escc_open call agenda_oct_18_2011

Transcription

Electricity Sub-Sector Coordinating Council
OPEN Meeting Agenda
October 18, 2011 | 2:00 – 3:00 p.m. ET
Dial in: 800-772-0453
No Code Needed
Introductions and Chair’s Remarks
NERC Antitrust Compliance Guidelines
Consent Agenda – Approve
August 16, 2011 OPEN meeting minutes *
Status of ESCC Actions *
Regular Agenda
1. Key Issues Update
a. Critical Infrastructure issues update — Mark Weatherford
i.
Proposed CIPC working group opportunities

Support the ESCS WG Roadmap to Achieve Energy Delivery Systems Cybersecurity
implementation by prioritizing initiatives

Develop requirements for national electricity sector security clearance program

Assist NERC in identifying performance-based industry cybersecurity metrics
ii. INDUSTRY ADVISORIES — Tim Roxey

Update – Telephone-Enabled Weakness

Update – PLC Protocol Weakness

Remote Access Guidance
iii. NERC Electricity Sector Grid Exercise (GridEx) — Brian Harrell
iv. 2011 NERC Security Summit— Brian Harrell
v. Status of DOE/NIST/NERC Risk Management Framework — Brian Harrell
2. Coordinated Action Plan — Stuart Brindley
a. Status of Task Force efforts *
b. Spare Equipment Database Task Force – Final Report * — Dale Burmester
c. Approval process and milestones for Task Force deliverables *
3. FERC Notice of Proposed Rulemaking, CIP Version 4 — Scott Mix/Janet Sena
4. CIPC Strategic Work Plan Development — Barry Lawson
Future Meetings
Tuesday
November 15, 2011
2:00 - 4:00 p.m.
CLOSED conference call
Tuesday
January 17, 2012
2:00 – 3:00 p.m.
OPEN conference call
8:00 a.m. – 3:00 p.m.
All day in-person meeting,
Washington DC
Thursday March 15, 2012
Tuesday
April 17, 2012
2:00 – 3:00 p.m.
Tuesday
July 17, 2012
2:00 – 4:00 p.m.
Thursday September 27, 2012
2:00 – 3:00 p.m.
Tuesday
2:00 – 4:00p.m.
November 27, 2012
* Background material included
OPEN Meeting Agenda – October 18, 2011
2
Antitrust Compliance Guidelines
I. General
It is NERC’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 that might
appear to violate, the antitrust laws. Among other things, the antitrust laws forbid any agreement
between or among competitors regarding prices, availability of service, product design, terms of sale,
division of markets, allocation of customers or any other activity that unreasonably restrains
competition.
It is the responsibility of every NERC participant and employee who may in any way affect NERC’s
compliance with the antitrust laws to carry out this commitment.
Antitrust laws are complex and subject to court interpretation that can vary over time and from one
court to another. The purpose of these guidelines is to alert NERC participants and employees to
potential antitrust problems and to set forth policies to be followed with respect to activities that may
involve antitrust considerations. In some instances, the NERC policy contained in these guidelines is
stricter than the applicable antitrust laws. Any NERC participant or employee who is uncertain about
the legal ramifications of a particular course of conduct or who has doubts or concerns about whether
NERC’s antitrust compliance policy is implicated in any situation should consult NERC’s General Counsel
immediately.
II. Prohibited Activities
Participants in NERC activities (including those of its committees and subgroups) should refrain from
the following when acting in their capacity as participants in NERC activities (e.g., at NERC meetings,
conference calls and in informal discussions):
•
Discussions involving pricing information, especially margin (profit) and internal cost
information and participants’ expectations as to their future prices or internal costs.
•
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 reviewed with
NERC’s General Counsel before being discussed.
III. Activities That Are Permitted
From time to time decisions or actions of NERC (including those of its committees and subgroups) may
have a negative impact on particular entities and thus in that sense adversely impact competition.
Decisions and actions by NERC (including its committees and subgroups) should only be undertaken for
the purpose of promoting and maintaining the reliability and adequacy of the bulk power system. If
you do not have a legitimate purpose consistent with this objective for discussing a matter, please
refrain from discussing the matter during NERC meetings and in other NERC-related communications.
You should also ensure that NERC procedures, including those set forth in NERC’s Certificate of
Incorporation, Bylaws, and Rules of Procedure are followed in conducting NERC business.
In addition, all discussions in NERC meetings and other NERC-related communications should be within
the scope of the mandate for or assignment to the particular NERC committee or subgroup, as well as
within the scope of the published agenda for the meeting.
No decisions should be made nor any actions taken in NERC activities for the purpose of giving an
industry participant or group of participants a competitive advantage over other participants. In
particular, decisions with respect to setting, revising, or assessing compliance with NERC reliability
standards should not be influenced by anti-competitive motivations.
Subject to the foregoing restrictions, participants in NERC activities may discuss:
•
Reliability matters relating to the bulk power system, including operation and planning matters
such as establishing or revising reliability standards, special operating procedures, operating
transfer capabilities, and plans for new facilities.
•
Matters relating to the impact of reliability standards for the bulk power system on electricity
markets, and the impact of electricity market operations on the reliability of the bulk power
system.
•
Proposed filings or other communications with state or federal regulatory authorities or other
governmental entities.
Matters relating to the internal governance, management and operation of NERC, such as nominations
for vacant committee positions, budgeting and assessments, and employment matters; and procedural
matters such as planning and scheduling meetings.
2
DRAFT Meeting Minutes – OPEN Session
August 16, 2011
Electricity Sub-Sector Coordinating Council (ESCC) Chair Gerry Cauley called to order a duly noticed
meeting of the Electricity Sub-Sector Coordinating Council on August 16, 2011 at 2:00 p.m. ET, and a
quorum was declared present. The meeting agenda and list of attendees are attached as Exhibits A
and B, respectively.
Chair Cauley called attention to the NERC Antitrust Compliance Guidelines.
ESCC Members present in addition to Chair Cauley were Janice Case, Gary Fulks, Ken Ksionek, Paul
Murphy, John Procario, and Jim Torgerson. NERC staff attending included Mark Weatherford (ESCC
Secretary), Tim Roxey (NERC Director - Critical Infrastructure Risk Management and Technology
Division), and Brian Harrell (NERC Manager of CIP Standards and Training). Additional NERC staff
attended to discuss specific agenda items along with the leadership of several of the Task Forces
implementing the Coordinated Action Plan.
Chair Cauley indicated he would invite questions from conference call participants at the end of the
call.
Summary of Discussions during Closed Portion of the Meeting
Chair Cauley provided a brief summary of ESCC discussions during the 8:00 am – 2:00 pm closed
portion of the meeting including:
DHS National Risk Profile. The ESCC endorsed comments submitted to DHS on behalf of the
ESCC.
DHS Reports: “Insider Threat to Utilities”and “Anonymous and Associated Hacker Groups”.
The ESCC was advised that these reports offer general advice only and were not intended to
imply any specific threat against the electricity infrastructure.
Geomagnetic Disturbance Task Force Update. The Task Force is developing a risk profile of the
impact on the electricity infrastructure of various magnitudes of geomagnetic storms, with a
one-in-a-hundred year storm as the primary reference. By the end of 2011, the Task Force will
deliver a report that recommends a range of mitigating actions including building protection
into new transformer designs and retro-fitting existing transformers that may be particularly
susceptible.
Spare Equipment Database Task Force. The Task Force is completing the specifications for a
new database and procedures for how the data will be used by industry to inventory spare high
voltage transformers while respecting entity confidentiality. The vendor-developed database
tool is expected to be available in early 2012.
Cyber Attack Task Force. The Task Force is analyzing a wide range of cyber attack modes
against control systems and developing detection and response actions.
The following items were discussed with government representatives from the Department of Energy
and Department of Homeland Security under the Critical Infrastructure Partnership Advisory Council
framework.
Roadmap to Achieve Energy Delivery Systems Cybersecurity. The ESCC endorsed this
document prepared by the Energy Sector Control Systems Working Group with support from
DOE. The ESCC will consider ways to support awareness of this plan by identifying priorities and
helping define projects that merit early adoption.
DHS Voluntary PS-Prep Framework Guide for the Electric Sector. The ESCC agreed to review
this Guide, provide comments to DHS, and make it available for industry use.
Personnel Security Clearances. The ESCC discussed with DOE and DHS representatives the need
to develop criteria for deciding the extent to which Secret and Top Secret personnel security
clearances need to be distributed across the electricity sector to help improve how sensitive
information is shared. NERC will coordinate with industry associations and other stakeholders
to draft criteria and procedures.
Key Issues Update
NERC staff provided updates regarding a number of critical infrastructure issues.
Industry Advisories. Tim Roxey discussed two industry advisories recently posted by NERC on
the Alerts portal.


The Telephony-Enabled Weakness advisory identifies a vulnerability associated with cellular
messaging that can be used to attack embedded systems architecture control networks.
The PLC Protocol Weakness identifies a vulnerability affecting certain programmable logic
controllers.
NERC Crisis Plan. Brian Harrell discussed NERC’s draft Crisis Plan which was reviewed with the
ESCC during the closed portion of the meeting. The Crisis Plan describes how NERC coordinates
and communicates with key stakeholders during a severe emergency affecting grid reliability.
NERC staff are developing procedural details with the goal of gaining broader stakeholder
supportand testing the plan during the NERC 2011 GridEx exercise in November.
NERC Electricity Sector Grid Exercise (GridEx). Mr. Harrell discussed the status of planning for
the NERC 2011 GridEx exercise which will be conducted on November 16-17, 2011. Details of
Draft OPEN Meeting Minutes - August 16, 2011
2
the scenario will not be released prior to the exercise but will involve a malicious cyber attack
that introduces malware to a substation. Over 35 NERC registered entities have committed to
actively participate in GridEx with many others participating as observers. The final planning
conference will be held on October 13.
NERC Security Summit. Mr. Harrell discussed the status of NERC’s Security Summit to be held
October 18-20, 2011 in New Orleans. All speaker arrangements have been finalized and at
present about 70 participants have registered. ESCC member Paul Murphy noted that this
conference will likely attract the attention of the media and ESCC Chairman Gerry Cauley
indicated that NERC staff will manage the conference as a communications event.
DOE/NIST/NERC Risk Management Framework. Mr. Harrell noted that this voluntary
framework for cybersecurity guidelines will soon be released for a 45 day public comment
period. ESCC Chairman Cauley reflected on past challenges related to sufficient stakeholder
input of NIST’s smart grid initiative. Mr. Harrell responded that many industry members have
directly contributed to developing the framework, representing a diverse range of entities.
ESCC members discussed how NERC and the industry may be able to support rolling out the
framework, and encourage early adopters. Mr. Murphy suggested that the ESCC could help by
identifying priority areas on behalf of the industry, much as it did in developing the ESCC’s
Critical Infrastructure Strategic Roadmap following the release of the HILF Report. Mr. Harrell
noted that the applicability of the framework will vary from company to company according to
their individual infrastructure, security controls, and management structure.
ESCC members and NERC staff responded to a number of questions from open conference call
participants.
Future Meetings
Tuesday, October 18, 2:00-3:00 pm OPEN conference call
Tuesday, November 15, 2:00-4:00 pm CLOSED conference call
ESCC members were solicited for their availability for meetings through 2012 and agreed to the
following:






