2019 Fall Compliance Seminar

Fall Compliance Seminar Agenda Brochure

October 8 - 9, 2019 Charlotte, NC / 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 9:30 a.m. (Eastern). Those who attend the entire seminar will receive a participation certificate. The certificate does not satisfy educational requirements such as NERC continuing education hours .

Agenda WebEx Logon 2020 Outreach

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Tuesday, October 8, 2019

7:30 a.m.

Continental Breakfast Visit with Registered Entity Forum Steering Committee Members in VACAR Conference Room.

Welcome

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

8:00 a.m.

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

8:15 a.m.

Registered Entity Forum (REF) REF Steering Committee Members Whether attending the seminar or not, registered entities may submit questions prior to the seminar to REF Steering Committee members at the email links below for discussion during the REF session. Please submit questions by noon on October 7. Brad Arnold barnold@ameren.com Ameren Missouri Eric Jebsen eric.jebsen@exeloncorp.com Exelon Generation Sarah Snow ssnow@cooperativeenergy.com Cooperative Energy Bill Thigpen bill.thigpen@powersouth.com PowerSouth Energy Cooperative

9:15 a.m.

Break

2

Agenda

* * * WebEx Begins * * *

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9:30 a.m.

Welcome WebEx Attendees

Todd Curl - SERC Senior Manager of Compliance Monitoring

SERC Update

Tim Ponseti - SERC Vice President of Operations

9:35 a.m.

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10:00 a.m.

2020 CMEP IP

Todd Curl – SERC Senior Manager of Compliance Monitoring

10:30 a.m. 10:45 a.m.

Break

FAC-003

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

Enforcement Trends

Drew Slabaugh - SERC Legal Counsel

Best Management Practices

Johnathan McQuaide - Duke Energy Lead Business & Technical Consultant

11:15 a.m.

Audit Preparation

Heath Martin - SERC Senior O&P Auditor Harry Spiess - SERC O&P Auditor

Audit Preparation

12:00 p.m.

Lunch Visit with Registered Entity Forum Steering Committee Members in VACAR Conference Room.

Todd Curl - SERC Senior Manager of Compliance Monitoring

1:00 p.m.

REF Recap

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Agenda

1:15 p.m.

PRC-019, PRC-024, and

Jason Espinosa - Seminole Electric Cooperative

PRC-025 Guidance

System Protection Engineer

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2:00 p.m.

PRC-005 Audit Expectations

Serge Beauzile - SERC Senior O&P Auditor

& Best Practices

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2:30 p.m.

Break

2:45 p.m.

NERC Standards Update /

Howard Gugel - NERC

Standards Efficiency Review

Vice President of Engineering and Standards

3:30 p.m.

Break

3:45 p.m.

Cold Weather Preparedness

Marty Sas - SERC Senior Lead Engineer Mike Vastano - SERC Senior O&P Auditor

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

4:15 p.m.

MOD Standards

4:45 p.m.

Wrap-up

Todd Curl - SERC Senior Manager of Compliance Monitoring

4

Agenda

Wednesday, October 9, 2019

7:30 a.m.

Continental Breakfast Visit with Registered Entity Forum Steering Committee Members in VACAR Conference Room

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* * * WebEx Begins * * *

Welcome: Day 2

Todd Curl - SERC Senior Manager of Compliance Monitoring Bill Thigpen - PowerSouth Energy Cooperative Supervisor of Compliance Support

8:00 a.m.

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8:05 a.m.

REF Steering Committee Election

8:15 a.m.

Compliance Oversight Plan

Janice Carney - SERC Senior Compliance Engineer Yvette Landin - NERC Advisor, Compliance Assurance

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

8:45 a.m.

Internal Controls

Greg Tenley - SERC Senior O&P Auditor

9:00 a.m.

Noncompliance Submittals

Rick Dodd - SERC Senior CIP Compliance Specialist

9:15 a.m. 9:30 a.m.

Break

Assistance Lessons Learned

Bill Peterson - SERC Manager, Outreach & Training Mike Kuhl - SERC Supervisor, Operations & Planning

10:00 a.m.

Risky Trends

5

Agenda

10:15 a.m.

FAC-008

Joel Rogers - SERC Senior O&P Auditor

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10:45 a.m.

Break

11:00 a.m.

Align

Andrew Williamson - SERC Director, Reliability Assurance

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11:05 a.m.

REF Responses

SERC Staff

11:55 a.m.

Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

12:00 p.m.

Adjourn

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

6

WebEx Logon

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

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Tuesday, October 8, 2019

WebEx Begins at 9:30 a.m. (Eastern)

Join Webex meeting Meeting number (access code): 719 873 220 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada) Wednesday, October 9, 2019 Join Webex meeting Meeting number (access code): 710 549 172 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada)

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WebEx Begins at 8:00 a.m. (Eastern)

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

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. Can't join the meeting? 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.

7

2020 Outreach & Training Events

Compliance Seminars: Charlotte, NC / WebEx Event details and registration will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019.

March 10 - 11

Spring Compliance Seminar

March 11 Small Entity Seminar October 6 - 7 CIP Compliance Seminar November 10 - 11 Fall Compliance Seminar

MORE

8

2020 Outreach & Training Events

Webinar Series Event details will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019. No registration required.

January 27 February 10

Q1 2020 Open Forum

SERC 101

May 11 July 27

Q2 2020 Open Forum Q3 2020 Open Forum

MORE

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2020 Outreach & Training Events

System Operator Conferences Event details and registration will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019.

April 7 - 9

Greenville, SC

April 28 - 30 Greenville, SC August 25 - 27 Franklin, TN Sep 29 - Oct 1 Franklin, TN

MORE

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2020 Technical Committee Meetings

Event details and registration will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019. Technical Committee Meetings : Charlotte, NC / WebEx • Spring March 16 - 18 • Fall September 28 - 30

Summer Regional Meeting / Pig Roast To Be Announced

11

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

12

Confidentiality Policy

• 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.

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

13

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

14

Acronyms

The master Acronym Reference Index is on the FAQ & Lessons Learned page of the SERC website under Outreach. It is updated following each outreach event.

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AML

Actively Monitored List

ANL

Audit Notification Letter

ANSI

American National Standards Institute

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AVR

Automatic Voltage Regulator

BA

Balancing Authority

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

BES

Bulk Electric System

BOT

Board of Trustees

BPS

Bulk Power System

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

CIP

Critical Infrastructure Protection (Family in NERC Reliability Standards)

CMEP

Compliance Monitoring and Enforcement Program

CMEP IP

Compliance Monitoring and Enforcement Program Implementation Plan

COP

Compliance Oversight Plan

Combustion Turbine or Certification Team

CT

DC

Direct Current

DP

Distribution Provider (Function)

DR

Data Request

EACMS

Electronic Access Control and/or Monitoring Systems

E-ISAC

Electricity - Information Sharing and Analysis Center

EMS

Energy Management System

EMT

Electro Magnetic Transient

ERO

Electric Reliability Organization

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Acronyms

FAC

Facilities, Design, Connections, and Maintenance (Family in NERC Reliability Standards)

FERC

Federal Energy Regulatory Commission

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FRM

Facilities Rating Methodology

FRSG

Frequency Response Sharing Group (NERC group)

GMD

Geomagnetic Disturbance

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GO

Generator Owners

GOP

Generator Operators

GSU

Generator Step-Up

Hz

Hertz

IEEE

Institute of Electrical and Electronics Engineers

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

IFRO

Interconnection Frequency Response Obligation

IP

Implementation Plan

IPS

Iron Pipe Size

IRA

Inherent Risk Assessment

IRO

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

ISO

Independent System Operator

IVM

Integrated Vegetation Management

kV

Kilovolts (1000 volts)

MMWG

Multi-Regional Modeling Working Group

MOD

Modeling, Data, and Analysis (Family in NERC Reliability Standards)

MRO

Midwest Reliability Organization (Region within the ERO Enterprise)

MVA

Mega Volt Amps

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Acronyms

MVCD

Minimum Vegetation Clearance Distance

MW

Megawatt

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NCSO

NERC Certified System Operator

NERC

North American Electric Reliability Corporation

O&P

Operations & Planning

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PACS

Physical Access Control System

PC

Planning Coordinator

POI

Point of Interconnection

PRC

Protection and Control (Family in NERC Reliability Standards)

PSSE

Power System Simulation for Engineering

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

RA

Reliability Assessment

RAI

Reliability Assurance Initiative

RAM

Risk Assessment & Mitigation

Remedial Action Scheme or (NERC) Reliability Assessment Subcommittee

RAS

RC

Reliability Coordinator (Function)

REF

Registered Entity Forum

RF

Reliability First (Region within the ERO Enterprise)

