Key Compliance Trends
Item 2.a
2a
October 10, 2012
1
RELIABILITY | ACCOUNTABILITY
Overall Trends
• 138 new violations received in September
p
• 160 items filed with FERC in September
– 75 FFT remediated issues
– 85 violations (56 via spreadsheet NOPs and 29 via full NOPs)
• Six-month violation receipt average (through September
28, 2012)
– 174 violations per month
2
RELIABILITY | ACCOUNTABILITY
Approved Violations
Omnibus I
Omnibus II
Includes FFTs and NOPs
3
RELIABILITY | ACCOUNTABILITY
V
Violations
CEI Processing Statistics
4
RELIABILITY | ACCOUNTABILITY
Violation Processing Within 12 Months
Violation Processing
600
540
550
500
450
400
Number of Viollations
350
300
250
165
200
150
100
1
50
27
0
-50
Oct-11
Nov-11
Dec-11
Jan-12
Feb-12
Mar-12
Apr-12
May-12
Jun-12
-5
Aug-12
Sep-12
-1
-24
-100
Jul-12
-58
-60
-78
-150
-200
-178
-191
-250
Oct‐11
Nov‐11
Dec‐11
Jan‐12
Feb‐12
Mar‐12
Apr‐12
May‐12
Jun‐12
Jul‐12
Aug‐12
Sep‐12
New
Dismissed
Filed
Total Dismissed and Filed
247
93
159
252
212
105
131
236
203
57
145
202
693
24
129
153
229
269
138
407
168
209
150
359
106
39
125
164
194
53
114
167
149
68
141
209
122
18
105
123
332
52
115
167
138
56
160
216
Violation Processing ‐5
‐24
1
540
‐178
‐191
‐58
27
‐60
‐1
165
‐78
5
For the Year End of year 2012
2011
2131
2944
788
962
1177
1695
1965
2657
166
287
RELIABILITY | ACCOUNTABILITY
Caseload Index Description
 NERC Caseload Index--Total number of Active
Violations divided by the sum of the 6-month average of
number of violations filed with FERC plus the 6-month
g number of dismissals
average
 Regional Caseload Index-- Total number of Active
Violations divided by the sum of the 6-month average of
number of violations filed with NERC plus the 6-month
6 month
average number of dismissals
 Active violations include all violations as of September
28 2012 that are not closed or dismissed
28,
dismissed. This
includes violations that are being processed by NERC
or have been sent to FERC and are awaiting closing
actions
6
RELIABILITY | ACCOUNTABILITY
ERO Caseload Index
Rolling 6 Months Average Processing for April 1, 2012 to September 28, 2012
ERO Caseload Index – As of September 28, 2012 (Months)
Active Violations
Violations
Filed with
FERC
(April 1,
1 2012 to
September 28, 2012)
ERO
3320
760
Total # of
Dismissals
Caseload
Index
(April 1, 2012 to
September 28, 2012)
(Months)
286
19.0*
•When
When violations already filed with FERC are excluded,
excluded the number of active violations equals 2973
2973, and the Caseload Index is 17.1.
17 1
7
RELIABILITY | ACCOUNTABILITY
Regional Caseload Index
Rolling 6 Months Average Processing for April 1, 2012 to September 28, 2012
Regional Caseload Index –as of September 28, 2012
(months)
Active Violations
Violations Filed with
NERC
Total # of Dismissals
Caseload Index
(April 1, 2012 to
September 28, 2012)
(April 1, 2012 to
September 28, 2012)
(Months)
FRCC
104
61
3
9.8
MRO
168
45
21
15.3
NPCC
215
73
29
12.6
RFC
763*
246
32
16.5
SERC
534
167
39
15.6
SPP RE
281*
104
28
12.8
TRE
374
85
9
23.9
WECC
663*
258
109
10.8
* Excludes ‘On-hold’
On hold violations
RFC= 60, SPP-RE= 26, WECC= 212
8
RELIABILITY | ACCOUNTABILITY
FFTs/SNOPs/Full NOPs Filed by Region
FFTs, SNOPs, and Full NOPs Filed
From September 2011 through September 28, 2012
700
Number of Filings
600
500
400
300
200
100
0
SNOP
NOP
FFT
9
SERC
21
16
98
FRCC
34
12
114
MRO
20
99
NCEA
8
20
NPCC
27
68
RFC
147
63
152
SPP
59
42
85
TRE
58
21
86
WECC
328
151
100
RELIABILITY | ACCOUNTABILITY
ERO Inventory CIP and Non-CIP Violations
ERO Inventory CIP and Non-CIP Violations
Based on Discovery Dates from June 2007 to September 28, 2012
Reflects Violations for Federal Entities Being Processed
1200
1000
V
Violations
800
600
400
200
0
Non-CIP
CIP
10
2007
7
2008
17
4
2009
46
37
2010
76
195
2011
309
830
2012
394
722
RELIABILITY | ACCOUNTABILITY
ERO Inventory Regional Breakdown CIP
and Non-CIP Violations
ERO Inventory Regional Breakdown CIP and Non-CIP Violations
Based on Discovery Dates from June 2007 to September 28, 2012
Reflects Violations for Federal Entities Being Processed
700
600
Violations
500
400
300
200
100
0
2007- 20112010
2012
SERC
20112012
FRCC
2007- 20112010
2012
MRO
Non-CIP
37
88
29
14
22
CIP
153
300
51
1
111
11
2007- 20112010
2012
NCEA
2
15
2007- 20112010
2012
NPCC
1
2007- 20112010
2012
RFC
2007- 20112010
2012
SPP
2007- 20112010
2012
TRE
2007- 20112010
2012
WECC
78
5
170
20
66
3
105
64
130
84
15
402
23
165
6
201
38
238
RELIABILITY | ACCOUNTABILITY
Top 12 Enforceable Standards
Top 12 Enforceable Standards Violated
(Active and Closed)
From October 2011 through September 28, 2012
400
379
350
300
Viiolations
250
212
194
200
167
150
136
109
102
100
65
44
50
39
33
29
0
CIP-007
12
CIP-005
CIP-006 PRC-005 CIP-004
CIP-002
CIP-003 VAR-002 FAC-009 CIP-001
CIP-009 FAC-008
RELIABILITY | ACCOUNTABILITY
Top 20 Enforceable Standards
Top 20 Enforceable Standards Violated
(Active and Closed)
From 2007 through September 28, 2012
1200
1024
1000
928
Viola
ations
800
600
586
508
496
490
400
292
200
271
267
223
185
149
143
139
127
109
108
97
90
75
0
13
RELIABILITY | ACCOUNTABILITY