Date	Regulatory Authority	Regulatory Filing ID	Region	Registered Entity	NCR ID*	Total Penalty ($)	NERC Violation ID	Reliability Standard	Requirement	Violation Risk Factor
12/31/2013	FERC	NP14-26-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$120,000	SERC200900284	CIP-004-1	R4	Lower
							SERC201000551	CIP-004-1	R2; R2.1	Medium
							SERC201000552	CIP-004-1	R4; R4.1	Lower
							SERC201000586	CIP-007-1	R5; R5.2.1	Medium
							SERC201100776	CIP-004-3	R4; R4.2	Lower
							SERC2011007429	CIP-005-1	R1; R1.4	Medium
							SERC2011007639	CIP-007-1	R5; R5.2	Lower
							SERC2011007985	CIP-004-3	R4	Lower
							SERC2011007986	CIP-005-1	R1; R1.1; R1.5	Medium
							SERC2011007987	CIP-005-1	R2; R2.2	Medium
							SERC2011007988	CIP-005-1	R4; R4.2	Medium
							SERC2011007989	CIP-006-1	R1; R1.7; R1.8	Medium
							SERC2011007990	CIP-007-1	R2; R2.2	Medium
							SERC2011007992	CIP-007-1	R8; R8.3	Medium
							SERC2011007993	CIP-007-1	R1	Medium
							SERC2012010331	CIP-006-3c	R2; R2.2	Medium
							SERC2012011169	CIP-004-3	R2; R2.1	Medium
							SERC2013012004	CIP-006-3c	R1; R1.6	Medium
							SERC2013012236	CIP-007-1	R3	Lower
12/31/2013	FERC	NP14-25-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$250,000	SERC2011007982	CIP-002-1	R1	Lower
							SERC2011007983	CIP-002-1	R2	High
							SERC201000505	CIP-004-1	R4	Lower
							SERC2012011336	CIP-005-3a	R1	Medium
							SERC2013012272	CIP-005-1	R2	Medium
							SERC201000622	CIP-005-1	R3	Medium
							SERC2012010981	CIP-005-3a	R5	Lower
							SERC2013012006	CIP-006-1	R1; R1.1	Medium
							SERC2011008003	CIP-006-1	R1	Medium
							SERC2012011337	CIP-006-3c	R5	Medium
							SERC2013011700	CIP-006-3c	R5	Medium
							SERC2011007999	CIP-006-3c	R6	Lower
							SERC201000623	CIP-007-1	R1	Medium
							SERC2011007873	CIP-007-1	R2	Medium
							SERC2012010000	CIP-007-3a	R4	Medium
							SERC2012009999	CIP-007-1	R5	Lower
							SERC201000621	CIP-007-1	R6	Lower
							SERC2011008271	CIP-007-3	R7	Lower
							SERC2013012005	CIP-007-3a	R7	Lower
12/31/2013	FERC	NP14-24-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$350,000	SERC200900394	CIP-002-1	R3	High
							SERC200900399	CIP-004-1	R4	Lower
							SERC200900402	CIP-009-1	R1	Medium
							SERC200900599	CIP-007-1	R7	Lower
							SERC201000573	CIP-007-1	R1	Medium
							SERC201000575	CIP-007-1	R3	Lower
							SERC201000576	CIP-004-1	R3	Lower
							SERC201000609	CIP-002-1	R3	High
							SERC201000611	CIP-005-1	R2; R2.2	Medium
							SERC201000612	CIP-005-1	R4; R4.5	Medium
							SERC201000613	CIP-005-1	R5; R5.2	Lower
							SERC201000614	CIP-006-1	R1; R1.8	Lower
							SERC201000615	CIP-006-1	R6	Medium
							SERC201000616	CIP-007-1	R1	Medium
							SERC201000617	CIP-007-1	R2	Medium
							SERC201000618	CIP-007-1	R5; R5.3.3	Medium
							SERC201000619	CIP-007-1	R6; R6.4	Lower
							SERC201000620	CIP-007-1	R8; R8.4	Medium
