Q3 2019 Open Forum Agenda

Q3 2019 Open Forum Agenda

Q3 2019 Open Forum Webinar Agenda Brochure

July 29, 2019

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. Phase 1 will begin at 1:00 p.m. Phase I Purpose: Provide Florida registered entities with a review of Q&As received during the integration process. Phase II will begin at 2:00 p.m. Phase II 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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Monday, July 29, 2019

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

Phase I 1:00 p.m.

Welcome

Gaurav Karandikar - SERC Manager, RAPA and Technical Services

Internal Controls - Operations & Planning

Mike Kuhl, NCSO, IAP - SERC Supervisor, Operations and Planning Audits

- Critical Infrastructure Protection

Stephen Brown, MBA, CISM - SERC Manager, CIP Monitoring

Integration Q&A

Gaurav Karandikar - SERC Manager, RAPA and Technical Services

2

Agenda

Phase II 2:00 p.m.

Welcome

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

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2:05 p.m.

New Reliability Assurance Organization Andrew Williamson - SERC Director, Reliability Assurance

Standards Update

David Krueger - SERC Senior Lead Engineer, RAPA

2:15 p.m.

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CORES

Fred Rains, PE - SERC Certification and Registration Coordinator Peter Heidrich, NCSO - SERC Sr. Certification and Registration Coordinator

2:30 p.m.

Align

Andrew Williamson - SERC Director, Reliability Assurance

3:00 p.m.

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

Assistance Tips: Security

Bill Peterson, MBA, CISM, CISSP - SERC Manager, Outreach and Training

3:15 p.m.

3:30 p.m.

Audit Evidence - Operations & Planning

Heath Martin, NCSO - SERC Sr. Compliance Auditor Trey Brown, CISA and Clay Shropshire, CPP, PSP SERC CIP Compliance Auditors

- Critical Infrastructure Protection

Wrap-up / Q&A

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

3:55 p.m.

4:00 p.m.

Adjourn

3

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The WebEx session will not be recorded.

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Join Webex Meeting

Meeting number (access code): 716 062 557 Meeting password: SERC

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

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4

2019 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx September 17-18 CIP Compliance Seminar October 8-9 Fall Compliance Seminar

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

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

5

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

6

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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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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8

Acronyms

ANL

Audit Notification Letter

ATL

Audit Team Lead

BA

Balancing Authority (Function)

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BES

Bulk Electric System

BESNet

Bulk Electric System Exceptions

BPS

Bulk Power System

CEA

Compliance Enforcement Authority

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CFR

Coordinated Functional Registration

CIP

Critical Infrastructure Protection (Family in NERC ReliabilityStandards)

CMEP

Compliance Monitoring and Enforcement Program

CORES

Centralized Organization Registration ERO System

COSO

Committee of Sponsoring Organizations (Treadway Commission)

CRA

Change Readiness Assessment

DP

Distribution Provider (Function)

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

DR

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