Q1 2018 Open Forum Agenda Brochure

Q1 2018 Open Forum Webinar

Q1 2018 Open Forum Webinar Agenda Brochure

January 29, 2018 WebEx

Agenda

SERC is committed to providing training and non-binding guidance to industry stakeholders regarding emerging and revised Reliability Standards. However, compliance depends on a number of factors including the precise language of the Standard, the specific facts and circumstances, and the quality of evidence. The agenda allows time for Q&A after each presentation. Therefore, times listed may vary. WebEx begins at 2:00 p.m. (Eastern).

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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Monday, January 29, 2018

Welcome

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

2:00 p.m.

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

Registration Update

Fred Rains, PE - SERC

2:05 p.m.

- CFR Tool

Coordinator, Certification and Registration

- Directly Connected Guidelines

Net Energy for Load (NEL) Process

Lu Woods - SERC Accountant

2:20 p.m.

Assistance Program

Bill Peterson, MBA, CISSP, CISM - SERC Manager, Entity Assistance

2:30 p.m.

2:45 p.m.

Industry Subject Matter Expert (ISME)

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

Self-Reports / Mitigation Plans

James McGrane - SERC Manager, Entity Assessment and Mitigation

3:15 p.m.

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Agenda

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3:30 p.m.

Standards Update - Audit Expectations

Mike Kuhl - SERC

Supervisor of Operations & Planning Audits

- Reliability Risk Focus Areas

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Open Discussion / Q&A

SERC Staff

3:50 p.m.

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

4:00 p.m.

Wrap-up / Adjourn

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

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WebEx Logon

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The WebEx session will be recorded. The recording will be posted to the SERC website and will, therefore, become public.

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Join WebEx meeting Meeting number (access code): 711 201 580 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada) Can't join the meeting?

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

IMPORTANT NOTICE: Please note that this WebEx service allows audio and other information sent during the session to be recorded, which may be discoverable in a legal matter. By joining this session, you automatically consent to such recordings. If you do not consent to being recorded, discuss your concerns with the host or do not join the session.

Participants will be muted upon entry to eliminate background noise. Please send questions through the Chat feature. If your question is too lengthy to type, send a request through the Chat feature to be un-muted.

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2018 Outreach

Events Calendar and Upcoming Events (Located on SERC website under Outreach)

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Compliance Seminar Series Charlotte, NC / WebEx March 6-7

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Spring Compliance Seminar

March 7

Small Entity Seminar

September 19-20

CIP Compliance Seminar Fall Compliance Seminar

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

October 10-11

Outreach WebEx Series 2:00 p.m. to 4:00 p.m. (Eastern) May 21

Open Forum Webinar Open Forum Webinar

July 30

System Operator Conference April 10-12

Greenville, SC Greenville, SC Chattanooga, TN Chattanooga, TN

May 1-3

September 11-13 September 25-27

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Antitrust • It is SERC’s policy and practice to obey the antitrust laws and to avoid all conduct that unreasonably restrains competition. This policy requires the avoidance of any conduct that violates, or which might appear to violate, the antitrust laws. • It is the responsibility of every SERC member, every SERC member employee who participates in SERC activities, and SERC staff personnel who may in any way affect SERC’s compliance with the antitrust laws to carry out this commitment . • Participants in SERC activities should refrain from the following prohibited discussions when acting in their capacity as participants in SERC activities: – Discussions involving pricing information, especially margin (profit) and internal cost – Discussions of a participant’s marketing strategies – Discussions regarding how customers and geographical areas are to be divided among competitors – Discussions concerning the exclusion of competitors from markets – Discussions concerning boycotting or group refusals to deal with competitors, vendors, or suppliers • Any other matters that do not clearly fall within these guidelines should be brought to the attention of the SERC office.

