Agenda Personnel Certification Governance Committee Highlights...Personnel Certification Governance Committee November 5-6, 2013 The Westin Buckhead Atlanta 3391 Peachtree Street NE

Agenda Personnel Certification Governance Committee

February 4, 2014 | 8:00 a.m. – 5:00 p.m. Mountain February 5, 2014 | 1:00 – 5:00 p.m. Mountain Arizona Grand Resort 8000 S. Arizona Grand Parkway Phoenix, AZ 85004 Introductions and Chair’s Remarks NERC Antitrust Compliance Guidelines and Public Announcement Agenda

1. Administrative

PCGC Member(s): Trion King

Objective: Review agenda, meeting minutes, action items and task list

Presentation: No Duration: 5 minutes Background Item:

2. Approve Meeting Minutes


Objective: Approve previous meeting minutes: November 4-5, 2013 Atlanta, GA

Presentation: Duration: 5 minutes Background Item:

3. Status Reports

a. System Operator Certification Program Reports


Objective: Present statistics of System Operator Certification Program

Background: PowerPoint Presentation will be provided during meeting.

Presentation: Yes Duration: 15 minutes Background Item:

b. Continuing Education Program Reports


Objective: Present statistics of Continuing Education Program



c. Early Renewal of Certifications


Objective: Discuss impact of renewal request as early as six months to two years in advance of expiration.



Agenda – Personnel Certification Governance Committee Meeting – February 4-5, 2014 2

4. SOCCED Update

PCGC Member(s): Melinda Nicius.

Objective: Provide SOCCED Update. Discuss current vendor relations.



5. PCGC Board of Trustees Report

PCGC Member(s): Brett Hallborg and Mike Anderson

Objective: Discuss report submitted to the Board of Trustees

Background: Report included in the package


6. Task Force (TF) Reports

a. Nomination Task Force: EWG and PCGC

PCGC Member(s): Bill Ellard, TF Chair; John Kerr; Don Oatman

Objective: Present slate of EWG candidates. Present slate for PCGC candidates.

Background: Nomination TF will provide recommendation.


b. Budget Task Force:

PCGC Member(s): Dave Carlson, TF Chair; Mike Anderson, Jake Burger, Brett Hallborg

Objective: Review 2013 End of Year Budget

Background: Budget TF will provide an update during the meeting.


c. Record Retention, Storage and Transmittal Task Force:

PCGC Member(s): Dave Carlson, TF Chair; Don Oatman, Bill Ellard

Objective: Develop training for NERC staff and Implementation process.

Background: Dave Carlson to provide update on training process during the meeting.


d. Implementation Task Force:

PCGC Member(s): Jake Burger, TF Chair; Mike Anderson, Bill Ellard

Objective: Status of transition plan

Background: Implementation of New Exam Development and Testing Vendor: Website cleanup; Potential Conflict of Interest


e. Policy Oversight Task Force:

PCGC Member(s): Jake Burger, TF Chair; Eric Dietzman; Mike Scott; Dave Carlson

Objective: Review PCGC policies including Charter, EWG Scope, ROP at least annually.

Background: TF to provide update during the meeting.


f. Exam Development and Delivery Task Force:

PCGC Member(s): John Kerr, TF Chair; Dave Carlson; Eric Dietzman; Mike Scott

Agenda – Personnel Certification Governance Committee Meeting – February 4-5, 2014 3

Objective: Discuss Item Writing Workshop

Background: Provide oversight and guidance to EWG in the development and delivery of Certification exams. TF will develop IWW invitation criteria during the meeting.


7. Task List Review –


Objective: Review task lists and ensure items are properly documented.

Background: Included in the meeting minutes


8. Future PCGC Meetings:

Dates: Location: Comments:

May 5-6, 2014 St. Louis, MO

May 8-9, 2014 St. Louis, MO Item Writing Workshop

August 12-13, 2014 Seattle, WA

November 4-5, 2014 Atlanta, GA Annual Board Update

9. Roundtable

10. Closing Comments and Adjourn – Brett Hallborg, Chair

NERC 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.

NERC Antitrust Compliance Guidelines 2

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.

DRAFT Meeting Minutes Personnel Certification Governance Committee November 5-6, 2013 The Westin Buckhead Atlanta 3391 Peachtree Street NE Atlanta, GA 30326

Administrative

A meeting of the Personnel Certification Governance Committee (PCGC) was held on November 5-6, 2013 in Atlanta, GA. The agenda and action item list are affixed as Attachments A and B, respectively.

