TA BL E 4.0 SERVI CE PR OVIDERS MON ITORING & COMPLI ANCE: SE RVICE PROVI DERS QUARTERLY DASHBOARD REPORT Types of service provider monitoring and compliance activity: 1. Site visits, internal or third-party audits 2. Mass balancing 3. Financial recovery 202 277 24 216 66 20 4 Monitoring & Compliance Actions Reviews conducted or in progress Default issues Downstream reviews conducted or in progress Suspension 2017 OES Sites OES Processors OES R&R Sites Generator Sites 3.0 SERVICE PROVIDER INDICATORS 13 27 1 2