2019 Spring Compliance Seminar Agenda

Spring Compliance Seminar

Spring Compliance Seminar Agenda Brochure

March 5-6, 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 .

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Tuesday, March 5, 2019

7:30 a.m.

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

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

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

Welcome

8:00 a.m.

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. Brad Arnold barnold@ameren.com Ameren Missouri Eric Jebsen eric.jebsen@exeloncorp.com Exelon Generation Jennifer Richardson jrichardson6@ameren.com Ameren Sarah Snow ssnow@cooperativeenergy.com Cooperative Energy Bill Thigpen bill.thigpen@powersouth.com PowerSouth Energy Cooperative Ryan Ziegler rziegler@aeci.org Associated Electric Cooperative, Inc.

9:15 a.m.

Break

2

Agenda

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* * * WebEx Begins * * *

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

9:30 a.m.

Welcome WebEx Attendees

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9:35 a.m.

REF Recap

Joseph Baxter - NERC Senior CIP Assurance Advisor

9:45 a.m.

BCSI in the Cloud

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

10:30 a.m.

Break

Soo Jin Kim - NERC Manager of Standards Development

10:45 a.m.

NERC Standards Update

Clarke McKenzie, PE, MBA - Santee Cooper Supervisor, System Control Jennifer Richards, PE - Santee Cooper Supervisor, EMS Engineering

11:30 a.m.

RACE Tool

12:00 p.m.

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

Mike Kuhl, NCSO, IAP - SERC Supervisor, Operations and Planning Audits Stephen Brown, MBA, CISM - SERC Supervisor, CIP Audits

1:00 p.m.

Audit Approach

3

Agenda

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DHS Cybersecurity and Infrastructure Security Agency

1:30 p.m.

Cybersecurity and Infrastructure

Security Agency Those on WebEx:

Darryl Aspey - Protective Security Advisor - North Carolina District A video will be shown during the presentation. Keith Jones - Protective Security Advisor - South Carolina District WebEx does not support this; so please click Protect Your Every Day Public Service Announcement and then click on the video.

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2:15 p.m.

Break

Tom Carpenter, PE - Tennessee Valley Authority Program Manager, NERC/SERC Compliance - TVA Nuclear

2:30 p.m.

Battery Maintenance and Testing

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

3:15 p.m.

Break

Joseph Baxter - NERC Senior CIP Assurance Advisor

3:30 p.m.

Supply chain Update

Steve Romano - Stephen J. Romano and Associates

4:00 p.m.

Violence in the Workplace The Corporate Response

President (FBI Ret)

4:55 p.m.

Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

5:00 p.m.

Adjourn

4

Agenda

Wednesday, March 6, 2019

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7:30 a.m.

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

* * * WebEx Begins * * *

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

8:00 a.m.

Welcome: Day 2

Drew Slabaugh - SERC Legal Counsel James McGrane - SERC

8: 05 a.m.

Redacting Confidential Information

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

8:15 a.m.

NERC CMEP Technology Project:

Manager, Entity Assessment and Mitigation

“Align”

Wayne Ahl - SERC

8:45 a.m.

Assistance:

Senior Program Manager, Assistance

Physical Security Access Revocation

9:15 a.m.

Break

Jason Blake - SERC President and Chief Executive Officer

9:30 a.m.

SERC Update

SERC Staff

10:00 a.m.

REF Question Responses

10:45 a.m.

Break

Scott D. Crow – FoxGuard Solutions Technology & Craft Beer Enthusiast

11:00 a.m.

Patching for Padawans: Hard, It Is

5

Agenda

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Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

11:45 a.m.

Wrap-up

12:00 p.m.

Adjourn

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

6

WebEx Logon

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The WebEx session will not be recorded.

Tuesday, March 5, 2019

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

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Join Webex meeting Meeting number (access code): 718 657 622 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada) Wednesday, March 6, 2019 Join Webex meeting Meeting number (access code): 710 220 719 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada)

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.