Tuesday, January 17, 2:00 – 3:00 pm OPEN conference call
Thursday, March 15, 8:00 am – 3:00 pm all day in-person meeting, Washington DC
Tuesday, April 17, 2:00 – 3:00 pm OPEN conference call
Tuesday, July 17, 2:00 – 4:00 pm CLOSED conference call
Thursday, September 27, 2:00 – 3:00 pm OPEN conference call
Tuesday, November 27, 2:00 – 4:00pm CLOSED conference call
3
Adjourn
There being no further business, the meeting was adjourned at 2:50 p.m.
Submitted by,
Mark Weatherford
ESCC Secretary
4
Exhibit A
OPEN Agenda
August 16, 2011 | 2 – 3 p.m. EDT
Dial In: 800-671-8739
No Code Needed
1. Summary of Discussions During Closed Portion of This Meeting
a. Status of ESCC Actions* — Gerry Cauley
b. Involvement in Cross-Sector and Government Partnership Initiatives*
i.
ESCC comments on DHS National Risk Profile* — Stuart Brindley
ii.
DHS Report – “Insider Threat to Utilities” — Mark Weatherford
iii. DHS Report – “Anonymous and Associated Hacker Groups” — Mark Weatherford
c. Coordinated Action Plan – Discuss Issues and Challenges with Task Force Chairs*
i.
Geomagnetic Disturbance Task Force — Don Watkins, BPA
ii.
Spare Equipment Database Task Force — Dale Burmester, ATC
iii. Cyber Attack Task Force — Mark Engels, Dominion Virginia Power
iv. Severe Impact Resilience Task Force — Tom Bowe, PJM
v.
NERC Crisis Plan — Brian Harrell, NERC
d. Meeting with Government Representatives
i.
ESCC Endorsement of the Roadmap to Achieve Energy Delivery Systems Cybersecurity
ii.
Other
2. Key Issues Update
a. Critical Infrastructure Issues Update — Mark Weatherford
i.
INDUSTRY ADVISORIES:
116-390 Village Blvd.
Princeton, NJ 08540
609.452.8060 | www.nerc.com
 Telephone-Enabled Weakness — Tim Roxey
 PLC Protocol Weakness — Tim Roxey
ii.
2011 NERC Electricity Sector Grid Exercise (GridEx) — Brian Harrell
iii. 2011 NERC Security Summit and ESCC member keynote address— Brian Harrell
iv. Status of DOE/NIST/NERC Risk Management Framework — Brian Harrell
Future Meetings
Tuesday, October 18, 2:00 - 3:00 p.m. OPEN conference call
Tuesday, November 15, 2:00 - 4:00 p.m. CLOSED conference call
* Background material included
2
Exhibit B
Electricity Sub-Sector Coordinating Council (ESCC)
OPEN Meeting Participant List
16-Aug-11
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
First Name
John
Sharla
Carl
Regis
Lesley
George
Roman
Tiffany
* Richard
Tony
John
Tom
Brian
Matt
Tim
Kirk
Kent
Michael
Sarah
Nicole
Jason
Don
Allen
Darren
Priya
Eric
Rose
Nick
Rich
Robert
Richard
Scott
Crystal
Last Name
Allen
Artz
Berman
Biander
Bingham
Brown
Carter
Choi
Dearman
Edeleman
Helm
Hofstetter
Hogue
Johnson
Kelly
Kubousek
Kujala
Lombardi
Mahmood
Main Line
Marshall
McInnis
Mosher
Myers
Patel
Rollison
Safir
Santora
Sobonya
Ulmer
Waggel
Webber
Ziadeh
Company
City Utilities of Springfield
SEL
NATF
Federal Energy Regulatory Comi
SPP
Acciona Energy North America
NERC
SAIC
TVA
Nebraska Public Power District
Utility Svcs
NERC
NPCC
Mid West ISO
Smud
OATI
Detroit Edison
Northeast Utilities
DHS
N/A
Aces Power Marketing
Florida Power & Light
APPA
Progress Energy
Canadian Electricity Assoc
NERC
U S Department of State
NERC
FERC
American Transmission Co
The Federal Energy Regulatory
First Energy
N/A
ESCC Actions and Status
Item
Action
Assigned
to
Due by
Status
June 22,
2010 #3
Arrange a joint meeting with Energy Government
Coordinating Council and possibly Oil & Natural Gas SCC
by year-end
NERC staff
End 2010
Closed. Met with Energy Government
Coordinating Council on March 15,
2011.
Oil & Natural Gas SCC deferred
pending priority items to address.
June 22,
2010 #4
Consider how to coordinate with the Executive Industry
Council (EIC)
ESCC
November
2010
Closed. The EIC is inactive.
July 23,
2010 #2
Consider the need to elect an ESCC member to the ESCC
Vice-Chair position
ESCC
Before next
meeting
Closed. ESCC’s CEO members agreed
there is no need to appoint a ViceChair at this time.
April 19,
2011 #1
DOE/NIST/NERC Risk Management Framework –
coordinate with DOE to seek ESCC and broad industry
input when the final draft guideline is available.
NERC staff
May 31,
2011
Closed. The draft paper will be
available for public comment by end
of August 2011.
April 19,
2011 #4
Crisis Response/Communications Plan
NERC staff
June 2011
Closed. Draft Plan was discussed at
August 16, 2011 meeting. ESCC
comments will be addressed.
Integrate into a single plan
Identify key government interfaces and discuss next
ESCC meeting
Exercise plan during 2011 GridEx
Request ESCC review and input as soon as a draft is
available
October 6, 2011
1
Item
Action
Assigned
to
Due by
Status
June 21,
2011 #1
Industry Response to the AURORA vulnerability
As this work progresses, prepare training and
information to describe mitigation results by the
industry, relay manufacturers, and IEEE standards
development.
NERC staff
End 2011
Open
June 21,
2011 #2
Liaison with the Communications SCC
Include key items related to Electricity/Communications
interdependencies as part of future ESCC meetings.
NERC staff
Q3 2011
Open. Discuss the outcome of the
NLE-11 Follow-up at next ESCC
meeting. Deferred from August 16,
2011 due to lack of time.
August
16, 2011
#1
Roadmap to Achieve Energy Delivery Systems
Cybersecurity
Coordinate with Hank Kenchington to issue a press
release during the week of September 22 announcing
the revised Roadmap.
Coordinate with NERC CIPC to develop a mechanism to
prioritize and help resource key cybersecurity goals
identified in the Roadmap.
NERC staff
August
16, 2011
#2
Provide ESCC input on DHS’ PS-Prep Framework Guide.
August
16, 2011
#3
Coordinate with CIPC and industry associations to
develop criteria for providing Top Secret and Secret
clearances to industry personnel.
Review ESCC input and announce it to NERC entities.
October 6, 2011
August 19,
2011
Complete. DOE issued press release
on September 15, 2011 and includes a
quote from ESCC Chair.
Q4 2011
Open.
ESCC
members
NERC staff
September
9, 2011
September
2011
Open
NERC staff
Q4 2011
Open.
2
Item
Action
Assigned
to
Due by
August
16, 2011
#4
Revise the NERC Crisis Plan considering ESCC comments,
continue developing procedure-level details within
NERC, and exercise as part of GridEx.
NERC staff
Q4 2011
Underway by NERC staff.
August
16, 2011
#5
Facilitate the development of a CIPC strategic work plan
for NERC Board of Trustees review.
NERC staff
Q1 2012
Open.
October 6, 2011
Status
3
Agenda Item 2a
Coordinated Action Plan
Status Report for the Electricity Sub-Sector Coordinating Council (ESCC)
1
Report as of: October 4, 2011
Milestones
Item
Planned2
1. Spare Equipment
Database Task Force
(SED TF)
Chair: Dale Burmester, ATC
Vice Chair: Mark Westendorf,
Midwest ISO
Actual
Status1
Notes
Facilitator: Ron Niebo, NERC
1.1. Draft scope
Q3 2010
Q3 2010
Complete
Draft Scope approved at Sep 2010 Technical Committee meetings
1.2. Establish TF and
resources
Q3 2010
Q4 2010
Complete
Resources
Nomination request for members announced Oct 4, 2010
TF Chair appointed Oct 15, 2010
Member roster (40+) complete, subject to future additions as needed
Two subgroups established:
Contents
Function
Activities
Meetings scheduled twice per month.
In-person meetings: Dec 8-9, 2010, Mar 7-8, 2011, June 14-15, 2011
Next in-person meeting at
1.3. Finalize scope and work
plan
Q4 2010
Q4 2010
Complete
No material changes needed in draft Scope
High-level work plan presented at Feb 10, 2011 MRC Informational Session.
ESCC discussed and confirmed support March 15, 2011.
1.4. Objectives defined
1
2
Q4 2010
Q1 2011
Complete
Provided draft whitepaper to NERC Technical Meetings in the June agenda
package. SED TF anticipates requesting feedback from Technical Committees by
June 29.
Underway, Complete, or At-Risk
Identified as “Milestones” in the Coordinated Action Plan approved by the NERC Board of Trustees, October 2010
2
Milestones
Planned2
Actual
Status1
1.5. Develop solutions
Q1 2011
Q2 2011
Complete
Draft Whitepaper describes approach and proposed solutions. Detailed
specification for transformer data under development.
1.6. Prepare draft report
Q4 2011
Q2 2011
Complete
Draft Whitepaper discussed at June 2011 Technical Committee meetings,
comments due June 29, 2011.
1.7. PC/OC/CIPC
endorsement
Q4 2011
Q3 2011
Complete
Final Report approved by OC/PC/CIPC at the Sept 2011 Technical Committee
meetings
1.8. BOT consideration
Q1 2012
Underway
Nov 3, 2011
Item
2. Geomagnetic
Disturbance Task Force
(GMD TF)
2.1. Draft scope
Chair: Don Watkins, BPA
Vice Chair: Frank Koza, PJM
Q3 2010
Q3 2010
Complete
Notes
Facilitator: Eric Rollison, NERC
Draft Scope approved at Sep 2010 Technical Committee meetings
3
Milestones
Item
resources
Planned2
Actual
Status1
Q3 2010
Q4 2010
Complete
Notes
Resources
Nomination request for members announced Oct 4, 2010
TF Chair, V-Chair appointed Dec 21, 2010
Member roster (~50) complete, subject to future additions as needed (e.g.
modeling)
Two subgroups established:
Modeling
Capabilities
Activities
Meetings scheduled once per month
First conference call held Jan 11, 2011
In-person meetings: Feb 28-Mar 1, 2011, June 9-10, 2011, Aug 30-31, 2011
Workshop Atlanta GA April 19-20, 2011
Workshop at NOAA Apr 25-26, 2011
In person meeting planned November 9-10, 2011
plan
Q1 2011
Complete
No material changes needed in draft Scope
High level work plan presented at Feb 10, 2011 MRC Informational Session
Q1 2011
Q3 2011
Complete
High level objectives presented at Feb 10, 2011 MRC Informational Session.
Expected solutions and outcomes discussed at June 2011 Technical Committee
meetings.
Underway
NERC Industry Advisory “Responding to Geomagnetic Disturbances” issued May
10, 2011.
Key 2011 deliverables identified.
4
Milestones
Item
Planned2
Actual
Q4 2011
Status1
Underway
2.7. PC/OC/CIPC
endorsement
Planned
3. Severe Impact Resilience
Task Force
(SIR TF)
Notes
Whitepaper chapters identified and SMEs assigned to investigate and draft
content. Developing plan for rigorous review and vetting priority issues such as
the reference storm, modeling and simulation methodologies, and impacts on
transformers and other equipment.
Draft Whitepaper underway and expected to be presented at December Technical
Committee meetings.
To be determined
Chair: Tom Bowe, PJM
Vice Chair: Paul Johnson, AEP
Facilitator: Larry Kezele, NERC
3.1. Draft scope
Q4 2010
Q4 2010
Complete
Draft Scope approved at Dec 2010 Technical Committee meetings
resources
Q4 2010
Q1 2011
Complete
Resources
Nomination request for members announced Dec 14, 2010
TF Chair appointed Dec 22, 2010
Member roster (50+) complete, subject to future additions as needed
Several subgroups identified
Activities
Conference calls scheduled twice per month.
Conference calls: Feb 11, Jun 24, Jul 22, 2011, Aug 24, 2011, Oct 13, 2011
In-person meetings: April 4-5, 2011, June 6-7, 2011, August 16-18
Next in-person meetings: Oct 25-27, 2011.
5
Milestones
Item
Planned2
Actual
plan
Status1
Complete
Notes
No material changes in draft scope, but some areas considered for clarification
Scenario revised to more clearly define severity April 5, 2011
Endorsed concept of “new normal” operation
Complete
Challenges requiring mitigation identified Apr 5, 2011.
Chapters for Workbook identified and discussed at June Technical Committee
meetings.
Q3 2011
Underway
Clarified definition of “severe” scenario, developed concept of “New Normal” for
bulk power system operation.
Q4 2011
Underway
First draft of a sample Chapter (Islanded Operations) discussed at June meeting.
Prepared draft of common framework to document Workbook chapters.
Approximately 12 Chapters reviewed at August meeting, being further developed.
3.7. PC/OC/CIPC
endorsement
Draft to be reviewed at December 2011 Technical Committee meetings.
To be determined
4. Cyber Attack Task Force
(CA TF)
4.1. Draft scope
Chair: Mark Engels, Dominion
Vice Chair: Charles Abell, Ameren
Q4 2010
Q4 2010
Complete
Facilitator: Tim Roxey, NERC
Draft scope approved at Dec 2010 Technical Committee meetings
6
Milestones
Item
resources
Planned2
Actual
Status1
Q4 2010
Q1 2011
Complete
Notes
Resources
TF Chair appointed at Sep 2010 CIPC meeting
Nomination request for members announced Jan 14, 2011
Member roster (~45) complete, subject to future additions as needed
Activities
First conference call scheduled Feb 25, 2011
In-person meetings: Mar 10, 2011, June 9, 2011, Sep 15, 2011
plan
Complete
Scope accepted.
Complete
Whitepaper chapters identified and assigned.
Q1 2011
Underway
Attack Tree methodology selected and members trained on its use. Sub teams
established to apply methodology to the coordinated attack scenario, and
conference calls underway to perform analysis.
Q4 2011
Underway
Detailed report outline drafted. Draft available for TF review end-August. CIPC
review planned for Oct 15, 2011.
4.7. PC/OC/CIPC
endorsement
Q4 2011
Planned
5. Smart Grid Task Force
Cyber Security Subgroup
5.1. Draft scope
Planned for December Technical Committee meetings.
To be determined
Chair: Sandy Bacik, Enernex
Q4 2010
Complete
Facilitator: Eric Rollison, NERC
Continue with work initiated under the Smart Grid Task Force, following Nov
19/10 NERC BOT approval of Smart Grid Task Force report and work plan.
7
Milestones
Item
resources
Planned2
Actual
Q1 2011
plan
Status1
Notes
Underway
Continue with work initiated under the Smart Grid Task Force, following Nov
19/10 NERC BOT approval of Smart Grid Task Force report and work plan.
Underway
NERC submitted comments regarding FERC direction April 8, 2011.
In-person meeting of entire Task Force June 23, 2011.
Q1 2011
Underway
Whitepaper detailing objectives
Q3 2011
Underway
Initial recommendations to OC/PC
Q4 2011
Draft report for review by Task Force, Subcommittee, and Technical Committees.
5.7. PC/OC/CIPC
endorsement
Q4 2012
MRC review and comment.
Q4 2012
NERC-Led Initiatives
6. NERC Crisis Plan
Lead: Brian Harrell
Q4 2010
Complete
Draft Scope prepared
Scope and direction discussed at April 19, 2011 ESCC
meeting.
Q1 2011
6.3. Publish final report
Q2 2011
7. Government Interface
Q3 2011
Complete
Second draft complete, to be discussed at Jun 21, 2011
ESCC conference call. Third draft discussed at Aug 16, 2011
ESCC meeting. Additional procedural detail being
developed.
Complete
Electricity Sub-sector involvement in various government
Lead: ESCC
Q1 2011
8
and cross-sector initiatives identified in ESCC Charter
approved by the NERC BOT in April 2010. Management
process developed and discussed with ESCC. Participation
and monitoring process in-place.
ESCC met with government Interagency group (DOE, DHS,
DOD) Jan 11, 2011. Participants committed to continue
dialogue, identified specific next steps.
Q1 2011
Complete
Joint ESCC and Energy Government Coordinating Council
meeting held Mar 15, 2011 under CIPAC framework. Joint
coordination process is now in place to share information
and discuss initiatives identified under the Coordinated
Action Plan and other NERC/industry initiatives.
Q1 2011
Underway
ESCC members formally identified to Energy Government
Coordinating Council (DOE, DHS) Sep 15, 2010.