RFI

Request for Information

RLPC

Resource Loss Protection Criteria

RMS

Root Mean Square

ROW

Right of Way

RSAW

Reliability Standards Audit Worksheet

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Acronyms

RTCA

Real-Time Contingency Analysis

RTO

Regional Transmission Organization

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SA

Situation Awareness

SAR

Standard Authorization Request

SDT

Standard Drafting Team

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SE

State Estimator

SER

Standard Efficiency Review

SME

Subject Matter Expert

SOL

System Operating Limit

SPOC

Single Point of Contact

SPS

Special Protection System

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

SSSL

Steady State Stability Limit

TOP

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

TP

Transmission Planner

TPL

Transmission Planning (Family in NERC Reliability Standards)

TRE

Texas Reliability Entity (Region within the ERO Enterprise)

TVMP

Transmission Vegetation Management Program

UFLS

Underfrequency Load Shedding

UVLS

Under Voltage Load Shedding

VAR

Volt-ampere Reactive or Voltage and Reactive (Family in NERC Reliability Standards)

VM

Vegetation Management

VRLA

Valve-Regulated Lead Acid

WECC

Western Electricity Coordinating Council (Region within the ERO Enterprise)

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Questions for SERC

FAQ Process

Entity Assistance

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Topic

Email

• General inquiries / FAQ

Support@serc1.org

• Seminar & Webinar Topic Suggestions • Media inquiries

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• SERC Membership • SERC Committees • SERC Compliance & Committee Portal/Committee related issues • Registration and Certification Issues

SERCregistration@serc1.org SERCComply@serc1.org

• Compliance monitoring methods:

o Self-Certification o Self-Report submittals o Compliance data submittals

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

• Enforcement and Mitigation

o Mitigation Plan submittals • SERC Compliance & Committee Portal-Compliance related issues • Reliability Assessment data reporting

RAStaff@serc1.org

• Reliability Assessment forms • Annual Voting Rights • Reliability Data Reporting Portal • Industry Subject Matter Expert (ISME) Program

ISME@serc1.org

• Submitting an ISME application • Event Reporting

Reporting_Line_Sit@list-serc1.org

• Situational Awareness • Events Analysis

SAEA@serc1.org

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Registered Entity Forum

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 term. For information on the 2019 election process and nomination form, CLICK HERE.

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

20

REF Steering Committee

O&P Committee Member Brad Arnold Operational Compliance Manager Ameren Missouri barnold@Ameren.com Sarah Snow Manager of Reliability Compliance Cooperative Energy ssnow@cooperativeenergy.com Bill Thigpen Supervisor of Compliance Support PowerSouth Energy Cooperative bill.thigpen@powersouth.com Ryan Ziegler Reliability Compliance Specialist Associated Electric Cooperative, Inc. rziegler@aeci.org

CIP Committee Member Jennifer Blair Compliance Specialist LG&E and KU Energy, LLC jennifer.blair@lge-ku.com Eric Jebsen, PE Senior Regulatory Engineer Exelon Generation eric.jebsen@exeloncorp.com

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

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

21

Brad Arnold, MBA

Ameren Missouri Manager, Policy & Compliance

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Brad Arnold has worked in Energy Management and Trading for Ameren Missouri for 12 years. Mr. Arnold’s responsibilities have included Real-time Power Trading, Congestion Hedging Strategy and Execution, Load Forecasting, Long-term Energy Sales, Generation Offer Strategy, and Innovative Technology Implementation. In his current role, Mr. Arnold manages Ameren Missouri’s Energy Management and Trading NERC Compliance Program. Mr. Arnold has held elected leadership roles in the MISO stakeholder community, and is currently Ameren’s primary representative in the North American Generator Forum (NAGF.) Mr. Arnold participates in NERC, SERC, MISO, and industry groups and seminars to stay current on both ongoing and developing compliance issues. Prior to joining Ameren, Mr. Arnold worked in Compliance at A.G. Edwards & Sons, Inc. and in Financial Operations at the Boeing Company. Mr. Arnold has a B.S. in Finance from Missouri State University and an MBA from St. Louis University.