							SERC2012010717	CIP-004-3	R2; R2.3	Lower
							SERC2012010718	CIP-004-3	R4	Lower
							SERC2012010953	CIP-006-3c	R5	Medium
							SERC2012010954	CIP-006-2	R2; R2.1	Medium
							SERC2012010998	CIP-006-3c	R4	Medium
							SERC2012011007	CIP-006-3c	R4	Medium
							SERC2012011008	CIP-006-1	R1; R1.1	Medium
							SERC2012011117	CIP-002-3	R3	High
							SERC2012011161	CIP-002-3	R3	High
							SERC2012011433	CIP-006-1	R3	Medium
							SERC2012011434	CIP-005-1	R1; R1.1	Medium
							SERC2012011435	CIP-007-1	R4; R4.2	Medium
							SERC2012011437	CIP-007-1	R7; R7.3	Lower
							SERC2013011699	CIP-006-3c	R1; R1.6.	Medium
							SERC2013011706	CIP-006-3c	R1; R1.6.	Medium
							SERC2013012206	CIP-006-3c	R4	Medium
							SERC2013012431	CIP-004-3a	R4; R4.1	Lower
							SERC2013012710	CIP-006-3c	R1; R1.6	Medium
							SERC2013012712	CIP-004-1	R3	Medium
12/31/2013	FERC	NP14-23-000 View NOP>> View Order>>	SPP RE	Unidentified Registered Entity	NCRXXXXX	$100,000	SPP2011008732	CIP-002-1	R3; R3.2 R3; R3.2	Lower
							SPP2011008733	CIP-003-1	R5; R5.1	Lower
							SPP2011008735	CIP-004-1	R3; R3.1	Medium
							SPP2011008736	CIP-004-1	R4	Lower
							SPP2011008737	CIP-005-1	R2; R2.1; R2.2; R2.4	Medium
							SPP2011008738	CIP-005-1	R1	Medium
							SPP2011008739	CIP-005-1	R4; R4.1, R4.2, R4.3, R4.4, R4.5	Medium
							SPP2011008756	CIP-007-1	R8; R8.1, R8.2, R8.4	Lower
							SPP2011008747	CIP-006-1	R6	Medium
							SPP2011008749	CIP-007-1	R2; R2.1, R2.2	Medium
							SPP2011008751	CIP-007-1	R3	Lower
							SPP2011008754	CIP-007-1	R6; R6.5	Lower
							SPP2011008761	CIP-009-1	R2	Lower
							SPP2011008748	CIP-007-1	R1; R1.1	Medium
							SPP2011008734	CIP-003-1	R6	Lower
							SPP2011008740	CIP-005-1	R5.1; R5.3	Lower
							SPP2011008742	CIP-006-1	R1.1; R1.2; R1.4; R1.6	Medium
							SPP2011008743	CIP-006-1	R1.8	Medium
							SPP2011008744	CIP-006-1	R2	Medium
							SPP2011008745	CIP-006-1	R3	Medium
							SPP2011008746	CIP-006-1	R4	Medium
							SPP2011008752	CIP-007-1	R4	Medium
							SPP2011008753	CIP-007-1	R5	Lower
							SPP2011008755	CIP-007-1	R7	Lower
							SPP2011008757	CIP-007-1	R9	Lower
							SPP2011008759	CIP-008-1	R1.1; R1.3; R1.4; R1.5; R1.6	Lower
							SPP2011008760	CIP-009-1	R1	Medium
							SPP2011008762	CIP-009-1	R4	Lower
12/30/2013	FERC	NP14-22-000 View NOP>> View Order>>	WECC	Unidentified Registered Entity	NCRXXXXX	$150,000	WECC201102906	CIP-003-1	R4	Medium
							WECC201103022	CIP-006-3c	R1: R1.4; R1.5	Medium
							WECC201002325	CIP-006-1	R1	Medium
							WECC201102498	CIP-006-1	R1: R1.1; R1.2; R1.4; R1.6; R1.8	Medium
							WECC201102806	CIP-006-1	R3.1	Medium
							WECC201002358	CIP-007-2a	R1	Medium
							WECC201002328	CIP-007-1	R5: R5.2.1; R5.3.2	Medium
12/31/2013	FERC	NP14-21-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$175,000	SERC201000447	CIP-006-1	R2	Medium
							SERC201000513	CIP-002-1	R3	High
