SERC 101 Agenda

SERC 101 Agenda

SERC 101 Webinar Agenda Brochure

February 10, 2020

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. Purpose: Provide attendees on Compliance Monitoring and Enforcement Program (CMEP basics. Target audience is new registered entities and entity staff who may be new to the energy industry, the compliance area, or those who would like a refresher on CMEP basics.

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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

Monday, February 10, 2020

2:00 p.m.

Welcome

Todd Curl - SERC Senior Manager of Compliance Monitoring

2:05 p.m.

SERC’s Role

Drew Slabaugh - SERC

- Electric Reliability Organization (ERO)

Legal Counsel

- Delegation Agreement

2:15 p.m.

Technical Committees - Overview

Gaurav Karandikar - SERC Manager, RAPA & Technical Services

Registration

Peter Heidrich - SERC

2:25 p.m.

- Registration Changes

Senior Coordinator, Certification and Registration

- Certifications - BES Exceptions - CORES

2:40 p.m.

CMEP

Todd Curl - SERC

- Compliance Monitoring Methods - 2020 CMEP Implementation Plan - ISME Program

Senior Manager of Compliance Monitoring

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Agenda

2:55 p.m.

Risk Assessment and Mitigation - Risk-based Compliance Monitoring and Enforcement - Inherent Risk Assessments - Self-Reporting - Mitigation Compliance Audit Process - Operations & Planning (O&P) - Critical Infrastructure Protection (CIP)

Scott Knewasser - SERC

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Senior Manager, Risk Assessment & Mitigation

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

Mike Kuhl - SERC

3:10 p.m.

Supervisor, Operations & Planning Audits

Stephen Brown - SERC Manager, CIP Monitoring

Reliability Standards - Standard Process - Update - Standards Site

Mike Kuhl – SERC

3:30 p.m.

Supervisor, Operations & Planning Audits

Outreach

Bill Peterson - SERC

3:45 p.m.

- Seminars and Webinars - Assistance - eLearning - Newsletter - Q&A Process - REF Steering Committee

Manager, Outreach & Training

Wrap-up / Q&A

Todd Curl - SERC Senior Manager of Compliance Monitoring

3:55 p.m.

4:00 p.m.

Adjourn

3

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

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

Join Webex Meeting

Meeting number (access code): 715 169 709 Meeting password: SERC

Join by phone 1-408-792-6300 Call-in toll number (US/Canada) 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.

4

2020 Outreach

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

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Compliance Seminar Series Charlotte, NC / WebEx March 10 - 11

Spring Compliance Seminar

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

March 11

Small Entity Seminar

October 6 - 7 CIP Compliance Seminar November 10 - 11 Fall Compliance Seminar

Webinar Series 2:00 p.m. to 4:00 p.m. (Eastern) May 11

Q2 2020 Open Forum Q3 2020 Open Forum

July 27

System Operator Conference April 7 - 9

SOC #1 - Greenville, SC SOC #2 - Greenville, SC SOC #3 - Franklin, TN SOC #4 - Franklin, TN

April 28 - 30

August 25 - 27 Sep 29 - Oct 1

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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 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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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum 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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Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

8

Acronyms

ATL

Audit Team Lead

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BA

Balancing Authority

BAL

Resource and Demand Balancing (Family in NERC Reliability Standards)

BES

Bulk Electric System

BPS

Bulk Power System

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum 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

COI

Conflict of Interest

COP

Compliance Oversight Plan

DP

Distribution Provider (Function)

E-ISAC

Electricity - Information Sharing and Analysis Center

EMS

Energy Management System

ERO

Electric Reliability Organization

FAC

Facilities, Design, Connections, and Maintenance (Family in NERC Reliability Standards)

FERC

Federal Energy Regulatory Commission

GO

Generator Owners

GOP

Generator Operators

IA

Interchange Authority (Retired function)

IRA

Inherent Risk Assessment

ISME

Industry Subject Matter Expert

LSE

Load Serving Entity (Retired function)

MW

Megawatt

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Acronyms

NDA

Non-disclosure Agreement

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NCSO

NERC Certified System Operator

NERC

North American Electric Reliability Corporation

O&P

Operations & Planning

PC

Planning Coordinator (Function)

Antitrust Guidelines Confidentiality Policy Standards of Conduct Acronyms Questions for SERC Registered Entity Forum Speaker Bios Click on speaker’s name in agenda.

PLCS

Planning Coordination Subcommittee

PSE

Purchasing-Selling Entity (Retired function)

RAM

Risk Assessment & Mitigation

RAPA

Reliability Assessment and Performance Analysis

RatSTATS

Regional Advanced Techniques Staff-Statistical (Audit tool used by US Dept. of Health & Human Services)

RC

Reliability Coordinator (Function)

REF

Registered Entity Forum

ROP

Rules of Procedure

RSAW

Reliability Standards Audit Worksheet

SAR

Standard Authorization Request

SCADA

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