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

22

Serge Beauzile, MS, PE

SERC Reliability Corporation Senior O&P Auditor

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Serge joined SERC in July 2019 as a Senior Operations & Planning (O&P) Auditor. Previously, he worked at the Florida Reliability Coordinating Council (FRCC) Regional Entity as a Compliance Engineer since June 2017. He was a member of the FRCC O&P team that monitored and enforced compliance to NERC Reliability Standards and FRCC Regional Reliability Standards. Serge began his career in 1990 with the Long Island Lighting Company (LILCO) assuming several roles including, System Planning Engineer, Load Research Engineer, System Control and Protection Engineer and Supervisor of System Analysis. In 2005, he joined Lee County Electric Coop as a Design Engineer. In 2006, he joined Progress Energy Florida as a Transmission Planning Engineer and later became Manager of Grid Management. In 2009, he hired into Lakeland Electric as Substation Engineering Supervisor, and later became Manager of Substation Operations responsible for overseeing and directing all functions relating to engineering, construction, maintenance and operations of Lakeland Electric substations. Serge graduated from the Manhattan College with a Bachelor of Engineering in Electrical Engineering in 1990,

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

and received a Master of Science in Electrical Engineering from New York University (Polytechnic) in 1997. He has been a member of IEEE since 1984, and is a licensed Professional Engineer in the State of New York and Florida.

23

Janice Carney

SERC Reliability Corporation Senior Compliance Engineer

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Janice Carney joined SERC in January 2009 as a Compliance Engineer, and currently serves as a Senior Compliance Engineer. Ms. Carney is responsible for administering the Compliance Monitoring and Enforcement Program. This responsibility includes the determination of Alleged Violations and the Enforcement staff’s review and acceptance of Mitigation Plans. Ms. Carney also has the lead role in SERC’s Inherent Risk Assessment and Internal Controls Evaluation processes. Prior to joining SERC, Ms. Carney was the Manager, Regulatory Issues for ElectriCities of North Carolina, Inc., a membership organization including public power communities in North Carolina, South Carolina, and Virginia. Before joining ElectriCities in May 2003, Ms. Carney held various positions in her

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

16-year career with Progress Energy – Carolinas including power marketer, Manager of Retail Sales, and Major Accounts Manager. Ms. Carney holds a degree in computer engineering from Clemson University.

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Todd Curl, NCSO

SERC Reliability Corporation Senior Manager of Compliance Monitoring

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Todd is currently responsible for managing all areas of Compliance Monitoring (in both Operations & Planning and Critical Infrastructure Protection areas). Previously he was Manager of Compliance Programs which included Registration & Certification, Compliance Investigations, and Compliance Outreach. Todd joined SERC as an O&P Compliance Auditor in 2010, with about 29 years in the electric utility industry. Before joining SERC, Todd was a Senior System Operator at Southern Company’s Power Coordination Center in Birmingham, Alabama. 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 also was responsible for various aspects of reliably operating the bulk power system in a coordinated manner with the four Operating Company transmission control centers, generation operations, and neighboring utilities. He worked with a team of NERC certified operators balancing generation with load, keeping the transmission system reliable, and ensuring correct interchange power flows with neighbors. Todd also 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 as a Transmission Operator in Atlanta, and a Substation Maintenance electrician.

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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 an Executive Certificate in Organizational Leadership from the University of Notre Dame. Todd is also a NERC Certified System Operator with the Reliability Coordinator certification since 1999. Todd has also completed NERC Audit/Certification Team Leader and Compliance Investigation training, and is a member of the Institute of Internal Auditors.

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Rick Dodd, CISSP, MSCIS, MBA

SERC Reliability Corporation Senior CIP Compliance Specialist

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Rick Dodd joined SERC on July 1, 2019 as a Senior CIP Compliance Specialist. Rick works in the Risk Assessment and Mitigation team specializing in Critical Infrastructure Protection responsible for implementation of the SERC Compliance Program that assesses overall entity risk within the SERC Region. In addition, he works as a single point of contact with entities to perform specific inherit risk assessments (IRAs) and internal controls evaluations, as well as to review, accept, track, and verify the entity’s Mitigation Plans pertaining to issues or violations of NERC Reliability Standards. Rick has over 38 years of management and technical experience in all aspects of IT and Information Security. Prior to joining SERC, Rick worked with FRCC as a Sr. Risk Assessment and Mitigation Specialist for more than six years as a team member performing similar functions. Prior to joining FRCC, he was a senior member of an Energy Practice consulting team for five years, participating on NERC working groups and numerous client engagements relevant to the CIP Reliability Standards and NEI 08-09, Revision 6 including engagements at numerous registered entities across most of the Regions. While his expertise is broad in all aspects of the CIP Reliability Standards, he has written many highly regarded compliant incident response and recovery plan documents commensurate with the culture and needs of utility clients. His training capabilities are enhanced from his role as an instructor, as he brings more than 10 years of experience as an instructor for diverse curriculum in both classroom and online settings for IT and business subjects. He started his career in the telecommunications industry with Verizon Data Services (formerly GTEDS) gaining extensive knowledge and experience in developing, implementing, and administering scalable multi-tiered, information security, state-of-the-art data warehouse, decision support, document management, Internet website, access administration, and billing systems using the full SDLC. He has demonstrated expertise in gathering business requirements, business process analysis, setting policies