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2019 Outreach

Event information is posted on Events Calendar and Upcoming Events (Located on SERC website under Outreach)

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Compliance Seminar Series Charlotte, NC / WebEx March 6, 2019 September 17 - 18, 2019

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Small Entity Seminar

CIP Compliance Seminar Fall Compliance Seminar

October 8 - 9, 2019

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

Outreach WebEx Series 2:00 p.m. to 4:00 p.m. (Eastern) May 6, 2019

Q2 Open Forum Webinar Q3 Open Forum Webinar

July 29, 2019

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2019 Outreach

Event information is posted on Events Calendar and Upcoming Events (Located on SERC website under Outreach)

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System Operator Conference April 9 - 11, 2018

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

April 30 - May 2, 2019 August 26 - 29, 2019 September 23 - 26, 2019

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

Technical Committee Meetings Charlotte, NC / WebEx March 18 - 20, 2019

Spring Joint Meetings

September 30 -

October 2, 2019

Fall Joint Meetings

Summer Regional Meetings & Annual Pig Roast July 16 – 18, 2019 Springfield, IL

9

2019 Outreach

Event information is posted on Events Calendar and Upcoming Events (Located on SERC website under Outreach)

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FRCC Introduction to SERC Series Florida Entity Engagement and Information Session March 25 - 26, 2019 Tampa, FL

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SERC Compliance, Reliability, and PEI Portal Training Webinars All three sessions contain the same content. 1:30 p.m. to 4:30 p.m. (Eastern) March 13, 2019 Session #1 Webinar March 27, 2019 Session #2 Webinar April 8, 2019 Session #3 Webinar

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

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

11

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.

12

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

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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AC

Alternating Current

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ANL ATL

Audit Notification Letter

Audit Team Lead Balancing Authority

BA

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

BCSI BES BOT BPS

BES Cyber System Information

Bulk Electric System Board of Trustees Bulk Power System

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

BU

Business Unit

CCC

Compliance and Certification Committee (NERC Committee) Critical Infrastructure Protection (Family in NERC Reliability Standards)

CIP

CITS

Compliance Information Tracking System

CMEP Compliance Monitoring and Enforcement Program CMEP IP Compliance Monitoring and Enforcement Program Implementation Plan COM Communications (Family in NERC Reliability Standards) COP Compliance Oversight Plan CRA Change Readiness Assessment CRATS Compliance Reporting and Tracking System DC Direct Current DHS Department of Homeland Security DR Data Request

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Acronyms

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EACMS Electronic Access Control and/or Monitoring Systems EIA Energy Information Administration EMS Energy Management System EOP

Emergency Operations Training (Family in NERC Reliability Standards)

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EOS ERC ERO ERP ESP FAC

End of Support

External Routable Connectivity Electric Reliability Organization

Entity Risk Profile

Electronic Security Perimeter

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

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

FERC FOIA

Federal Energy Regulatory Commission

Freedom of Information Act FRSG Frequency Response Sharing Group (NERC group) ICS-CERT Industrial Control Systems Cyber Emergency Response Team IEC International Electrotechnical Commission IEEE Institute of Electrical and Electronics Engineers IFRO Interconnection Frequency Response Obligation INT Interchange Scheduling and Connection (Family in NERC Reliability Standards) IRA Inherent Risk Assessment IRO

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

IROL

Interconnection Reliability Operating Limit

IT

Information Technology

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Acronyms

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kV

Kilovolts (1000 volts) Load Tap Changers

LTC

MOD

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

MW

Megawatt

NCR NERC Compliance Registry NCSO NERC Certified System Operator NEMA

National Electrical Manufacturer's Association North American Electric Reliability Corporation

NERC Ni-Cad

Nickel Cadmium

O&P

Operations & Planning

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

PACS

Physical Access Control System

PCA

Protected Cyber Asset

PEI

Protected Entity Information

PRC PSA PSP

Protection and Control (Family in NERC Reliability Standards)

Public Service Announcement Physical Security Perimeter

RACE

Reactive Area Control Error (Santee Cooper program)

RAS Remedial Action Scheme or (NERC) Reliability Assessment Subcommittee RAT STATS Regional Advanced Techniques Staff-Statistical (Audit tool used by US Dept. of Health & Human Services) RC Reliability Coordinator (Function) REF Registered Entity Forum RLPC Resource Loss Protection Criteria

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Acronyms

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ROW Right of Way RSAW Reliability Standards Audit Worksheet RTA

Real-time Analysis or Real-time Assessment Supervisory Control and Data Acquisition

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SCADA

SCE&G South Carolina Electric & Gas SCPSA

South Carolina Public Service Authority (Registered Entity)

