Violation Process States and Underlying Process Sub states Snapshot comparison between February 1, 2009 and February 28, 2009

Transcription

1 Violation Process States and Underlying Process Sub states Snapshot comparison between February 1, 29 and February 28, New Preliminary Alleged Violation Information Submitted Substate A Submitted Information) remanded Submitted Information State 1 (Assessment and Validation) Preliminary Alleged Violation Information Accepted By ; Initial Notice of Alleged Violation Prepared And Sent To FERC Alleged violation in State 1 76 Substate B ( Preparing Received By and Concurrently sent to Registered Entity remanded 2 5 Substate C and Awaiting Registered Entity Response) Dismissal NOAV Contested 8 State 2 (Confirmation) NOAV Accepted or Not Contested 1 Substate E (Pending Hearing ) Substate D ( Preparing NOCV) NOCV -32 No hearing requested Substate G Appeal Process) Hearing Hearing decision requested appealed to -9 Alleged violation in State 2 Hearing decision Not appealed 2 Substate F (RE Hearing Process) 28 remanded hearing decision affirms hearing decision NOCV Received by State 3 (Regulatory Filings) 193 Substate H NOCV and Preparing NOP) NOP -9 Returned to BOT CC approves NOP 35 Substate L Settlement and Preparing NOP) 27 Substate I Issues NOP) Payment of Penalties Fulfillment of Sanctions Completion of Mitigation Plan(s) Exhaustion of Administrative and Judicial Remedies Fulfillment of Settlement Terms State 4 (Closing) +4 4 Substate J (Violation Closed- This month) BOT CC approves NOP NOP approved settlement Returned to 13 Violations Previously Closed 15 Legend: PNOAV Preliminary Notice of Alleged Violation Notice of Alleged Violation NOCV Notice of Confirmed Violation NOP Notice of Penalty 351 Substate K (Settlement Negotiations in Progress) Initiation of Settlement Negotiations (Anytime after preliminary alleged violation information received) Settlement Negotiation State +51 Item 4.a.i - Page 1 of 2

2 Violation Process State Summary Table Active FERC Enforceable Alleged Violations Below is a breakdown, as of February 28, 29, of the Compliance Monitoring and Enforcement Program (CMEP) Violation state summary for the 1689 active violations. State 1 State 2 State 3 State 4 (Assessment and Validation) (Confirmation) Settlement (Regulatory Filings) (Closing) Substate A ) Substate B ( Preparing NAVAP) Substate C NAVAP and awaiting RE Response) Substate D ( Preparing NOCV) Substate E (Pending Hearing) Substate F (RE Hearing Process) Substate G Appeal Process) Substate K (Settlement Negotiations) Substate H NOCV) Substate L Settlement Agreement) Substate I Issues NOP) Substate J (Violation Closes) FRCC MRO NPCC RFC SERC SPP TRE WECC TOTAL Percentage of 3.49% 41.8% 2.96% 15.16%.59%.12%.% 2.78% 11.43% 2.7% 1.6%.24% State s Definitions Substate A = Preliminary Notice of Alleged violation information has been received from the but no Initial Notice has been issued to FERC. Substate B = is awaiting receipt of Notice of Alleged Violation Proposed Penalty or Sanction from the. Substate C = has received Notice of Alleged Violation Proposed Penalty or Sanction and is awaiting acceptance, auto acceptance or contest. Substate D = received acceptance letter from Registered Entity, or 3 day clock expired and violation is Auto Accepted and is now Confirmed. Substate E = has received letter contesting violation from Registered Entity. Substate F = has received request for Hearing from Registered Entity. Substate G = has received request for Appeal from Registered Entity. Substate H = has received a Notice of Confirmed Violation from the. Substate I = Violation is Confirmed/Settled and a Notice of Penalty has been issued by 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. Substate L = has received a Settlement Agreement from the. * Includes new violations received through 2/28/29. Report Date: 3/3/29 Item 4.a.i - Page 2 of 2

3 Item 4.a.ii Violation Process States Snapshot comparison between February 1, 29 and February 28, State 1 (Assessment and Validation) 765 Change State 2 (Confirmation) 318 Change -29 State 3 (Pending Regulatory Filing) Change -13 State 4 (Completed and Closed) Previously closed Settlement State 351 Change Item 4.a.ii - Page 1 of 1

