NERC & FERC Reliability Compliance Brochure

April 15-17, 2009Atlanta, GAPenalties for reliability compliance violations can exceed $1million a day.Anna CochraneDeputy Director Office of EnforcementFERCGerry CauleyPresident and CEOSERC Reliabilty CorporationJohn HairstonChief Compliance OfficerBonneville Power AdministrationBenjamin ChurchDirector Reliability and Compliance Florida Power and Light EnergyKeynote Speakers:Robert IvanauskasPolicy Advisor to Commissioner MoellerFERCStephen R. MeltonVP and Deputy General Counseland Chief FERC Compliance OfficerNisource Corporate Services CompanyRobert E. HoopesSenior Director – NERC CompliancePPL CorporationBray DohrwardtSenior Director Government Regulatory AffairsDirect EnergyAllen MosherSenior Director of Policy Analysis and ReliabilityAmerican Public Power AssociationDeb SneedDirector Transmission Compliance Southern CompanySteven D. Phillips Director, Compliance and EthicsE.O.N USDavid HodgesDirector ComplianceSouthwest Power Pool (SPP)Crystal MusselmanReliablity Compliance ManagerAvista CorpLisa James Manager – Regulatory Compliance and Policy DevelopmentPublic Utility District No.1of Chelan CountyAdam MenendezFERC Compliance AnalystPortland General ElectricCurrent marcus evans NERC & FERC Reliability ComplianceSpeakers Include:Implementing Robust Internal Documentation Strategiesto Exceed Mandatory Regulatory StandardsAttending this Premier marcus evans Conferencewill Enable You to:• Understand FERC's responsibilities and expectations regarding enforcement of mandatory reliability standards • Examine SERC Reliability Corporation's take on evolving standards and regulations – What to expect from FERC/NERC next• Highlighting how Bonneville Power Administration's exceptional internal compliance program has been key to successful external compliance• Discuss how Nisource Corporate Services Company minimizes financial penalties to maximize retained profits• Evaluate Portland General Electric's lessons learned and expectations from an auditmarcus evans invites Chiefs/VP/Directors within ElectricUtilities with responsibilities in:• Reliability/Standards Compliance• Compliance/Enforcement• Government Regulatory Affairs• Chief CounselWho Should Attend:NERC & FERC Reliability ComplianceMedia Partners:Book Online At:www.marcusevansbb.com/ReliabilityCompliance8:00 Registration and Morning Coffee8:45 Chairman's Opening Address9:00 Keynote PresentationEvolving Standards and Regulations – What to Expect fromFERC/NERC Next• Creating a flexible compliance program to deal with the myriad of regulatory changes• Recognizing the importance of monitoring standards development to keep up to date with compliance requirements• Balancing complexities of audit submissions with changes involving mandatory compliance Gerry Cauley President and CEO SERC Reliability Corporation9:45 Case StudyCollaborating with Regulators and Regional Bodies to Ensure GoodWorking Relationships• Tracking and interfacing with regional bodies to interpret and understand compliance guidelines• Building good relationships with NERC auditors and rule-setting committees to influence the setting of reliability compliance standards• Working in conjunction with regulators and the drafting team to ensure minimal misinterpretation and maximum consistency nationwide Bray Dohrwardt Senior Director Government Regulatory Affairs Direct Energy10:30 Networking Break11:00 Keynote PresentationHighlighting How an Exceptional Internal Compliance Programis Key to Successful External Compliance• Establishing a robust internal compliance program to prevent utility violations • Ensuring dissemination of processes and documentation throughout the utility to ensure company buy in • Engaging strategies to optimize internal reporting and maximize controls and monitoring• Documenting in house processes to facilitate subject matter experts and ensure reliability compliance and consistency• Reviewing and modifying compliance programs periodically to ensure optimal performance John Hairston Chief Compliance Officer Bonneville Power Administration11:45 Case StudyEnsuring Training to Maximize Knowledge of Reliability Standards• Understanding the importance of education and training to ensure proficient subject matter experts• Discussing NERC's expectations for audit training to fulfill roles in the compliance activities• Designing training programs to optimize the day to day functions performed by employees • Ensuring sufficiently detailed training to facilitate comprehensive understanding of standards and rules Lisa James Manager – Regulatory Compliance and Policy Development Public Utility District No.1 of Chelan CountyUNDERSTANDING THE IMPORTANCEOF RELIABILITY COMPLIANCEEVALUATING ELEMENTS OF A GOOD COMPLIANCE PROGRAMDAY ONE | Wednesday, April 15, 2009 DAY TWO | Thursday, April 16, 2009The US Energy Policy Act of 2005 allowed FERC to investigate the energymarket and electric reliability transgressions. This allowed FERCto aggressively enforce its regulations and enabled previously voluntaryreliability programs under the North American Electric Reliability Council(NERC) to become mandatory standards for utilies. As such FERC havethe ability to enforce huge financial penalties with fines of more than $10million for non-compliance in meeting required reliability standards. With thisnew enforced regulatory environment utilities have recognized the urgencyof implementing best practices to improve their reliability compliancemanagement processes and systems and identified the need to build