Q1 2020 Open Forum Agenda

Q1 2020 Open Forum Webinar Agenda Brochure

January 27, 2020

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.

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Monday, January 27, 2020

2:00 p.m.

Welcome

Todd Curl - SERC Senior Manager of Compliance Monitoring Todd Curl - SERC Senior Manager of Compliance Monitoring

2:05 p.m.

2020 SERC Compliance Program

2:30 p.m.

2020 Audit Preparation

Heath Martin - SERC Senior Auditor, O&P Stephen Brown - SERC Manager, CIP Monitoring

- O&P - CIP

3:00 p.m.

Assistance Program Lessons Learned Mike Hagee - SERC

Senior Program Manager, Assistance

New / Revised O&P Standards in 2020 Harry Spiess - SERC O&P Auditor

3:30 p.m.

3:45 p.m.

Evidence Request Tool

Stephen Brown - SERC Manager, CIP Monitoring

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Agenda

3:55 p.m.

Wrap-up / Q&A

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

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4:00 p.m.

Adjourn

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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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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

Join Webex Meeting

Meeting number (access code): 713 082 429 Meeting password: SERC

Join by phone 1-408-792-6300 Call-in toll number (US/Canada) 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.

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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2020 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx March 10 - 11

Spring Compliance Seminar

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

March 11

Small Entity Seminar

October 6 - 7 CIP Compliance Seminar November 10 - 11 Fall Compliance Seminar

Webinar Series 2:00 p.m. to 4:00 p.m. (Eastern) February 10 SERC 101 May 11

Q2 2020 Open Forum Q3 2020 Open Forum

July 27

System Operator Conference April 7 - 9

SOC #1 - Greenville, SC SOC #2 - Greenville, SC SOC #3 - Franklin, TN SOC #4 - Franklin, TN

April 28 - 30

August 25 - 27 Sep 29 - Oct 1

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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 Speaker Bios Click on speaker’s name in agenda.

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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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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum 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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Acronyms

BA

Balancing Authority

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

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BCS

BES Cyber System

BES

Bulk Electric System

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum 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 COM Communications (Family in NERC Reliability Standards) DP Distribution Provider (Function) EMS Energy Management System ERO Electric Reliability Organization ERT Evidence Request Tool FAC Facilities, Design, Connections, and Maintenance (Family in NERC Reliability Standards) GO Generator Owner (Function) GOP Generator Operator (Function) INT Interchange Scheduling and Connection (Family in NERC Reliability Standards) IRO Interconnection Reliability Operations and Coordination (Family in NERC Reliability Standards)

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Acronyms

MOD

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

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NCSO NERC Certified System Operator NERC

North American Electric Reliability Corporation

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

O&P

Operations & Planning

PC

Planning Coordinator (Function)

PER

Personnel Performance, Training, and Qualifications (Family in NERC Reliability Standards)

PRC

Protection and Control (Family in NERC Reliability Standards)

Remedial Action Scheme or (NERC) Reliability Assessment Subcommittee

RAS

RC

Reliability Coordinator (Function)

Reliability Coordinator Area or Root Cause Analysis

RCA

RSAW Reliability Standards Audit Worksheet SCRM Supply Chain Risk Management TO Transmission Owner (Function) TOP

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

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

VAR

WECC Western Electricity Coordinating Council (Region within the ERO Enterprise)

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Questions for SERC

Q&A Process

Entity Assistance

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Topic

Email

• General inquiries / Q&A

Support@serc1.org

• Media inquiries • Outreach & Training Topic Suggestions

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

• SERC Membership • SERC Committees

• SERC Compliance & Committee Portal/Committee related issues • Assistance / Assistance Industry Subject Matter Expert (AISME)

Assistance@serc1.org

• Compliance monitoring methods:

SERCComply@serc1.org

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

• Enforcement and Mitigation

o Mitigation Plan submittals • SERC Compliance & Committee Portal-Compliance related issues • Registration and Certification

SERCregistration@serc1.org

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

RAStaff@serc1.org

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 graciously willing 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 Region, 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. 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. The REF Charter is posted to the SERC website. From the SERC home page, select Outreach / Registered Entity Forum. If you would like to be on the committee, elections are held each November. Committee members serve a two-year term.