							SERC201000564	CIP-004-1	R4	Lower
							SERC201000565	CIP-007-1	R5	Medium
							SERC201000592	CIP-007-1	R2	Medium
							SERC201000593	CIP-005-1	R2	Medium
							SERC201000594	CIP-007-1	R6	Lower
							SERC201000595	CIP-006-2	R5	Medium
							SERC2011008316	CIP-005-1	R1	Medium
							SERC2011008511	CIP-005-1	R3	Medium
							SERC2011008512	CIP-005-1	R4	Medium
							SERC2011008513	CIP-006-1	R1; R1.8	Medium
							SERC2011008516	CIP-007-3a	R1	Medium
							SERC2012011645	CIP-007-3a	R3; R3.1	Lower
							SERC2013013123	CIP-004-1	R2; R2.1	Medium
							SERC2013013146	CIP-004-1	R3	Medium
12/30/2013	FERC	NP14-20-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$198,000	SERC2011006592	CIP-002-1	R3	High
							SERC2011008277	CIP-003-1	R4	Medium
							SERC2011008278	CIP-003-1	R5	Lower
							SERC201000523	CIP-004-1	R4	Lower
							SERC2011006594	CIP-005-1	R1	Medium
							SERC2011007430	CIP-005-1	R2	Medium
							SERC2012010943	CIP-005-3a	R3	Medium
							SERC2011008279	CIP-005-1	R4	Medium
							SERC2011006597	CIP-006-1	R1	Medium
							SERC2012010945	CIP-006-1	R2	Medium
							SERC2012010946	CIP-006-1	R3	Medium
							SERC2011006595	CIP-007-1	R1	Medium
							SERC2011006596	CIP-007-1	R2	Medium
							SERC2011006598	CIP-007-1	R3	Lower
							SERC2011006599	CIP-007-1	R4	Medium
							SERC2011006600	CIP-007-1	R5	Lower
							SERC2011006601	CIP-007-1	R6	Lower
							SERC2011006602	CIP-007-1	R7	Lower
							SERC2011006603	CIP-007-1	R8	Lower
							SERC2012010949	CIP-008-3	R1: R1.4	Lower
							SERC2011008283	CIP-009-1	R1	Medium
12/30/2013	FERC	NP14-19-000 View NOP>> View Errata>> View Order>>	WECC	Unidentified Registered Entity	NCRXXXXX	$185,000	WECC2012009779	CIP-002-1	R3	High
							WECC2011008709	CIP-004-3	R4; R4.2	Lower
							WECC2012009759	CIP-005-1	R1	Medium
							WECC2012009746	CIP-006-1	R1; R1.8	Medium
							WECC2012009792	CIP-007-1	R1	Medium
							WECC2012009793	CIP-007-1	R2	Medium
							WECC2012009794	CIP-007-1	R3	Lower
							WECC2012009795	CIP-007-1	R4	Medium
							WECC2012009796	CIP-007-1	R5; R5.2.3	Medium
							WECC2012009797	CIP-007-1	R8; R8.4	Medium
							WECC2012009798	CIP-007-1	R9	Lower
12/30/2013	FERC	NP14-18-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$110,000	SERC2011007531	CIP-004-3	R2	Lower
							SERC2012011584	CIP-004-3	R4	Lower
							SERC2011008775	CIP-005-1	R1	Medium
							SERC2012010549	CIP-005-3a	R2	Medium
							SERC2011007385	CIP-005-2	R3	Medium
							SERC2012011380	CIP-005-3a	R5	Lower
							SERC2012010143	CIP-006-1	R1	Lower
							SERC2011007156	CIP-006-3a	R1	Medium
							SERC2012010343	CIP-006-1	R3	Medium
							SERC2011008616	CIP-006-3a	R6	Lower
							SERC2012010344	CIP-007-1	R2	Medium
							SERC2012010793	CIP-007-3	R3	Lower
							SERC2011007532	CIP-007-1	R5	Lower
							SERC2013011678	CIP-007-3	R6	Medium
							SERC2012010346	CIP-009-1	R5	Lower
