Compliance Trending May 21
Overall Trends New Violations in May were received at a rate lower than the rolling 6 month average 6 Month Violation Receipt Average (Nov 29 through May 21) = 136 violations/month 19 Violations Received in May 21 compared to 156 Violations Received in April 21 In May 21, 26 Order 76 violations were received compared to 83 Order 693 violations Data as of May 31, 21 2
Compliance Processing Statistics 25 From Dec 29 thru May 21, Active violations average monthly increase is 3% 2 Number of Violations 15 1 5 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 Month and Year Active NERC Work UnMitigated Mitigated Data as of May 31, 21 3
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 Data as of May 31, 21 4
Violation In/Out Trend 8 Number of Violations 7 6 5 4 3 2 BOTCC Approves Omnibus Filing FERC Approves Omnibus Filing 1 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 Month and Year Violations Received BOTCC Approved + Dismissed Dismissed + Violations Closed Data as of May 31, 21 5
Settlement Negotiation Trend 7 6 First Omnibus Filing (564 Violations) Number of Violations 5 4 3 2 3 rd Consecutive Month where Violations into Negotiation Exceeded Violations Out of Negotiation 1 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 Month and Year Violations Into Settlement Negotiation Violations Out of Settlement (Agreement Received or Dismissed) Data as of May 31, 21 6
Violations Active at NERC and Regional Entities 25 2 Number of Violations 15 1 5 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 Month and Year Active Violations Violations at Region Violations at NERC (Sub State H&L) NERC issues NOP (Sub State I) Data as of May 31, 21 7
Deem Dates from May 21 Violations (19 Violations) 6 5 49 Violations deemed to occur back to June 27 Number of Violations 4 3 2 All 1 July 28 Violations related to CIP-2 thru CIP-9 6 of 8 July 29 Violations related to CIP- 2 thru CIP-9 1 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 Month and Year of Deem Date The Overwhelming majority of violations have been deemed back to 6/18/27 due to a change from non-voluntary to mandatory adherence to Reliability Standards Data as of May 31, 21 8
Deem Date Trend for Active and Closed Violations 4 Number of Violations 35 3 25 2 15 1 36 out of 336 July 28 Violations related to CIP- 2 thru CIP-9 113 out of 134 July 29 Violations Related to CIP-2 thru CIP-9 54 out of 58 January 21 Violations Related to CIP-2 thru CIP-9 5 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 28 29 21 Deem Date of Violation 1676 out of 336 active and closed violations have been deemed back to the partial year Data as of May 31, 21 of 27. The most substantial portion of the 27 violations were deemed back to June 9 27 (1181 violations out of 1676 violations)
Mitigation Status at Regions 7 6 From Dec 29 thru May 21, Average monthly increase is 8% 5 4 3 2 1 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 Region Awaiting MitPlan Entity Implementation MitPlan Validated Complete Data as of May 31, 21 1
Histogram of Violations without Mitigation Plans Filed Number of Violations Without MitPlans filed at Regions 14 12 1 8 6 4 2 79 117 92 Of the 539 violations, 33% are more than 121 days old without a Mitigation Plan Filed to the Region 74 6 117 1.% 9.% 8.% 7.% 6.% 5.% 4.% 3.% 2.% 1.% -3 31-6 61-9 91-12 121-18 181+ Age of Violation (in Days) Frequency Cumulative %.% The violations represented here are violations that are currently not dismissed, in settlement negotiation, or closed. Data as of May 31, 21 11
