Key Compliance Trends
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- Ginger Phelps
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1 Key Compliance Trends
2 Key Compliance Trends Trend # 1: The number of violations received each month exceeds the total monthly violations processed Monthly BOTCC approvals are increasing The use of the administrative citation process should help to increase the number of violations processed Supporting slides 9, 1, and 11 2
3 Key Compliance Trends Trend #2: CIP 2-9 violations continue to increase as a portion of all new violations Ramp up is in accordance with the implementation plans, unlike 693, but CIP steady state timing should be similar to 693 A tapering off has recently been exhibited as a result of all entities and all requirements moving through the implementation plans Supporting slide 15 3
4 Key Compliance Trends Trend #3: Over 5 percent of all active violations are not yet mitigated NERC and Regions working to understand unmitigated violations and ways to improve MP process Supporting slides 7,17, and 18 4
5 Key Compliance Trends Trend #4: The number of violations without mitigation plans continues to rise The industry has been positively reacting to this observation by submitting mitigation plans earlier in the process and preparing MPs for older violations. Supporting slides 16 and 17 5
6 Overall Trends The number of new violations received in April is up from last month. The percentage of CIP to Non-CIP violations has reduced by 6% over March. In April 211, 51% (112 of 219) of the new violations submitted were CIP violations compared to 57% (19 of 19) in March. 6 month violation receipt average (November 1, 21 through April 3, 211) = 181 violations/month 219 violations received in April 211 compared to 19 violations received in March 211 6
7 Compliance Processing Statistics Number of Violations A-1 M-1 J-1 J-1 A-1 S-1 O-1 N-1 D-1 J-11 F-11 M-11 A-11 Month and Year Active NERC Work UnMitigated Mitigated 7
8 Graph Definitions Active All Violations that have not been Closed or Dismissed Closed Violations have all the following characteristics: Violation NOP approved by FERC, Verified Completion of Mitigation Plan, and Payment of any associated Penalties. NERC Work Active Violations minus Violation Sub State I (NERC Issues NOP) Unmitigated Violations where Mitigation Plans have not been received or not yet been closed minus completed Mitigation Plans that NERC is reviewing Closed Mitigation Plan: Regional Entity has Verified Completion of all Mitigated Elements specified by Plan Mitigated Active Violations minus Unmitigated Deem Date Date of the violation which the Regional Entity is using for purposes of calculating penalties and / or sanctions 8
9 Violation In/Out Trend Number of Violations A-1 M-1 J-1 J-1 A-1 S-1 O-1 N-1 D-1 J-11 F-11 M-11 A-11 Month and Year Violations Received BOT Approved Dismissed Closed 9
10 Violations Approved by the BOTCC (Includes Omnibus I) 16 Number of Violations Includes Omnibus II Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Month 1
11 Notices of Penalty Approved by the BOTCC 4 35 Number of Notices of Penalty Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Month 11
12 Settlement Negotiation Trend Number of Violations A-1 M-1 J-1 J-1 A-1 S-1 O-1 N-1 D-1 J-11 F-11 M-11 A-11 Month and Year Violations Into Settlement Negotiation Violations Out of Negotiations (Agreement Received or Dismissed) 12
13 Deem Dates from April 211 Violations ( 219 Violations) of 33 violations were CIP-2 thru CIP-9 for Jan 1 Number of Violations of 19 violations were CIP-2 thru CIP-9 for Nov 8 18 of 18 violations were CIP-2 thru CIP-9 for Jul 9 23 of 24 violations were CIP-2 thru CIP-9 for Apr 11 5 J-7 J-7 A-7 S-7 O-7 N-7 D-7 J-8 F-8 M-8 A-8 M-8 J-8 J-8 A-8 S-8 O-8 N-8 D-8 J-9 F-9 M-9 A-9 M-9 J-9 J-9 A-9 S-9 O-9 N-9 D-9 J-1 F-1 M-1 A-1 M-1 J-1 J-1 A-1 S-1 O-1 N-1 D-1 J-11 F-11 M-11 A-11 Month and Year of Deemed Date 13
14 Deem Date Trend for Active and Closed Violations of the 58 violations were CIP-2 thru CIP-9 Number of Violations of the 364 violations were CIP-2 thru CIP of the 45 violations were CIP-2 thru CIP-9 1 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr Deem Date of Violation 14
15 CIP versus Non-CIP Violation Trend All time Number of Violations J-7 A-7 O-7 D-7 F-8 A-8 J-8 A-8 O-8 D-8 F-9 A-9 J-9 A-9 O-9 D-9 F-1 A-1 J-1 A-1 O-1 D-1 F-11 A-11 Month and Year of Violation Submission Non-CIP Violations (US only) CIP Violations (US only) 15
16 Mitigation Status Number of Violations A-1 M-1 J-1 J-1 A-1 S-1 O-1 N-1 D-1 J-11 F-11 M-11 A-11 Month and Year Region Awaiting MP (A) Entity Implementation (E) MP Validated Complete (G) 16