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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

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Confidentiality Policy

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• Members of SERC committees may, in performing SERC functions, have to use information of a sensitive and commercial nature, including but not limited to that provided by SERC members and designated as “Confidential”, that SERC members customarily hold confidential and do not disclose publicly. • The SERC Confidentiality Agreement prohibits (i) the use of Confidential Information by Member Employees for other than SERC purposes and (ii) the disclosure of that information to any third party, unless disclosed to NERC pursuant to delegation agreement, or to a third party that has signed a Confidentiality Agreement with SERC. • If either you or your employer has not signed such an Agreement and/or your employer has not designated you as a Member Employee authorized to receive Confidential Information then you will not be given access to Confidential Information and you will be required to leave the meeting before any such information is disclosed, used, or discussed.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

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Standards of Conduct • The Federal Energy Regulatory Commission’s Standards of Conduct for transmission providers forbid a transmission provider from providing an undue preference or advantage to any person and require transmission providers to treat all customers in a not unduly discriminatory manner. • All participants in the SERC Identified Reliability Risk Team are expected to abide by the restrictions in the Standards of Conduct. • During any meetings, discussions, or other activities of the SERC Identified Reliability Risk Team, all participants should: – Refrain from disclosing non-public transmission function information, which includes any information related to day-to-day transmission operations and planning, such as transmission outages and constraints. – Refrain from discussing any non-public transmission customer-specific information. – If any non-public transmission function information or non-public customer information is disclosed during a SERC Identified Reliability Risk Team activity, the participants receiving that disclosure should not further disclose that information to any marketing function employees within their organizations or use any other person as a conduit to disclose such information.

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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

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Acronyms

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BA

Balancing Authority (Function)

BES

Bulk Electric System

BPS

Bulk Power System

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

CEA

Compliance Enforcement Authority

CFR

Coordinated Functional Registration (formerly Type 2 Joint Registration Organization “JRO”)

CIP

Critical Infrastructure Protection (Family in NERC Reliability Standards)+

CMEP

Compliance Monitoring and Enforcement Program

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

DP

Distribution Provider

EIA

Energy Information Administration

ERO

Electric Reliability Organization

FEAA

Federal Energy Administration Act (1974)

FERC

Federal Energy Regulatory Commission

FRCC

Florida Reliability Coordinating Council

IRO

Interconnection Reliability Operations and Coordination (Family in NERC Reliability Standards)

ISME

Industry Subject Matter Expert

JRO

Joint Registration Organization

LSE

Load-Serving Entity (Retired function)

MP

Mitigation Plan

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Acronyms

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NCSO NERC Certified System Operator NEL Net Energy for Load NERC

North American Electric Reliability Corporation

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NTRA

Near-Term Reliability Assessment

PA

Planning Authority (Function)

PEI

Protected Entity Information

POC

Point of Contact

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

PRC

Protection and Control (Family in NERC Reliability Standards)

PSP

Physical Security Perimeter

RC

Reliability Coordinator (Function)

ROP Rules of Procedure RSAW Reliability Standards Audit Worksheet SME Subject Matter Expert SPOC Single Point of Contact SPP Southwest Power Pool TOP

Transmission Operator (Function) or Transmission Operations (Family in NERC Reliability Standards)

TVA

Tennessee Valley Authority

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Questions for SERC

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Topic

Email

• General inquiries / FAQ

Support@serc1.org

• Annual Voting Rights • CIP V5 Transition • Media inquiries • Reliability Assessment data reporting • Reliability Assessment forms • Reliability Data Reporting Portal

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

• SERC Membership • SERC Committees • SERC Compliance & Committee Portal/Committee related issues • Website • Open Forum topic suggestions • Compliance monitoring methods: o Self-Certification o Self-Report submittals o Compliance data submittals • Enforcement and Mitigation o Mitigation Plan submittals • SERC Compliance & Committee Portal-Compliance related issues • Compliance Seminar topic suggestions

