Date	Regulatory Authority	Regulatory Filing ID	Region	Registered Entity	NCR ID*	Total Penalty ($)	NERC Violation ID	Reliability Standard	Requirement	Violation Risk Factor
12/30/2011	FERC	RC12-6-000 View Filing >> View A-1 Spreadsheet >> View Order >>	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	Compliance Enforcement Mechanism	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information
12/30/2011	FERC	NP12-10-000 View Filing >> View Supplemental Filing >> View Supplemental Filing >> View A-1 Spreadsheet >> View A-2 Corrected Spreadsheet >> View Order >>	See Spreadsheets and NOP for Spreadsheet NOP information	Spreadsheet Notice of Penalty	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
12/30/2011	FERC	NP12-9-000 View NOP >> View Order >>	RFC	Unidentified Registered Entity	NCRXXXXX	$60,000	RFC201000687	INT-006-2	1	Lower
							RFC201000686	INT-003-2	1	Medium
							RFC201000685	BAL-006-1.1	4	Lower
							RFC201000684	BAL-005-0.1b	9	Lower
							RFC201000285	BAL-005-0.1b	9	Lower
							RFC200900298	CIP-004-1	4	Lower
12/30/2011	FERC	NP12-8-000 View NOP >> View Supplement >> View Order >>	NCEA	Sacramento Municipal Utility District	NCR05368	$100,000	NCEA200900107	TOP-004-1	4	High
							NCEA200900106	TOP-001-1	2	High
							NCEA200900105	TOP-001-1	1	High
							NCEA200900104	PRC-005-1	2	High
							NCEA200900103	PER-002-0	1	High
							NCEA200900102	COM-002-2	2	Medium
12/30/2011	FERC	NP12-7-000 View NOP >> View Order >>	RFC	West Penn Power Company, Monongahela Power	NCR02602	$40,000	RFC201000672	PRC-008-0	2	Medium
							RFC201000677	PRC-007-0	1	Medium
12/30/2011	FERC	NP12-6-000 View NOP >> View Order >>	RFC	Jersey Central Power & Light Company	NCR00806	$37,000	RFC201000695	PRC-007-0	1	Medium
12/01/2011	FERC	IN11-6-000 View Order >>	WECC	PacifiCorp	NCR05304	$3,925,000 (Settlement)	None Assigned	See Order IN11-6-000	See Order IN11-6-000	See Order IN11-6-000
11/30/2011	FERC	RC12-2-000 View Filing >> View A-1 Spreadsheet >> View Order >>	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	Compliance Enforcement Mechanism	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information
11/30/2011	FERC	NP12-5-000 View Filing >> View Supplemental >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Order >>	See Spreadsheets and NOP for Spreadsheet NOP information	Spreadsheet Notice of Penalty	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
11/30/2011	FERC	NP12-4-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$160,000	WECC201002093	CIP-003-1	R1.	Lower
							WECC201002105	CIP-007-1	R5.	Medium
							WECC201002104	CIP-007-1	R4.	Medium
							WECC201002103	CIP-007-1	R2.	Medium
							WECC201002073	CIP-006-1	R2.	Medium
							WECC201002101	CIP-005-1	R3.	Medium
							WECC201002099	CIP-005-1	R1.	Medium
							WECC201002098	CIP-004-1	R4.	Medium
							WECC201002097	CIP-004-1	R3.	Medium
							WECC201002100	CIP-005-1	R2.	Medium
							WECC201002094	CIP-003-1	R4.	Medium
							WECC201002092	CIP-002-1	R3.	High
							WECC201002091	CIP-002-1	R2.	High
							WECC201002090	CIP-002-1	R1.	Lower
							WECC201002102	CIP-005-1	R4.	Medium
							WECC201002096	CIP-004-1	R2.	Lower
11/30/2011	FERC	NP12-3-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$125,000	WECC201002959 (formerly WECC201002247)	PRC-STD-001-1	WR1.	N/A
							WECC201002087	CIP-003-1	R5.	Lower
							WECC201002287	PRC-005-1	R2.	High
							WECC201002240	CIP-006-1	R1.	Medium
							WECC201002086	CIP-003-1	R4.	Medium
10/31/2011	FERC	RC12-1-000 View Filing >> View A-1 Spreadsheet >> View Order >>	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	Compliance Enforcement Mechanism	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information