Coordinated Action Plan and other NERC/industry
initiatives are a regular part of joint ESCC and GCC meetings
with DOE, DHS, DOD, and White House staff.
8. NERC Communications Plan
Lead: Kimberly Mielcarek
Q4 2010
Complete
Draft Crisis Communications Plan prepared
NERC capability is in-place to issue announcements, media
releases as Coordinated Action Plan milestones are
achieved
Scope to be discussed at April 19, 2011 ESCC meeting.
9. Information Sharing
Q2 2011
Lead: Stuart Brindley
Underway
Communication activities related to the Coordinated Action
Plan is provided in the Implementing the Coordinated
Action Plan document
Closed
During the April 19, 2011 ESCC conference call. the ESCC
recommended that a NERC Crisis Communications Plan be
integrated as part of NERC’s Crisis Plan.
9
Q4 2010
Underway
Draft Scope prepared Nov 20, 2010. A number of initiatives
are underway that will identify more specific needs for
enhanced information sharing.
Q1 2011
Underway
ES-ISAC Enhancement Proposal drafted and reviewed by
NERC management
Q2 2011
10. Pandemic Planning
Lead: Stuart Brindley
Q4 2010
Complete
Draft Scope prepared Nov 20, 2010.
Q1 2011
Complete
Enquiries underway with government (DHS and Health and
Human Services) to determine status of their H1N1 lessonslearned, and response to Electricity Sub-sector
recommendation to develop a severity measure.
Further progress contingent on government response.
Q1 2011
Agenda Item 2b
Spare Equipment Database (SED)
August 2011 Report
3353 Peachtree Road NE
Suite 600, North Tower
Atlanta, GA 30326
404-446-2560 | www.nerc.com
NERC’s Mission NERC’s Mission
The North American Electric Reliability Corporation (NERC) is an international regulatory authority established to enhance the reliability of the bulk power system in North America. NERC develops and enforces Reliability Standards; assesses adequacy annually via a ten‐year forecast and winter and summer forecasts; monitors the bulk power system; and educates, trains, and certifies industry personnel. NERC is the electric reliability organization for North America, subject to oversight by the U.S. Federal Energy Regulatory Commission (FERC) and governmental authorities in Canada.1 NERC assesses and reports on the reliability and adequacy of the North American bulk power system, which is divided into eight Regional areas, as shown on the map and table below. The users, owners, and operators of the bulk power system within these areas account for virtually all the electricity supplied in the U.S., Canada, and a portion of Baja California Norte, México. Note: The highlighted area between SPP and SERC denotes overlapping regional area boundaries: For example, some load serving entities participate in one region and their associated transmission owner/operators in another.
Table A: NERC Regional Entities FRCC Florida Reliability Coordinating Council SERC SERC Reliability Corporation MRO Midwest Reliability Organization SPP Southwest Power Pool, Incorporated NPCC Northeast Power Coordinating Council TRE Texas Reliability Entity RFC ReliabilityFirst Corporation WECC Western Electricity Coordinating Council 1 As of June 18, 2007, the U.S. Federal Energy Regulatory Commission (FERC) granted NERC the legal authority to enforce Reliability Standards with all U.S. users, owners, and operators of the bulk power system, and made compliance with those standards mandatory and enforceable. In Canada, NERC presently has memorandums of understanding in place with provincial authorities in Ontario, New Brunswick, Nova Scotia, Québec, and Saskatchewan, and with the Canadian National Energy Board. NERC standards are mandatory and enforceable in Ontario and New Brunswick as a matter of provincial law. NERC has an agreement with Manitoba Hydro making reliability standards mandatory for that entity, and Manitoba has recently adopted legislation setting out a framework for standards to become mandatory for users, owners, and operators in the province. In addition, NERC has been designated as the “electric reliability organization” under Alberta’s Transportation Regulation, and certain reliability standards have been approved in that jurisdiction; others are pending. NERC and NPCC have been recognized as standards‐setting bodies by the Régie de l’énergie of Québec, and Québec has the framework in place for reliability standards to become mandatory. NERC’s reliability standards are also mandatory in Nova Scotia and British Columbia. NERC is working with the other governmental authorities in Canada to achieve equivalent recognition. Spare Equipment Database Task Force Conceptual Whitepaper Report – August 2011 I Table of Contents Table of Contents
NERC’s Mission ........................................................................................................................... I Table of Contents ............................................................................................................................. i Executive Summary ......................................................................................................................... 1 Major SED Conclusions and Recommendations ......................................................................... 2 Spare Equipment Database Program .............................................................................................. 5 Introduction ................................................................................................................................ 5 Purpose ....................................................................................................................................... 6 Background ................................................................................................................................. 7 Objective ..................................................................................................................................... 7 Applications of the Spare Equipment Database ....................................................................... 10 SED Search Processes ............................................................................................................... 10 Roles – SED Players ................................................................................................................... 12 Expected SED Documents ......................................................................................................... 13 Action Plan for SED Voluntary Data Collection ............................................................................. 15 SED Scope Milestones and Activities ............................................................................................ 16 Conclusions and Recommendations ............................................................................................. 21 Appendix I: SED Task Force Scope ................................................................................................ 24 Purpose ..................................................................................................................................... 24 Background ............................................................................................................................... 24 Recommendations .................................................................................................................... 25 Appendix II: SED Content Recommendations ............................................................................... 28 Appendix III: Data Confidentiality Agreement .............................................................................. 32 Appendix IV: SED Task Force Roster ............................................................................................. 33 Appendix V: NERC Staff Roster ..................................................................................................... 36 Spare Equipment Database Task Force Conceptual Whitepaper Report – August 2011 i Executive Summary Executive Summary
The bulk power system is comprised of many transmission elements working collectively to transport electric energy from generation suppliers to distribution systems where it is ultimately delivered to the customer. The operation of this integrated transmission system is made possible in part by use of large power2 transformers capable of adjusting voltages to levels consistent with transmission system requirements. The reliability of the bulk power system is heavily dependent on a network of transmission lines which require these large power transformers. Fortunately, transformers have proven to be highly reliable; however, like all equipment they are subject to equipment failure, along with destruction from natural or man‐made disasters. Large power transformers require substantial capital and have long‐lead times (in excess of six months). For these reasons, many transformer owners maintain a limited number of spare transformers that are available in the event a vital transformer fails. Due to their significant cost, the number of spare large power transformers an entity maintains is typically that which is required to provide for normal failure rates. In a postulated High Impact, Low Frequency3 (HILF) event, an entire region may be adversely impacted and large numbers of transformers could fail or be damaged. If a HILF event takes place, a coordinated effort would be needed to locate available spares from unaffected areas. The goal would be to create a means whereby those in need of multiple transformers would have the ability to connect with those who are able to share existing spare transformers. To facilitate this effort, the Spare Equipment Database Task Force (SEDTF) recommends that a Spare Equipment Database (SED) be developed, maintained and operated by NERC to benefit the participating users, and of their customers. SED is not meant to be a replacement for pooling or bilateral programs; it would be used by the industry to supplement other recovery programs and regional mutual assistance programs. The SED is primarily a tool to be developed, populated, and managed by participating organizations to facilitate timely communications between those needing long‐lead time equipment damaged in a HILF event and those equipment owners who may be able to share existing equipment being held as spares by their organization. Participating organizations will voluntarily follow defined guidelines to identify the spare equipment included in the database. A comprehensive North American spare transformer database will aid in assessing the impact of the yet‐to‐be determined HILF scenarios and restoration of electrical power to large areas. 2
Table 1 provides information on the magnitude of and cost associated with large power transformers. The information was compiled from input provided by SEDTF members and several large (international) transformer manufacturers. 3
http://www.nerc.com/files/HILF.pdf Spare Equipment Database Task Force Report – August 2011 1 Executive Summary Major SED Conclusions and Recommendations
Participation:
The SED will be a voluntary program for all NERC registered Transmission Owners (TOs) and Generator Owners (GOs) entities, whether or not they have spare equipment available. Content:
The SED will initially focus on long‐lead time transformers: transmission transformers and generator step‐up transformers (GSU). The database, see Figure 1, will include transmission transformers spares with a low side rating of 100 kV or higher and the rated nameplate of 100 MVA or higher (total of three phases). GSU spares will have a high side voltage of 100 kV or higher and the rated nameplate of 75 MVA or higher (total of three phases). Other possible long‐
lead time equipment will be considered in the future. Timeline:
SED will be an online program available to registered users (TOs and GOs) on a 24x7 basis. Its operation will be managed by NERC staff and coordinated with a contract web‐based vendor. A start date of January 2012 is recommended. Confidentiality:
The SED will be operated as a secure database equipped with procedures and safeguards to assure data confidentiality. Participants will be required to sign a confidentiality agreement. Database Usage:
SED is a tool primarily for use by participants to facilitate timely communications between those who need long‐lead time equipment damaged in a HILF event and those equipment owners who may be able to share existing spare equipment. A comprehensive North American spare equipment database will aid in assessing the societal risk and impact of HILF scenarios and restoration of electrical power to large areas. Spare Equipment Database Task Force Report – August 2011 2 Executive Summary Table 1 HV‐LV (Phase to Phase) Voltage Rating Spare Transformer Magnitude Capability MVA Rating Approx. Price ($)
Approx weight & Dimension Transmission Transformer Three Phase: 230‐115kV 300 $2,000,000 340,000 lbs 21ft W‐27ft L‐ 25ft H 345‐138kV 500 $4,000,000 670,000 lbs 45ft W‐25ft L‐ 30ft H 765‐138kV 750 $7,500,000 820,000 lbs 56ft W‐40ft L‐ 45ft H Single Phase: 765‐345kV 500 $4,500.000 470,000 lbs 40ft W‐30 ft L‐40ft H Generator Step‐Up Transformer (GSU) Three Phase: 115‐13.8kV 75 $1,000,000 220,000 lbs 16ft W‐25ft L‐20ft H 345‐13.8kV 300 $2,500,000 370,000 lbs 21ft W‐40ft L‐27ft H
Single Phase: 345‐22kV 300 $3,000,000 450,000 lbs 35ft W‐20ft L‐30ft H
765‐26kV 500 $5,000,000 650,000 lbs 33ft W‐25ft L‐40ft H
NOTE: Prices are F.O.B. factory and do not include taxes, transportation, special features and accessories, special testing (short‐circuit, etc.), insulating oil, field installation, and optional services. SEDTF estimates the installed cost will be about 25‐30% higher. Spare Equipment Database Task Force Report – August 2011 3 Executive Summary 1.
2.
3.
4.
Figure 1: Recommended SED Content SED Participant: Contact Information Name of TO or GO Functional Entity Primary Contact Information Secondary Contact Information SED Data Manager SED Content: Spare4 Transformer Design/Content Information N 1. Transformer Identifier 2. Transformer Type 3. Spare’s Physical Location 4. Number of Phases 5. Rated voltage – High Voltage (HV) 6. Rated voltage – Low Voltage (LV) 7. MVA rating 8. Percent impedance & MVA base 9. Tertiary Winding – Voltage and MVA 10. Connection Type 11. Spare Status Category 12. Joint Ownership and Sharing Restrictions 13. Open Comment Field 14. Transformer Voltage Class 4
Spare ─ A piece of equipment maintained to be used at a future date. Some spares may require some work to make them suitable for use. Three categories are identified: A.
De‐energized Spare: Entity has possession of spare equipment. Spare equipment may be stored on location (station), on a temporary or designated pad, or at a centralized storage location. B.
In‐Service Spare: Entity has an “Installed” or “In Service’’ Spare which is either ready to serve load as soon as needed or is serving load normally. These units are typically ready to be energized, or are already energized. C.
In‐Transit Spare: Entity has issued a contract or purchase order for a transformer to a manufacturer or supplier, the transformer is in some state of manufacture or delivery, and delivery is to take place within the next six months. Upon delivery, transformers in this category are intended to be either de‐energized or in‐service spares. Spare Equipment Database Task Force Report – August 2011 4 Spare Equipment Database Program Spare Equipment Database Program
Introduction
The North American bulk electric system is one of the most critical infrastructures and is vital to society in many ways. The electric power industry has proven design and operating principles to address the “normal” set of low‐impact and moderate to high frequency events. In June 2010, NERC issued a report entitled, “High‐Impact, Low‐Frequency Event Risk to the North American Bulk Power System”.5 In a postulated high‐impact low‐frequency (HILF) event, an entire region could be adversely impacted and large numbers of transformers could fail or be damaged. If a HILF event takes place, a coordinated effort would be needed to locate available spares from unaffected regions. To facilitate this effort, a Spare Equipment Database (SED)6 should be developed, maintained and operated by NERC to benefit the participating users and their customers. This database is not meant to replace or supersede any other transformer sharing agreements such as the Edison Electric Institute’s Spare Transformer Equipment Program (STEP)7 or other neighboring, or regional, utility arrangements. The SED is primarily a tool to be developed, populated, and managed by participating organizations to facilitate timely communications between those needing long‐lead time equipment damaged in a HILF event and those equipment owners who may be able to share existing equipment being held as spares by their organizations. Long‐lead time is herein defined as equipment that under normal circumstances consistently takes more than six months to manufacture and deliver. Participating organizations will voluntarily follow defined guidelines to identify the spare equipment included in the database. A comprehensive North American long‐lead time spare equipment database will aid in assessing the impact of the yet‐to‐be determined HILF scenarios and restoration of electrical power to large areas. The Spare Equipment Database Task Force (SEDTF) was formed during the 4th Quarter of 2010 by the NERC Planning Committee in meeting its action plan,8 supporting the NERC Electricity Sub‐
Sector Coordinating Council (ESCC)9 Critical Infrastructure Strategic Roadmap. The ESCC roadmap addresses such HILF events as coordinated physical and cyber attacks as well as geo‐magnetic disturbances (GMD), which can adversely affect the resiliency of the bulk power system. The bulk 5
http://www.nerc.com/files/HILF.pdf The recommended SED program would expand upon the informal transformer spares database operated by NERC since the early 1980’s. 7
STEP is a voluntary “electric industry program that strengthens the sector's ability to restore the nation's transmission system more quickly in the event of a terrorist attack.” http://www.eei.org/ourissues/ElectricityTransmission/Pages/SpareTransformers.aspx 8
http://www.nerc.com/docs/ciscap/Critical_Infrastructure_Strategic_Initiatives_Coordinated_Action_Plan_BOT_Apprd
_11‐2010.pdf 9
See Critical Infrastructure Roadmap at http://www.nerc.com/docs/escc/ESCC_Critical_Infrastructure_Strategic_Roadmap.pdf 6
Spare Equipment Database Task Force Report – August 2011 5 Spare Equipment Database Program power system is comprised of many transmission elements working collectively to support electric generation suppliers in meeting customer demands. The operation of this integrated system is made possible by raising and lowering of the transmission voltages using large transformers, thus allowing the transport of electric power through the bulk power system to utility distribution systems where it is ultimately delivered to the customer. As such, the reliability of the bulk power system is heavily dependent on a network of transmission lines which use large power transformers to convey the electrical energy to the end‐user. Fortunately, transformers have proven to be a highly reliable; however, like all equipment they are subject to equipment failure, along with destruction from natural or man‐made disasters. Large power transformers require substantial capital to secure and have long‐lead times. For these reasons, transformer owners determine their own appropriate level of spares and maintain a limited number of spare transformers in the event a transformer fails. However, during a HILF event numerous transformers may be damaged and rendered unusable. While other bulk electric system equipment may also be damaged, the SEDTF has determined, as explained more fully later in this document, that initially the SED will provide for collecting only bulk electric system transformer spare information. Purpose
SEDTF’s purpose is to recommend a uniform approach to collect information on long‐lead time, electric transmission system critical spare equipment and to recommend a means for obtaining and communicating this information to the electric industry.10 Data collection will be supported by a database to be used as a resource to locate existing long‐lead time equipment. The database is not meant to be a replacement for existing pooling or bilateral programs. The SEDTF reviewed types of long‐lead time equipment which, if lost as the result of HILF events, could have a significant reliability impact to the bulk power system. The initial focus was on bulk power transmission transformers and GSUs. In the future, SEDTF will review the possibility of expanding SED to include other long‐lead time equipment (e.g. circuit breakers, capacitor banks, dynamic reactive power, FACTS devices, phase shifting transformers, transmission cable, underground cable, shunt reactors, etc.) 10
This task force will support the Electricity Sub‐sector Coordinating Council‘s Critical Infrastructure Protection Roadmap, work plan items: 1) G ‐ Critical Spares, and 2) P‐ GMD – Restore the Bulk power System. Spare Equipment Database Task Force Report – August 2011 6 Spare Equipment Database Program Background
Large transmission and generator step‐up transformers (GSUs) are multi‐million dollar assets which, when replaced due to failure, require significant attention to manufacturing and transportation. Notwithstanding complications caused by inclement weather conditions and transportation route unavailability, replacing a large power transformer is a multi‐month task once a replacement has either been manufactured or located. The photos below, Figure 211 along with previously referenced Table 1, provides a perspective of the size of such transformers as well as the equipment required to move large transformers. Because of their size and weight, transformers are typically unassembled when moved and the large volumes of insulating medium (oil) are removed and shipped separately. In some cases, high voltage equipment can be scarce, and manufacturing may require long‐lead times. Therefore, it is vital that a database of spare equipment for emergencies be developed to support industry sharing and assess the current status, availability, and inventory of critical spare equipment. Objective
The SED is primarily a tool to be developed, populated, and managed by participating organizations to facilitate the timely communication between entities needing long‐lead time equipment subsequent to a HILF event and those entities that may be able to share a spare asset. Voluntary participation by the NERC registered TOs and GOs in SED is unanimously recommended. NERC registered TOs and GOs will be requested to report information on spares meeting the criteria of the spares definition defined for the SED program. The overall SED effort is directed at documenting all possible spares including those having sharing agreements and those jointly owned. The SED information submittal forms will ask if the reported spare is jointly owned by two or more entities and that the joint owners be uniquely identified in the submittal form. NERC will review the individual SED submittals to eliminate duplicate counting of these spares. Working with each of the affected SED participants, NERC will attempt to assure the reporting is done only by the entity having physical responsibility for the spare. The SED Instruction Manual will also provide reporting instructions and examples. 11
GSU photos courtesy of Consumers Energy and transformer photos courtesy of Hall Energy Consulting, ABB Inc.–
North America and NERC Annual Reports. Spare Equipment Database Task Force Report – August 2011 7 Spare Equipment Database Program Figure 2: Transformers Once the program is initiated, participants will have an opportunity to voluntarily report data within the initial year. Thereafter, the SED data would be updated regularly by the SED participants. The intent of the program is to create a voluntary database with high industry participation. NERC will annually conduct on‐going assessments of the SED program. Spare Equipment Database Task Force Report – August 2011 8 Spare Equipment Database Program Participation levels will be monitored quarterly during the initial year of implementation to determine if additional measures are needed to increase industry involvement. The SED will store spare information on long‐lead time equipment. Special or unique pieces of equipment (AC/DC converters, phase shifters, etc.) were removed from the list because there would be very limited opportunities to share such equipment. Spare transformers will be included in the database if they are: 1. Transmission transformers spares with a low side rating of 100 kV or higher and a maximum nameplate rating of 100 MVA or higher (total l of three phases). 2. GSU spares will have a high side voltage of 100 kV or higher and a maximum nameplate rating of 75 MVA or higher (total of three phases). The SED will include basic information entered by the participating entities. Though kept confidential, asset owner entity information will be required to facilitate swift communications subsequent to a HILF event. The database will contain the entity’s NERC Registry name and a minimum of two contacts (primary/secondary) with appropriate phone numbers and emails. Additionally, an SED data manager for each reporting organization is recommended. Required data fields will include nameplate information such as high and low voltage ratings, nameplate MVA rating, impedance, number of phases, connection information, and any essential comments associated with the spare. These data fields will provide essential information that would allow automated queries to be performed of the available assets, and to contact the asset owner’s entities subsequent to a HILF event. A complete listing of the information to be included in the SED is shown in Appendix I. The database will be user friendly for data entry and updating; useful enough that entities will want to participate; secure enough that entities will not decline to participate; and contain the information critical to help rapid recovery from outages due to HILF events. A user interface similar to the one now utilized by the NERC TADS, GADS and DADS programs is recommended for the SED. Each participant will be required to agree to a confidentiality agreement specific to the SED program. Additionally, the database and its contents will be stored and cataloged as ‘confidential’ and treated as such using the safeguards identified in the NERC Rules of Procedure, Section 1500 Confidential Information.12 The functions and industry outreach capabilities conducted by NERC will be leveraged appropriately for this database operation. The development of the database will also recognize 12
http://www.nerc.com/files/NERC_Rules_of_Procedure_EFFECTIVE_20110412.pdf Spare Equipment Database Task Force Report – August 2011 9 Spare Equipment Database Program the presence of and appropriately use information and lessons learned from the EEI STEP, the NERC TADS, GADS and DADS program and NERC’s Alert System. Applications of the Spare Equipment Database
As illustrated in the flowchart, Figure 3, the database will contain one set of information that serves three different purposes through specifically designed inquiries. The first and primary use will be for the response to impacts from HILF events. If the HILF is large enough to affect multiple regions, it may be necessary for a multi‐regional “war room” with participation by NERC, the Regional Entities and all affected parties. In this instance, summary data may also be issued for their use. The second use will be for an entity to locate equipment needed to replace failed equipment where a spare is not available within the entity’s spare inventory and the entity is unable to quickly locate a replacement through normal procurement channels. In this instance, no contact information will be shared in either direction without the consent of both parties as indicated in the last block of Figure 3. The double‐blind procedure is outlined later in this Whitepaper. A third use will be assessments conducted at the request of the NERC CEO or Board of Trustees. Such assessments will be conducted on a confidential basis by NERC staff and NERC representatives who have signed the NERC SED Confidentiality Agreement, see Appendix III. Any data releases outside of NERC staff and its representatives will abide by the various agreements and shall be limited to high level basic data, such as voltage and MVA ratings. The conducting of reliability and grid assessments is beyond the scope of the SEDTF and this Whitepaper. Additional, periodic reports will be provided to the PC and will contain no more than the following summary information as described in the Mutual Confidentiality Agreement: 
Total number of entities participating in the SED in the aggregate; 
Total number of entities participating in the SED by regional entity; 
Total number of transmission power transformer owners participating in the SED; 
Total number of generator step‐up transformer owners participating in the SED; 
Total number of entities eligible to participate in the SED in the aggregate; 
Total number of entities eligible to participate in the SED by regional entity; 
Total number of transformers by high‐side voltage included in the SED; 
Total amount of MVA by high‐side voltage included in the SED. SED Search Processes
As described above, there are three applications of SED which will result in spare equipment searches following impacts from HILF events, events which exceed normal spare inventory levels, Spare Equipment Database Task Force Report – August 2011 10 Spare Equipment Database Program and assessments conducted at the request of the NERC CEO or Board of Trustees. The latter is beyond the scope of the SEDTF and was only briefly discussed by SEDTF. In reviewing the other two applications, the HILF searches should be conducted as outlined below, and the remaining application should be conducted using the double‐blind process also outlined below. The HILF and double‐blind processes are designed to minimize the disclosure of confidential information, it does not want to disclose. The proposed three major uses for SED are described above and outlined in Figure 3. Figure 3: Spare Equipment Database Access and Communications Flowchart HILF Process:
HILF–STAGE 1: The REQUESTER(s) (must already be a registered SED participant) will contact NERC directly or complete the on‐line automatic search request form, it will be available on both the NERC SED web site and on the on‐line SED vendors web site, and submit it to the on‐line SED program. Given the search parameters provided are adequate, an automatic search of the SED information will be conducted. The NERC SED Administrator will be notified that an automated on‐line search request has been initiated. If the search is successful (or not), the REQUESTER(s) and the NERC Administrator will be notified. To be successful, the search must identify one (or more) potential spare. The on‐line SED program will automatically generate messages to each transformer OWNER identified by the search. Thus far, all communications will not disclose what, how many, or the name of the REQUESTER(s) or the OWNER(s). However, the NERC SED Administrator will have confidential knowledge of the name of the REQUESTER and the OWNERS identified by the search. HILF–Stage 2: Next, the SED program will arrange a conference call between the REQUESTER(s) and the Owners to facilitate exchange of information. The process may require follow up Spare Equipment Database Task Force Report – August 2011 11 Spare Equipment Database Program conference call(s). At this point, the SED Administrator is expected to be involved to facilitate the process as required. Double-Blind Process:
DOUBLE‐BLIND–STAGE 1: The REQUESTER (must already be a registered SED participant) will complete the on‐line automatic search request form, it will be available on the NERC SED web site, and submit it to the on‐line SED program. Given the search parameters provided are adequate, an automatic search of the SED information will be conducted. The NERC SED Administrator will be notified an automated on‐line search request has been initiated. If the search is successful (or not), the REQUESTER and the NERC Administrator will be notified and the SED program will automatically initiate a double‐blind search‐response procedure. To be successful, the search must identify one (or more) potential spare. The on‐line SED program will automatically generate messages to each transformer OWNER identified by the search. Thus far, all communications will not disclose what, how many, or the name of the REQUESTER or the OWNER(s). However, the NERC SED Administrator will have confidential knowledge of the name of the REQUESTER and the OWNERS identified by the search. DOUBLE‐BLIND–STAGE 2: Through the SED on‐line automated system, OWNER(s) who wish to proceed with discussing any sale/lease/exchange will, using the automated SED on‐line double‐
blind search process, respond to the un‐named REQUESTER that wishes to open active discussions. The REQUESTER may then respond to affected parties and may request additional transformer design parameters from the responding OWNER(s). Any decision to provide additional information shall be the responsibility of the responding OWNER(s). Again, the NERC SED Administrator will be automatically informed of any communications conducted via the on‐
line SED link. The NERC SED Administrator may, or may not, be copied on any non‐SED link communications. The REQUESTOR and OWNER may then reach any exchange settlement acceptable to both parties. NOTE: All on‐line SED communications provided in these communications will be labeled as confidential and not for distribution beyond the affected parties. Roles – SED Players
The SED program participants will work collectively to manage the overall program from data entry to the implementation of identified SED uses. It is anticipated these program participants will include: Spare Equipment Database Task Force Report – August 2011 12 Spare Equipment Database Program TO and GO Participants:
The TOs and GOs are the ultimate source of SED data. Each TO and GO will identify a trusted Primary Contact who will manage the SED access within their own organization. Each TO and GO will be responsible for data additions, deletions and editing of data provided by that entity. NERC SED Administrator:
NERC staff will: 
Manage access to the SED program software and information, as well as managing the SED vendor(s). 
Responsible for vetting of each TO/GO SED primary contact and approving the issuance of ‘digital certificates.’ 
Responsible for conducting annual training program(s) and exercise(s). 
Provides regular updates on SED and coordinates activities of SEDTF and the SED Search Action Team. SEDTF:
Industry oversight group which will provide recommendations on the criteria, content, functions, and data input capabilities of the SED program. SEDTF will provide an independent oversight of the operation of the SED program and report such to NERC leadership. Regional Entity (RE) Coordinators:
Primary Regional Coordinator will assist the NERC staff in managing the SED activities of TOs and GOs members. SED Vendor(s):
The SED Vendor(s) will:  Operate 24X7 on‐line data input/deletion/editing and a Help Desk. 
Maintain historical records including a time‐stamping tracking system for each SED data element. 
Provide monthly SED activities and assessment reports to NERC. Expected SED Documents
The implementation of the SED will require additional support documents to assist both participants and those managing the overall SED program. A general review of these documents includes: Spare Equipment Database Task Force Report – August 2011 13 Spare Equipment Database Program Mutual Confidentiality Agreement:
Each SED participating organization will sign a Mutual Confidentiality Agreement. The Agreement will define how the data will be managed by NERC, the SED on‐line support contractor, and the participants. It will also include requirements regarding how the data may be used and the nature of the reports that might be generated by the SED. SED Instruction Manual:
A manual defining how a participant will interact with the database including instructions and examples defining the individual data elements associated with the reported asset. On-Line Data Management Instruction:
Instructions on the operation of the database tool, including data entry screens, where the SED data will be stored. The web‐based on‐line SED will be managed by the NERC staff and will be operated by a vendor as yet to be chosen by the NERC. The user interface documentation will be developed by NERC in coordination with the web‐based on‐line vendor. Besides the documentation, the vendor will provide a 24x7 Help Desk to assist SED participants. NERC will also maintain a work‐day based contact desk to respond to inquiries regarding searches of the SED data. The user interface documents will be developed once a vendor is selected. Policy Document:
NERC Board approved general statement describing how the database will be managed by the NERC staff, the NERC on‐line contractor, and participants. The Policy Document will mainly be used to provide an overview statement of the program to the general public. Staff SED Management Procedures:
NERC CEO approved instruction to staff on how the SED is to be managed and applied. Spare Equipment Database Task Force Report – August 2011 14 Action Plan for SED Voluntary Data Collection Action Plan for SED Voluntary Data Collection
The implementation of the SED program by the industry is tentatively projected to be at the start of 2012. A projected timeline to accomplish that goal and to prepare the associated documents is listed below. Table 2: SED Implementation Action Plan Milestone
Date
Meeting Type
September 2 ►SED Business Requirements Document – Draft available for SEDTF review. Mid‐September ►SED Instruction Manual – Draft available for SEDTF. ►Confidentiality Agreement – Completed. September 13‐14, 2011 PC Meeting ►Present Whitepaper with conclusions and St. Louis, MO recommendations for approval. ►Release specification to NERC for discussions with SED vendor(s). September 20, 2011 ►SEDTF Conference Call October 14, 2011 If SED is ►Begin contacting eligible SED entities and provide approved by PC with an overview of SED program. in September. October 14, 2011 ►Policy Document – Draft available for SEDTF. December 2, 2011 ►Staff SED Management Procedures Document – Draft available for SEDTF. December 15, 2011 SEDTF web‐
►Complete distribution of information packet to conference call industry requesting participation in SED. End of Year ►On‐line (SED Vendor) Data Management Manual – Distribute to SEDTF if NOT labeled ‘proprietary’ by vendor. January/February 2012 ►NERC Workshop/Webinar – SEDTF Rollout February 2012 SEDTF web ►During initial year, SEDTF to evaluate quarterly May 2012 conference call the voluntary SED participation and overall SED August 2012 program. November 2012 – Report findings to PC Spare Equipment Database Task Force Report – August 2011 15 SED Scope Milestones and Activities SED Scope Milestones and Activities
The PC provided the Task Force with a list of twelve milestone/activity scope items, shown below in italic. A response on the SEDTF findings for each of these scope items is also provided below along with future activities the Task Force will undertake. 1. Start Task Force Q3 2010. This item has been completed. The Task Force was formed in the fall of 2010 and held its initial conference call‐webinar in November and first meeting following the PC’s December 2010 meeting. 2. Develop the criteria for evaluating options that enhance resilience of the bulk power system in response to HILF type events. (Develop the SED database and associated access tools.) This item has been completed. The Task Force has identified those large transformers that may impact significant generation input into the bulk power system and transformers that impact the movement of power on the bulk power system. Spares of these types of transmission transformers and GSUs, as defined elsewhere in this Whitepaper, will be included in the SED. The SED will have the functionality to add additional long‐lead time equipment. 3. Formulate a wide range of preliminary options to consider, develop the proposed benefits/adverse impacts of each option – including development of a spare equipment database and associated equipment definitions/identification process, and development of pooling/bilateral approaches to address. The SEDTF considered the historical SED program operated by NERC and decided to start over with an updated SED program. Primarily because the outdate information contained in the historical SED program; and more importantly, the software operating the historical program was very basic, no longer maintained by the developers, and in some ways inoperable. Mandatory and voluntary participation programs were discussed and there was a unanimous decision to recommend a voluntary spare reporting program. Further, the asset owing utility would have full discretion and responsibility for releasing any information regarding a spare. To maintain confidentiality of the SED information the Mutual Confidentiality Agreement was created and it is a requirement that all SED participants shall sign and abide by this Agreement. 4. Identify the CEII, confidentiality, and system security aspects as part of the criteria for recommendations. The SEDTF has identified entry, access, and applications of SED data from the standpoint of NERC 1500 Confidentiality. In addition, NERC will require that each participant sign an Spare Equipment Database Task Force Report – August 2011 16 SED Scope Milestones and Activities SED Mutual Confidentiality Agreement specifically defining participation and application of SED. Combined, these two agreements will provide adequate security for the SED data. The SED Mutual Confidentially Agreements will also be signed with any third party NERC SED vendor(s). Planning organizations will be given limited summary information that contains only high level summary information, defined in the Mutual Confidentiality Agreement, but not owner or individual contact data, or location information. 5. Develop criteria for defining long‐lead time bulk transmission system emergency equipment. a. Established six‐month replacement criteria for inclusion b. Spares required as a loss resulting from a HILF event that exceeds normal sparing criteria c. Long lead time equipment for this database is defined as equipment that under normal circumstances consistently take more than six months to manufacture and deliver. The definition was further refined to include only items that are somewhat portable, are widely used across the Transmission Grid, and may be impacted by HILF events. d. Spare transformers will be entered in the database if they meet the following criteria: (1) transmission transformers spares with a low side rating of 100 kV or higher and the rated nameplate rating is 100 MVA or higher (total of three phases) or (2) GSU spares will have a high side voltage of 100 kV or higher and the rated nameplate rating is 75 MVA or higher (total of three phases). In addition, the Task Force realizes that if conditions arise, the manufacturers may be able to expedite the assembly of replacement equipment. The flow path for expediting the assembly of equipment needs to be discussed further with vendors to see if materials or engineering should be procured or completed and stored for future use. It was determined that the focus will be on transformers. Transformers are common system elements to all TOs and GOs. Follow‐up activities will examine other specialized applications involving equipment such as cables, dynamic reactive power, and capacitor banks. e. Several equipment long‐lead time categories were discussed in addition to power transformers. HV GSUs and auto transformers were identified as essential for system restoration during wide spread outages. EHV circuit breakers could fall in this category, but they were ruled out as power flow can be redirected at stations by switching affected circuits, and this equipment can typically be rebuilt rather quickly (rebuilt in some cases in the field) using spare components. Equipment related to AC/DC converters, FACTS, HV underground cables, etc. were considered to be special cases and affected only a limited part of the grid. EMP (electromagnetic pulse) was mentioned as one of the threats that could cause electrical equipment to fail, Spare Equipment Database Task Force Report – August 2011 17 SED Scope Milestones and Activities especially FACTS components. The consensus was that only a small number of utilities are involved with such equipment, and they should work out a plan to meet sparing needs during emergencies. HV phase shifters and shunt reactors are in the same category as large power transformers but considered not as critical for system restoration. When it comes to large power transformers, availability of some of components such as HV bushings (especially 765 kV), tap changers, copper, core steel, etc. could potentially pose delays in transformer manufacturing. The transformers are custom designed for each application, and this is also a factor in making it a long‐lead item. Other equipment is typically of a more standard design and could be produced quicker as long as the manufacturing capability and material are available. After much discussion on the size and rating of the large power transformers to be included in the database, the group agreed to include GSUs with the high‐voltage rating of higher than 100 kV and autotransformers with the low voltage rating of higher than 100 kV. In conclusion, the group agreed to start the database with these high voltage transformers and expand it to include other equipment, to be discussed later, as deemed necessary. 6. Formulate the legal, regulatory, logistics, contractual, technical/design, and other aspects regarding the use of the spare equipment database. This Whitepaper provides a review of the concepts of an SED program and recommends the establishment of an SED Mutual Confidentiality Agreement, data management processes, and application of the SED information. The recommended SED program is voluntary and any release of transformer specific information will be at the discretion of the transformer owner. 7. Develop appropriate ‘streamlined’ processes to provide access/availability of SED equipment information and communication of this information among entities responding to HILF events. The initial content of the SED is provided in the Whitepaper’s Appendix II. To assure a user friendly easily accessible operating system, NERC should consider adopting a similar approach to that used for TADS, DADS and GADS. To assist in the searches of the SED, NERC should consider an automatic search process similar to that described in this Whitepaper. The SEDTF started with the content of the database as shown in Appendix II. The OATI web‐based data management applications, as used in TADS, should be used for the SED. 8. Provide recommendations whether there are readily implementable enhancements to existing spare equipment programs/pooling‐bilateral efforts. The SEDTF is continuing to work on recommendations. Several items are under review. Spare Equipment Database Task Force Report – August 2011 18 SED Scope Milestones and Activities a. TF reviewing examples of how existing bilateral database can be coordinated with SED b. Establish criteria to assure single asset reporting by multi‐owners c. Recommend to Content Subgroup that asset is managed by multiple‐owners or part of a bilateral agreement 9. Develop a process for evaluating the performance and readiness to implement the SED program, through drills and/or other exercises. The SEDTF has considered and has deferred discussion on the following: a. Criteria to be provided by SEDTF on level of participation metrics b. Regular assessments reviews of SED by SEDTF c. Continuing SEDTF and PC oversight d. Include necessary drills/exercises e. Prototype database will need to be developed with Requirements Functions being shared by the SEDTF Team. f. What is back‐up plan if web is disabled? …telephone, fax? 10. Identify recommendations where Federal, Provincial and State Governments support may be necessary to implement effective response [logistics, permitting, etc] to HILF events. The SEDTF has considered and has deferred discussion on the following: a. The SEDTF has started a list of items that is beyond our Team’s efforts (database functions) but are essential to be addressed for implementing effective response during contingencies (Transformer Failures). b. Identified issues regulators can assist in: i. Transportation (routes, permits) ii. Financial aspects of equipment sharing beyond service area iii. Expedition of transport devices (rail, shipping, vehicles, haulers/lifting equipment) iv. International procurement difficulties v. Improving of manufacturing priorities (e.g. DOD technology/equipment via allies) vi. Notification of public service commission’s or pre‐approval of sharing beyond service territories following an HILF event. vii. Coordination with Regional Entities/ISOs/RTOs. 11. Provide recommendations on any follow‐on activities. The SEDTF has considered and has deferred discussion on the following: Measuring continuing success of SED’s implementation Spare Equipment Database Task Force Report – August 2011 19 SED Scope Milestones and Activities a. SEDTF II defining for the industry an adequate level of spares 12. Report to the OC/PC/CIPC regarding progress on the milestones/activities. On‐going reports provided at quarterly PC/OC/CIPC meetings. With this issue of this draft Whitepaper, the SEDTF is showing the ability to complete items ahead of schedule and may finish before the end of the 4th quarter. Spare Equipment Database Task Force Report – August 2011 20 Conclusions and Recommendations Conclusions and Recommendations
This Whitepaper includes conclusions and recommendations on the content and operation of SED based on eleven key components. Participation:
SED should be a voluntary program. The intent of the program is to create a voluntary database with high industry participation and support. All NERC registered Transmission Owners (TOs) and Generator Owners (GOs) entities, operating or managing equipment meeting the SED criteria, should participate even if they have no spare equipment available. Registered entities are expected to enter all spare equipment that meets the criteria into the SED. Participation levels will be monitored quarterly during the initial year of implementation to determine if additional measures are needed to increase industry involvement. Content:
The SED will initially focus on long‐lead time transformers: transmission transformers and GSUs. Other possible long‐lead time equipment will be considered in the future. The database will include transmission transformers spares with a low side rating of 100 kV or higher and the rated nameplate of 100 MVA or higher (total of three phases). GSU spares will have a high side voltage of 100 kV or higher and the rated nameplate ‐of 75 MVA or higher (total of three phases). A transformer is considered a spare if it is being maintained with the intended purpose of being used at a future date. Transformer spares may be at a manufacturer’s location, in‐transit, or stored at the owner’s location centrally or on a temporary pad. An energized transformer normally serving load or ready to serve load may be classified as a spare as determined by the respective owner. See Appendix II of this Whitepaper. Timeline:
SED will be an online program available to registered users (TOs and GOs) on a 24x7 basis. Its operation will be managed by NERC staff and coordinated with a contract web‐based vendor. Preliminary discussions with contractors indicate approximately three‐months will be required to prepare the necessary support software to start the program. Thus a rollout of the program to participants is expected by January 1, 2012. Participants will be permitted to enter, delete and modify spares information as appropriate. Future timeline events will include an evaluation process and exercise(s) to demonstrate the effectiveness of SED. See Section 4 of this Whitepaper. Spare Equipment Database Task Force Report – August 2011 21 Conclusions and Recommendations Confidentiality:
SED will be operated as a secure database equipped with procedures and safeguards to assure data confidentiality. Participants will be required to sign a confidentiality agreement. Participants will have access to their own SED entered data. Designated NERC staff will have administrative access to the SED. See Appendix III of this SED Conceptual Whitepaper. Database Applications:
SED is primarily a tool for use by participants to facilitate timely communications between those needing long‐lead time equipment damaged in a HILF event and equipment owners who may be able to share existing spare equipment. A comprehensive North American spare equipment database will aid in assessing the impact of HILF scenarios and restoration of electrical power to large areas.13 Long-Lead Time:
SED will consider long‐lead time equipment, equipment which is considered transferrable amongst NERC Registered Entities which has a manufacturing and delivery time exceeding six‐
months. Critical Design Characteristics:
Equipment included in SED will be defined using the essential characteristics which uniquely classify the equipment. Discretionary Sharing:
SED is a tool for identifying possible sharing opportunities following events that exceed normal sparing criteria. Any sharing of equipment is at the discretion of the spare’s asset owners and the spare’s requestor. Communications:
Communication links and messages created by SED are governed by the confidentiality principles of the SED’s Mutual Confidentiality Agreement. SED Monitoring Procedures:
In the SED’s initial year, quarterly reports will be provided to the Standing Committees on participation and implementation. Exercises will also be conducted to measure the effectiveness of the SED. After the initial year, the SED effectiveness will be assessed on an annual basis. 13
See Clause 3.0 of the Data Confidentiality Agreement, Appendix III of this Whitepaper. Spare Equipment Database Task Force Report – August 2011 22 Conclusions and Recommendations Regulatory Support:
Recommendations on regulatory support where Federal, Provincial and State Government support may be necessary to implement an effective response [logistics, permitting, etc] following a HILF event was deferred. All agree Regulatory Support in the areas of transportation logistics and permitting would greatly enhance any recovery. Additional investigations of Regulatory Support will require more time than called for in the scope of the SEDTF and will require knowledge of the findings of the other HILF task forces. Spare Equipment Database Task Force Report – August 2011 23 Appendix I: SED Task Force Scope Appendix I: SED Task Force Scope
Purpose
The purpose of the Spare Equipment Database Task Force (SEDTF) is to provide recommendations for enhancing resilience to High Impact Low Frequency events through improved access to critical spares and potentially other long‐lead time electric transmission system equipment. The SEDTF objective is to provide a series of recommendation and potential options that provide enhanced resilience.14 Among the evaluations, the SEDTF will consider the benefits or adverse impacts of adopting a uniform approach to collecting, storing, and distributing information on long‐lead time electric transmission system spare equipment that has been voluntarily provided by Registered Entities. A proposal to centrally maintain such information/data must address its classification as Critical Energy Infrastructure Information (CEII)15 and proposals for maintaining heightened security precautions. Other evaluations should consider benefits or adverse impacts of expanding or building upon existing pooling or bilateral programs. This includes ongoing initiatives such as the EEI STEP program and the Department of Energy – EPRI critical infrastructure database initiative. The SEDTF will initially focus on bulk power transformers. Prior to proceeding with other forms of critical long‐lead time equipment, approval will be sought from the OC/PC/CIPC. The task force will report to the Planning Committee. Background
The availability of spare equipment during High Impact Low Frequency events can be a vital link to bridge to long‐term recovery. As a result of potential HILF scenarios, availability/access to critical spare equipment may be limited by various factors, and long lead times associated with such equipment (greater than 6‐12 months) may impose significant reliability constraints. The SEDTF is focused on developing recommendations that would enhance availability, access, and 14
15
This task force will support the Electricity Sub‐sector Coordinating Council‘s Critical Infrastructure Protection Roadmap, work plan items: 1) G ‐ Critical Spares, and 2) P‐ GMD – Restore the Bulk power System. Critical Energy Infrastructure Information (CEII) as defined by US Federal Energy Regulatory Commission (http://www.ferc.gov/legal/ceii‐foia/ceii.asp): CEII is specific engineering, vulnerability, or detailed design information about proposed or existing critical infrastructure (physical or virtual) that: 1. Relates details about the production, generation, transmission, or distribution of energy; 2. Could be useful to a person planning an attack on critical infrastructure; 3. Is exempt from mandatory disclosure under the Freedom of Information Act; and 4. Gives strategic information beyond the location of the critical infrastructure. Spare Equipment Database Task Force Report – August 2011 24 Appendix I: SED Task Force Scope reliability resilience of the bulk power system. The SEDTF will consider a wide range of options, presenting for endorsement at the PC, that would includes all the key aspects both positive and negative for deliberation and a proposed implementation work plan. Recommendations
The SEDTF will make recommendations on several key aspects: 1. Options to enhance resilience in responding to HILF scenario incidents, including coordinated physical attacks and GMD incidents, through expanded access/availability long lead time equipment. 2. Benefits/adverse aspects of implementing a centralized database function within NERC and/or Regions. This would consider:  Specification of the long lead‐time electric transmission equipment spares to be included 
Specific information to be maintained for each spare type; 
Process for providing and communicating availability/access regarding equipment information; 
To the extent endorsed, data base function/processes; 
Follow‐up procedures for assessing program effectiveness. 3. Benefits/adverse aspects of implementing an enhanced pooling/bilateral approach to enhancing bulk power system resilience in response to HILF scenarios: 
Specification of the pooling/bilateral arrangements for long lead‐time electric transmission equipment spares; 

Specific information/processes to be incorporated for each spare type; Process for providing and communicating availability/access regarding equipment information; 
Follow‐up procedures for assessing program effectiveness. 4. Options regarding interim operational management steps and/or wide‐area drills for addressing resilience and reliability constraints in response to a HILF type event. 5. The appropriate implementation work plan elements and milestones for ERO, RE, and registered entities. Milestones/Activities
1. Start Task Force 3rd Quarter 2010. Spare Equipment Database Task Force Report – August 2011 25 Appendix I: SED Task Force Scope 2. Develop the criteria for evaluating options that enhance resilience of the bulk power system in response to HILF type events. 3. Formulate a wide range of preliminary options to consider, develop the proposed benefits/adverse impacts of each option – including development of a spare equipment database, associated equipment definitions/identification process, and development of pooling/bilateral approaches to address. 4. Identify the CEII*, confidentiality, and system security aspects as part of the criteria for recommendations. 5. Develop criteria for defining long‐lead time bulk transmission system emergency equipment. 6. Formulate the legal, regulatory, logistics, contractual, technical/design, and other aspects regarding the use of the spare equipment database. 

Definition of long‐lead time electric transmission equipment attributes included as part of the SED program starting with bulk power system power transformers. Assemble and coordinate the activities of equipment specialists in describing the appropriate design criteria associated with each equipment type within the SED program. 7. Develop appropriate ‘streamlined’ processes to provide access/availability of SED equipment information and communication of this information among entities responding to HILF events. 8. Provide recommendations on whether there are readily implementable enhancements to existing spare equipment programs/pooling‐bilateral efforts. 9. Develop a process for evaluating the performance and readiness to implement the SED program through drills and/or other exercises. 10. Identify recommendations where Federal, Provincial, and State Government support may be necessary to implement effective response (logistics, permitting, etc) to HILF events. 11. Provide recommendations on any follow‐on activities. 12. Report to the OC/PC/CIPC regarding progress on the milestones/activities. Membership
The SEDTF members will be comprised of the following: 