17 Mitigation Plan Status by Discovery Month for Open Violations - June 27 thru April # of Violations Discovery Month / Year Completed In Progress No MP 17
18 Rolling Six Month MP - Average days from Discovery to Validate November 1, 21 thru April 3, 211 Total of 514 violations with a 6 month average days to validate of Average Number of Days Month/Year Mitigation Plan Validated Complete 18
19 TOP TWENTY MOST VIOLATED STANDARDS
20 Top 2 FERC Enforceable Standards Rolling 12 Months Submit Dates: 5/1/21 thru 4/31/ Number of Violations Standards Analysis Complete: PRC-5, CIP-4, FAC-8, FAC-9, CIP-1, VAR-2, PER-2, CIP-6, CIP-7
21 Top 2 All Time FERC Enforceable Standards Violated Active and Closed Violations thru 4/3/ Number of Violations Standard Analysis Complete: PRC-5, CIP-4, FAC-8, FAC-9, CIP-1, VAR-2, PER-2, CIP-6, CIP-7
22 MONTHLY REPORTING UPDATES
23 Snapshot comparison between April 1, 211 and April 3, New 219 Preliminary Alleged Violation Information Submitted State 1 (Assessment and Validation) Substate A (Region Preparing NAVAPS NAVAPS NAVAPS Received By NERC and Concurrently sent to Registered Entity 26 Substate C (NERC Reviewing NAVAPS and Awaiting Registered Entity Response) -29 State 2 (Confirmation) NOAV Accepted or Not Contested Substate D (Region Preparing NOCV) NOCV -4 NOCV Received by NERC State 3 (Regulatory Filings) Substate H (NERC Reviewing NOCV and Settlement and Preparing NOP) -19 NERC issues NOP State 4 (Filed/Awaiting Closing Actions) Substate I (Awaiting Closing Action) 88 State 5 (Closing) Substate J (Violations Closed) Substate E (Pending Hearing ) 2 Hearing decision Not appealed No hearing requested 45 Substate F (RE Hearing Process) Hearing Hearing decision requested appealed to NERC NERC affirms hearing decision Substate G (NERC Appeal Process) Region approved settlement 32 Alleged violation Dismissed in State 1 44 Dismissal +4 5 Alleged violation Dismissed in State 2 47 NERC remanded hearing decision 38 Legend: PNOAV Preliminary Notice of Alleged Violation NAVAPS Notice of Alleged Violation NOCV Notice of Confirmed Violation NOP Notice of Penalty Initiation of Settlement Negotiations (Anytime after preliminary alleged violation information received) 12 Substate K (Settlement Negotiations in Progress) Settlement Negotiation State -27 Page 1 of 7
24 C-RATS Violation Process State Summary Table Active FERC Enforceable Alleged Violations Below is a breakdown, as of April 3, 211 of the Compliance Monitoring and Enforcement Program (CMEP) Violation state summary for the 531 active violations. State 1 State 2 State 3 State 4 State 5 Assessment Regulatory Filed/Awaiting Completed and Validation Confirmation Settlement Filings Closing Actions and Closed Substate A (NERC Reviewing) Substate C (NERC Reviewing NAVAP and awaiting RE Response) Substate D (Region Preparing NOCV) Substate E (Pending Hearing) Substate F (RE Hearing Process) Substate G (NERC Appeal Process) Substate K (Settlement Negotiations) Substate H (NERC Reviewing NOCV / Settlement) Substate I (NERC Issues NOP) Substate J (Violation Closed) Region (New) Total FRCC (6) MRO (23) NPCC (2) RFC (41) SERC (35) SPP (39) TRE (29) WECC (27) NERC (17) TOTAL (219) Percentage of Total 27.83%.52%.38%.16%.89%.% 2.27% 7.29% 9.22% 33.43% State Totals Definitions Substate A = Preliminary Notice of Alleged violation information has been received from the Region and NERC is awaiting receipt of Notice of Alleged Violation Proposed Penalty or Sanction from the Region. Substate C = NERC has received Notice of Alleged Violation Proposed Penalty or Sanction and is awaiting acceptance, auto acceptance or contest. Substate D = Region received acceptance letter from Registered Entity, or 3 day clock expired and violation is Auto Accepted and is now Confirmed. Substate E = Region has received letter contesting violation from Registered Entity. Substate F = Region has received request for Hearing from Registered Entity. Substate G = NERC has received request for Appeal from Registered Entity. Substate H = NERC has received a Notice of Confirmed Violation or a Settlement Agreement from the Region. Substate I = Violation is Confirmed/Settled and a Notice of Penalty has been issued by NERC to Registered Entity and submitted to FERC. Substate J = Payment of Penalties, Fulfillment of Sanctions, Completion of Mitigation Plan, Exhaustion of Administrative and Judicial Remedies, and Fulfillment of Settlement terms have all been met and violation is closed. Substate K = Settlement negotiations are in progress. * Includes new violations received through 4/3/211. C-RATS Report Date: 5/9/211 Page 2 of 7
