2020 Spring Compliance Seminar

2020 Spring Compliance Seminar

Spring Compliance Seminar Agenda Brochure

March 10 - 11, 2020 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. Purpose : Provide all SERC registered entities with an update on Compliance Monitoring and Enforcement Program (CMEP) developments, lessons learned, and key messages. Note: Please be advised that photographs will be taken at the Spring Compliance Seminar for use on the SERC website, SERC marketing materials, and/or other SERC publications. By attending the Spring Compliance Seminar, you consent to SERC’s photographing and/or using your image and likeness as described.

Agenda WebEx Logon 2020 Outreach

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

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 .

Tuesday, March 10, 2020

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

7:30 a.m.

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

Welcome

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

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. Please submit questions by noon on March 9. Brandon Cain [email protected] Southern Company Eric Jebsen [email protected] Exelon Generation Sarah Snow [email protected] Cooperative Energy

2

Agenda

* * * WebEx Begins * * *

Agenda WebEx Logon 2020 Outreach

9:15 a.m.

Break

9:30 a.m.

Welcome WebEx Attendees

Todd Curl - SERC

and REF Recap

Senior Manager of Compliance Monitoring

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Jason Blake - SERC President & CEO

9:45 a.m.

SERC Update

10:30 a.m.

Break

10:40 a.m.

CMEP Processes

Todd Curl - SERC

- Inherent Risk Assessment (IRA) - Audit Notification Letter (ANL - Audit Process - Feedback Loop to IRA after Audit

Senior Manager of Compliance Monitoring

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

Scott Knewasser - SERC

Senior Manager, Risk Assessment & Mitigation

11:30 a.m.

New and Revised Standards Update SERC Staff - CIP-003-8 Security Management Controls Justin Kelly, Senior CIP Auditor / Presentation - CIP-005-6 Electronic Security Perimeter(s) - CIP-010-3 Configuration Change Management & Vulnerability Assessments Vijay Naik, CIP Auditor / Presentation - PRC-002-2 Disturbance Monitoring & Reporting Requirements - PER-006-1 Specific Training for Personnel - PRC-027-1 Coordination of Protection Systems for Performance During Faults Harry Spiess, O&P Auditor / Presentation

3

Agenda

12:00 p.m.

Lunch

Agenda WebEx Logon 2020 Outreach

1:00 p.m.

O&P Evidence Submittal Expectations SERC O&P Audit Staff

- Jin Chen, Associate O&P Auditor - Derek Lepresti, Compliance Auditor - Alex Shestopal, Associate O&P Auditor - Greg Tenley, Senior Compliance Auditor

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

1:30 p.m.

Building Internal Controls for NERC Andrew Ledoux, PE - Lafayette Utilities System Compliance Electrical Engineer III

2:00 p.m.

Break

2:15 p.m.

CIP-004-6

Justin Kelly - SERC Senior CIP Auditor

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

- Failure Modes

- Auditing

3:15 p.m.

Break

FAC-008 Audit Experience

James Vermillion - Associated Electric Cooperative Senior Transmission Planning Engineer

3:30 p.m.

FAC-008

Steve Rose - SERC O&P Auditor

4:00 p.m.

NAGF Overview & Activities

Brett Koelsch - Duke Energy Lead Compliance Analyst

4:15 p.m.

4

Agenda

4:30 p.m.

Patch Management

Bill Peterson - SERC Manager, Outreach & Training

Agenda WebEx Logon 2020 Outreach

Wrap-up

Todd Curl - SERC Senior Manager of Compliance Monitoring

4:55 p.m.

5:00 p.m.

Adjourn

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Wednesday, March 11, 2020

7:30 a.m.

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

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

* * * WebEx Begins * * *

Welcome: Day 2

Todd Curl – SERC Senior Manager of Compliance Monitoring Gaurav Karandikar - SERC Manager, RAPA & Technical Service

8:00 a.m.

Risk Management & Communication

8:05 a.m.

Using Internal Controls to Stephen Brown - SERC Prepare & Sustain CIP Audit Program Manager, CIP Monitoring

8:30 a.m.

8:45 a.m.

Lifecycle of a Violation

Drew Slabaugh - SERC Legal Counsel

9:05 a.m.

Break

5

Agenda

9:20 a.m.

Supply Chain Update

Brian Allen - NERC Senior O&P Auditor

Agenda WebEx Logon 2020 Outreach

SCS NERC Internal Controls

Randall Hubbard - Southern Company NERC Internal Controls Project Manager

9:50 a.m.

10:20 a.m.

Break

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

10:30 a.m.

CORES

Kevin Koloini - NERC Engineer & Project Manager, Registration Peter Heidrich - SERC Senior Coordinator, Certification & Registration

Align

Andrew Williamson - SERC Director, Reliability Assurance

11:25 a.m.

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

Wrap-up

Todd Curl - SERC Senior Manager of Compliance Monitoring

11:55 a.m.

12:00 p.m.

Adjourn

6

WebEx Logon

The WebEx session will be recorded. The recording will be posted to the SERC website and will, therefore, become public.

Agenda WebEx Logon 2020 Outreach

Tuesday, March 10, 2020

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

Join Webex meeting Meeting number (access code): 719 168 932 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada) Wednesday, March 11, 2020 Join Webex meeting Meeting number (access code): 715 630 831 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

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

2020 Outreach & Training Events

Compliance Seminars: Charlotte, NC / WebEx Event details and registration are available on the SERC website under Outreach / Upcoming Events.

March 11 Small Entity Seminar October 6 - 7 CIP Compliance Seminar November 10 - 11 Fall Compliance Seminar

MORE

8

2020 Outreach & Training Events

Webinar Series Event details are available on the SERC website under Outreach / Upcoming Events. No registration required.

May 11 July 27

Q2 2020 Open Forum Q3 2020 Open Forum

MORE

9

2020 Outreach & Training Events

System Operator Conferences Event details and registration are available on the SERC website under Outreach / Upcoming Events.

April 7 - 9

Greenville, SC

April 28 - 30 Greenville, SC August 25 - 27 Franklin, TN Sep 29 - Oct 1 Franklin, TN

MORE

10

2020 Technical Committee Meetings

Event details and registration are available on the SERC website under Outreach / Upcoming Events.

Technical Committee Meetings : Charlotte, NC / WebEx • Spring March 16 - 18 • Fall September 21 - 23 (Registration not yet open.)

Summer Regional Meeting / Pig Roast To Be Announced

11

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 2020 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.

12

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.

Agenda WebEx Logon 2020 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

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 2020 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.

14

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 2020 Outreach

ACC

Alternate Compliance Contact

AECI

Associated Electric Cooperative, Inc.

ATL

Audit Team Lead

BA

Balancing Authority

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

BCSI

BES Cyber System Information

BES

Bulk Electric System

BOTCC

(NERC) Board of Trustees Compliance Committee

BPS

Bulk Power System

CBT

Computer-based Training

CCC

Compliance and Certification Committee (NERC Committee)

CE

Compliance Exception

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

CEA

Compliance Enforcement Authority

CFR

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

CIP

Critical Infrastructure Protection (Family in NERC Reliability Standards)

CMAT

Controls Monitoring and Testing (Southern Company acronym)

CMEP

Compliance Monitoring and Enforcement Program

CMEP IP

Compliance Monitoring and Enforcement Program Implementation Plan

CORES

Centralized Organization Registration ERO System

COSO

Committee of Sponsoring Organizations (Treadway Commission)

CPC

Compliance Program Coordinators

DB

Design Basis

DP

Distribution Provider (Function)

DR

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