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

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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

Evolution of Compliance Tools

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