4 Item 4.b Summary of all Post June 18 th Alleged Violations by Below is a breakdown, as of February 28, 29 of the Compliance Monitoring and Enforcement (CMEP) alleged violation summary for all 2519 violations. FERC Enforceable Previously Closed Newly Closed Normalized by Registered Entity % Non- Document Related Canadian Violations FRCC % 142 MRO % 7 84 NPCC % 3 63 RFC % 126 SERC % 258 SPP % 74 TRE % 68 WECC % TOTAL % Includes new violations received through 2/28/29. Report Date: 3/3/29 Item 4.b Page 1 of 1

5 Snapshot comparison between February 1, 29 and February 28, 29 State 1 (al Assessment) State 2 Assessment) State 3 (Mitigation Plan Implementation) State 4 (al Verification of Completion) State 5 (Closing) Mitigation Plan requested by al Entity 258 Substate A ( awaiting mitigation plan) Awaiting -34 Proposed mitigation plan received by al Entity 19 Substate B ( reviewing mitigation plan) -1 accepts active MP and sends to and the Registered Entity remands active MP for revision 164 Substate C reviewing active mitigation plan) Active MP -55 Active MP becomes completed/ verified prior to approval approves active MP and sends to FERC 161 Substate E (Registered Entity Implementing Mitigation Plan) Mitigation Implementation -13 Mitigation Plan is Complete 82 Substate F ( Verifying Mitigation Plan Completion) Mitigation Verification -37 informs that Mitigation Plan is Complete and Verified 81 Substate G (Mitigation Plan Validated Complete) Mitigation Completed -29 Violation Mitigated accepts and verifies completed MP and sends to and the Registered Entity remands completed MP for revision Completed MP Substate D reviewing completed mitigation plan) approves completed MP Item 5.a - Page 1 of 2

6 Mitigation Plans Process State Table Active FERC Enforceable Alleged Violations Below is a breakdown, as of February 28, 29, of the Compliance Monitoring and Enforcement Program (CMEP) Mitigation Plan state summary for the 194 active violations. State 1 State 2 State 3 State 4 State 5 (al (Mitigation Plan (al Assessment) Assessment) Verification of (Closing) Implementation) Completion) Substate A Substate B Substate C Substate D Substate E Substate F Substate G Accepted MP al Mitigation Plan Registered Entity Awaiting Not Received Verification of Validated Implementation from Active MP Completed MP MP Completion Complete FRCC MRO NPCC RFC SERC SPP TRE WECC TOTAL Percentage of 23.58% 9.96%.18% 14.81% 21.85% 14.72% 7.5% 7.4% State s Definitions Substate A = is still awaiting receipt of mitigation plan from Registered Entity. Substate B = has received mitigation plan and is reviewing. Substate C = has received mitigation plan and is reviewing. Also includes any mitigation plans not yet received by. Substate D = Mitigation plan has been verified completed by the but is still awaiting approval by. Substate E = Mitigation plan has been approved by, 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. Substate G = Mitigation plan has been verified completed by, has been approved by, and sent to FERC. Includes Mitigation Plans received through 2/28/29. Mitigation information reported at the violation level. Report Date: 3/3/29 Item 5.a - Page 2 of 2

7 Mitigation Plan Summary of Pre-June 18 th Violations Item 5.b Below is a breakdown of the remaining unmitigated pre-june 18 th violations occurring between January 26 and June 17, 27, by, updated as of February 28, 29. Alleged 26 Unmitigated 27 Unmitigated All Years Target Date Passed 26 Alleged Target Date Passed 27 Unmitigated Under Verification FRCC MRO NPCC RFC SERC 1 1 SPP 1 TRE WECC TOTAL Definitions Target Date Passed = Violations that are listed as In Progress or To be determined per the region s linear spreadsheet that have an Estimated Mitigation Completion Date which has passed. *WECC alleged violations are considered to be RMS violations. Report Date: 3/3/29 Item 5.b Page 1 of 1

8 Item 5.c Progress with Pre-June 18th Violation Mitigation Plans June July August September October November December January February Pre-June 18th Unmitigated Violations Pre-June 18th Under al Verification Item 5.c - Page 1 of 1