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Small Company,Big ShoesDavid W. Weber, P.E., Supervising EngineerNicholas S. Nelson, Utility Compliance SpecialistSuperior Water, Light & Power Co.
Company Profile
Superior, WI
Chicago, IL
You are here.
Wisconsin
Lake Superior
MichiganMinnesota
Iowa
IllinoisLa
ke M
ichi
gan
Company Profile
1963
1867
1924
1986
1970
1925
1889SWL&P – a 125-year-old company
1910
Corporate Organization
Compliance OrganizationALLETE
Board of DirectorsSWL&P
Board of Directors
SWL&PPresident
ALLETECompliance Management Committee
Supervisor,Compliance
Manager,Accounting, Rates &
Gas Procurement
Manager,Customer Service
& Electric
Manager,Gas & Water Operations
Supervisor,Gas & Water
MeterSupervisor,Water Plant
Supervisor,Electric
Supervisor,Customer Service & Dispatch
Supervisor,Gas & Water Distribution
Accounting, Rates & Gas Procurement Operations Staff
Customer Service & Electric
Operations StaffGas & Water
Operations Staff
Utility Compliance Specialist
SWL&P Compliance Committee
Compliance Committee Scope
AWARENESS
ACTION
RESOURCES
ExpectationsAc
coun
tabi
lity
Personal IntegrityEthical
Behavior
Compliance
Culture
Compliance Staff Roles
Source: blog.tenthamendmentcenter.com
Compliance Staff Approach
Source: michiganemploymentlawadvisor.com
Compliance Staff Approach
Source: asalesguy.com
“Integrity is doing the right thing, even when no one is watching.” - C.S. Lewis
Procedure Enhancement
Process
Completion & Documentation of Compliance
Actions
SWL&P Standards
SharePointAudit Action
Plans
Regulator Audits
Industry Associations
Regulation Awareness
Spreadsheet
Code Correlation
Spreadsheet
Revisions Identified by Users
Strategy Development
External Awarenes
s
Internal Awareness Action & Tracking
Operational Excellence
Employee Involvement
AWARENESS
ACTION
RESOURCES
ExpectationsAc
coun
tabi
lity
Personal IntegrityEthical
Behavior
Compliance
Culture
Compliance Using SharePoint
Compliance Using SharePoint
Compliance Using SharePoint
Compliance Using SharePoint
Team Sites Document Center Record CenterCommittee & large project documents
Documents in developmentDepartment documents
Company living documentsCompleted documents & records
Documents kept for retention policies
Life Cycle of Documents
Tone at the Top
Source: corruptioncrimecompliance.com
Accountability
Challenge and Support
Challenge
SupportSupport
Challenge
Support
Challenge
ComforterTaskmasterDeveloper
Evolution of Ethics Training
Source: jessbenda.wordpress.com
Evolution of Ethics Training
Source: unknown & ang.af.mil
Evolution of Ethics Training
Values-Based Decisions
Awar
enes
s Action
Res
ourc
es
Lessons Learned
Compliance
Operations
Source: markgeorgephotography.co.uk
Lessons Learned
Source: foundmediagroup.com
Lessons Learned
“Culture eats strategy for lunch.” - Peter Drucker
Questions?
David W. Weber, P.E., Supervising EngineerW: +1 715 395 6312M: +1 218 591 9843E: dweber@swlp.com
Nicholas S. Nelson, Utility Compliance SpecialistW: +1 715 395 6353M: +1 218 409 9125E: nnelson@swlp.com
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