Compliance Exception definition

Compliance Exception means a noncompliance that is addressed in Section 3A.1 of Appendix 4C, and is not pursued through an enforcement action under Section 5.0 of Appendix 4C to these Rules of Procedure by a Compliance Enforcement Authority.
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Examples of Compliance Exception in a sentence

  • Compliance Exception FIRM NAME SIGNATURE CITY OF ATLANTA DEPARTMENT OF PROCUREMENTBIDDING INSTRUCTIONS, TERMS AND CONDITIONS 1.

  • In approving the expansion of the FFT program, FERC recognized the efficiencies that had resulted from the FFT program.25Building on the success of the FFT program, the ERO Enterprise developed the Compliance Exception and Self-Logging programs to further streamline the resolution of minimal risk noncompliance with NERC Reliability Standards.

  • The proposed enforcement ROP revisions for the Compliance Exception and Self-Logging programs are the natural next steps for the risk-based CMEP, representing more efficient means to resolve minimal risk noncompliance while maintaining an appropriate level of visibility and allowing the ERO Enterprise to identify trends or emerging risks related to minimal risk noncompliance.

  • More specifically, the Compliance Exception process allowed Regional Entities to record minimal risk instances of noncompliance without triggering a formal enforcement action.

  • NERC and FERC staff review the Compliance Exceptions after the Regional Entities to evaluate whether the submitted noncompliance is appropriate for Compliance Exception treatment.

  • Specifically, the ERO Enterprise proposes to:• Exempt properly self-logged items from the Preliminary Screen and subsequent reporting and disposition processes; and• Adopt a process for reviewing Compliance Exception determinations by exception, instead of the monthly process of submission and duplicative review of all Compliance Exceptions by the Compliance Enforcement Authority (“CEA”), NERC, and then FERC.

  • If the Preliminary Screen results in an affirmative determination with respect to the above criteria, a Possible Violation exists and the Compliance Enforcement Authority shall proceed in accordance with Section 5.0, unless the Compliance Exception Process is used in accordance with Section 3A.1. The Compliance Enforcement authority shall maintain records of all Preliminary Screens.

  • For these reasons, the Court does not find that this case rises to the “exceptionally obvious” level necessary to permit application of the common knowledge exception.2. Substantial Compliance Exception Plaintiff next argues, “[i]f the Court holds that Plaintiff needs to comply with the Affidavit of Merit [Statute], it should find that Plaintiff has substantially complied.

  • Calpine did not have testing records for the remaining 136 4 As noted above, NERC posted the initial 10 instances as a Compliance Exception; they do not contribute to the penalty and are otherwise not part of this Agreement.

  • However, a Compliance Enforcement Authority must (a) consider a history of Compliance Exceptions where the failure to fully remediate the underlying compliance matter contributes to a subsequent serious or substantial noncompliance and (b) assess subsequent noncompliance to determine whether a Registered Entity should continue to qualify for Compliance Exception treatment.

Related to Compliance Exception

  • Environmental Compliance Reserve means any reserve which the Agent establishes in its reasonable discretion after prior written notice to the Borrower from time to time for amounts that are reasonably likely to be expended by the Borrower in order for the Borrower and its operations and property (a) to comply with any notice from a Governmental Authority asserting material non-compliance with Environmental Laws, or (b) to correct any such material non-compliance identified in a report delivered to the Agent and the Lenders pursuant to Section 7.7.

  • Covenant Compliance Worksheet means a fully completed worksheet in the form of Attachment A to Exhibit C.

  • Title V operating permit means a permit issued under Chapter 3745-77 of the Administrative Code.

  • Substantial compliance means a level of compliance with these rules where any deficiencies pose no greater risk to resident health or safety than the potential for causing minor harm.

  • Compliance Statement is that certain statement in the form attached hereto as Exhibit B.

  • Assessment of Compliance As defined in Section 3.21.