25 Snapshot comparison between April 1, 211 and April 3, Dismissed 25 State 1 (Assessment and Validation) 14 Change +137 Dismissed 2 State 2 (Confirmation) 98 Change -27 Dismissed State 3 (Regulatory Filings) NERC Reviewing NOCV and Settlement and Preparing NOP 367 Change State 4 (Filed/Awaiting Closing Action) NERC Issues NOP 464 Change +27 State 5 (Completed and Closed) Total closed Settlement State 12 Change Dismissed Page 3 of 7
26 C-RATS Pending Violations Summary by Process Steps FERC Enforceable Alleged Violations Summarized by State Below is a breakdown, as of April 3, 211, of the Compliance Monitoring and Enforcement Program (CMEP) Violation Process Steps summarized by State for the 531 FERC enforceable violations. Assessment and Validation Confirmation Settlement NERC Enforcement Actions Awaiting Closing Actions Completed and Closed Dismissed Region Sub-Total Total FRCC MRO NPCC RFC SERC SPP TRE WECC NERC TOTAL * Includes new violations received through 4/3/211. C-RATS Report Date: 4/5/211 Page 4 of 7
27 C-RATS Summary of all Post June 18, 27 Alleged Violations by Region Below is a breakdown, as of April 3, 211 of the Compliance Monitoring and Enforcement (CMEP) alleged violation summary for all 661 violations. Dismissed Previously Closed Newly Closed Total FERC Enforceable Normalized by Registered Entity % Non- Document Related Total Canadian Violations Total FRCC % 443 MRO % 7 39 NPCC % RFC % 869 SERC % 825 SPP % 576 TRE % 334 WECC % 2876 NERC % 124 TOTAL % Includes new violations received through 4/3/211. C-RATS Report Date: 5/5/211 Page 5 of 7
28 Snapshot comparison between April 1, 211 and April 3, 211 State 1 (Regional Assessment) State 2 (NERC Assessment) State 3 (Mitigation Plan Implementation) State 4 (Regional Verification of Completion) State 5 (Closing) 219 New Mitigation Plan requested by Regional Entity 921 Substate A (Region awaiting mitigation plan) Region Awaiting +61 Proposed mitigation plan received by Regional Entity 347 Substate B (Region reviewing mitigation plan) Region Reviewing -6 Region accepts active MP and sends to NERC and the Registered Entity NERC remands active MP for revision 172 Substate C (NERC reviewing active mitigation plan) NERC Reviewing Active MP +73 Active MP becomes completed/ verified prior to NERC approval NERC approves active MP and sends to FERC 248 Substate E (Registered Entity Implementing Mitigation Plan) Mitigation Implementation -5 Mitigation Plan is Complete 141 Substate F (Region Verifying Mitigation Plan Completion) Mitigation Verification -3 Region informs NERC that Mitigation Plan is Complete and Verified 85 Substate G (Mitigation Plan Validated Complete) Mitigation Completed Violation Mitigated Region accepts and verifies completed MP and sends to NERC and the Registered Entity NERC remands completed MP for revision NERC Reviewing Completed MP Substate D (NERC reviewing completed mitigation plan) NERC approves completed MP 4 Dismissal Page 6 of 7
29 C-RATS Mitigation Plans Process State Table Active FERC Enforceable Alleged Violations Below is a breakdown, as of April 3, 211, of the Compliance Monitoring and Enforcement Program (CMEP) Mitigation Plan state summary for the 1944 active violations. Region State 1 State 2 State 3 State 4 State 5 (Regional Assessment) (NERC Assessment) (Mitigation Plan Implementation) (Regional Verification of Completion) (Closing) Substate A Substate B Substate C Substate D Substate E Substate F Substate G Mitigation Accepted MP NERC Regional Plan Region Region Not Received Reviewing NERC Reviewing Registered Entity Verification of Validated Awaiting Reviewing from Region Active MP Completed MP Implementation MP Completion Complete FRCC MRO NPCC RFC SERC SPP TRE WECC NERC TOTAL State Totals Definitions Substate A = Region is still awaiting receipt of mitigation plan from Registered Entity. Substate B = Region has received mitigation plan and is reviewing. Substate C = NERC has received mitigation plan and is reviewing. Also includes any mitigation plans not yet received by NERC. Substate D = Mitigation plan has been verified completed by the Region but is still awaiting approval by NERC. Substate E = Mitigation plan has been approved by NERC, and sent to FERC, but has not been completed. Substate F = Mitigation Plan has been completed per Registered Entity but is being verified by the Region. Substate G = Mitigation plan has been verified completed by Region, has been approved by NERC, and sent to FERC. Total Includes Mitigation Plans received through 4/3/211. Mitigation information reported at the violation level. C-RATS Report Date: 5/9/211 Page 7 of 7
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