TOP TEN MOST VIOLATED STANDARDS
ITEM 4 25 Top 1 FERC Enforceable Standards Rolling 12 Months Submit dates: 6/1/29 thru 5/31/21 214 2 164 Num mber of Violations 15 1 93 82 5 65 6 6 59 5 5 PRC 5 (1) CIP 4 (2) CIP 7 (3) CIP 1 (4) EOP 5 (5) FAC 8 (7) CIP 3 (6) CIP 6 (8) TOP 2 (1) CIP 2 (9) Standards Analysis Complete: PRC 5, CIP 4, FAC 8, FAC 9, CIP 1 Numbers in Parenthesis () Indicate Previous Months Ranking Page 1 of 12
6 Top 1 All Time Violated Standards Active + Closed Violations thru 5/31/21 518 5 4 366 Num mber of Violations 3 23 2 146 1 114 112 16 15 98 87 PRC 5 (1) CIP 1 (2) CIP 4 (3) FAC 8 (4) EOP 5 (5) TOP 2 (6) VAR 2 (8) FAC 9 (7) CIP 7 (9) PER 2 (1) Analysis Complete: PRC 5, CIP 4, FAC 8, FAC 9, CIP 1 Standard Numbers in Parenthesis () Indicate Previous Months Ranking Page 2 of 12
NERC and Regional Top 1 Most Violated Standards Rolling 12 months: May 1, 29 to April 3, 21 Summary Table Region NERC Violation Rank Key NERC top 1-5 NERC top 6-1 1 2 3 4 5 6 7 8 9 1 PRC-5 CIP-4 CIP-7 CIP-1 EOP-5 CIP-3 FAC-8 CIP-6 FAC-1 CIP-2 229 168 88 82 65 55 54 53 44 44 FRCC PRC-5 CIP-4 EOP-5 CIP-7 EOP-1 BAL-5 PER-2 FAC-8 CIP-5; FAC-1; TOP-2 MRO PRC-5 PRC-8 FAC-3 FAC-1 CIP-7 EOP-5 COM-2 CIP-4 PER-2 EOP-8 CIP-6 CIP-3 NPCC CIP-4 CIP-1 CIP-6 PRC-5 FAC-9 FAC-8 TOP-2 FAC-1 FAC-3 PRC-8 TOP-3 VAR-2 RFC PRC-5 CIP-4 CIP-7 CIP-6 CIP-5 CIP-3 FAC-8 VAR-2 PRC-1 CIP-8 CIP-9 SERC CIP-4 PRC-5 EOP-5 CIP-7 CIP-1 VAR-2 CIP-6 CIP-2 CIP-5 CIP-9 SPP PRC-5 CIP-4 FAC-1 CIP-3 CIP-7 CIP-9 FAC-8 FAC-9 PRC-8 CIP-2 TRE FAC-8 PRC-5 PRC-8 CIP-1 CIP-4 FAC-3 IRO-1 PRC-11 TOP-1 WECC PRC-5 EOP-5 CIP-1 TOP-2 CIP-4 CIP-7 PER-2 EOP-1 CIP-3 COM-1 Page 3 of 12
NERC and Regional Top 1 Most Violated Standards Rolling 12 months: May 1, 29 to April 3, 21 Number of Standards in NERC Top 5/ Top 1 REGION # of Regional Top 5 in NERC Top 5 # of Regional Top 1 in NERC Top 1 FRCC 4 6 MRO 2 7 NPCC 3 6 RFC 3 6 SERC 5 7 SPP 3 7 TRE 3 4 WECC 4 6 Page 4 of 12
NERC and Regional Top 1 Most Violated Standards Rolling 12 months: May 1, 29 to April 3, 21 Standards falling outside NERC Top 1 REGION CIP-5 CIP-9 EOP-1 FAC-3 PER-2 PRC-8 TOP-2 VAR-2 NERC Rank (Violations) 18 (32) 14 (36) 16 (34) 22 (17) 12 (37) 17 (33) 11 (43) 12 (37) FRCC #9 (6) #5 (12) #7 (9) #9 (6) MRO #3 (4) #9 (2) #2 (8) NPCC #8 (2) #8 (2) #7 (5) #8 (2) RFC #5 (1) #1 (7) #8 (8) SERC #9 (11) #1 (8) #5 (15) SPP #6 (1) #9 (7) TRE #3 (3) WECC #8 (24) Key: Top 1 Regional Rank (# of violations) #7 (25) #4 (37) Page 5 of 12
NERC and Regional Top 1 Most Violated Standards Rolling 12 months: May 1, 29 to April 3, 21 PRC-5 Ranking across Regions PRC-5 Violation Rank Across Regional Entities WECC 1 TRE 2 SPP 1 Region SERC RFC 1 2 NPCC 4 MRO FRCC 1 1 1 2 3 4 5 PRC-5 Ranking Page 6 of 12
NERC and Regional Top 1 Most Violated Standards Rolling 12 months: May 1, 29 to April 3, 21 CIP-4 Ranking across Regions CIP-4 Violation Rank Across Regional Entities WECC TRE 5 5 SPP 2 Region SERC RFC 1 2 NPCC 1 MRO 8 FRCC 2 1 2 3 4 5 6 7 8 9 1 CIP-4 Ranking Page 7 of 12
MONTHLY REPORTING UPDATES