strongcultures of compliance across the organization, which is subject to NERCand FERC jurisdiction. The marcus evans NERC & FERC Reliability Compliance Conferenceprovides the opportunity to discus how utilities manage their complianceprograms and how they can prepare for and learn from an audit. Discussion will cover best practices to introduce mitigation controlsfor reducing and avoiding fines and penalties. There will be discussionon the importance of internal auditing assessments in preparationfor the external audit visit. Focus will also be paid to the importanceof forging good relationships with regulators and regional bodies to ensureinclusion in standards drafting to maximize transparency and consistencyin interpretation of standards across the industry.WHY YOU SHOULD ATTEND:12:30 Registration1:00 Chairman's Opening Address1:30 Interactive Workshop Building a Model Compliance Program to Maximize ReliabilityOrganizational PerformanceAfter the blackout in 2003 the Energy Policy Act of 2005 was developedto enforce compliance with mandatory reliability standards. As such utilitiesmust be able to proactively address mandatory requirementto ensurenon-violation of the enforceable standards.By Attending this Workshop you will be:• Discussing key components for a sound program to ensure good reliability compliance• Ensuring support from the CEO and other business units• Preparing an inventory of current compliance risks and practices• Implementing a comprehensive reliability compliance audit program, including the tracking and review of any incidents of noncompliance• Engaging services of consultants to assisting in mapping utility requirements to available software Facilitator: Deb Sneed Director Transmission Compliance Southern Company4:30 Closing Comments and End of Day OneMARKETING INFOA limited amount of exhibition space is available at the conference.Sponsorship opportunities covering luncheon, evening functions,and documentation also exist. For further details, please contact:Natakii David at energy@marcusevansbb.com.12:30 Luncheon1:30 Case StudyImplementing an Annual Internal Compliance Certification Process• Simplifying the required reporting to the regional entities through internal compliance certification to applicable NERC reliability standards• Providing assurance to senior management that the necessary compliance determinations to document compliance of applicable standards has been performed• Developing and maintaining an annual internal compliance certification package for each reliability standard and registered entity• Utilizing these packages to support the required regulatory response when regional self-certifications, spot checks or audits are scheduled Robert E. Hoopes Senior Director – NERC Compliance PPL Corporation2:15 Keynote PresentationMinimizing the Financial Penalties to Maximize Retained Profits• Recognizing industry concerns over the uncertainty regarding amount of enforceable fines and penalties • Introducing controls to ensure non-replication of violations identified in assessments and audits• Preparing to challenge penalty violations with the relevant authorities• Implementing self-reporting and remediation opportunities to improve reliability and reduce penalties Stephen R. Melton VP and Deputy General Counsel and Chief FERC Compliance Officer Nisource Corporate Services Company3:00 Networking Break3:30 Case StudyOvercoming Transparency Challenges Surrounding NERC/FERCReliability Standards• Identifying the value of greater transparency to ensure understanding of requirements from the regulators perspective• Introducing document verification for NERC standards which provides transparency and an audit trail of compliance• Ensuring internal procedure transparency through incorporation of reliability standards into the internal methodology proceduresAllen MosherSenior Director of Policy Analysis and ReliabilityAmerican Public Power Association4:15 Case StudyBuilding Consistency and Effectivity Interpreting Reliability Standards • Reviewing why there are regional differences in interpretation of standards • Interpreting the standards to understand what constitutes a violation to avoid penalties• Introducing industry strategies to interpret standards and reduce ambiguityBenjamin ChurchDirector Reliability and Compliance Florida Power and Light Energy5:00 Closing Remarks of the Chair and End of Day TwoOVERCOMING TRANSPARANCYAND INTERPRETATION CHALLENGES DAY TWO | Continued DAY THREE | Friday, April 17, 20098:00 Registration and Morning Coffee8:45 Chairman's Opening Address9:00 Keynote PresentationUnderstanding FERC's Responsibilities and Expectations RegardingEnforcement of Mandatory Reliability Standards• Introducing FERC's Office of Enforcement's organization and responsibilities• Reviewing FERC's recent reliability enforcement related issuances to gain a better understanding of the federal regulator's expectations• Preparing for a FERC audit or investigation Anna Cochrane Deputy Director Office of Enforcement FERC9:45 Case StudyHighlighting the Benefits of Self Audits to Ensure Readinessfor Auditor Visits• Promoting the value of internal audits prior to onsite visits to ensure adherence to procedures and documentation• Maximizing communication with internal departments to collate relevant information needed for the review• Developing readiness assessments to identify gaps in compliance programs and processes• Using the internal audit for recommendations and feedback on strategies to further strengthen and tighten procedures