  • Compliance Audit means the procedure (in a form advised by the GLA from time to time) by which an auditor independent of the Grant Recipient certifies (at the Grant Recipient's cost) whether the Named Projects developed or Rehabilitated pursuant to this Agreement satisfy the GLA's procedural compliance requirements (as described in the Affordable Housing Capital Funding Guide);

  • Covenant Compliance Event means, at any time, Availability is less than the greater of (i) ten percent (10%) of the Loan Cap and (ii) $15,000,000. The termination of a Covenant Compliance Event as provided herein shall in no way limit, waive or delay the occurrence of a subsequent Covenant Compliance Event in the event that the conditions set forth in this definition again arise.

  • Compliance Review means an inspection of the home, grounds, and files to determine compliance with these regulations.

  • Compliance Report means, as applicable in relation to the test being conducted, a report containing the results of the Compliance Tests carried out by State Street.

  • Environmental Violation means any activity, occurrence or condition that violates or results in non-compliance with any Environmental Law in any Material respect.

  • Statement of Compliance means the statement forming part of a Tender indicating the Bidders compliance with the Specification.

  • Compliance year means the calendar year beginning with June 1 and ending with May 31 of the following year, for which a Retail Electricity Supplier must demonstrate that it has met the requirements of this Regulation.

  • Material Compliance Matter has the same meaning as the term defined in Rule 38a-1, and includes any compliance matter that involves: (1) a violation of the federal securities laws by Distributor (or its officers, directors, employees, or agents); (2) a violation of Distributor's Rule 38a-1 policies and procedures; or (3) a weakness in the design or implementation of Distributor's Rule 38a-1 policies and procedures.

  • Reportable Compliance Event means that any Covered Entity becomes a Sanctioned Person, or is charged by indictment, criminal complaint or similar charging instrument, arraigned, or custodially detained in connection with any Anti-Terrorism Law or any predicate crime to any Anti-Terrorism Law, or has knowledge of facts or circumstances to the effect that it is reasonably likely that any aspect of its operations is in actual or probable violation of any Anti-Terrorism Law.

  • Compliance schedule means a schedule of events, by date, which will result in compliance with these regulations.

  • Business Condition means the financial condition, business, assets, liabilities and operations of a Person.

  • essential requirements means all the conditions set out in Annex III which must be met by the rail system, the subsystems, and the interoperability constituents, including interfaces;

  • Document of Compliance has the meaning given to it in the ISM Code.

  • Compliance Date means, in each case, the date by which compliance is required under the referenced provision of ARRA’s or HIPAA’s implementing regulations, as applicable.

  • Wildlife violation means any cited violation of a statute, law, regulation, ordinance, or administrative rule developed and enacted for the management of wildlife resources and the uses thereof.

  • Nonconforming zoning condition means a physical improvement on a property that does not conform with current zoning standards.

  • Non-Compliance means failure/refusal to comply the terms and conditions of the tender;

  • Environmental Requirement means any Environmental Law, agreement or restriction, as the same now exists or may be changed or amended or come into effect in the future, which pertains to any Hazardous Material or the environment including ground or air or water or noise pollution or contamination, and underground or aboveground tanks.

  • Adverse Environmental Condition shall refer to (i) the existence or the continuation of the existence, of an Environmental Emission (including, without limitation, a sudden or non-sudden accidental or non-accidental Environmental Emission), of, or exposure to, any substance, chemical, material, pollutant, Contaminant, odor or audible noise or other release or emission in, into or onto the environment (including, without limitation, the air, ground, water or any surface) at, in, by, from or related to any Equipment, (ii) the environmental aspect of the transportation, storage, treatment or disposal of materials in connection with the operation of any Equipment or (iii) the violation, or alleged violation of any statutes, ordinances, orders, rules regulations, permits or licenses of, by or from any governmental authority, agency or court relating to environmental matters connected with any Equipment.

  • Environmental Site Assessment means a Phase I environmental report meeting the requirements of the American Society for Testing and Materials, and, if in accordance with customary industry standards a reasonable lender would require it, a Phase II environmental report, each prepared by a licensed third party professional experienced in environmental matters.