SERC Title Page

SERC Title Page

Small Entity Seminar

Small Entity Seminar Agenda Brochure

March 7, 2018 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 1:30 p.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 . 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. Scott Brame, PE Bill Thigpen [email protected] [email protected] North Carolina Electric Membership Corporation PowerSouth Energy Cooperative Manager of Reliability Compliance Supervisor of Compliance Support Sarah Snow [email protected] Cooperative Energy Reliability Compliance Administrator Wednesday, March 7, 2018 12:15 p.m. Lunch / Registered Entity Forum (REF)

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.

1:15 p.m.

Break

* * * 1:30 p.m. WebEx Begins * * *

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Agenda

Agenda WebEx Logon 2018 Outreach

1:30 p.m.

Welcome and REF Recap

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

Internal Controls

Heath Martin, NCSO - SERC Compliance Auditor

1:45 p.m.

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

2:30 p.m.

Low to Medium Impact (CIP-003)

Clay Shropshire, MBA, CPP, PSP, CSPM - SERC

Medium Impact Chart

CIP Compliance Auditor

3:00 p.m.

Break

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

3:15 p.m.

Entity Assistance

Bill Peterson, MBA, CISSP, CISM - SERC Manager, IT and Entity Assistance

Entity Assistance 2018 Catalog

3:30 p.m.

Managing the Changing Workplace

Patti Metro - NRECA Senior Grid Operations & Reliability Director

In the Know

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

4:00 p.m.

4:30 p.m.

SERC Responses to REF Questions

SERC Staff

Q&A / Wrap-up

Todd Curl, NCSO - SERC Senior Manager of Compliance Monitoring

4:45 p.m.

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WebEx Logon

Agenda WebEx Logon 2018 Outreach

The WebEx session will be recorded. The recording will be posted to the SERC website and will, therefore, become public.

Wednesday, March 7, 2018

WebEx Begins at 1:30 p.m. (Eastern)

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Join WebEx meeting Meeting number (access code): 711 832 277 Meeting password: SERC Join by phone 1-408-792-6300 Call-in toll number (US/Canada)

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

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.

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)

Agenda WebEx Logon 2018 Outreach

Compliance Seminar Series Charlotte, NC / WebEx September 19 - 20, 2018

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

CIP Compliance Seminar Fall Compliance Seminar

October 10 - 11, 2018

Outreach WebEx Series 2:00 p.m. to 4:00 p.m. (Eastern) May 21, 2018

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

Open Forum Webinar Open Forum Webinar

July 30, 2018

System Operator Conference April 10-12, 2018

Greenville, SC Greenville, SC Chattanooga, TN Chattanooga, TN

May 1-3, 2018

September 11-13, 2018 September 25-27, 2018

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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.

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.

6

Confidentiality Policy

Agenda WebEx Logon 2018 Outreach

• 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

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. AJC American Job Centers APPA American Public Power Association BA Balancing Authority (Function) BCA BES Cyber Asset BES Bulk Electric System BPS Bulk Power System BROS BES Reliability Operating Services CEA Compliance Enforcement Authority CIP Critical Infrastructure Protection (Family in NERC Reliability Standards) CMEP Compliance Monitoring and Enforcement Program COP Compliance Oversight Plan CSTF Cybersecurity Task Force EACMS Electronic Access Control and/or Monitoring Systems EAP Electronic Access Point EEI Edison Electric Institute E-ISAC Electricity - Information Sharing and Analysis Center ELCON Electricity Consumers Resource Council EPSA Electric Power Supply Association ERC External Routable Connectivity ERO Electric Reliability Organization ESP Electronic Security Perimeter

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

Agenda WebEx Logon 2018 Outreach

FERC FRCC

Federal Energy Regulatory Commission Florida Reliability Coordinating Council

Inherent Risk Assessment and Interactive Remote Access

IRA

ISME

Industry Subject Matter Expert

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

kV

Kilovolts (1000 volts)

MRO

Midwest Reliability Organization Mega Volt-ampere Reactive

MVAR

MW

Megawatt

NAGF NATF NERC NPCC

North American Generator Forum North American Transmission Forum

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

North American Electric Reliability Corporation

Northeast Power Coordinating Council

NRECA

National Rural Electric Cooperative Association

PACS

Physical Access Control System

PCA PSP RAS

Protected Cyber Asset

Physical Security Perimeter Remedial Action Scheme

RE

Regional Entity (sometimes also used for Registered Entity)

REF

Registered Entity Forum

RF

ReliabilityFirst

ROP

Rules of Procedure

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Acronyms

Agenda WebEx Logon 2018 Outreach

RSAW Reliability Standards Audit Worksheet RTF Reliability Task Force RTO Regional Transmission Organization SPP Southwest Power Pool, RE SPS Special Protection System SVA Student Veterans of America TO Transmission Owner (Function) TOP Texas RE Texas Reliability Entity (Also shown as TRE) VRF Violation Risk Factor VSL Violation Severity Level WECC Western Electricity Coordinating Council

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC

Transmission Operator (Function) or Transmission Operations (Family in NERC Reliability Standards)

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

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Questions for SERC

Agenda WebEx Logon 2018 Outreach

Topic

Email

• General inquiries / FAQ

[email protected]

• Media inquiries • SERC Membership • SERC Committees • SERC Compliance & Committee Portal/Committee related issues • Compliance Seminar topic suggestions • Open Forum topic suggestions • Compliance monitoring methods: o Self-Certification o Self-Report submittals o Compliance >Page 1 Page 2 Page 3 Page 4 Page 5 Page 6 Page 7 Page 8 Page 9 Page 10 Page 11 Page 12 Page 13 Page 14 Page 15 Page 16 Page 17 Page 18 Page 19 Page 20 Page 21 Page 22 Page 23

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