SDT

Standard Drafting Team

SFTP

Secure File Transfer Protocol

SG

Specific Gravity

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

SME SOL TOP TPL UFLS

Subject Matter Expert System Operating Limit

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

Transmission Planning (Family in NERC Reliability Standards)

Underfrequency Load Shedding

USB

Universal Serial Bus

UVLS

Under Voltage Load Shedding

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

VAR VLA

Vented Lead-Acid

VRLA

Valve-Regulated Lead-Acid

VSL Violation Severity Level WebCDMS Web Compliance Data Management System

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Questions for SERC

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FAQ Process

Entity Assistance

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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 • Compliance Seminar topic suggestions • 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 • Reliability Assessment data reporting

SERCComply@serc1.org

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

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

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

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

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REF Steering Committee

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O&P Committee Member Brad Arnold Operational Compliance Manager Ameren Missouri barnold@Ameren.com 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 Jennifer Richardson Manager, Reliability Standards Compliance Ameren jrichardson6@ameren.com

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

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Wayne Ahl

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SERC Reliability Corporation Senior Program Manager, Assistance

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Wayne Ahl serves as a Senior Program Manager Assistance for SERC. He has served in this capacity for five months, while previously serving as a Senior CIP auditor for six and one-half years. During this time he also served as Project Manager for the Assistance corporate strategic initiative. His initial experience in the industry was gained for thirty years at a Public Power Utility in the Southeast, performing various duties. Mr. Ahl has gained a broad-based knowledge of Transmission Operations and Reliability. Mr. Ahl obtained a Bachelor of Science in Electrical and Computer Engineering from the University of South Carolina in 1982. After graduation, Mr. Ahl went to work at the Public Power Company as an Engineer in the Power Supply Operations group. Shortly thereafter, the Company’s first Energy Management System (EMS) was made operational, and Mr. Ahl supervised the hardware and communications portions of the EMS. Sometime later, Mr. Ahl Supervised the entire group, and over time has commissioned two more EMS systems and the Standby Control Center. In addition to EMS duties, Mr. Ahl has operated and maintained various Voltage Flicker and Harmonics systems, Dynamic Scheduling systems, Regulation Sharing systems, Trunking Radio systems, and has assisted in the creation of Cyber Security policies and procedures. Mr. Ahl also coordinated many specialty projects, including projects with Clemson University and the University of South Carolina.

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

Mr. Ahl has served his community by participating on Boards for Tax Assessment Review for the County, as well as Habitat for Humanity, and coaching in recreation for 17 years. Mr. Ahl also serves on an advisory board for engineering students at Trident Technical College. In addition, Mr. Ahl serves in his local Church of which he has been a member since 1997.

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Brad Arnold

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Ameren Missouri Manager, Policy & Compliance

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.

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.

22

Darryl Aspey

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DHS Cybersecurity and Infrastructure Security Agency North Carolina District Protective Security Advisor

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Darryl currently serves as a Protective Security Advisor (PSA) for the U.S. Department of Homeland Security's Cybersecurity and Infrastructure Security Agency and is assigned to the North Carolina District. As a PSA Darryl’s primary mission is to engage with State, local, tribal, and territorial (SLTT) government mission partners and members of the private sector to protect the Nation’s critical infrastructure. This is accomplished through outreach activities, security surveys and assessments, response and reporting capabilities and by conducting and coordinating training and exercises. Darryl brings extensive security and countermeasures experience and training to the Protective Security Advisor Program having worked in the security industry for over thirty years serving the Executive Office of the President, United States Postal Inspection Service and the United States Secret Service.

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

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Joseph Baxter

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North American Electric Reliability Corporation (NERC) Senior CIP Assurance Advisor

Joseph joined the NERC CIP Assurance team in November of 2017. Prior to NERC, Joseph served as the NERC CIP Lead working directly with HVDC and FACTS at ABB. In this role, Joseph worked with transmission customers worldwide to increase levels of cyber security, and more specifically in the North American region, to provide services and solutions to support the NERC CIP Compliance programs of the customers. In Information Systems since 1995, the majority of his background deals with Audit and Compliance concerns specifically within the Electrical and Financial sectors. Before coming to ABB, Joseph completed several years as a CIP Auditor for the SERC region, with special emphasis on the technical side of cyber security. He participated in many multi-region audits with RFC, MRO, WECC, and SPP. Joseph entered the Electrical Sector in 2008 by accepting a position at Associated Electrical Cooperatives, Incorporated (AECI) in Springfield, Missouri. Sitting on the other side of the table in 2009, he held direct responsibility for a CIP Compliance Program during the original thirteen CIP Requirement Spot-Check. During his time at AECI, Joseph also worked as the EMS Development Team Supervisor. Joseph has both audited and been audited in the realm of CIP, and brings over 20 years of dedicated

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.