10/31/2011	FERC	NP12-2-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Order >>	See Spreadsheets and NOP for Spreadsheet NOP information	Spreadsheet Notice of Penalty	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
10/31/2011	FERC	NP12-1-000 View NOP >> View Order >>	RFC	Unidentified Registered Entities	NCRXXXXX, NCRXXXXX, NCRXXXXX	$275,000	RFC201000538	CIP-005-1	R5.	Lower
							RFC201000572	CIP-003-1	R4.	Medium
							RFC201000575	CIP-004-1	R4.	Lower
							RFC201000576	CIP-005-1	R1.	Medium
							RFC201000577	CIP-005-1	R2.	Medium
							RFC201000578	CIP-005-1	R3.	Medium
							RFC201000580	CIP-005-1	R5.	Lower
							RFC201000581	CIP-007-1	R1.	Medium
							RFC201000583	CIP-007-1	R3.	Lower
							RFC201000585	CIP-007-1	R5.	Medium
							RFC201000586	CIP-007-1	R6.	Lower
							RFC201000530	CIP-003-1	R4.	Medium
							RFC201000533	CIP-004-1	R4.	Lower
							RFC201000534	CIP-005-1	R1.	Medium
							RFC201000565	CIP-007-1	R6.	Lower
							RFC201000554	CIP-004-1	R4.	Lower
							RFC201000563	CIP-007-1	R4.	Medium
							RFC201000562	CIP-007-1	R3.	Lower
							RFC201000560	CIP-007-1	R1.	Medium
							RFC201000559	CIP-005-1	R5.	Lower
							RFC201000557	CIP-005-1	R3.	Medium
							RFC201000535	CIP-005-1	R2.	Medium
							RFC201000555	CIP-005-1	R1.	Medium
							RFC201000536	CIP-005-1	R3.	Medium
							RFC201000551	CIP-003-1	R4.	Medium
							RFC201000544	CIP-007-1	R6.	Lower
							RFC201000543	CIP-007-1	R5.	Medium
							RFC201000541	CIP-007-1	R3.	Lower
							RFC201000539	CIP-007-1	R1.	Medium
							RFC201000564	CIP-007-1	R5.	Medium
							RFC201000556	CIP-005-1	R2.	Medium
9/30/2011	FERC	RC11-6-000 View Filing >> View A-1 Spreadsheet >> View Order >>	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	Compliance Enforcement Mechanism	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information	See Spreadsheet and Filing for Compliance Enforcement Mechanism information
9/30/2011	FERC	NP11-270-000 View NOP >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Order >>	See Spreadsheets and NOP for Spreadsheet NOP information	Spreadsheet Notice of Penalty	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
9/30/2011	FERC	NP11-269-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$225,000	WECC201001966	CIP-004-1	02/2.3	Lower
							WECC201002029	TPL-004-0	1	Medium
							WECC201001965	CIP-003-1	1	Lower
							WECC201001967	CIP-004-1	4	Lower
							WECC201001964	CIP-007-1	1	Medium
							WECC201002011	CIP-007-1	2	Medium
							WECC201001902	TOP-004-2	1	High
							WECC201002026	TPL-001-0.1	1	High
							WECC201002027	TPL-002-0	1	High
							WECC201002028	TPL-003-0	1	High
							WECC201001947	BAL-004-0	03/3.1	Lower
9/30/2011	FERC	NP11-268-000 View NOP >> View Order >>	TRE	Electric Reliability Council of Texas, Inc.	NCR04056	$384,000	TRE200900330	PER-004-1	3	High
							TRE200900322	COM-002-2	1	High
							TRE200800051	BAL-005-0	17	Medium
							TRE200800055	EOP-002-2	1	High
							TRE200800057	IRO-001-1	3	High
							TRE200800056	EOP-002-2	4	High
							TRE200800050	COM-002-2	2	Medium
							TRE200900323	EOP-002-2	2	High
							TRE200900326	IRO-002-1	4	High
							TRE200900327	IRO-005-1	7	High
							TRE200900331	TOP-002-2	1	Medium
							TRE200900325	EOP-002-2	8	High
							TRE200900329	PER-004-1	1	High
							TRE200800052	CIP-001-1	1	Medium
							TRE200900328	PER-002-0	1	High
9/30/2011	FERC	NP11-267-000 View NOP >> View Order >>	RFC	Metropolitan Edison Company	NCR00821	$650,000	RFC201000455	FAC-003-1	2	High
08/31/2011	FERC	NP11-266-000 View NOP >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Order >>	See Spreadsheets and NOP for ACP information	Administration Citation Notice of Penalty (ACP)	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information
