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Q3 2017 Open Forum Webinar

Q3 2017 Open Forum Webinar Agenda Brochure

July 31, 2017 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 2:00 p.m. (Eastern).

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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Monday, July 31, 2017

Welcome

Mike Kuhl - SERC Supervisor of Operations a& Planning Audits

2:00 p.m.

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

REF Steering Committee Election Process Scott Brame, PE - North Carolina Electric Membership Corporation Manager of Reliability Compliance

2:05 p.m.

Entity Assistance Program

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

2:15 p.m.

Highest Risk Standards: Top Five CIP Standards

Bill Beaver, MBA, CISA - SERC

2:30 p.m.

Supervisor, CIP Audits

Standards Update / Audit Expectations

Mike Kuhl - SERC Supervisor of Operations a& Planning Audits

3:00 p.m.

Registration: CFR Review

Fred Rains, PE - SERC Coordinator, Certification & Registration

3:30 p.m.

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Agenda

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3:50 p.m.

Open Discussion / Q&A

SERC Staff

Mike Kuhl - SERC Supervisor of Operations a& Planning Audits

4:00 p.m.

Wrap-up / Adjourn

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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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): 714 808 590 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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2017 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx September 19 - 20 October 31 - November 1 Outreach WebEx Series 2:00 p.m. to 4:00 p.m. (Eastern) July 31

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Fall Compliance Seminar CIP Compliance Seminar

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

Open Forum Webinar

System Operator Conference September 12 - 15 Chattanooga, TN September 26 - 28 Chattanooga, TN

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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

BES

Bulk Electric System

CFR

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

CIP

Critical Infrastructure Protection (Family in NERC Reliability Standards)

CMEP

Compliance Monitoring and Enforcement Program

CMPD Charlotte-Mecklenburg Police Department COM Communications (Family in NERC Reliability Standards) DHS Department of Homeland Security EAP Electronic Access Point EMS Energy Management System EPRI Electric Power Research Institute ERO Electric Reliability Organization ESP Electronic Security Perimeter FAC

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

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

FERC Federal Energy Regulatory Commission ICS-CERT Industrial Control Systems Cyber Emergency Response Team INPO Institute of Nuclear Power Operations

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Acronyms

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IRO

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

JRO

Joint Registration Organization (formerly Type 1 “JRO”)

MISO

Midcontinent Independent System Operator, Inc.

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MOD

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

NATF

North American Transmission Forum

NCR

NERC Compliance Registry

NERC

North American Electric Reliability Corporation

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

O&P

Operations & Planning

PA

Planning Authority

RC

Reliability Coordinator

REF

Registered Entity Forum

ROP

Rules of Procedure

TOP

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

TP

Transmission Planner

TSA Transportation Security Administration WECC Western Electricity Coordinating Council (Regional Entity) xRM NERC platform to enable consistent application experiences

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Questions for SERC

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Topic

Email

• General inquiries / FAQ

Support@serc1.org

• Media inquiries • SERC Membership • SERC Committees • SERC Compliance & Committee Portal/Committee related issues • 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

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SERCComply@serc1.org

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

RAStaff@serc1.org

• Reliability Assessment data reporting • Reliability Assessment forms • Annual Voting Rights • Reliability Data Reporting Portal

ISME@serc1.org

• Industry Subject Matter Expert (ISME) Program

• Submitting an ISME application

CIPV5@serc1.org

• CIP V5 Transition

• Website

SERCWebsite@serc1.org

• Event Reporting

Reporting_Line_Sit@list-serc1.org

• 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 and 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. Click HERE for details and a nomination form.

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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REF Steering Committee

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

CIP Committee Member

Jonathan Fleeman Associate Cyber Security & Compliance Specialist Associated Electric Cooperative, Inc. jfleeman@aeci.org

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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

Tony Hall, CRISC Manager CIP Program LG&E and KU Energy LLC tony.hall@lge-ku.com

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

Michael Lowman, PE, NCSO Lead Compliance Engineer Duke Energy Carolinas michael.lowman@duke-energy.com Sarah Snow Reliability Compliance Administrator Cooperative Energy ssnow@cooperativeenergy.com

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

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Bill Beaver, MBA, CISA

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SERC Reliability Corporation Supervisor, CIP Audits

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Bill Beaver joined SERC on February 2, 2015 as the Supervisor of CIP Audits. He brings over 16 years of audit experience to his position. Prior to joining SERC, he worked at Texas RE, where he served as CIP Audit Manager, and PricewaterhouseCoopers LLP. Bill has a B.S. in Business Administration from Wheeling Jesuit University and an M.B.A. from Wayne State University. He also holds Certified Information System Auditor (CISA) and Security+ certifications. Bill is a member of the Information Systems Audit and Control Association (ISACA), The Institute of Internal Auditors (IIA), and InfraGard.

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

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Scott Brame, PE

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North Carolina Electric Membership Corporation Manager of Reliability Compliance

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Scott Brame is currently the Manager of Reliability Compliance for North Carolina Electric Membership Corporation (NCEMC). Mr. Brame has over seven years of experience in the utility industry having worked in a broad range of operations and planning positions including Energy Operations, Transmission Resource Planning and Portfolio Management. Mr. Brame has spent the last four years in his current role, and is responsible for the overall NERC and regional compliance efforts for NCEMC and its 20 participating member cooperatives. To ensure that NERC and Regional Standards Requirements are continuously met, Mr. Brame leads a team of subject matter experts from the diverse fields of planning, operations and plant engineering; and he is the single point of contact for all compliance, audit and enforcement matters. Mr. Brame has successfully led NCEMC through two regional audits (SERC and ReliabilityFirst) by spearheading an effective documentation and internal controls system. He often participates with SERC and industry groups to provide comments during the Standards development process, and represents NCEMC as a member of the NERC registered ballot body. Mr. Brame has Bachelor of Science degrees in both Electrical and Computer Engineering from North Carolina State University and also holds a Masters of Business Administration degree from Campbell University. He is a licensed Professional Engineer (PE) in the state of North Carolina. To maintain his sharp compliance focus, Mr. Brame actively participates in several NERC, SERC and industry-sponsored seminars, conferences and workshops each year. His broad experience, willingness to listen to and share ideas, and overall cooperative spirit make Mr. Brame an excellent resource for the SERC REF Steering Committee, and has served as that committee’s Chair since 2016.

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

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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.

16

Bill Peterson, MBA, CISSP 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).

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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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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