Information Security experience gleaned from the Financial Sector to bear on the problems facing Grid Security today. Beyond NERC, his compliance knowledge extends to HIPAA, PCI-DSS, SOX, and GLBA. He currently holds the following certifications: CGEIT, CISA, CISM, CISSP, and MCSE+S, and a MCDBA. When not writing science fiction, Joseph has found publication in freelance journalism, with several credits in professional markets.

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Jason Blake

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SERC Reliability Corporation President and Chief Executive Officer

Mr. Blake is President and CEO for SERC and is passionate about SERC’s mission, which is to reduce risks and ensure a reliable, resilient, and secure electric grid across 16 central and southeastern states. He leads with a commitment to operational excellence, innovation, continuous improvement, and deploying resources in an effective and efficient manner that adds value. Prior to joining SERC, Mr. Blake spent almost nine years serving as the Vice President and General Counsel for SERC’s northern neighbor and sister region, ReliabilityFirst. During that time, he helped lead RF through its start-up phase and into a sustainable risk-based organization focused on ensuring a reliable, resilient, and secure electric grid across the Mid-Atlantic and Great Lakes regions of the U.S. Prior to this, Mr. Blake developed broad business and regulatory experience through his private practice with large, corporate law firms located in Pittsburgh, Pennsylvania and then in Cleveland, Ohio. Mr. Blake is a graduate of the Ohio State University and the University of Pittsburgh School of Law. He also served on the Board of Directors for the American Heart Association for the Cleveland Metropolitan Area and enjoys volunteering to coach his children’s sports teams.

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.

25

Stephen Brown, MBA, CISM

SERC Reliability Corporation Supervisor, CIP Audits

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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), risks and security controls were identified prior to the change, 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.

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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Tom Carpenter, PE

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Tennessee Valley Authority Program Manager, NERC/SERC Compliance - TVA Nuclear

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Tom Carpenter oversees the TVA's Nuclear Power Group's compliance with NERC/SERC reliability standards. He has over 30 years' experience in the electrical power industry and is a Senior Member of the IEEE, including membership in the IEEE Power & Energy Society (PES) and IEEE Standards Association (SA). Tom has a BSEE and is a licensed electrician and licensed professional engineer. He serves as the treasurer of the IEEE Energy Storage & Stationary Battery Committee, is a former Principal Member of the NFPA 70E Technical Committee, and is a certified high and low voltage electrical safety trainer.

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

27

Scott D. Crow

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FoxGuard Solutions, Inc. Senior Account Executive

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A native of Atlanta and graduate of the University of Florida, Scott has been solving business problems with technology for over 25 years. His role at FoxGuard is to serve as the primary point of contact for energy utility clients in the U.S. and Canada, focusing on cyber security and compliance solutions for entities looking to automate processes and streamline their efforts. He has lived in Roanoke, Virginia for 15 years, is married and has four children, and is an avid photographer, skier and is unquestionably a craft beer enthusiast.

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

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Todd Curl, NCSO

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SERC Reliability Corporation Senior Manager of Compliance Monitoring

Todd is currently responsible for managing all areas of Compliance Monitoring (in both Operations & Planning and Critical Infrastructure Protection areas), and Registration & Certification activities. 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 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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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:

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• 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

• 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.

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

30

Keith Jones

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DHS Cybersecurity and Infrastructure Security Agency South Carolina District Protective Security Advisor Keith Jones has been the DHS Protective Security Advisor for the South Carolina District since 2007. Mr. Jones came into the PSA program from the DHS Office for Bombing Prevention. Prior to joining DHS, he was the Deputy Section Chief of the Department of State's Chemical, Biological and Radiological Countermeasures Office.

