Q3 2018 Open Forum Agenda

Q3 2018 Open Forum Agenda

Q3 2018 Open Forum Webinar

Q3 2018 Open Forum Webinar Agenda Brochure

July 30, 2018 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).

Agenda WebEx Logon 2018 Outreach

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Monday, July 30, 2018

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.

Standards Update / Audit Expectations

Barbara Marion, NCSO - SERC O&P Compliance Auditor John Wolfmeyer, PE - SERC Senior Compliance Engineer Greg Tenley, NCSO - SERC O&P Compliance Auditor

Mitigation Plan Expectations

2:30 p.m.

2:45 p.m.

Internal Controls

Operations & Planning

Carlos Valiente, CISSP, CISA, CISM, CGEIT

3:00 p.m.

Internal Controls

CIP

SERC Senior CIP Compliance Auditor

3:15 p.m.

Most Violated CIP Standards

Cedric Williams, CISSP, GICSP - SERC CIP Auditor and PEI Program Manager

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Agenda

Agenda WebEx Logon 2018 Outreach

3:30 p.m.

SERC Assistance

Mike Hagee, CPP, MA - SERC Senior Program Manager, Assistance

3:45 p.m.

Open Discussion / Q&A

SERC Staff

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

3:55 p.m.

4:00 p.m.

Adjourn

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

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WebEx Logon

Agenda WebEx Logon 2018 Outreach

The WebEx session will not be recorded.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Join WebEx meeting Meeting number (access code): 711 811 525 Meeting password: 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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2018 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

September 19-20 CIP Compliance Seminar October 10-11 Fall Compliance Seminar

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

System Operator Conference September 11-13 Chattanooga, TN September 25-27 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.

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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.

Agenda WebEx Logon 2018 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.

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Acronyms

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AISME Assistance Industry Subject Matter Expert BCA BES Cyber Asset BCS BES Cyber Systems BES Bulk Electric System BPS Bulk Power System CEA Compliance Enforcement Authority CIP

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Critical Infrastructure Protection (Family in NERC Reliability Standards) CMEP IP Compliance Monitoring and Enforcement Program Implementation Plan COM Communications (Family in NERC Reliability Standards) COP Compliance Oversight Plan EACMS Electronic Access Control and/or Monitoring Systems EOC Extent of Condition ERO Electric Reliability Organization FERC Federal Energy Regulatory Commission IA Interchange Authority (Retired function) INT Interchange Scheduling and Connection (Family in NERC Reliability Standards) IRO

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

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

LSE

Load Serving Entity (Retired function)

MOD

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