08/31/2011	FERC	NP11-265-000 View NOP >> View Order >>	SPP	Cleco Corporation	NCR01083	$27,000 (Settlement)	SPP201000262	COM-001-1.1	5	Lower
							SPP201000263	FAC-001-0	2 (2.1.4-2.1.11, 2.1.13-2.1.16)	Medium
							SPP201000264	FAC-001-0	3	Medium
							SPP201000261	CIP-001-1	1	Medium
							SPP201000265	FAC-003-1	1.2.1	High
							SPP201000267	VAR-001-1	1	High
08/31/2011	FERC	NP11-264-000 View NOP >> View Order >>	SPP	Unidentified Registered Entity	NCRXXXXX	$8,000 (Settlement)	SPP201000313	CIP-004-1	4	Lower
							SPP201000315	CIP-008-1	1	Lower
							SPP200900146	CIP-002-1	1	Lower
							SPP201000314	CIP-007-1	5	Medium
							SPP201000309	CIP-002-1	3	High
							SPP201000312	CIP-004-1	3	Medium
							SPP201000311	CIP-004-1	2	Medium
							SPP201000310	CIP-003-1	1	Medium
							SPP201000316	CIP-009-1	2	Lower
08/31/2011	FERC	NP11-263-000 View NOP >> View Order >>	TRE	Unidentified Registered Entity	NCRXXXXX	$11,000 (Settlement)	TREXXXXXX079	CIP-004-1	3	Medium
							TREXXXXXX080	CIP-004-1	4	Lower
							TREXXXXXX067	CIP-007-1	1	Medium
							TREXXXXXX320	CIP-002-1	3	High
							TREXXXXXX321	CIP-004-1	2.2.4	Lower
08/31/2011	FERC	NP11-262-000 View NOP >> View Order >>	SPP	Unidentified Registered Entity	NCRXXXXX	$12,000 (Settlement)	SPP201000273	CIP-003-1	1	Medium
							SPP201000276	CIP-007-1	1	Medium
							SPP201000269	CIP-002-1	1	Lower
							SPP201000275	CIP-004-2	2	Lower
							SPP201000270	CIP-002-1	3	Lower
08/31/2011	FERC	NP11-261-000 View NOP >> View Order >>	RFC	Unidentified Registered Entity	NCRXXXXX	$70,000 (Settlement)	RFC200900279	CIP-002-1	3.1	Lower
							RFC201000379	CIP-006-1	1	Medium
							RFC201000650	CIP-004-1	3	Medium
							RFC201000649	CIP-004-1	2.1	Medium
							RFC201000371	CIP-006-1	2	Medium
							RFC201000280	CIP-004-1	4.2	Medium
							RFC201000615	CIP-007-1	6.3	Medium
							RFC201000648	CIP-003-1	5	Lower
08/31/2011	FERC	NP11-260-000 View NOP >> View Order >>	SPP	Louisiana Energy and Power Authority	NCR01116	$25,000 (Settlement)	SPP200900074	EOP-003-1	8	High
							SPP200900072	CIP-001-1	2	Medium
							SPP200900071	CIP-001-1	1	Medium
							SPP200900111	EOP-002-2.1	1	High
08/31/2011	FERC	IN11-7-000 View Order >>	WECC	Grand River Dam Authority	NCR01101	$350,000 (Settlement)	None Assigned	See Order IN11-7-000	See Order IN11-7-000	See Order IN11-7-000
08/31/2011	FERC	NP11-259-000 View NOP >> View Order >>	NERC as CEA (NCEA)	Western Electricity Coordinating Council	NCR10289	$100,000 (Settlement)	NCEA201000099	TOP-007-0	R4.	High
							NCEA201000100	IRO-005-1	R9.	High
							NCEA201000101	IRO-001-1	R3.	High
							NCEA201000098	COM-002-2	R2.	Medium
08/31/2011	FERC	NP11-258-000 View NOP >> View Order >>	TRE	Iberdrola Renewables	NCR10259	$7,000 (Settlement)	TRE201000129	PRC-005-1	1	High
							TRE201000128	COM-002-2	1	High
							TRE201000127	TOP-001-1	3	High
							TRE201000126	IRO-001-1	8	High
08/31/2011	FERC	NP11-257-000 View NOP >> View Order >>	TRE	Optim Energy Marketing, LLC	NCR10150	$8,000 (Settlement)	TRE201000106	VAR-002-1.1a	3	Medium
08/31/2011	FERC	NP11-256-000 View NOP >> View Order >>	FRCC	Progress Energy Florida	NCR00063	$40,000 (Settlement)	FRCC200900286	TOP-005-1	1.1	Medium
							FRCC200900256	PRC-005-1	2.1	High
							FRCC200900285	PRC-005-1	2.1	High
							FRCC200900288	VAR-001-1	6.1	Medium
08/31/2011	FERC	NP11-255-000 View NOP >> View Order >>	TRE	AES Deepwater Inc	NCR04001	$7,000 (Settlement)	TRE200800068	PRC-005-1	1	High
08/31/2011	FERC	NP11-254-000 View NOP >> View Order >>	MRO	Rochester Public Utilities	NCR01027	$0 (Settlement)	MRO201000140	EOP-001-0	5	Medium
							MRO201000141	EOP-003-1	8	High
							MRO201000144	EOP-008-0	1	High
