2019 Spring Compliance Seminar Agenda

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 .

Agenda WebEx Logon 2019 Outreach

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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 [email protected] Ameren Missouri Eric Jebsen [email protected] Exelon Generation Jennifer Richardson [email protected] Ameren Sarah Snow [email protected] Cooperative Energy Bill Thigpen [email protected] PowerSouth Energy Cooperative Ryan Ziegler [email protected] Associated Electric Cooperative, Inc.

9:15 a.m.

Break

2

Agenda

Agenda WebEx Logon 2019 Outreach

* * * 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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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

Agenda WebEx Logon 2019 Outreach

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.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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

Agenda WebEx Logon 2019 Outreach

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

Agenda WebEx Logon 2019 Outreach

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

11:45 a.m.

Wrap-up

12:00 p.m.

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.

6

WebEx Logon

Agenda WebEx Logon 2019 Outreach

The WebEx session will not be recorded.

Tuesday, March 5, 2019

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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.

7

2019 Outreach

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

Agenda WebEx Logon 2019 Outreach

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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

8

2019 Outreach

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

Agenda WebEx Logon 2019 Outreach

System Operator Conference April 9 - 11, 2018

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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)

Agenda WebEx Logon 2019 Outreach

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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.

10

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.

Agenda WebEx Logon 2019 Outreach

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.

11

Confidentiality Policy

Agenda WebEx Logon 2019 Outreach

• 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.

Agenda WebEx Logon 2019 Outreach

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.

13

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.

Agenda WebEx Logon 2019 Outreach

AC

Alternating Current

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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 >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 Page 24 Page 25 Page 26 Page 27 Page 28 Page 29 Page 30 Page 31 Page 32 Page 33 Page 34 Page 35 Page 36 Page 37 Page 38 Page 39 Page 40 Page 41 Page 42

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