Q1 2020 Open Forum Agenda

Q1 2020 Open Forum Agenda

Q1 2020 Open Forum Webinar Agenda Brochure

January 27, 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 all SERC registered entities with an update on Compliance Monitoring and Enforcement Program (CMEP) developments, lessons learned, and key messages.

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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, January 27, 2020

2:00 p.m.

Welcome

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

2:05 p.m.

2020 SERC Compliance Program

2:30 p.m.

2020 Audit Preparation

Heath Martin - SERC Senior Auditor, O&P Stephen Brown - SERC Manager, CIP Monitoring

- O&P - CIP

3:00 p.m.

Assistance Program Lessons Learned Mike Hagee - SERC

Senior Program Manager, Assistance

New / Revised O&P Standards in 2020 Harry Spiess - SERC O&P Auditor

3:30 p.m.

3:45 p.m.

Evidence Request Tool

Stephen Brown - SERC Manager, CIP Monitoring

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Agenda

3:55 p.m.

Wrap-up / Q&A

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

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4:00 p.m.

Adjourn

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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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): 713 082 429 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) February 10 SERC 101 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

BA

Balancing Authority

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

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BCS

BES Cyber System

BES

Bulk Electric 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 COM Communications (Family in NERC Reliability Standards) DP Distribution Provider (Function) EMS Energy Management System ERO Electric Reliability Organization ERT Evidence Request Tool FAC Facilities, Design, Connections, and Maintenance (Family in NERC Reliability Standards) GO Generator Owner (Function) GOP Generator Operator (Function) INT Interchange Scheduling and Connection (Family in NERC Reliability Standards) IRO Interconnection Reliability Operations and Coordination (Family in NERC Reliability Standards)

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Acronyms

MOD

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