							MRO201000147	PRC-005-1	1	High
							MRO201000148	PRC-005-1	2	High
							MRO201000150	PRC-008-0	2	Medium
07/29/2011	FERC	NP11-253-000 View NOP >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Errata NOP >> View Errata A-1 Spreadsheet >> View Order >>	See Spreadsheets and NOP for ACP information	Administration Citation Notice of Penalty (ACP)	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information	See Spreadsheets and NOP for ACP information
07/28/2011	FERC	NP11-252-000 View NOP >> View Order >>	WECC	Arizona Electric Power Cooperative, Inc.	NCR05015	$15,000 (Settlement)	WECC201002333	PRC-005-1	R2.	High
07/28/2011	FERC	NP11-251-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$7,000 (Settlement)	WECC201002031	CIP-006-1	1.1	Medium
07/28/2011	FERC	NP11-250-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$12,600	WECC201002283	CIP-006-1	R1.	Medium
							WECC201002372	CIP-004-2	R2.	Medium
07/28/2011	FERC	NP11-249-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$18,000 (Settlement)	WECC201002233	CIP-007-1	R4.	Lower
							WECC201002232	CIP-007-1	R2.	Medium
							WECC201002230	CIP-006-1	R1.1	Medium
							WECC201002234	CIP-007-1	R5.	Medium
07/28/2011	FERC	NP11-248-000 View NOP >> View Order >>	WECC	Unidentified Registered Entity	NCRXXXXX	$5,000	WECC200902055	CIP-007-1	R3.1	Lower
07/28/2011	FERC	NP11-247-000 View NOP >> View Order >>	RFC	Unidentified Registered Entity	NCRXXXXX	$15,000 (Settlement)	RFC201000332	CIP-006-1	5	Lower
							RFC201000678	CIP-004-1	4	Lower
							RFC201000378	CIP-005-1	2.6	Lower
							RFC201000679	CIP-006-1	5	Lower
							RFC201000680	CIP-006-1	3	Medium
07/28/2011	FERC	NP11-246-000 View NOP >> View Order >>	RFC	Scrubgrass Generating Company, LP	NCR00912	$10,000 (Settlement)	RFC201000637	FAC-008-1	R1.	Medium
							RFC201000636	PRC-005-1	R1.	High
07/28/2011	FERC	NP11-245-000 View NOP >> View Order >>	RFC	Exelon Generation Company, LLC	NCR04057	$10,000 (Settlement)	RFC201000235	VAR-002-1.1b	3	Medium
07/28/2011	FERC	NP11-244-000 View NOP >> View Order >>	RFC	NextEra Energy Resources, LLC	NCR00224	$60,000 (Settlement)	RFC201000613	PRC-005-1	2.1	High
							RFC201000383	PRC-001-1	3.1	High
							RFC201000738	PRC-005-1	1.1	High
07/28/2011	FERC	NP11-243-000 View NOP >> View Order >>	RFC	Unidentified Registered Entity	NCRXXXXX	$20,000 (Settlement)	RFC201000382	CIP-004-2	4	Lower
							RFC201000381	CIP-004-2	3	Medium
							RFC201000380	CIP-004-2	2.1	Medium
07/28/2011	FERC	NP11-242-000 View NOP >> View Order >>	WECC	Panoche Energy Center, LLC	NCR10347	$15,000 (Settlement)	WECC201002292	PRC-005-1	R1.	High
							WECC201002293	PRC-005-1	R2.	High
07/28/2011	FERC	NP11-241-000 View NOP >> View Order >>	NPCC	Dynegy Inc.	NCR00200	$50,000 (Settlement)	NPCC201000127	VAR-002-1.1a	1	Medium
							NPCC200900093	CIP-001-1	2	Medium
							NPCC201000128	VAR-002-1.1a	3	Medium
							NPCC200900117	IRO-004-1	4	High
07/28/2011	FERC	NP11-240-000 View NOP >> View Order >>	WECC	Public Service Company of New Mexico	NCR05333	$13,900	WECC201102366	PRC-005-1	R2.	High
07/28/2011	FERC	NP11-239-000 View NOP >> View Order >>	WECC	Public Utility District No. 1 of Snohomish	NCR05335	$20,000 (Settlement)	WECC201002078	PRC-008-0	R1.	Medium
							WECC201002107	PRC-008-0	R2.	Medium
07/28/2011	FERC	NP11-238-000 View NOP >> View Order >> View Supplemental Filing >>	SPP	Southwestern Power Administration	NCR01144		SPP200900097	CIP-004-1	2	Medium
							SPP200900098	CIP-004-1	3	Lower
							SPP200900099	CIP-004-1	4	Lower
							SPP200900161	CIP-007-1	1	Medium
07/28/2011	FERC	NP11-237-000 View NOP >> View Order >>	RFC	Unidentified Registered Entity	NCRXXXXX	$180,000 (Settlement)	RFC201100726	CIP-004-2	R2.	Medium
							RFC201000594	CIP-004-2