and practices for audits Crystal Musselman Reliability Compliance Manager Avista Corp10:30 Networking Break11:00 Case StudyDiscussing Lessons Learned and Expectations from an Audit• Sharing best practices to ensure continuous compliance program development • Realizing the importance of taking performance measurements from the audit• Discussing the next steps to take from the audit to improve readiness and process compliance Adam Menendez FERC Compliance Analyst Portland General Electric11:45 Case StudyDeveloping an Effective Compliance Culture to Ensure OrganizationalWide Adoption• Achieving structure, including management and employees to promote reliability compliance and maximize the business plan• Involving staff in implementation of procedures and processes to ensure successful organizational change management• Realizing the necessity of dedicating human resources to compliance programs• Balancing labor intensive tasks with staff fulfillment Robert Ivanauskas Policy Advisor to Commissioner Moeller FERC 12:30 LuncheonPREPARING FOR AN AUDITDAY THREE | Continued MEDIA PARTNERS:1:30 Roundtable DiscussionDiscussing the Cost Benefit Justification for Compliance • Achieving reliability compliance without passing costs to customer• Minimizing the costs incurred throughout a compliance program • Allocating funding and resources for the administration of compliance programs2:15 Case StudyMinimizing the Financial Penalties to Maximize Retained Profits• Implementing risk based assessments to determine reliability compliance violations• Highlighting the value of self certification to ensure full compliance before an audit or full report submission• identifying risks to mitigate penalties and maintain corporate reputation• Implementing effective controls to minimize recurrence of any misconduct Steven D. Phillips Director, Compliance and Ethics E.ON U.S.3:00 Networking Break3:30 Case StudyUtilizing Compliance Document Management Tools and Best Practices• Reviewing steps required to collate compliance documentation for assessments• Ensuring pre-audit review of compliance documentation to identify potential violations• Understanding the value of compliance tracking software for documentation management• Ensuring compliance information is up to date, and easily moveable and storable David Hodges Director Compliance Southwest Power Pool (SPP)5:00 Closing Remarks of the Chair and End of Day ThreeIDENTIFYING RISKS AND COST BENEFITSOF RELIABILITY COMPLIANCE In the rapidly changing climate of today's power industry, ElectricityToday magazine continues to be the publication of choice for NorthAmerica's utility transmission and distribution sectors. Electricity Today,a CCAB audited publication, is published 9 times a year by The ElectricityForum (a division of the Hurst Communications Group, Inc.), the conferencemanagement and publishing company for North America's electricpower and engineering industry. It is distributed free of charge to electricutility personnel and electrical consulting engineers across Canadaand the United States, providing up-to date information and timelyarticles on topics relevant to today's electrical power industry. Pleaseuse the following link: www.electricity-today.com. Production contactis Alla Krutous: alla@electricityforum.com 905 686 1040 ex 226.IEEE Spectrum offers news, insightful analysis, and authoritative perspectiveof the impact of emerging technologies on business, the economy,and our lives. Award-winning, cutting-edge technology journalism makesIEEE Spectrum a staple for more than 385,000 engineering managersand technology business leaders worldwide. IEEE Spectrum: The Magazinefor Technology Insiders – www.spectrum.ieee.org.EnergyBiz is a bimonthly business magazine for leaders in the new power in-dustry. EnergyBiz reaches more than 20,000 of the most influentialbuyers, including managers, executives, legislators, regulators, lawyersand consultants who make buying decisions in utilities, government,advisory firms and supplier companies. EnergyBiz target CEOs, CFOs, CIOs,CTOs, VPs and their direct reports – quality prospects available only throughEnergy Central.Energy Central, established in1996, is the leading resource connectingprofessionals in the global power industry to news, events, databases,insight and analysis. With six distinct web sites, seven e-newslettersand both electronic and print publications, top energy executives,managers, leaders and industry influencers have relied on Energy Central todeliver the information they use every day. We also have the most used jobsweb site, EnergyCentralJobs.com, connecting job seekers and employers in theenergy industry.Since 1973, has kept its readers at the forefront of major developmentsin the energy industry. The top daily publication among energy executivescovers all aspects of the energy industry including electric utilities, nuclearpower, natural gas, oil, coal and alternative fuels. For more information visitour website www.theenergydialy.com.Registration ContractPlease complete this form immediately and fax back to: _______________________________________________________________________FAX: 888 844 4901 (TOLL FREE) OR 246 421 9610For further information call 246 417 5420 Conference: NERC & FERC Reliability ComplianceDate(s): April 15-17, 2009Location: Atlanta, GATerms & Conditions: marcus evans: Marcus Evans Inc.1. Fees are inclusive of program materials and refreshments.2. 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Prices are inclusive of service charge. Text9: Text7: