Q2 2019 Open Forum Agenda

Q2 2019 Open Forum Agenda

Q2 2019 Open Forum Webinar

Q2 2019 Open Forum Webinar Agenda Brochure

May 6, 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, May 6, 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.

2:10 p.m.

Standards Update - Operations & Planning

Mike Kuhl, NCSO, IAP - SERC Supervisor, Operations and Planning Audits Stephen Brown, MBA, CISM - SERC Supervisor, CIP Audits Todd Beam - SERC Senior CIP Compliance Specialist

- Critical Infrastructure Protection

Entity Assessment and Mitigation

2:30 p.m.

2:45 p.m.

NERC Initiatives - Align Tool

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

- ERO Enterprise Webinar Series:

Jimmy C. Cline – SERC Managing Counsel

Violation Themes

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Agenda

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3:05 p.m.

FERC CIP Audits: Lessons Learned

Stephen Brown, MBA, CISM - SERC Supervisor, CIP Audits

Assistance Engagement

Bill Peterson, MBA, CISM - SERC

3:20 p.m.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Manager, Entity Assistance

- Lessons Learned

3:35 p.m.

High Risk - O&P: Real-time Assessment

Marcus Beasley - SERC Compliance Auditor

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

- CIP Standard

Stephen Brown, MBA, CISM - SERC Supervisor, CIP Audits

Wrap-up / Q&A

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

3:55 p.m.

4:00 p.m.

Adjourn

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WebEx Logon

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The WebEx session will not be recorded.

Join Webex meeting Meeting number (access code): 710 188 945 Meeting password: SERC

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Join by phone 1-408-792-6300 Call-in toll number (US/Canada) 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.

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2019 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx August 13

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Align Tool Training #1

August 20 Align Tool Training #2 September 17-18 CIP Compliance Seminar October 8-9 Fall Compliance Seminar

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

Outreach WebEx Series May 6

Q2 Open Forum Webinar Q3 Open Forum Webinar

July 29

System Operator Conference September 11-13 SOC #3 - Chattanooga, TN September 25-27 SOC #4 - Chattanooga, TN

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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.

6

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.

7

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.

8

Acronyms

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BES BPS

Bulk Electric System Bulk Power System

CIP

Critical Infrastructure Protection (Family in NERC Reliability Standards)

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

CMEP

Compliance Monitoring and Enforcement Program

COM Communications (Family in NERC Reliability Standards) EACMS Electronic Access Control and/or Monitoring Systems EPR Enhanced Periodic Review ERO Electric Reliability Organization FAC

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

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

FERC

Federal Energy Regulatory Commission

ICMP

Internet Control Message Protocol

Inherent Risk Assessment and Interactive Remote Access

IRA IRO

Interconnection Reliability Operations and Coordination (Family in NERC Reliability Standards)

IROL

Interconnection Reliability Operating Limit

NATF NERC

North American Transmission Forum

North American Electric Reliability Corporation National Institute of Standards and Technology

NIST

NIST SP NIST Special Publication

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Acronyms

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O&P

Operations & Planning

PACS

Physical Access Control System

PCA

Protected Cyber Asset

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

PDS

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