ITEM 12. A Snapshot comparison between May 1, 21 and May 31, 21 19 New Preliminary Alleged Violation Information Submitted 19 NERC remanded Submitted Information State 1 (Assessment and Validation) 14 Substate A (NERC Reviewing Submitted Information) +6-11 Preliminary Alleged Violation Information Accepted By NERC; Initial Notice of Alleged Violation Prepared And Sent To FERC 865 Substate B (Region Preparing NAVAPS NAVAPS -17 12 NAVAPS Received By NERC and Concurrently sent to Registered Entity 9 9 NERC remanded NAVAPS 24 9 Substate C (NERC Reviewing NAVAPS and Awaiting Registered Entity Response) -17 1 27 State 2 (Confirmation) NOAV Accepted or Not Contested 4 Substate E (Pending Hearing ) 1-64 12 Substate D (Region Preparing NOCV) NOCV -47 Hearing decision Not appealed No hearing requested Substate F (RE Hearing Process) Hearing Hearing decision requested appealed to NERC NERC remanded hearing decision NERC affirms hearing decision Substate G (NERC Appeal Process) NOCV Received by NERC State 3 (Regulatory Filings) +37 21 4 Returned to Region 87 Substate H (NERC Reviewing NOCV and Preparing NOP) Returned to Region NOP +18 41 Substate L (NERC Reviewing Settlement and Preparing NOP) +19 Region approved settlement NERC issues NOP NERC issues NOP 4 State 4 (Filed/Awaiting Closing Actions) -35 72 Substate I (Awaiting Closing Action) 39 State 5 (Closing) +39 18 Substate J (Violations Closed) -35 +39 Alleged violation Dismissed in State 1 Dismissal +1 Alleged violation Dismissed in State 2 2 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) 819 Substate K (Settlement Negotiations in Progress) +133 Settlement Negotiation State +133
Violation Process State Summary Table Active FERC Enforceable Alleged Violations ITEM B Below is a breakdown, as of May 31, 21 of the Compliance Monitoring and Enforcement Program (CMEP) Violation state summary for the 3291 active violations. State 1 State 2 State 3 State 4 State 5 Assessment and Validation Confirmation Settlement Regulatory Filings Filed/Awaiting Closing Actions Completed and Closed Substate A (NERC Reviewing) Substate B (Region Preparing NAVAP) 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) Substate L (NERC Reviewing Settlement Agreement) Substate I (NERC Issues NOP) Region (New) Total FRCC (12) 4 83 172 2 11 57 329 MRO 26 14 1 15 48 14 NPCC (2) 1 22 5 14 4 37 128 RFC (8) 167 6 31 25 73 356 SERC (18) 5 212 5 59 163 489 SPP (25) 2 87 3 134 27 7 3 18 281 TRE (4) 2 19 1 19 5 1 3 25 75 WECC (4) 183 8 9 4 32 4 286 26 587 1463 NERC 66 66 TOTAL (19) 14 865 9 12 4 819 87 41 72 18 3291 Percentage of Total.43% 26.28%.27%.36%.12%.%.% 24.89% 2.64% 12.18% 2.19% 3.63% State Totals 879 25 819 488 72 18 Substate J (Violation Closed) Definitions Substate A = Preliminary Notice of Alleged violation information has been received from the Region but no Initial Notice has been issued to FERC. Substate B = 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 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. Substate L = NERC has received a Settlement Agreement from the Region. * Includes new violations received through 5/3121. Report Date: 6/3/21 Item H Page 1 of 1
ITEM C Snapshot comparison between May 1, 21 and May 31, 21 Dismissed Dismissed Dismissed 19 9 State 1 (Assessment and Validation) 879 Change -11 9 1 State 2 (Confirmation) 25 Change -64 21 State 3 (Regulatory Filings) NERC Reviewing NOCV and Preparing NOP 87 Change +18 NERC Reviewing Settlement and Preparing NOP 4 State 4 (Filed/Awaiting Closing Action) NERC Issues NOP 72 Change -35 39 State 5 (Completed and Closed) Total closed 18 51 41 Change +19 12 2 Settlement State 819 Change +133 Dismissed
