SERC 101 Agenda

SERC 101 Webinar Agenda Brochure

February 10, 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 attendees on Compliance Monitoring and Enforcement Program (CMEP basics. Target audience is new registered entities and entity staff who may be new to the energy industry, the compliance area, or those who would like a refresher on CMEP basics.

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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.

Monday, February 10, 2020

2:00 p.m.

Welcome

Todd Curl - SERC Senior Manager of Compliance Monitoring

2:05 p.m.

SERC’s Role

Drew Slabaugh - SERC

- Electric Reliability Organization (ERO)

Legal Counsel

- Delegation Agreement

2:15 p.m.

Technical Committees - Overview

Gaurav Karandikar - SERC Manager, RAPA & Technical Services

Registration

Peter Heidrich - SERC

2:25 p.m.

- Registration Changes

Senior Coordinator, Certification and Registration

- Certifications - BES Exceptions - CORES

2:40 p.m.

CMEP

Todd Curl - SERC

- Compliance Monitoring Methods - 2020 CMEP Implementation Plan - ISME Program

Senior Manager of Compliance Monitoring

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Agenda

2:55 p.m.

Risk Assessment and Mitigation - Risk-based Compliance Monitoring and Enforcement - Inherent Risk Assessments - Self-Reporting - Mitigation Compliance Audit Process - Operations & Planning (O&P) - Critical Infrastructure Protection (CIP)

Scott Knewasser - SERC

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Senior Manager, Risk Assessment & Mitigation

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

Mike Kuhl - SERC

3:10 p.m.

Supervisor, Operations & Planning Audits

Stephen Brown - SERC Manager, CIP Monitoring

Reliability Standards - Standard Process - Update - Standards Site

Mike Kuhl – SERC

3:30 p.m.

Supervisor, Operations & Planning Audits

Outreach

Bill Peterson - SERC

3:45 p.m.

- Seminars and Webinars - Assistance - eLearning - Newsletter - Q&A Process - REF Steering Committee

Manager, Outreach & Training

Wrap-up / Q&A

Todd Curl - SERC Senior Manager of Compliance Monitoring

3:55 p.m.

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): 715 169 709 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) 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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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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Acronyms

ATL

Audit Team Lead

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BA

Balancing Authority

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

BES

Bulk Electric System

BPS

Bulk Power 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

COI

Conflict of Interest

COP

Compliance Oversight Plan

DP

Distribution Provider (Function)

E-ISAC

Electricity - Information Sharing and Analysis Center

EMS

Energy Management System

ERO

Electric Reliability Organization

FAC

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

FERC

Federal Energy Regulatory Commission

GO

Generator Owners

GOP

Generator Operators

IA

Interchange Authority (Retired function)

IRA

Inherent Risk Assessment

ISME

Industry Subject Matter Expert

LSE

Load Serving Entity (Retired function)

MW

Megawatt

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Acronyms

NDA

Non-disclosure Agreement

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NCSO

NERC Certified System Operator

NERC

North American Electric Reliability Corporation

O&P

Operations & Planning

PC

Planning Coordinator (Function)

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

PLCS

Planning Coordination Subcommittee

PSE

Purchasing-Selling Entity (Retired function)

RAM

Risk Assessment & Mitigation

RAPA

Reliability Assessment and Performance Analysis

RatSTATS

Regional Advanced Techniques Staff-Statistical (Audit tool used by US Dept. of Health & Human Services)

RC

Reliability Coordinator (Function)

REF

Registered Entity Forum

ROP

Rules of Procedure

RSAW

Reliability Standards Audit Worksheet

SAR

Standard Authorization Request

SCADA

Supervisory Control and Data Acquisition

SDT

Standard Drafting Team

SME

Subject Matter Expert

SPOC

Single Point of Contact

TO

Transmission Owner (Function)

TOP

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

TP

Transmission Planner (Function)

TSP

Transmission Service Provider

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

12

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.

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

13

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.

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

Todd has a Bachelor of Science degree in Business Administration, and an Executive Certificate in Organizational Leadership from the University of Notre Dame. Todd is 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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Peter Heidrich, NCSO

SERC Reliability Corporation Senior Certification and Registration Coordinator

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Peter joined the SERC Reliability Corporation in July 2019 as the Senior Coordinator of Certification and Registration. Peter is responsible for the administration of the SERC Functional Entity Registration and Certification processes, and is also responsible for the implementation and continued maintenance associated with the NERC Glossary of Terms definition of Bulk Electric System (BES) and administration of the Rules of Procedure (ROP) BES Exception Process. Previously Peter was with the Florida Reliability Coordinating Council, Inc. (FRCC) from August, 2008 to June 2019. As the FRCC Director of Reliability Performance & Registration, Peter was responsible for leading the Programs within the FRCC Region to enable the assessment and improvement in reliability performance of the FRCC BES. Responsibilities included Registration and Certification, Events Analysis and Situation Awareness, Reliability Standards Development, and System Operator Training. Within this capacity, Peter was responsible for the administration of the FRCC Functional Entity Registration and Certification processes, and was also responsible for the implementation and continued maintenance associated with the NERC Glossary of Terms definition of BES and administration of the ROP BES Exception Process.

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

Peter served over eight years in the United States Navy in the Nuclear Power Program. Following his military service, he joined DTE Energy (Detroit Edison) in 1992 as a Nuclear Power Plant Operator at the Enrico Fermi II Power Plant (Newport, MI). In 1995, Peter transferred to the System Operations Department where he qualified as a System Operator, and obtained his NERC System Operator Certification. Peter also served in the position of Control Room Supervisor. From 2004 to 2008, Peter served as Manager-Protection Authority with the responsibilities of managing the Hazardous Energy Controls (Red Tag Protection) programs for the corporation. Peter holds a Bachelor of Science Degree in Business Administration, graduating with Honors, from the University of Phoenix. Peter has been a NERC Certified Reliability Coordinator since 2000.

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Scott Knewasser, NCSO

SERC Reliability Corporation Senior Manager, Risk Assessment and Mitigation

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Scott joined SERC Reliability Corporation with the integration of the Florida Reliability Coordinating Council (FRCC) Region in July 2019 as the Senior Manager, Risk Assessment and Mitigation. Previously, Scott was the Manager of O&P Monitoring at FRCC, where he was also a Senior O&P Compliance Engineer. Scott’s past utility industry experience includes Substation Engineering, Transmission Planning, Field Operations, Transmission Operations, and Operations Engineering. He graduated from Clarkson University with a Bachelor of Science in Electrical Engineering, and is a certified NERC System Operator at the Reliability Coordinator level.

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

16

Mike Kuhl, NCSO, CIA

SERC Reliability Corporation Supervisor, Operations & Planning Audits

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Mike is Supervisor, Operations and Planning Compliance Audits for SERC Reliability Corporation and reports to the Senior Manager of Compliance Monitoring. Prior to joining SERC in January 2013, Mike worked at the Cincinnati Gas & Electric Company/Cinergy/Duke Energy for nearly 24 years. His responsibilities were 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. He also served as Project Manager of Cinergy's energy market integration during start-up of Mid-Continent System Operator’s energy markets. Around the time the Energy Policy Act of 2005 was signed into law his job focus transitioned to NERC reliability standards compliance where he developed, implemented, and managed Cinergy’s and Duke's initial operations and planning Reliability Standards Internal Compliance Programs. At SERC, he began his career as a Compliance Assessment Engineer in Registration and Certification department. Effective September 1, 2015 he was promoted to his current position, Supervisor, Operations and Planning Audits.

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

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 is a Certified Internal Auditor.

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Bill Peterson, MBA, CRISC, 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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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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