As the Principal in Compliance and Risk Solutions LLC I provide advice and counsel with respect to the design and implementation of compliance and ethics programs based on the theory of management systems including as a key component of any such program a risk identification and assessment methodology.

Accountable for all the legal affairs of Rio Tinto Minerals (RTM) and those of its world wide affiliates involved in the mining and processing of borates (U.S. Borax) and talc (the Luzenac companies), as well as a pre-feasibility lithium project in Serbia. Legal Department comprised of five individuals. Also responsible for RTM’s assurance and risk department which was responsiblefor: a.] liaising with Rio Tinto Group internal audit in providing assurance with respect to adherence to Group financial and non-financial policies and standards; b] manage and maintain RTM’s compliance activities; and c.) organize and manage risk assessments across the business (operations, functions and enterprise level), own and maintain processes.

Accountable for the design, development and management of Rio Tinto’s Global Compliance program. The programs purpose is to identify and manage risks associated with the non-compliance with laws, regulations, codes, standards and Rio Tinto’s policies. The role includes assisting Group business units in developing and implementing compliance programs based on Rio Tinto’s Compliance guidance. Such programs are an essential and integral part of corporate governance. Manage department of two other professionals (one based in Perth and one in Salt Lake City) and one part time administrative assistant.

Accountable for the following:1.) The management of the litigation flowing from insurance claims made to recover the circa U.S. $100 million in losses suffered as a result of two incidents at Kennecott’s modernized smelter in 1995. The claims were prosecuted in Commercial Court in London. Owing to the underlying complexities of the matter the claims were prosecuted through two sequential, separate proceedings. The first was against a panel of reinsures on the 1994/1995 Group property insurance program. This commenced in 1996 and was successfully settled in 2001. The second action was prosecuted against the brokers and other intermediaries involved in the placement of the reinsurances. This was settled successfully in 2004. Aspects of both actions were resolved successfully at the Court of Appeals. The role’s accountabilities included ongoing management of multiple law firms and consultants in both the U.S. and the U.K.2.) The management of the claim against the reinsurers on Rio Tinto’s 1998-2000 Liability insurance program for the losses resulting from the 1998 tragedy at the Lassing mine in Austria. The initial role broadened to include provision of advice and assistance to the responsible Executive Director/Industrial Minerals Product Group head regarding most post – incident issues; e.g. dealings with regulatory bodies, public relations, media interface. The claim was successfully settled in 2002.

Accountable for managing all legal affairs of Kennecott Corporation prior to the reorganization of Rio Tinto in 1997. Accordingly, the accountability extended to the legal affairs of the current: a.) Kennecott Utah Copper; b) Rio Tinto Energy America; c.) Kennecott Exploration; and d.) Kennecott Minerals. Commencing in late 1993 redesigned law department for all Kennecott businesses. From 1994 managed department with nine lawyers, two paralegals and support staff. From 1993 through to the end of 1994 most individual (as opposed to managerial) responsibilities entailed working closely with senior management in building what is now Rio Tinto Energy. Also personally managed all significant commercial and environmental litigation. Member of Investment Committee overseeing management of assets of Kennecott’s 401(k) and pension plans. Chairman of Political Action Committee. Member of Board. Reported to CEO.