Exception Reporting. Compliance exceptions relating to the Funds are reported from the operating areas of BISYS and, with respect to portfolio compliance exceptions from Fund Administration. These exceptions are recorded in an exception log. This activity is intended to do three things: - to enable timely and appropriate resolution of compliance exceptions, - to provide Board reporting of compliance exceptions, and - to identify problems - either at the Funds level or at the service provider level - that might need to be addressed by additions to or modifications of policies or procedures.

Exception Reporting. 183. GSOC argues that the term “Reliability Standard baseline norm,” as it appears at section 1.1.11, in the definition of “Exception Reporting,” is vague and should be replaced by the term “violations of a Reliability Standard,” as proposed by WECC as a deviation applicable to the WECC Delegation Agreement.109

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Exception Reporting. Subcontractor shall review exceptions monthly submitted by CFCHS to the provider Data Liaisons, Contract Managers, CEOs, and CFOs. Subcontractor shall take appropriate steps to correct any inaccurate data found on the Exception Report no later than the next data submission/invoice processing cycle. The provider will sign an attestation that the data on the Exception Report is valid and any inaccurate data listed in exception reports will be backed out of the first invoice following the end of the quarter in accordance with the below schedule: Quarter Months of Service Reconciliation Invoice Reconciliation Invoice Processing Dates Quarter 1 July, August, September October Nov 10-20 Quarter 2 October, November, December January January 10-20 Quarter 3 January, February, March April April 10-20 Quarter 4 April, May, June Final July 30 – Aug 10 Report Name‌ Sub-reports Citation Frequency Due (Calendar days unless otherwise specified) Applicability Assisted Outpatient Therapy (AOT) Monthly Census CFCHS Specific Monthly by the tenth (10th) day following the month of services Yes- if contracted for AOT Attestation - Completion of Auxiliary Aids Service and Monitoring Plan Section 504, ADA CFOP 60-10 Annually 30 days after contract execution and July 30 annually thereafter Yes - regardless of number of employees Attestation - Completion of Risk Analysis as per HIPAA Security Rule 45 CFR § 164.308(a)(1)(ii)(A) Annually 30 days after contract execution and July 30 annually thereafter Yes Attestation - Emergency Preparedness Plan training for staff CFCHS Specific Annually 30 days after contract execution Yes Attestation - Exception Report CFCHS Exception Report P&P Quarterly Quarterly by October 10, January 10, April 10, July 10 Yes Attestation - Serving Our Customers who are Deaf and Hard of Hearing training for direct service employees Section 504, ADA CFOP 60-10 Annually 30 days after contract execution and July 30 annually thereafter Yes - if 15 or more employees Auxiliary Aid Service Record Section 504, ADA CFOP 60-10 Monthly by the fifth (5th) business day following the month of services, submitted to HHS Compliance Database, with copy of HHS receipt submitted to CFCHS Yes - if 15 or more employees Behavioral Health Consultant (BHC) Monthly Report CFCHS BHC Protocol Monthly by the tenth (10th) day following the month of services, submitted to PBPS Yes - if contracted for BHC BNET Alternative Service Forms Guidance 12 Template 7 Monthly by the tenth (10th) day f...

Exception Reporting. (A) In event of a possible security violation, contacts, including alternate are: Name Phone _ Name Phone

Exception Reporting. Information provided to ReliabilityFirst by a Registered Entity indicating that a violation of a Reliability Standard has occurred (e.g., a system operating limit has been exceeded). Some Reliability Standards require Exception Reporting.

Exception Reporting. Where junior doctors are working in circumstances where the above provisions for breaks, rest and facilities are not met, the new contract makes it clear that this poses a risk to both patient and staff safety. As per the GMC Duties of a Doctor, it is the responsibility of any individual doctor both to make the care of their patients their first concern and to take prompt action if patient safety is being compromised. It is therefore essential that junior doctors working rotas where minimum standards for rest, breaks and facilities are not being met use the exception reporting process to notify the Guardian of Safe Working. It is then the responsibility of the Guardian to take steps to address these issues.

Exception Reporting. At or before 9:00 AM Central Time of each Business Day, for each Deposit Account for which Customer has requested the Service, Bank will make available to Customer by means of its Business Online Banking Service, an exception report (the “Exception Report”) for the prior Business Day for each Deposit Account for which Customer has requested the Service. The Exception Report will list (i) all checks and Substitute Checks (defined herein) and ECP items posted to the applicable Deposit Account but not on the Issued Check File; (ii) all checks and Substitute Check items posted to the applicable Deposit Account that are on the Issued Check File but for an amount different than that stated on the Issued Check File; (iii) where Customer chooses to set Maximum Limits, those check, Substitute Check, and/or ACH items exceeding the Maximum Limit; and (iv) all ACH debits where Customer chooses to block ACH debits.

Exception Reporting. Information provided by a Registered Entity indicating 14 that it might not be complying with a requirement of a Reliability Standard (e.g., a system 15 operating limit is exceeded). Only a subset of the Reliability Standards requires Exception 16 Reporting. 17

Exception Reporting. 3 Some Reliability Standards require Exception Reporting as a form of compliance 4 monitoring. 5 6 Where Exception Reporting is required, such submission by Registered Entities shall be 7 reviewed by NPCC. 8

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