2019 Fall Compliance Seminar

2019 Fall Compliance Seminar

Fall Compliance Seminar Agenda Brochure

October 8 - 9, 2019 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. 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 .

Agenda WebEx Logon 2020 Outreach

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Tuesday, October 8, 2019

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.

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

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 October 7. Brad Arnold [email protected] Ameren Missouri Eric Jebsen [email protected] Exelon Generation Sarah Snow [email protected] Cooperative Energy Bill Thigpen [email protected] PowerSouth Energy Cooperative

9:15 a.m.

Break

2

Agenda

* * * WebEx Begins * * *

Agenda WebEx Logon 2020 Outreach

9:30 a.m.

Welcome WebEx Attendees

Todd Curl - SERC Senior Manager of Compliance Monitoring

SERC Update

Tim Ponseti - SERC Vice President of Operations

9:35 a.m.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

10:00 a.m.

2020 CMEP IP

Todd Curl – SERC Senior Manager of Compliance Monitoring

10:30 a.m. 10:45 a.m.

Break

FAC-003

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

Enforcement Trends

Drew Slabaugh - SERC Legal Counsel

Best Management Practices

Johnathan McQuaide - Duke Energy Lead Business & Technical Consultant

11:15 a.m.

Audit Preparation

Heath Martin - SERC Senior O&P Auditor Harry Spiess - SERC O&P Auditor

Audit Preparation

12:00 p.m.

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

Todd Curl - SERC Senior Manager of Compliance Monitoring

1:00 p.m.

REF Recap

3

Agenda

1:15 p.m.

PRC-019, PRC-024, and

Jason Espinosa - Seminole Electric Cooperative

PRC-025 Guidance

System Protection Engineer

Agenda WebEx Logon 2020 Outreach

2:00 p.m.

PRC-005 Audit Expectations

Serge Beauzile - SERC Senior O&P Auditor

& Best Practices

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

2:30 p.m.

Break

2:45 p.m.

NERC Standards Update /

Howard Gugel - NERC

Standards Efficiency Review

Vice President of Engineering and Standards

3:30 p.m.

Break

3:45 p.m.

Cold Weather Preparedness

Marty Sas - SERC Senior Lead Engineer Mike Vastano - SERC Senior O&P Auditor

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

4:15 p.m.

MOD Standards

4:45 p.m.

Wrap-up

Todd Curl - SERC Senior Manager of Compliance Monitoring

4

Agenda

Wednesday, October 9, 2019

7:30 a.m.

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

Agenda WebEx Logon 2020 Outreach

* * * WebEx Begins * * *

Welcome: Day 2

Todd Curl - SERC Senior Manager of Compliance Monitoring Bill Thigpen - PowerSouth Energy Cooperative Supervisor of Compliance Support

8:00 a.m.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

8:05 a.m.

REF Steering Committee Election

8:15 a.m.

Compliance Oversight Plan

Janice Carney - SERC Senior Compliance Engineer Yvette Landin - NERC Advisor, Compliance Assurance

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

8:45 a.m.

Internal Controls

Greg Tenley - SERC Senior O&P Auditor

9:00 a.m.

Noncompliance Submittals

Rick Dodd - SERC Senior CIP Compliance Specialist

9:15 a.m. 9:30 a.m.

Break

Assistance Lessons Learned

Bill Peterson - SERC Manager, Outreach & Training Mike Kuhl - SERC Supervisor, Operations & Planning

10:00 a.m.

Risky Trends

5

Agenda

10:15 a.m.

FAC-008

Joel Rogers - SERC Senior O&P Auditor

Agenda WebEx Logon 2020 Outreach

10:45 a.m.

Break

11:00 a.m.

Align

Andrew Williamson - SERC Director, Reliability Assurance

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

11:05 a.m.

REF Responses

SERC Staff

11:55 a.m.

Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

12:00 p.m.

Adjourn

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

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, October 8, 2019

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

Join Webex meeting Meeting number (access code): 719 873 220 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada) Wednesday, October 9, 2019 Join Webex meeting Meeting number (access code): 710 549 172 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 will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019.

March 10 - 11

Spring Compliance Seminar

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 will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019. No registration required.

January 27 February 10

Q1 2020 Open Forum

SERC 101

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 will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019.

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 will be available on the SERC website under Outreach / Upcoming Events by November 15, 2019. Technical Committee Meetings : Charlotte, NC / WebEx • Spring March 16 - 18 • Fall September 28 - 30

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

AML

Actively Monitored List

ANL

Audit Notification Letter

ANSI

American National Standards Institute

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

AVR

Automatic Voltage Regulator

BA

Balancing Authority

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

BES

Bulk Electric System

BOT

Board of Trustees

BPS

Bulk Power System

Registered Entity Forum REF Steering Committee 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

COP

Compliance Oversight Plan

Combustion Turbine or Certification Team

CT

DC

Direct Current

DP

Distribution Provider (Function)

DR

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