1. Welcome and Quorum

PCGC Chair, Brett Hallborg welcomed the committee members and NERC staff. A quorum was determined at 8:15 a.m. The list of meeting attendees can be found at the end of the meeting minutes.

NERC Antitrust Compliance Guidelines

The NERC Antitrust Compliance Guidelines were reviewed and all attendees agreed to abide by the NERC Antitrust Guidelines.

Public Meeting Notice

Trion King reminded all participants the meeting is public and was posted on the NERC website.

Task List reviewed

The PCGC reviewed and updated the task list, Attachment B.

2. Consent Agenda/Approve Meeting Minutes

The PCGC reviewed, amended and approved the agenda for this meeting. A motion was made and second to approve the August 2013 meeting minutes. The motion carried unanimously.

3. NERC Staffing

NERC Personnel Certification and Continuing Education Staff is now complete. Melinda Nicius is the new DBA replacing Kamila Serwin, SOCCED Project Manager. Melinda brings previous DBA experience from a different industry. Melinda joined the team November 4, 2013. The entire staff joined the PCGC during the lunch session of the meeting. A discussion of each team members areas of expertise and responsibilities occurred during lunch.

4. Exam Working Group (EWG) Update

The PCGC discussed the upcoming joint meeting with the EWG members, leadership requirements and overall functioning of the EWG. PCCG Chair met with EWG Chair to discuss vision for 2014.

Meeting Minutes – Personnel Certification Governance Committee – November 5-6, 2013 2

5. System Operator Certification and Continuing Education (SOCCED) Program Updates

Data and statistics of the SOCCED programs were updated to reflect current YTD data for exam pass rates (by exam), certified system operators, continuing education providers and approved continuing education hours (CEHs). Exam pass rates are slightly lower for all credentials at approximately 64.9 percent. System operator population is increasing, slightly above. CEHs entered into SOCCED were steady during 3rd quarter of 2013. Credential renewals during 3rd quarter were slightly above projection for the quarter.

6. SOCCED Update

Phase II verification is ongoing. The vendor has completed their understanding of the Statement of Work (SOW). The project has not had a true DBA/Project manager to ensure requested requirements were actually met. The new DBA is reviewing Phase II documentation and verifying the deliverables. Due to concerns of expected deliverables versus actual deliverables, NERC staff does not recommend placing Phase II into production. Phase II is basically an automated version of the current system without any improvements. The SOCCED vendor contract expires on December 31, 2013. NERC Legal is preparing contract documentation for 2014. PCGC recommends reviewing all options for hosting SOCCED.


a. Nomination Task Force (TF):

i. EWG: The Nomination TF recommended extending the deadline to January 31, 2014 for additional nominations. The EWG nomination package is available in the Announcement sections for both the System Operator Certification and Continuing Education Programs. Also, an announcement has been published in the NERC newsletter for November and December. Task Force: Bill Ellard, Chair; Members: John Kerr, Don Oatman, and EWG Chair.

ii. PCGC: A nomination package has been created and posted in the Announcement sections of System Operator Certification and Continuing Education Programs on the NERC web page. An announcement has been published in the NERC newsletter. The Nomintation TF recommended extending the deadline for applications January 31, 2014 . Task Force: Bill Ellard, Chair; Members: John Kerr and Don Oatman.

The Nominations TF will update the nomination forms for both the PCGC and the EWG by the end of November. The new forms will include a section for the candidate to present additional credentials. An interview process will be added to the nomination format. The entire Committee agreed with the modifications to the forms and process.

b. Budget Task Force: The TF reviewed the actual income and expenses through year to date with the PCGC in detail. Susan Turpen, NERC Controller attended the budget portion of the meeting and answered questions from the Committee. Susan also provided insight on the budget process. The TF requested that a line to track YTD Reserves be added to the budget as the Reserves are reduced over the next year. The TF also requested a breakout of maintenance and upgrade of the expenses spent on SOCCED. A motion was made and second to keep 2014 fees for System Operator exams and renewals the same, $600 and $300, respectively, as 2013. The motion carried


unanimously. Task Force: Dave Carlson, Chair; Members: Mike Anderson, Jake Burger and Brett Hallborg.

c. Record Retention, Storage and Transmittal Task Force: NERC Legal and IT approved the document.The TF Chair will schedule training of NERC staff on new NERC approved storage, transmittal and retention guidance for NERC SOC and CE Programs. The initial session is scheduled during January-February timeframe. Task Force: Dave Carlson, Chair; Members: Don Oatman, and Bill Ellard.