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

31

Soo Jin Kim

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North American Electric Reliability Corporation (NERC) Manager, Standards

Soo Jin is currently the Manager of Standards Development at the North American Electric Reliability Corporation (NERC). She joined NERC in December 2012 in the Atlanta, Georgia office as a Standards Developer. Prior to her present role, Soo Jin served as the Manager of Reliability Operations, reporting directly to the Chief Reliability Officer and Senior Vice President, Mark Lauby. Prior to attending law school, Soo Jin was a consultant, working with various firms focused on energy and commodity trading. She then served as an Associate at Troutman Sanders LLP in Washington, DC in its Federal Energy Group. At Troutman Sanders, Soo Jin worked on a variety of federal energy regulatory matters. Soo Jin has a BA in Economics and English from the University of Georgia, and she received her Juris Doctorate from American University.

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32

Mike Kuhl, NCSO, IAP

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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 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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33

James McGrane

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SERC Reliability Corporation Manager, Entity Assessment and Mitigation

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

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

34

Clarke McKenzie, PE, MBA Santee Cooper Supervisor, System Control

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Clarke Mckenzie has eighteen years of experience working for Santee Cooper. He currently serves as Supervisor, System Control in Santee Cooper’s Energy Control Center. His prior experience includes management and engineering responsibilities in System Protection & Control, System Metering, System Communications, Area Engineering and Design Engineering. Mr. Mckenzie received a Bachelor of Science in Electrical Engineering and a Masters of Business Administration degree from The Citadel in Charleston, South Carolina. He is a licensed Professional Engineer (PE) in the state of South Carolina. He enjoys spending time with family, serving in his church and many outdoor activities.

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

35

Jennifer Richards, PE Santee Cooper Supervisor, EMS Engineering

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Jennifer Richards is the Supervisor of EMS Engineering group at Santee Cooper which manages the transmission system SCADA and EMS applications within the Energy Control Center. She has been with Santee Cooper since 2003 and was previously an engineer in the System Operations Planning and Industrial & Municipal Service groups. Jennifer is currently a member of the SERC CIPC, RMWG, and OPWG and has previously served as a member of the SERC NTSG. Jennifer holds a BS in Electrical Engineering from the Rochester Institute of Technology and an MBA from the Citadel. She is a registered Professional Engineer in South Carolina.

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

36

Jennifer Richardson

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Ameren Manager, Reliability Standards Compliance

Jennifer holds a bachelor's degree in Economics from the University of Missouri - St. Louis and has 18 years of energy industry experience. She has managed NERC Compliance activities since 2007 for vertically integrated utilities and competitive generating companies across several regional entities. Jennifer served as the Vice Chair of the Generation Subcommittee at SERC during 2015-2016. She is currently leading the Emerging Issues effort at the North American Transmission Forum (NATF) that discusses Emerging Issues for O&P and CIP issues. In her current role, she is responsible for managing NERC Compliance activities for Ameren's transmission function for both O&P and CIP standards. Her responsibilities include: participation in risk assessments, internal controls development, monitoring activities, audit preparation, Standards interpretation guidance to SMEs and company when requested, assist SMEs with preparing documentation for upcoming effective standards, and conducting monthly meetings with transmission leadership to keep them apprised of new or upcoming issues.

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

37

Steve Romano

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Stephen J. Romano and Associates President (FBI Ret)

Steve Romano, MA, is a consultant and instructor who works with both corporate and law enforcement clients in the specialty areas of hostage negotiations, international kidnappings, threat assessment and workplace violence. Prior to his retirement from the FBI after more than 31 years in law enforcement, Mr. Romano was the FBI’s Chief Negotiator. He rewrote the FBI’s National Crisis Negotiation Course and has published numerous related articles. Steve has been featured in several negotiation productions for Discovery, TLC and the History Channel and has appeared as a subject matter expert on CNN, FOX, and MSNBC.

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

38

Drew Slabaugh

SERC Reliability Corporation Legal Counsel

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Drew Slabaugh has been Legal Counsel with SERC Reliability Corporation for six years. Previously, Mr. Slabaugh was a law clerk for Judge Robert Conrad of the United States District Court for the Western District of North Carolina. Prior to attending law school, he was a consumer lending banker with SunTrust bank. Mr. Slabaugh has a Juris Doctor from Charlotte School of Law and a Bachelor of Arts degree with major in Political Science from the University of North Carolina at Chapel Hill.

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