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

SERCComply@serc1.org

ISME@serc1.org

• Industry Subject Matter Expert (ISME) Program

• Submitting an ISME application

Reporting_Line_Sit@list-serc1.org

• Event Reporting

• Situational Awareness

SAEA@serc1.org

• Events Analysis

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Registered Entity Forum

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If you have a question you would like to submit anonymously, you may do so by contacting one of the Registered Entity Forum Steering Committee members. Registered Entity Forum (REF) sessions are generally held during SERC seminars. However, REF Steering Committee members are gracious enough to assist registered entities within the SERC Region throughout the year. For your information, the REF is open to participation by all entities registered in the SERC Compliance Registry, regardless of membership status in SERC. The purpose of the REF is to promote compliance excellence, elevate the collective compliance culture, and strengthen reliability among all SERC Region registered entities. The REF is a self-directed forum that provides a safe harbor for registered entities to (1) exchange information, (2) share lessons learned, (3) discuss compliance issues of interest and importance, and (4) generate concerns and questions to be provided to SERC staff regarding compliance with SERC and NERC reliability rules, standards, and regulations. The REF Steering Committee is comprised of representatives from registered entities, and members are elected by the registered entities. Positions include representatives with both CIP and Operations & Planning expertise. If you would like to be on the committee, elections are held each fall. REF Steering Committee members are prohibited from disclosing to SERC the names of registered entities whose concerns or questions are discussed with SERC staff members. Should you have questions or topics that you would like to discuss with them, please feel free to contact the committee members listed on the CIP or Operations & Planning links above. Responses to previously submitted questions are available on the SERC website. From the SERC home page, select Outreach / FAQ & Lessons Learned . The REF Charter is posted to the SERC website. From the SERC home page, select Outreach / Registered Entity Forum . Elections are held each November, and committee members serve a two-year tern. Election details and a nomination form will be posted in August.

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Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

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REF Steering Committee

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O&P Committee Member Brad Arnold Operational Compliance Manager Ameren Missouri barnold@Ameren.com

CIP Committee Member Jennifer Blair Compliance Specialist LG&E and KU Energy, LLC jennifer.blair@lge-ku.com

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Scott Brame, PE Manager of Reliability Compliance North Carolina Electric Membership Corporation scott.brame@ncemcs.com

Michael DeLoach Manager of Compliance Assurance CIP Program Management Office – Duke Energy michael.deloach@duke-energy.com

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

Sarah Snow Reliability Compliance Administrator Cooperative Energy ssnow@cooperativeenergy.com Bill Thigpen Supervisor of Compliance Support PowerSouth Energy Cooperative bill.thigpen@powersouth.com

John Gasstrom, PMP Director, Compliance Georgia System Operations Corporation john.gasstrom@gasoc.com

Eric Jebsen, PE Senior Regulatory Engineer Exelon Generation eric.jebsen@exeloncorp.com

Allan Long, PE Manager of Regulatory Compliance Memphis Light, Gas and Water Division along@mlgw.org

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Todd Curl, NCSO

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SERC Reliability Corporation Senior Manager of Compliance Monitoring

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Todd is the Senior Manager of Compliance Monitoring for SERC Reliability Corporation, and has been employed with SERC since February 2010. Todd is responsible for managing the areas of Operations & Planning and CIP audits, Spot Checks, Guided Self Certifications, Compliance Investigations, and Registration and Certification. He started with SERC as a Compliance Auditor with 29 years of experience in the electric utility industry. Prior to joining SERC, Todd was a Senior System Operator at Southern Company’s Power Coordination Center in Birmingham, AL. His primary responsibilities included providing real-time monitoring and control decisions and direction for the 24/7 operation of the Southern Company bulk power system Balancing Area. He was also responsible for various aspects of reliably operating the bulk power system in a coordinated manner with the Operating Company transmission control centers, generation operations, and neighboring utilities. In addition, Todd spent 10 years on Southern Company’s energy trading floor as an Energy Coordinator, providing economic evaluation and negotiation of next-hour power sales and purchases, and arranged for scheduling of transactions in a real-time 24/7 operation. Todd also spent 17 years with Georgia Power Company in Atlanta, as a Transmission Operator, and in Macon, GA as a Substation Maintenance Electrician.

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

Todd has a Bachelor of Science degree in Business Administration, and is a NERC Certified System Operator with the Reliability Coordinator Certification since 1999. Todd also has an Executive Certificate in Leadership from the University of Notre Dame – Mendoza School of Business.

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Mike Kuhl

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SERC Reliability Corporation Supervisor of Operations & Planning Audits

Mike is Supervisor, Operations and Planning Compliance Audits for SERC Reliability Corporation and reports to the Manager of Compliance Monitoring. Prior to joining SERC in January 2013, Mike worked at the Cincinnati Gas & Electric Company/Cinergy/Duke Energy for nearly 24 years. His responsibilities were primarily in the areas of electric generation and transmission electric system operations Mike began his career during the construction and start-up phases of W.H. Zimmer Station, a 1,300 MW supercritical unit and the world's first nuclear-to-coal conversion project. Mike transitioned to control area operations in the mid-1990s, subsequently became a NERC-certified transmission operator, and worked as a Control Area Coordinator. Mike then served as Project Manager of Cinergy's energy markets integration with the Midwest ISO. Several years before reliability standards became mandatory and enforceable, his job focus transitioned to NERC reliability standards compliance where he developed, implemented, and managed Cinergy’s and Duke's initial Reliability Standards Internal Compliance Programs. Mike earned a B.S. in Chemistry from the University of Cincinnati.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