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Stephen Brown, MBA, CISM

SERC Reliability Corporation Manager, CIP Monitoring

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Stephen joined the CIP Compliance audit team at SERC Reliability Corporation in September 2018. Previously, Stephen joined the NERC ERO at Georgia System Operations (GSOC) in 2006. While at GSOC, he managed and coordinated all Critical Infrastructure Protection (CIP) changes to ensure that stakeholders were aware of the change(s) and risks. He also ensured security controls were identified prior to changes and confirmed all documentation was complete. Stephen has over 15 years of information and operation technology experience with detailed knowledge in asset management, business continuity, disaster recover planning, incident response, policy administration, process improvement, and risk assessment. He has led a security and network operations center and managed multiple security and compliance projects. Stephen is a Certified Information Security Manager (CISM) and has been a Subject Matter Expert on standards CIP-006, CIP-007, and CIP-010 for multiple Critical Infrastructure Protection (CIP) audits. He is a new resident to North Carolina and holds a Masters of Business Administration (MBA) in Information Systems from Argosy 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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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.

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Mike Hagee, CPP, MA

SERC Reliability Corporation Senior Program Manager, Assistance

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Michael Hagee is the Senior Program Manager, Assistance 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. Mr. Hagee previously served as Program Manager, Physical Security; and in his new position, he will continue to be engaged with the SERC CIP Physical Security Subcommittee (CIPC-PSS) and other physical security- related initiatives. In other positions held at SERC, Mr. Hagee spent three and a half 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.

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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 programs. Mr. Hagee has a BS in Business Administration from Appalachian State University and a Master of Arts in Business and Security Organization Management from Webster University. Mr. Hagee is also a Certified Protection Professional (CPP).

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Heath Martin, NCSO

SERC Reliability Corporation Senior 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

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supported reliable operation of the bulk electric system. Other duties included coordinating 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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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 SERC Manager of Entity Assistance and IT focused on building strong security programs for our stakeholders and internally at SERC. Prior to that he manages the SERC CIPC as the Program Manager, Cyber Security in the Technical Resources department. When first hired, Mr. Peterson was a Senior CIP Engineer in the Compliance group supporting many compliance and risk mitigation efforts. 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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

the State University of New York at Utica/Rome. In addition, Bill is Certified in Risk and Information System Control (CRISC), 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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Harold Spiess, NCSO

SERC Reliability Corporation Compliance Auditor

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Harold Spiess joined SERC in February of 2016. Prior to joining SERC, Harold worked for PPL Electric Utilities located in Allentown, Pennsylvania from 2012 to 2016 as a Transmission System Outage Coordinator and Transmission System Operator. As a Transmission System Outage Coordinator from 2014 to 2016, he was responsible for the research, development, and coordination of outages on the PPL Bulk Electrical System and sub-transmission system. Harold performed daily, weekly, and long range risk assessments of planned and unplanned system outages to ensure system reliability and safety. From 2012 to 2014 Harold was a real time Transmission System Operator of the PPL Bulk Electrical System and was responsible for the safe and reliable operation of the transmission and sub-transmission system during normal and emergency conditions. Harold was the PPL Transmission Control Center representative on LEVEL 1 Environmental, Health & Safety Team. In 2015 Harold attended OSHA 10 training. From 2007 to 2012, Harold worked for First Energy in Reading, Pennsylvania as a Transmission System Operator. He was responsible for the reliable and safe operation of the Metropolitan Edison, Pennsylvania Electric, and New Jersey Central Power and Light Transmission and Sub-transmission System located in Pennsylvania and New Jersey. From 2000 to 2007, Harold worked as a control room operator at Reliant Energy’s Titus Power Station located in Reading, Pennsylvania. He was responsible for the timely economic load dispatch to the PJM Market and daily operation of three fossil fueled eighty-two megawatt generators and two oil fueled seventeen megawatt simple cycle combustion turbines.

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From 1999 to 2000, Harold was a control room operator at Cinergy’s Westwood Power Station located in Tremont, Pennsylvania and was responsible for the daily continuous operation and monitoring of a thirty-four megawatt generator which was powered from a waste coal Circulating Fluidized Bed boiler. Harold enlisted in the United States Navy in 1983 and served to 1995. He was a Naval Nuclear Electrician Supervisor serving aboard five United States Navy nuclear submarines from 1985 to 1994.

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