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

and standards, trouble shooting, tuning, and system evaluation. During his tenure with Verizon Data Services, he also managed an Information Security team of more than 30 employees. The wide versatility in multiple computing environments, with a strong understanding of object- oriented technologies, web services and workflow technologies along with BPMN, UML, and Use Case Methods, complements the needs of the team. He has directed and participated in the selection of hardware and software, building proof-of-concept/pilot projects aiding in deployment of enterprise-wide systems. Rick is a Certified Information Systems Security Professional, and holds a Master of Science in Computer Information Systems, a Master of Business Administration, and a Bachelor of Science in Professional Management from Nova Southeastern University, Ft. Lauderdale, FL.

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Jason Espinosa, PE, MBA

Seminole Electric Cooperative System Protection Engineer

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Jason Espinosa has ten plus years of experience in the power industry. His experience has concentrated on protection and control engineering with a focus in the area of generation, transmission, and distribution. Jason is very active within ERO and industry groups. He is a member of the NERC System Protection and Control Subcommittee (SPCS). He has also served as a member of the Standard Drafting Team for the PRC-025-2 Revision and as a member of the PRC-024 and PRC-019 Implementation Guidance Task -Force. Jason is the co-facilitator of the Protection subgroup for the NERC/IEEE P2800 Standard for Interconnection of Inverter-Based Resources with Transmission Electric Power System. In addition, Jason is a member of the Rotating Machinery Protection (J) Subcommittee for the IEEE Power System Relaying and Control (PSRC) Committee. In that role, he assists in the development of protection guidelines and reports for the industry. Jason holds a Bachelor Degree in Electrical Engineering from the University of South Florida. He has also earned a Master Degree in Engineering Management and an MBA from the University of Florida.

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

27

Howard Gugel, MSEE, PE

NERC Vice President of Engineering and Standards Howard Gugel is the Vice President of Engineering and Standards for the North American Electric Reliability Corporation (NERC). Previously Mr. Gugel served as the Senior Director of Standards and Education. In that role Mr. Gugel was responsible for directing all aspects of NERC’s continent-wide standards development process by providing oversight, guidance, and coordination of the timely development of technically excellent Reliability Standards to ensure an adequate level of reliability of the bulk power system. Mr. Gugel had also served as the Director of Performance Analysis for NERC. His primary responsibility in that role was the development, maintenance, and analysis of reliability performance metrics, including those in NERC’s annual State of Reliability Report. This included analysis of various databases of transmission and generations outages to look for statistically significant trends. Prior to joining NERC, Mr. Gugel was with Progress Energy Florida in the roles of transmission area maintenance manager and transmission planning manager. His background also includes management experience in transmission operations and energy marketing. Mr. Gugel received his BSEE and MSEE from the University of Missouri - Rolla, and is a licensed Professional Engineer in the state of Missouri.

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Eric Jebsen, PE

Exelon Generation Senior Regulatory Engineer

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Mr. Eric Jebsen has almost 40 years of experience in the nuclear industry at utilities, equipment suppliers, and consultants. Mr. Jebsen’s experience includes:

• Backup Compliance Contact for RF and SERC for Exelon Generation since 2010 • SERC Industry Subject Matter Expert (ISME) at GSOC CIP audit September 2017 • CIP Lead for SERC CIP audit of Exelon 2014 • Internal SME for CIP-NRC73.54 cyber security interface

