2019 SERC101_Agenda

2019 SERC101_Agenda

SERC 101 Webinar

SERC 101 Webinar Agenda Brochure

February 18, 2019 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, February 18, 2019

Welcome

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

2:00 p.m.

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

2:05 p.m.

SERC’s Role • Electric Reliability Organization (ERO) Drew Slabaugh - SERC • Delegation Agreement Legal Counsel

• Committee Structure

Melinda Montgomery – SERC Senior Director, Advanced Analytics & Technical Services

2:20 p.m.

Registration

Fred Rains, PE - SERC

• Registration Changes

Coordinator, Certification and Registration

• Certifications • BES Exceptions

2:35 p.m.

Compliance Monitoring and Enforcement

Todd Curl, NCSO - SERC

Program (CMEP)

Senior Manager of Compliance Monitoring

• Compliance Monitoring Methods • 2019 CMEP Implementation Plan

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Agenda

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2:50 p.m.

Entity Assessment and Mitigation James McGrane - SERC • Risk-based Compliance Monitoring Manager, Entity Assessment and Mitigation and Enforcement • Inherent Risk Assessments / Internal Controls Evaluations • Self-Reporting and Mitigation

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

3:05 p.m.

Compliance Audits • SERC Audit Process

Mike Kuhl, NCSO, IAP - SERC • Industry Subject Matter Expert (ISME) Supervisor, Operations & Planning Audits

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

Matt Stryker, PSP, CISSP - SERC Senior CIP Compliance Auditor

SERC On-line

Joyce Irvin - SERC

3:20 p.m.

• SERC Website

Analyst II

• Two Portals: Compliance & Reliability • Committee Folders

Reliability Standards • Standard Process

Mike Kuhl, NCSO - SERC

3:35 p.m.

Supervisor, Operations & Planning Audits

• Standards Site

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Agenda

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3:50 p.m.

Outreach

Bill Peterson, MBA, CISM, CISSP - SERC

• Seminars and Webinars • Assistance • Newsletter • FAQ Process • REF Steering Committee

Manager, Entity Assistance and IT

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

4:00 p.m.

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

4

WebEx Logon

WebEx session will not be recorded.

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Join Webex meeting Meeting number (access code): 716 444 901 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada)

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Global call-in numbers 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.

5

2019 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx March 5-6

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Spring Compliance Seminar

March 6 Small Entity Seminar September 17-18 CIP Compliance Seminar October 8-9 Fall Compliance Seminar Outreach WebEx Series February 18 SERC 101 Webinar May 6 Q2 Open Forum Webinar July 29 Q3 Open Forum Webinar System Operator Conference April 9-11 SOC #1 - Greenville, SC April 30-May 2 SOC #2 - Greenville, SC September 11-13 SOC #3 - Chattanooga, TN September 25-27 SOC #4 - Chattanooga, TN

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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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.

7

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.

8

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.

9

Acronyms

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ANL ATL

Audit Notification Letter

Audit Team Lead

BA

Balancing Authority (Function)

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

BAL BES CIP

Resource and Demand Balancing (Family in NERC Reliability Standards)

Bulk Electric System

Critical Infrastructure Protection (Family in NERC Reliability Standards)

CMEP Compliance Monitoring and Enforcement Program CMEP IP Compliance Monitoring and Enforcement Program Implementation Plan CORES Centralized Organization Registration ERO System DP Distribution Provider (Function) EAM Entity Assessment and Mitigation ERAG Eastern Interconnection Reliability Assessment Group ERO Electric Reliability Organization FAC Facilities, Design, Connections, and Maintenance (Family in NERC Reliability Standards) FERC Federal Energy Regulatory Commission IA Interchange Authority (Retired function) ICE Internal Controls Evaluation IRA Inherent Risk Assessment ISME Industry Subject Matter Expert

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

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Acronyms

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LSE MW

Load Serving Entity (Retired function)

Megawatt NCSO NERC Certified System Operator NERC

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

North American Electric Reliability Corporation

O&P

Operations & Planning

PEI

Protected Entity Information

PLCS

Planning Coordination Subcommittee Purchasing-Selling Entity (Retired function)

PSE

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

RAPA Reliability Assessments 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 SFTP Secure File Transfer Protocol SME Subject Matter Expert SPOC Single Point of Contact TOP Transmission Operator (Function) or Transmission Operations (Family in NERC Reliability Standards) VRF Violation Risk Factor

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Questions for SERC

Topic

Email

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• General inquiries / FAQ

[email protected]

• Annual Voting Rights • Media inquiries • Reliability Assessment >Page 1 Page 2 Page 3 Page 4 Page 5 Page 6 Page 7 Page 8 Page 9 Page 10 Page 11 Page 12 Page 13 Page 14 Page 15 Page 16 Page 17 Page 18 Page 19 Page 20 Page 21 Page 22 Page 23

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