Q2 2018 Open Forum Agenda

Q2 2018 Open Forum Agenda

Q2 2018 Open Forum Webinar

Q2 2018 Open Forum Webinar Agenda Brochure

May 21, 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, May 21, 2018

Welcome

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring Bill Peterson, MBA, CISSP, CISM - SERC Manager, Entity Assistance

2:00 p.m.

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

2:05 p.m.

Industry Subject Matter Expert (ISME)

2:20 p.m.

Don’t Get Caught - Phishing Prevention Mike Hagee, CPP, MA - SERC Senior Program Manager, Assistance

CIP-003-7 Standard / FERC Order 843 Cedric Williams, CISSP, GICSP - SERC CIP Auditor and PEI Program Manager Drew Slabaugh - SERC Legal Counsel

2:35 p.m.

2:50 p.m.

Mitigation Plan Expectations

James McGrane - SERC Manager, Entity Assessment and Mitigation

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Agenda

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3:05 p.m.

Standards Update / Audit Expectations

Barbara Marion, NCSO - SERC O&P Compliance Auditor

3:20 p.m.

Internal Controls

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Operations & Planning

Greg Tenley, NCSO - SERC O&P Compliance Auditor Wayne Ahl - SERC Senior CIP Compliance Auditor

CIP

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

3:50 p.m.

Open Discussion / Q&A

SERC Staff

Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

3:55 p.m.

4:00 p.m.

Adjourn

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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 September 19-20

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

CIP Compliance Seminar Fall Compliance Seminar

October 10-11

Outreach WebEx Series 2:00 p.m. to 4:00 p.m. (Eastern) May 21

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

Open Forum Webinar Open Forum Webinar

July 30

System Operator Conference September 11-13

Chattanooga, TN Chattanooga, TN

September 25-27

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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.

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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.

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Acronyms

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ATL BCS BES

Audit Team Lead BES Cyber Systems Bulk Electric System

CIP

Critical Infrastructure Protection (Family in NERC Reliability Standards) Compliance Monitoring and Enforcement Program Compliance Monitoring and Enforcement Program Implementation Plan

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

CMEP

CMEP IP

ERO

Electric Reliability Organization

FERC GMD ISME LEAP LERC MOD NCSO NERC

Federal Energy Regulatory Commission Geomagnetic Disturbance Industry Subject Matter Expert Low-impact Electronic Access Point Low-impact External Routable Connectivity

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

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