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• Group lead for BES Definition roll-out 2014 • Mock 693 audit of Calvert Cliffs station 2012 • SERC Data Collection Task Force contributor • Exelon Generation 2008-2010 Business Continuity Planning/Pandemic Planning Nuclear lead, including response to 2009 Swine Flu • Exelon Generation 2005-2008 Business Operations - responsible for annual business plans and monitoring generation fleet performance • Exelon Generation 1999-2005 Probabilistic Risk Analysis (PRA) Engineer at Quad Cities Station responsible for all manner of risk analysis to support operations, maintenance, and incident response; and served as Chair of the industry risk-informed maintenance committee • Duke Engineering 1998-1999 PRA and Fire Risk analysis for clients both national and international, including one month PRA training assignment in Saudi Arabia • PPL Corporation 1983-1998 various positions in Nuclear Fuels analysis, reactor core physics monitoring, PRA and Fire Risk analysis, including NRC Individual Plant Evaluation (IPE) and IPE for External Events, supporting the Susquehanna Station. • Babcock and Wilcox 1980-1983 field service engineer providing reactor startup and plant event analysis services to clients, generally in the Southeastern U.S. Mr. Jebsen received a BS in Nuclear Engineering at Purdue University, 1980, Cum Laude. He is a registered Professional Engineer in Pennsylvania. 29

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Mike Kuhl, NCSO, IAP

SERC Reliability Corporation Supervisor of Operations & Planning Audits

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Mike is Supervisor, Operations and Planning Compliance Audits for SERC Reliability Corporation and reports to the Senior 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 system 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. He is a NERC Certified System Operator at the Reliability Coordinator level, and holds an Internal Auditor Practitioner certification.

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30

Heath Martin, NCSO

SERC Reliability Corporation Compliance Auditor Heath joined SERC in September of 2012. Prior to joining SERC, Heath worked for Entergy for eighteen years and Southwest Power Pool (SPP) for four years. Heath began his career with Gulf States Utilities in Baton Rouge, Louisiana, starting in field services and progressing to distribution operations. He was responsible for supporting roughly 300 linemen/ servicemen and 600K customers in South Louisiana. He started his Bulk Electric System career in 2000 in the Entergy System Operation Center in Pine Bluff, Arkansas and transferred to the Entergy Energy Management Organization in The Woodlands, Texas in 2006. Heath is NERC Certified and currently holds an NERC RC Certification. While at SPP, Heath was the Supervisor of the SPP RC Southern Region and Tariff Administration for the Independent Coordinator of Transmission Entergy (ICTE). His primary focus was to ensure reliable operation of the BES within the Southern Region of SPP. His supervisor responsibilities included SPP Member support and managing operational staff to assure the operators’ training and job task qualifications supported reliable operation of the bulk electric system. Other duties included coordinating

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with registered entities within the RC footprint so problematic transmission and generation outages could be safely mitigated. Heath also worked closely with the SPP RTO internal compliance group and operational support staff to make sure NERC standard updates were properly implemented within the affected operational areas. Heath was also a member of the NERC RCWG/ORS. Here is a list of NERC registered functions Heath has performed during his Operational Career: DP, LSE, PSE, BA, TO, TOP, TSP, GO, GOP, and RC.

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Johnathan McQuaide, MS, CA

Duke Energy Lead Business and Technical Consultant

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Johnathan McQuaide is the Lead Business and Technical Consultant for Duke Energy’s Transmission Vegetation Management Strategy and Support. The group is responsible for aligning the transmission vegetation management organization with industry best management practices through standardization of policies, processes and procedures across the organization’s service territory in parts of six states in the Midwest, Carolinas and Florida. Johnathan holds a Bachelor of Sciences degree in Wildlife Ecology and Conservation from Northwest Missouri State University, as well as a Master of Science degree in Forestry from Southern Illinois University-Carbondale. Johnathan has been in the utility industry for 10 years, and is an ISA certified arborist. He is also a member of the Utility Arborist Association and the North American Transmission Forum.

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32

Bill Peterson, MBA, CISM, CISSP

SERC Reliability Corporation Manager, Outreach and Training

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Bill Peterson is the Manager, Outreach and Training with SERC Reliability Corporation, a 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. In addition, Bill is a Certified Information Security Manager (CISM), a Certified Information Systems Security Professional (CISSP), and has a Leadership Certificate from Cornell University.

