors.
clearing organization
• Determining end-user exemptions for non-financial entities Electricity Today, a CCAB audited publication, is published 9 times
Jeffery 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-profit
Overview of FERC Approach to Imposing Penalties, Enforcing association serving over 1700 compliance and ethics
professionals globally. The SCCE helps its members improve
Reliability Standards, and Promoting Anti-Manipulation Rules the quality of corporate governance, compliance and ethics by providing a forum
• Examining FERC's non-public investigations and settlements for understanding the complicated compliance environment and offering tools, resources,
• Assessing FERC's review of NERC proceedings networking and educational opportunities.
• Analyzing FERC's 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 up
Electric 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 Energy
the right organizational compliance programs in place to avoid penalties without delaying
business operations. Organizations must ensure they have the most up to date processes
to identify, manage, report and monitor their requirements. Key to these efforts is also
making 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 the
Compliance 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.com
aware of evolving standards and regulations.