ITEM D Pending Violations Summary by Process Steps FERC Enforceable Alleged Violations Summarized by State Below is a breakdown, as of May 31, 21, of the Compliance Monitoring and Enforcement Program (CMEP) Violation Process Steps summarized by State for the 3291 FERC enforceable violations. Region Assessment and Validation Confirmation Settlement NERC Enforcement Actions Awaiting Closing Actions Completed and Closed FRCC 87 172 2 11 57 329 MRO 26 14 16 48 14 NPCC 23 5 14 4 37 128 RFC 167 6 31 25 73 356 SERC 217 5 59 163 489 SPP 89 3 134 34 3 18 281 TRE 21 1 19 6 3 25 75 WECC 183 21 32 326 26 587 1463 NERC 66 66 TOTAL 879 25 819 488 72 18 3291 Total * Includes new violations received through 5/31/21. Report Date: 6/2/21
Summary of all Post June 18, 27 Alleged Violations by Region ITEM E Below is a breakdown, as of May 31, 21 of the Compliance Monitoring and Enforcement (CMEP) alleged violation summary for all 4454 violations. Dismissed Previously Closed Newly Closed Total FERC Enforceable Normalized by Registered Entity % Non- Document Related Total Canadian Violations Total FRCC 49 57 272 3.78 63% 378 MRO 41 48 56.46 48% 7 152 NPCC 18 31 6 91.31 57% 8 154 RFC 25 73 283.77 74% 381 SERC 61 145 18 326 1.41 55% 55 SPP 12 18 263 2.9 61% 293 TRE 2 25 5.23 56% 95 WECC 911 572 15 876 1.89 53% 2374 NERC 11 66 22. 77% 77 TOTAL 1148 969 39 2283 1.21 59% 15 4454 Includes new violations received through 5/31/21. Report Date: 6/2/21
ITEM G Snapshot comparison between May 1, 21 and May 31, 21 State 1 (Regional Assessment) State 2 (NERC Assessment) State 3 (Mitigation Plan Implementation) State 4 (Regional Verification of Completion) State 5 (Closing) 19 New Mitigation Plan requested by Regional Entity 654 Substate A (Region awaiting mitigation plan) Region Awaiting +31 Proposed mitigation plan received by Regional Entity 152 Substate B (Region reviewing mitigation plan) Region Reviewing -2 Region accepts active MP and sends to NERC and the Registered Entity NERC remands active MP for revision 45 Substate C (NERC reviewing active mitigation plan) NERC Reviewing Active MP -7 Active MP becomes completed/ verified prior to NERC approval NERC approves active MP and sends to FERC 217 Substate E (Registered Entity Implementing Mitigation Plan) Mitigation Implementation +14 Mitigation Plan is Complete 62 Substate F (Region Verifying Mitigation Plan Completion) Mitigation Verification +8 Region informs NERC that Mitigation Plan is Complete and Verified 54 Substate G (Mitigation Plan Validated Complete) Mitigation Completed Violation Mitigated Total Violation Mitigation Plans Verified Complete Region accepts and verifies completed MP and sends to NERC and the Registered Entity NERC Reviewing Completed MP +1 NERC approves completed MP 2143 NERC remands completed MP for revision 18 Substate D (NERC reviewing completed mitigation plan) 1 Dismissal
Mitigation Plans Process State Table Active FERC Enforceable Alleged Violations ITEM H Below is a breakdown, as of May 31, 21, of the Compliance Monitoring and Enforcement Program (CMEP) Mitigation Plan state summary for the 122 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 Region Awaiting Region Reviewing Accepted MP Not Received from Region NERC Reviewing Active MP NERC Reviewing Completed MP Registered Entity Implementation Regional Verification of MP Completion Mitigation Plan Validated Complete FRCC 48 18 13 11 22 8 13 133 MRO 22 6 2 3 NPCC 18 8 7 19 2 54 RFC 142 16 34 7 199 SERC 152 78 1 14 9 254 SPP 131 1 4 33 1 18 188 TRE 14 1 2 1 27 WECC 65 43 1 4 3 79 37 19 251 NERC 62 4 66 TOTAL 654 152 1 44 18 217 62 54 122 State Totals 86 63 217 62 54 Total 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. Includes Mitigation Plans received through 5/31/21. Mitigation information reported at the violation level. Report Date: 6/3/21 Item H Page 1 of 1