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33

Tim Ponseti

SERC Reliability Corporation Vice President of Operations

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Tim is the Vice President of Operations for SERC Reliability Corporation, which includes several program areas, including Reliability Monitoring, Situational Awareness and Security, IT, Technical Services, Reliability Assessments and Performance Analysis (RAPA), Engineering, Advanced Analytics, and System Operator Training. Tim’s extensive background includes leading control center operations, transmission operations, transmission planning, transmission maintenance, resource planning, load forecasting, distribution engineering, rate design and customer service, regulatory policy and compliance, industrial marketing, plus many years of experience serving on the SERC Board of Directors and NERC committees. Tim graduated summa cum laude from Tulane University, with a Bachelor of Science in Electrical Engineering. He is a member of the National Engineering Honor Society, the National Electrical Engineering Honor Society, the National Leadership Honor Society, and was a NERC Certified System Operator. After graduating from Tulane, Tim joined Entergy, where he worked a variety of jobs over the next 18 years. His last five years were spent in Pine Bluff, Arkansas, as the overall manager of Entergy’s System Operations Center, with Balancing Area responsibility across four states, and Reliability Coordinator responsibility across seven states. Twelve of these years with Entergy were spent as a member of SPP.

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In 2003, Tim joined TVA, where he held a variety of executive level positions. From 2013 to 2017 he served as TVA’s Vice President of Transmission Operations & Power Supply (TOPS), where he had responsibility for TVA’s Transmission Operator and Balancing Area function (seven states), Reliability Coordinator function (11 states), plus SCADA, the Network Operations Center, Operator Training, Compliance Execution, Real Time Power Trading, and Power Origination. From 2015-2017 Tim served as the Vice Chair of the SERC Board of Directors; from 2015-2017 he served as a member of the NERC Member Representatives Committee (MRC); and from 2016-2017 he served as Chair of the Eastern Interconnect Planning Collaborative (EIPC). He was also a member of the original multi-sector NERC Functional Model team.

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Joel Rogers, PE, NCSO, CGAP

SERC Reliability Corporation Senior Compliance Auditor

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Joel Rogers joined SERC Reliability Corporation as a Compliance Auditor in June 2014. Previously, Mr. Rogers was the Compliance Administrator for Cooperative Energy formerly known as South Mississippi Electric Power Association (SMEPA) in Hattiesburg, MS. In this role, Joel provided counsel to management and directed operations, planning, and critical infrastructure protection staff regarding NERC Reliability Standards compliance. Before taking on the Compliance Administrator role, Joel worked in operations planning for 3 years and Transmission Planning for 1 year. During this time, Joel performed engineering studies, prepared publications, and trained System Operators on peak loading, blackstart restoration, and abnormal transmission system conditions. Joel maintained power system models for both operations and transmission planning and he participated in the development of long- range transmission plans. Joel represented Cooperative Energy on SERC’s Long Term Study Group, Operations Planning Subcommittee, and Near Term Study Group. Prior to joining Cooperative Energy, Mr. Rogers worked for Southern Company Services in Transmission

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Planning and Mississippi Power Company in Distribution Engineering. Mr. Rogers graduated from Mississippi State University with a B.S. degree in Electrical Engineering, with an emphasis in power, in December 2005. Joel is a registered Professional Engineer in the state of Mississippi, a NERC Certified System Operator at the Reliability Coordinator level, and a Certified Government Auditing Professional. Mr. Rogers served in the U.S. Navy from 1995 to 2000 as an aviation electrician on the F/A – 18 Hornet.

35

Marty Sas, NCSO

SERC Reliability Corporation Senior Lead Engineer

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Marty joined the Reliability Assessment/Performance Analysis (RAPA) and Technical Services team at SERC Reliability Corporation in July of 2019. Marty has 17 years of experience in the Electric Industry, all in Real-time Operations as both an operator and manager, and has a total of 26 years of utility experience. Prior to joining SERC, Marty spent 13 years at Midcontinent Independent System Operator (MISO). For the past five years, he served as the Senior Manager of South Region Reliability Coordination and Engineering in Little Rock, Arkansas, and for the eight years prior to that, he served as a Senior Reliability Coordinator for both the East and South Regions located in Carmel, Indiana. Prior to MISO, Marty was a Power and Generation Dispatcher with PJM for four years). Marty also spent nine years in the utility line construction and construction management industry in a variety of positions. Marty has a Bachelor of Science in Physics from Clarion University of Pennsylvania. He also has NERC Certified System Operator with Reliability Coordinator credentials, which he has held since 2003. Marty is a member of the NERC Personnel Certification Governance Committee; and is also the SERC Lead Support Staff on the Reliability Risk Working Group, the Reliability Coordinator Working Group, and the System Operator Working Group.

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