The TF and Committee agreed to an exam transition period from January 1 through January 19, 2014. Members of the PCGC and EWG will beta test each credential during the transition period. In order to keep the process on track, the TF will set specific status update meetings during the transition process. The exams will be available to the industry on January 20, 2014. A list of action items have been added to the task list, Attachment B. Task Force: Jake Burger, Chair; Members: Bill Ellard, and Mike Anderson.

e. Policy Oversight Task Force: There was discussion of reviewing the SOCCED User Guide. The TF decided to leave the SOCCED User Guide review with NERC staff. The initial concept of the TF is to ensure alignment of the program’s documents with the program. The TF will develop a draft of it’s responsibilities. The TF Chair will send initial draft to the TF members. Task Force: Jake Burger, Chair; Members: Eric Dietzman, Mike Scott, and Dave Carlson.

f. Exam Development and Design Task Force: The TF reviewed and updated the EWG meeting agenda. The Committee agreed to continue offering the EWG members their credential renewal at no charge.Task Force: John Kerr, Chair; Members: Eric Dietzman, Mike Scott, and Dave Carlson.

8. Unusual Testing Pattern:

NERC staff has observed a pattern of test takers with South Korean addresses. NERC credentials are for North America. The test takers are performing better on the RC exam Form 4A with an overall pass rate of 50-60 percent. The Committee has decided to continue to watch the patterns.

9. Task List Update

The task list was updated and is attached as Attachment B.

10. Future Meetings


February 4-5, 2014 Phoenix, AZ Joint Meeting with PS

May 5-6, 2014 St. Louis, MO or Chicago, IL

May 8-9, 2014 St. Louis, MO or Chicago, IL Item Writing Workshop


November 4-5, 2014 TBD Annual Board Update

11. Roundtable



Meeting was adjourned at 11:25 a.m. Wednesday, November 6, 2013.

November 2013 Attendees

Brett Hallborg, Chair

Mike Anderson, Vice-Chair

Jake Burger

Dave Carlson

Eric Dietzman

Bill Ellard

John Kerr

Don Oatman

Trion King, NERC Staff, Secretary

Attachment A Attachment A

Agenda Personnel Certification Governance Committee

November 5, 2013 | 8:00 a.m. – 5:00 p.m. EST November 6, 2013 | 8:00 a.m. – Noon EST Westin Buckhead Atlanta Chastain Room 3391 Peachtree Street NE Atlanta, GA 30326 Introductions and Chair’s Remarks NERC Antitrust Compliance Guidelines and Public Announcement Agenda

1. Administrative


Objective: Review agenda, meeting minutes, action items and task list


2. Approve Meeting Minutes


Objective: Approve previous meeting minutes: August 13-14, 2013 in Denver, CO


3. NERC Staffing


Objective: Update NERC Staffing which supports Personnel Certification and Continuing Education.


4. Exam Working Group (EWG) Update


Objective: EWG Update


5. Status Reports

a. System Operator Certification Program Reports


Objective: Present statistics of System Operator Certification Program

Background:


Agenda – Personnel Certification Governance Committee – November 5-6, 2013 2

b. Continuing Education Program Reports


Objective: Present statistics of Continuing Education Program

Background:


c. Transcript Review – CONFIDENTIAL SESSION


Objective:

Background:


6. SOCCED Update


Objective: Provide SOCCED Update. Discuss current vendor relations.

Background:



a. Nomination Task Force: EWG and PCGC

PCGC Member(s): Bill Ellard, TF Chair; John Kerr; Don Oatman

Objective: Present slate of EWG candidates. Present slate for PCGC candidates. Present renewals for members seeking new term on both PCGC and EWG.

Background:


b. Budget Task Force:

PCGC Member(s): Dave Carlson, TF Chair; Mike Anderson, Jake Burger, Brett Hallborg

Objective: Review 3rd Quarter Budget

Background:


c. Record Retention, Storage and Transmittal Task Force:

PCGC Member(s): Dave Carlson, TF Chair; Don Oatman, Bill Ellard

Objective: Develop training for NERC staff and Implementation process.

Background:



PCGC Member(s): Jake Burger, TF Chair; Mike Anderson, Bill Ellard

Objective: Review transition plan

Background: Implementation of New Exam Development and Testing Vendor


Agenda – Personnel Certification Governance Committee – November 5-6, 2013 3

e. Policy Oversight Task Force:

PCGC Member(s): Jake Burger, TF Chair; Eric Dietzman; Mike Scott; Dave Carlson

Objective: Review PCGC policies including Charter, EWG Scope, ROP at least annually.

Background:


f. Exam Development and Delivery Task Force:

PCGC Member(s): John Kerr, TF Chair; Dave Carlson; Eric Dietzman; Mike Scott

Objective: Discuss meeting agenda with EWG.

Background: Provide oversight and guidance to EWG in the development and delivery of Certification exams.


8. Task List Review –


Objective: Review task lists and ensure items are properly documented.

Background:


9. Future PCGC Meetings:


February 4-5, 2014 Phoenix, AZ Joint Meeting with PS

May 5-6, 2014 St. Louis, MO Item Writing Workshop


November 4-5, 2014 Atlanta, GA Annual Board Update

10. Roundtable


Attachment B

Action Items Personnel Certification Governance Committee November 4 - 5, 2013

Item# Task Assignment NERC Support Staff Due Task Force

2013-1 French Exam: Missing diagram on RC Exam

Trion King Trion King; Prometric; PSI Next Meeting NERC/PSI

2013-2 Data Storage, Retention, Transmittal NERC staff training and transmittal implementation.

Dave Carlson NERC Staff and IT February 2014 Record Retention, Storage

2013-2.1 PCGC Secure Site to SharePoint Trion King Trion King; NERC IT Next Meeting NERC

2013-4 Mass Email Option (Ability to contact operators through the use of SOCCED) - Proceed. Need delivery date from MCG.

Trion King/ Melinda Nicius

NERC IT/MCG Next Meeting PCGC

2013-5 Verify registration process will not change.

Jake Burger Trion King Next Meeting Implementation

2013-11 Review PCGC web page on NERC.com. Jake Burger Trion King Next Meeting Policy Oversight

2013-12 Clean up documents on webpage: Trion King Trion King/IT Next Meeting Policy Oversight

2013-14 Update membership roster; Send to PCGC

Trion King Trion King/Sandy Shiflett Completed

2013-19 Metrics: change pass rate to bar chart; add number of exams taken by type along with pass rate; 2nd attempt to bar chart; add details on PCGC budget is independent… take language from ROP.

Trion King Completed

2013-21 Create list of questions for PSI Jake Burger Next Meeting Implementation

2013-22 Beta test schedule: December? PSI Next Meeting Implementation

Action Items – Personnel Certification Governance Committee – November 5-6, 2013 2

Item# Task Assignment NERC Support Staff Due Task Force

2013-25 Determine number of French ATTs Trion King Next Meeting

2013-26 Track issues: Testing Trion King Next Meeting

2013-27 Structured Testing Checklist completed. Implementation 1/20/14 Implementation

2013-28 Metric: Exam Delivery Service Provide feedback to PSI on test center customer service.

Trion King Beta testers Next Meeting

2013-29 Metric: Test Development Service EDD Trion King Next Meeting EDD

2013-30 Prometric Test Dates on or after 1/1/14 Trion King Next Meeting

2013-31 Blackout Period Announcement Jake Burger Trion King Next Meeting Implementation

2013-32 Update EWG Scope: Renewal Fee Policy Trion King Next Meeting Policy

2013-33 Exam Pass Rate: Remove Trendline; swap Pass/Fail

Trion King Next Meeting

2013-34 Budget Report: Track Reserves YTD Budget Susan Turpen Next Meeting Budget

2013-35 Breakout Monthly vs Project Expenses Trion King Susan Turpen Next Meeting Budget

2013-36 Confidential vs Closed Trion King Legal Next Meeting

2013-37 Add Active Graph to BOT Report Trion King Next Meeting Policy

2013-38 Budget YTD Budget On-going Budget

2013-39 Provide PSI zip codes to map test centers

NERC Next Meeting

2013-40 Decide if Face to Face meeting for JTA results

PCGC Next Meeting

2013-41 JTA in December 2013 for 2018 PCGC/EWG Next Meeting

Agenda Personnel Certification Governance Committee Highlights...Personnel Certification Governance Committee November 5-6, 2013 The Westin Buckhead Atlanta 3391 Peachtree Street NE

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