Two (2) members from each of NERC’s regions representative of industry segments; Two (2) Canadian members; Spare Equipment Database Task Force Report – August 2011 26 Appendix I: SED Task Force Scope  One (1) member from the NERC committee, or working group to whom the TF reports;  Industry experts as needed; and  NERC staff member will be assigned as the SEDTF secretary. The chair of the PC will appoint the chair of the SEDTF. Meetings
One face‐to‐face meeting per quarter and 1‐2 conference calls per month will be held. Approved by the Planning Committee: December 8, 2010 Spare Equipment Database Task Force Report – August 2011 27 Appendix II: SED Content Recommendations Appendix II: SED Content Recommendations
Critical construction and special features that will be useful in sorting the spare transformers will be entered and managed online by each SED participant. SED Participant: Contact Information 1. Name of TO or GO Functional Entity and Region where entity is a member. 2. Primary Contact Information: a. Name b. Title c. Telephone – Land d. Telephone – Cell e. eMail Address Designated Reporting Entity: a. Name b. Title c. Telephone – Land d. Telephone – Cell e. eMail Address Secondary Contact information: The second person to be contacted in the event a. Name that the contact shown in item 2 is not available. b. Title c. Telephone – Land d. Telephone – Cell e. eMail Address SED Data Manager Person to be contacted regarding entry and/or a. Name updating of the transformer data provided to SED. b. Title c. Telephone – Land d. Telephone – Cell e. eMail Address 3. 4. NERC registered entity to enter organization Compliance registry identifier along with the region where the entity is a registered. Non‐
registered: enter name of organization. The primary contact is the person to be contacted by NERC and/or any third‐party requesting a transformer that meets the general requirements following an authorized SED search. Entities may identify a Designated Reporting Entity (DRE) to report their SED information. A Primary Contact must first be identified and the Primary may then designate the DRE. Spare Equipment Database Task Force Report – August 2011 28 Appendix II: SED Content Recommendations SED Content: Transformer Design/Content Information 1. Transformer Identifier 2. Transformer Type 3. Spare’s Physical Location 4.
5.
6.
7.
8.
9.
Number of Phases Rated Voltage – High Voltage (HV) Rated Voltage – Low Voltage (LV) MVA Rating Percent Impedance and MVA Base Tertiary Winding – Voltage and MVA 10. Connection Type 11. Spare Status Category 12. Joint Ownership and Sharing Restrictions 13. Open Comment Field (for items such as LTC, taps, multi‐windings, joint ownership, unique transportation requirements, etc.) Voltage Class of Transformer 14. Report the transformers serial number or a unique identifier that can be used by SED to appropriately reference the subject transformer. Select the Transformer Type:  Transmission Transformer,  GSU;  If OTHER. write‐in. State or Province where the spare is physical located. Select: Single Phase or Three Phase Enter: Rated Nameplate Kilovolt (kV) Enter: Rated Nameplate Kilovolt (kV) Enter: Rated Nameplate MVA Enter: %Z and Base MVA Rating Select: YES or NO If YES: Enter Kilovolt (kV) and MVA ratings of Tertiary Winding  Wye‐Delta,  Delta‐Wye,  Wye‐Wye,  Delta‐Delta, and  Auto Select an SED Spare Status Category:  De‐energized,  In‐Service, and  In‐Transit Select from the following:  Jointly Owned, and  Contractually Limited Open TEXT field to report any special features or conditions (LTC, taps, multi‐windings, unique transportation requirements, etc.) associated with the identified transformer. The classification will be automatically entered using the transformer HV nameplate voltage ratings previously provided. The voltage classifications are derived from IEEE/ANSI: 90‐125 kV = 115 kV Class 126‐150 kV = 138kV Class 151‐175 kV = 161kV Class 190‐250 kV = 230kV Class 300‐375 kV = 345kV Class 490‐560 kV = 500 kV Class 730‐775 kV = 765kV Class Spare Equipment Database Task Force Report – August 2011 29 Appendix II: SED Content Recommendations NOTES: ►Spare ─ A piece of equipment maintained to be used at a future date. Some spares may require some work to make them suitable for use. Three categories are identified: A.
B.
C.
De‐energized Spare: Entity has possession of spare equipment. Spare equipment may be stored on location (station), on a temporary or designated pad, or at a centralized storage location. In‐Service Spare: Entity has an “Installed” or “In Service’’ Spare which is either ready to serve load as soon as needed or is serving load normally. These units are typically ready to be energized, or are already energized. NOTE: These transformers may present the largest challenge for an entity to share as the assets may be serving load, supporting required maintenance, or have specific matched impedances. Reporting of these types of spares is at the discretion of the reporting entity. In‐Transit Spare: Entity has issued a contract or purchase order for a transformer to a manufacturer or supplier, the transformer is in some state of manufacture or delivery, and delivery is to take place within the next six months. Upon delivery, transformers in this category are intended to be either de‐energized or in‐service spares. ►The SED Content information will be reviewed on a regular basis by NERC staff, and (at least) annually a request will be issued to each participating organization requesting the information reported to SED be either confirmed as ‘current’ or updated as necessary.
The SED Participant: Contact Information form is expected to be similar to that used for the TADS program; thus an example is not provided. An example of the SED Content: Transformer Design/Content Information Form (DRAFT) is shown below in Figure 4. Following the selection of the SED vendor, the form(s) will be finalized. Spare Equipment Database Task Force Report – August 2011 30 Appendix II: SED Content Recommendations Figure 4: SED Draft Spare Transformer Input Form Spare Equipment Database Task Force Report – August 2011 31 Appendix III: Data Confidentiality Agreement Appendix III: Data Confidentiality Agreement
A DRAFT of ED’s Mutual Confidentiality Agreement which will be filed for every SED participant is located on the NERC SED web site at http://www.nerc.com/filez/sedtf.html. Spare Equipment Database Task Force Report – August 2011 32 Appendix IV: SED Task Force Roster
Appendix IV: SED Task Force Roster
Level
Name
Member SEDTF Chair MRO Member SEDTF Vice‐Chair MRO Dale Burmester Manager, Major Projects/Transmission Planning Mark Westendorf Technical Manager Member Leader‐Function Subgroup RFC Member Leader‐Content Subgroup RFC Member FRCC Michael Wade Principal Engineer ‐ Lead Address
American Transmission Company, LLC 2 Fen Oak Court Madison, WI 53718 Midwest ISO, Inc.
701 City Center Drive P.O. Box 4202 Carmel, Indiana 46082‐4202 Consumers Energy Company
1945 W. Parnall Rd. P26‐116 Jackson, Michigan 49201 Daniel Zambory Supervisor Planning & Eng. II American Electric Power
700 Morrison Road Gahanna, Ohio 43230 Florida Power & Light Co.
700 Universe Blvd. (SB/JB) Juno Beach, FL 33408‐0420 Xcel Energy, Inc.
414 Nicollet Mall, MP8 Minneapolis, Minnesota 55401 Member NPCC Jow. H. Ortiz Transformer Fleet Team Manager Alan Lundberg Director of Transmission & Substation Performance & Standards Greg C. Parent Manager, Technical Support Services Department Richard J. Halleck Senior Engineer Member NPCC John Isecke Chief Engineer Member NPCC Robert Schwabe Director of Asset Management Member RFC Doug Frushour Manager, Substation O&M Member RFC Francis Huguet Senior Engineer II Member RFC Donald Platts Sr. Staff Engineer/Scientist Member MRO Member MRO Manitoba Hydro PO Box 815 St.; North Main Winnipeg, Manitoba R3C 2P4 Northeast Utilities
Building 3333 P.O. Box 270 Hartford, Connecticut 06141‐0270 Consolidated Edison Co. of New York 4 Irving Place New York, New York 10003 New York Power Authority
123 Main Street White Plains, New York 10601 Duke Energy 139 E. 4th Street Cincinnati, Ohio 45202 Consumers Energy Company
1945 W. Parnall Rd. Jackson, Michigan 49201‐8643 PPL Electric Utilities Corp.
2 North Ninth St., GENN4 Allentown, Pennsylvania 18101‐1179 Spare Equipment Database Task Force Report – August 2011 33 Appendix IV: SED Task Force Roster
Level
Member RFC Member SERC Member SERC Name
David Tates Manager, Energy Delivery Asset Management Mohammed Alfayyoumi
Manager ‐ Electric Transmission Operations Engineering James Houston Substation Maintenance Support Supervisor Address
FirstEnergy Corp.
76 South Main Street Akron, Ohio 44308 Dominion Virginia Power
701 East Cary Street Richmond, Virginia 23219 Southern Company
600 North 18th Street, PO Box 2641 Birmingham, Alabama 35203 Southern Company
62 Lake Mirror Road, Bin 50065 Forest Park, Georgia 30297 Member SERC Chris Lasher Manager, Substation Design & Maintenance Support Member SERC Matt Turpen Reliability Assessment Analyst
SERC Reliability Corporation
2815 Coliseum Centre Drive, Suite 500
Charlotte, NC 28217 Member SERC Virginia Whitaker Manager ‐ SCADA United Illuminating Co.
P.O. Box 1564 New Haven, Connecticut 06506 Member TRE Bert Crego Sr. Consulting Engineer CenterPoint Energy Houston Electric 1111 Louisiana Houston, Texas 77002 Member TRE Chris Cromer Regional Engineering Manager NRG Energy, Inc.
1301 McKinney Houston, Texas 77010 Member WECC Daniel Scott Manager, Asset Engineering PacifiCorp
825 NE Multnomah St., 1500 LCT Portland, Oregon 97232 Member ABB Craig L. Stiegemeier
Business Development & Technology Director ABB TRES ABB Inc.–North America
4350 Semple Avenue Saint Louis, Missouri 63120‐2241 Member APPA Puesh Kumar Engineering & Operations Manager American Public Power Association 1875 Connecticut Avenue, NW Washington, D.C. 20009 Observer APPA Michael J Hyland Senior Vice President, Engineering Services Frederick P. Heller
Engineer / Analyst American Public Power Association 1875 Connecticut Avenue NW Washington, D.C. 20009 U.S. Department of Defense
18372 Frontage Road Suite 318 Dahlgren, VA 22448 U.S. Department of Energy
1000 Independence Ave., SW Forestall Building Washington, D.C. 20585 Department of Energy
1000 Independence Avenue, SW Washington, D.C. 20585 Observer DOD Observer DOE Brian Copeland Infrastructure Reliability Analyst Observer DOE Kenneth Friedman
Senior Advisor Spare Equipment Database Task Force Report – August 2011 34 Appendix IV: SED Task Force Roster
Level
Observer DOE Observer DOE‐DHS Observer DHS Observer DHS Observer EEI Observer EEI Consultant Observer EPRI Observer FERC Observer NRECA Observer OATI Observer Siemens Observer State Dept. Name
Address
Matthew Light Infrastructure Systems Analyst Department of Energy
1000 Independence Ave., SW Washington, D.C. 20585 John D. Greenhill U.S. Department of Homeland Security Electronics Engineer 245 Murray Lane SW Washington, D.C. 20589 Cathy Crowley Eade
Department of Homeland Security Electrical Sector Specialist & 245 Murray Lane NERC ES‐ISAC Coordinator Mail Stop 0607 Washington, D.C. 20598‐0607 Sarah Mahmood Department of Homeland Security Program Manager Science and Technology 1120 Vermont Avenue, N.W., Suite 990 Washington, D.C. 20005‐3801 David Batz Edison Electric Institute
Manager, Cyber & 701 Pennsylvania Ave NW Infrastructure Security Washington, D.C. 20004 Kenneth Hall Hall Energy Consulting
President 606 Stevenson Cove Road Waynesville, North Carolina 28785 Richard I. Lordan Electric Power Research Institute Technology Director 3420 Hillview Avenue Palo Alto, California 94304 Richard Waggel Federal Energy Regulatory Commission Electrical Engineer 888 First St. NE Washington, D.C. 20426 Barry Lawson National Rural Electric Cooperative Manager, Power Delivery Association 4301 Wilson Blvd, EP11‐253 Arlington, Virginia 22203 Carlos Gonzalez‐Perez
OATI
Director Reliability Systems and 2300 Berkshire Lane North Market Operations Minneapolis, Minnesota 55441 Jim McIver Siemens Corporation
Principal Application Engineer 5850 S. Polaris Ave, STE 1800 Las Vegas, Nevada 89118 Rose Safir U.S. Department of State Information Technology Officer 2201 C Street NW Washington, D.C. 20520 Spare Equipment Database Task Force Report – August 2011 35 Appendix V: NERC Staff Roster
Appendix V: NERC Staff Roster
NERC SEDTF Support Roster Mark G. Lauby Jessica Bian Vice President and Director, Reliability Assessment and Performance Analysis Manager, Performance Analysis
Ronald J. Niebo NERC Staff SEDTF Coordinator Andrew Slone Reliability Assessment Coordinator
Bipin Patel NERC Consultant Technical Consulting Services
Engineer, Reliability Performance Analysis
Spare Equipment Database Task Force Report – August 2011 (404) 446‐9723 mark.lauby@nerc.net (404) 446‐9702 Jessica.bian@nerc.net (352)‐304‐8676 ron.niebo@nerc.net (404) 446‐9719 andrew.slone@nerc.net (205) 317‐2579 bkpatel@ieee.org 36 Agenda Item 2c
Task Force Reports – Review and Approval Milestones
Task Force or
Initiative
Report
Approved
by1
Request
Receive
Comments Comments
on Draft
on Draft
ESCC
Review
Technical
Committees
Approve
Final
MRC and
Board of
Trustees
Review
Geomagnetic
Disturbance
OC and PC
Dec 13-15,
2011
Jan 15, 2012
?
Nov 30,
2011 ?
March 2012 ?
May 8-9,
2012 ?
Spare
Equipment
Database
PC (with OC
and CIPC
endorsement)
Jun 1, 2011
Jun 29, 2011
Oct 3, 2011
Sep 13-15,
2011
Nov 2-3,
2011
Cyber Attack
CIPC (with OC
endorsement)
Oct 15, 2011
Nov 15, 2011
Dec 1, 2011
Dec 13-15,
2011
Feb 8-9,
2012 ?
Severe Impact
Resilience
OC (with PC
endorsement)
Dec 13-15,
2011
Feb 1, 2012
Feb 15, 2012
March 2012
May 8-9,
2012 ?
NERC Crisis
Plan
NERC CEO
tbd
tbd
Aug 16,
2011
tbd
Not required
The approval process has been developed according to the following principles.
Indicates
complete
1. All NERC Technical Committees (i.e. PC/OC/CIPC) will be asked to endorse Task Force reports,
regardless of which Committee formally approves the report.
Rationale: This will ensure that reports receive the broadest review from subject matter experts
representing all NERC Technical Committees and areas of subject matter expertise.
2. As reports near “final draft”, provide an advance copy to the ESCC.
Rationale: This will provide the ESCC with an opportunity to ensure key issues have been
adequately addressed, particularly those that have previously been discussed with the ESCC by
Task Force leadership.
3. Provide at least 30 days for Technical Committee review.
Rationale: This should provide sufficient time for a through review and meaningful feedback.
4. Do not post the reports for a pubic review period.
Rationale: A broad public review would require additional time and effort. The Task Forces have
conducted their work in as transparent a manner as possible and all interested stakeholders have
been welcome to participate. There will be an opportunity for public input through any future
phases of these efforts.
5. Request NERC Board of Trustees approval of Task Force reports.
Rationale: The NERC Board of Trustees approved the Coordinated Action Plan that initiated these
efforts. Board approval will help promote broader industry adoption of report recommendations.
1
Ref. Task Force Scope
Joint Steering Group
October 7, 2011

escc_open call agenda_oct_18_2011

Transcription

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