15

James McGrane

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SERC Reliability Corporation Manager, Entity Assessment and Mitigation

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

James McGrane is the Manager, Entity Assessment and Mitigation at SERC Reliability Corporation. In that role, Mr. McGrane supervises the Entity Assessment and Mitigation team, which is responsible for assessing the scope and risk of possible noncompliance, reviewing and accepting Mitigation Plans, and conducting Inherent Risk Assessments. Mr. McGrane was previously the Managing Counsel - Enforcement at SERC from June 2014 to September 2017. Prior to joining SERC in May 2011, Mr. McGrane worked as a litigation attorney at Bromberg & Sunstein LLP, a Boston law firm specializing in intellectual property, and an attorney and policy analyst at the Association of Private Sector Colleges and Universities, a trade association in Washington, DC.

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

Mr. McGrane received a Bachelor of Arts in political science from Yale University and a Juris Doctor degree from Boston University.

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Bill Peterson, MBA, CISSP, CISM SERC Reliability Corporation Manager, Entity Assessment

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Bill Peterson is the Manager, Entity Assistance with SERC Reliability Corporation, a nonprofit corporation responsible for promoting and improving the reliability, adequacy, and critical infrastructure protection of the bulk power system in all or portions of 16 Southeastern and Central states. Previously, Mr. Peterson was the Program Manager, Cyber Security in the Technical Resources department and a Senior CIP Engineer in the Compliance group. Prior to joining SERC, he was a CIP Lead with Duke Energy working on various CIP projects, audit preparations, Mitigation Plans, Self-Reports, etc. Prior to that, Bill was a CIP Analyst and System Administrator with the New York Power Authority working on CIP audit preparations, system administration, network security, network operations, and IT project management. Mr. Peterson has a Master’s in Business Administration with a concentration on Information Technology Management from the State University of New York at Utica/Rome. Mr. Peterson has a Bachelor’s of Science degree with a dual major in Computer Engineering and Electrical Engineering Technology from the State University of New York at Utica/Rome. Bill is a Certified Information Systems Security Professional (CISSP) and a Certified Information Security Manager (CISM).

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

17

Fred Rains, PE

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SERC Reliability Corporation Coordinator, Certification and Registration

Fred Rains is the Coordinator, Registration and Certification for SERC Reliability Corporation, and reports to the SERC Manager of Compliance Monitoring. Fred is responsible for Registration and Certification issues and inquiries related to the SERC Region. Previously, Fred was with Alabama Power and Southern Company for 37 years where he worked in the areas of protective relaying, substation design, and transmission control center supervision. Fred also worked as System Operator in the RC and BA positions and as Training Coordinator in the Bulk Power Operations Center for Southern Company. Fred graduated in 1975 from the University of Alabama in Birmingham with a Bachelor of Science in Engineering. Fred is also a NERC RC Certified System Operator and a Registered Professional Engineer in the State of Alabama.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

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Lu Woods

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SERC Reliability Corporation Accountant

Lu Woods joined SERC Reliability Corporation on January 3, 2012. She serves as an Accountant in the Finance area, with more than 20 years of finance accounting experience. She is an active member of the SERC team, and has participated on several internal committees. Most recently, after serving as Vice Chair of the SERC Safety Committee, Ms. Woods accepted the responsibility to serve as its Chair. Prior to joining SERC, Ms. Woods was a field accountant for Enterprise Fleet Services in Charlotte, North Carolina. During her five years of service with that company, Ms. Woods held a number of finance positions. Ms. Woods is also active in her church and community. She volunteers at Friendship Trays and serves weekly meals to the homeless community. Her concern for others has become a mission to make a difference in the lives of as many people as possible. For years she has worked mentoring young adults at Teens-4-Change in Winston Salem, North Carolina and served as a leader of the youth Step Team at her church. In addition, Ms. Woods serves as the Vice President of Delivered Vessels, Inc. a nonprofit whose mission is to prevent sexual abuse and exploitation of children.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Registered Entity Forum REF Steering Committee Speaker Bios Click on speaker’s name in agenda.

Ms. Woods graduated from Winston Salem State University with a Bachelor of Science degree in Accounting.

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