2021 Small Entity Seminar

Small Entity Seminar Wednesday, March 10, 2021 2:00 p.m. - 4:00 p.m. Eastern

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. Purpose: Provide all SERC registered entities with an update on Compliance Monitoring and Enforcement Program (CMEP) developments, lessons learned, and key messages . The agenda allows time for Q&A after each presentation. Therefore, times listed may vary.

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Wednesday , M arch 10 , 2021

Todd Curl, – SERC Senior Manager , Compliance Monitoring

2 :00 p .m.

W elcome

Mike K uhl – SERC M a nager , O&P Monitoring

Reliability and Security for Solar and W ind Generation

2 : 1 0 p .m.

Top V iolations for Small E ntities

Dawn Hamdorf – SERC CIP Compliance Specialist

2 : 3 0 p .m.

CIP Standard Basics for Small Entities

Carlos Valiente – SERC Senior CIP Auditor

2 : 5 0 p .m.

AGENDA

Wednesday , M arch 10 , 2021

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Marie K o z ub - SERC Sr. Coordinator Registration and Certification

Importance of accurate Primary Compliance Contact Information

3.20 p . m.

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Mike Hagee – SERC Senior Reliability & Security Advisor

3 : 3 0 p.m

Low Impact

Todd Curl – SERC Senior Manager , Compliance Monitoring

W rap -U p

3 : 5 0 p .m.

Ad j ourn

4 :00 p .m.

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

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BIOGRAPHIES

Todd Curl, NCSO

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. 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 a NERC Certified System Operator with the Reliability Coordinator certification since 1999. Todd has also completed NERC Audit/Certification Team Leader training, and Compliance Investigations training.

Mike Kuhl

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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BIOGRAPHIES

Dawn Hamdorf

Dawn joined the Risk Assessment & Mitigation (RAM) team at SERC on March 9, 2020. Previously, Dawn worked at Seminole Electric Cooperative (SEC) where, over the last four years, she served as a Senior Compliance Advisor in areas such as NERC CIP compliance, cyber vulnerability assessments, and internal controls development. Dawn also has experience as an IT QA/Compliance Analyst at Tampa Electric Company (TEC) and engineering experience with IBM Corporation. Dawn holds an Associate’s Degree in Chemical Engineering Technology, a Bachelor’s Degree in Business Administration, and a Master’s Degree in Cybersecurity - Cyber intelligence. Dawn is also a Certified Information System Auditor (CISA)

Carlos Valiente, CISSP, CISA, CISM, CGEIT

Carlos joined the CIP Compliance audit team at SERC Reliability Corporation in July 2018. Previously, Carlos joined the NERC ERO at FRCC in 2011. While at FRCC, he managed and coordinated the Critical Infrastructure Protection (CIP) Compliance Program that monitors and enforces compliance with NERC CIP Reliability Standards. Carlos has more than 30 years of information technology experience in operating systems and network operations specializing in cybersecurity and compliance. He has led and managed global IT information security, compliance, and risk management programs for NERC Regional Entities and PricewaterhouseCoopers, as well as other Fortune 500 companies. Carlos holds a number of certifications, including: Certified Information Systems Security Professional (CISSP), Certified Information Systems Auditor (CISA), Certified Information Security Manager (CISM), Certified in the Governance of Enterprise IT (CGEIT). In addition, he is a Global ISO 27001 Lead Auditor and a NERC CIP Lead Auditor. A longtime resident of Florida, Carlos holds a Bachelor of Arts degree in Management of Information Systems (MIS) from the University of South Florida.

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Mike Hagee Mike Hagee is a Senior Reliability and Security Advisor at 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. Supporting efforts in Technical Resources and Entity Assistance, Mr. Hagee is heavily engaged with the SERC and NERC Critical Infrastructure Protection Committees and other outreach and assistance programs.Mr. Hagee spent four years as Senior CIP Compliance Auditor, and as such, served as an Audit Team Lead and team member during spot checks and audits of compliance with NERC Reliability Standards in the SERC Region. Prior to joining the SERC Reliability Corporation, Mr. Hagee was employed with Duke Energy Corporation in Charlotte, NC for 32 years, where he worked in various positions in the Nuclear and Corporate Security Departments managing their physical security programs, such as contract guard service, closed circuit television, access control systems, and investigations. Before retiring in 2011, Mr. Hagee was the Critical Infrastructure Asset Protection Manager for Duke Energy responsible for managing their regulated physical security programs, such as NERC CIP, FERC Dam Security, Maritime Security, and Chemical Security. Mr. Hagee has a Master of Arts in Business and Security Organizational Management from Webster University and a BS in Business Administration from Appalachian State University. Mr. Hagee is a Certified Protection Professional (CPP) sponsored by ASIS International and holds an Insider Threat Program Manager Certificate sponsored by Carnegie Mellon’s Security Engineering Institute (SEI). Marie Kozub Marie joined SERC Reliability Corporation in March 2020 as the Senior Coordinator of Certification and Registration. Marie is responsible for the administration of the SERC functional Entity Registration and Certification processes. Prior to joining SERC, Marie had been a Senior Compliance Analyst with Northeast Power Coordinating Council, Inc. (NPCC) since 2008. There her responsibilities included entity Registration and Certification, CIP Audit Team Lead and auditor, directing the TFE program and training and tracking auditor competency. Previously, Marie had 15 years’ experience as a paralegal including 5 years as a Corporate Officer in the reinsurance industry. Prior work experience also includes seven years in the chemical industry as a Purchasing Manager and responsibilities were expanded to include training, development and implementation of a plant safety program and a team leader for obtaining ISO 2000 certification. Additional audit experience includes conducting managerial audits that encompassed analysis of business processes, operating procedures and corporate culture to identify operating inefficiencies and provide recommendations to improve processes and productivity. Marie has achieved a Bachelor of Science from Montclair State University, Paralegal Certification from Uppsala College and a Master of Business Administration (MBA) from Fairleigh Dickinson University. Marie also maintains a Certified Government Auditing Professional (CGAP) certification.

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