12/30/2013	FERC	NP14-17-000 View NOP>> View Order>>	WECC	Unidentified Registered Entity	NCRXXXXX	$144,000	WECC2013012051	CIP-002-1	R3	High
12/30/2013	FERC	NP14-17-000 View NOP>> View Order>>	WECC	Unidentified Registered Entity	NCRXXXXX	$144,000	WECC2013012052	CIP-005-3a	R2.4	Medium
12/30/2013	FERC	NP14-16-000 View NOP>> View Order>>	SERC	Unidentified Registered Entity	NCRXXXXX	$50,000	SERC200900414	CIP‐002‐1	R3	High
							SERC200900415	CIP‐003‐1	R1; 1.2	Lower
							SERC201000665	CIP‐003‐1	R4	Medium
							SERC201000666	CIP‐003‐1	R5	Lower
							SERC201000667	CIP‐003‐1	R6	Lower
							SERC2012010852	CIP‐003‐3	R6	Lower
							SERC201000507	CIP‐004‐1	R1	Lower
							SERC200900416	CIP‐004‐1	R2; R2.1	Medium
							SERC200900417	CIP‐004‐1	R3	Medium
							SERC2011007656	CIP‐004‐3	R3; R3.2	Lower
							SERC200900419	CIP‐004‐1	R4	Lower
							SERC201000668	CIP‐004‐1	R4	Lower
							SERC201000669	CIP‐005‐1	R1; R1.1; R1.4	Medium
							SERC201000670	CIP‐005‐1	R1; R1.5	Medium
							SERC2012010853	CIP‐005‐1	R1; R1.5	Medium
							SERC201000671	CIP‐005‐1	R2; R2.2	Medium
							SERC2012010854	CIP‐005‐3a	R2; R2.2	Medium
							SERC200900418	CIP‐005‐1	R2; R2.5.2	Lower
							SERC201000672	CIP‐005‐1	R3	Medium
							SERC2012010857	CIP‐005‐1	R3; R3.2	Medium
							SERC201000673	CIP‐005‐1	R5; R5.1	Lower
							SERC2013012192	CIP‐006‐3c	R1; R1.6	Medium
							SERC2012010637	CIP‐006‐1	R1; R1.8	Lower
							SERC2012010855	CIP‐006‐1	R1; R1.8	Lower
							SERC2012009690	CIP‐006‐3c	R8; R8.1	Medium
							SERC2012010856	CIP‐007‐1	R1; R1.3	Lower
							SERC201000674	CIP‐007‐1	R2	Medium
							SERC201000675	CIP‐007‐1	R3	Lower
							SERC201000676	CIP‐007‐1	R5	Lower
							SERC2012010859	CIP‐007‐1	R5; R5.2.3; R5.3	Lower
							SERC2011007657	CIP‐007‐3a	R5; R5.3.3	Medium
							SERC2012010858	CIP‐007‐1	R6; R6.3	Medium
							SERC200900420	CIP‐008‐1	R1	Lower
							SERC201000677	CIP‐009‐1	R1	Medium
12/30/2013	FERC	NP14-15-000 View NOP>> View Order>>	WECC	TransAlta Centralia Generation, LLC	NCR05533	$97,500	WECC2013011906	FAC-001-0	R1	Medium
							WECC2013011907	FAC-001-0	R2	Medium
							WECC2013011908	PRC-005-1	R2	High
12/30/2013	FERC	NP14-14-000 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
12/30/2013	FERC	NP14-13-000 View NOP>> View Order>>	MRO	NextEra Energy Resources	NCR10019	$45,000	MRO201100394	PRC-005-1	R2; R2.1	High
12/30/2013	FERC	NP14-12-000 View NOP>> View Order>>	RFC	PJM Interconnection	NCR00879	$10,000	RFC201000614	COM-002-2	R2	Medium
12/30/2013	FERC	NP14-12-000 View NOP>> View Order>>	RFC	PJM Interconnection	NCR00879	$10,000	RFC2012010155	FAC-011-2	R2	High
12/30/2013	FERC	NP14-11-000 View NOP>> View Order>>	RFC	Northern Indiana Public Service Company	NCR02610	$0	RFC2011001192	PRC-023-1	R1	High
							RFC2012010008	FAC-009-1	R1	Medium
							RFC2012010010	PRC-005-1	R1	High
							RFC2012010015	FAC-009-1	R1	Medium
11/27/2013	FERC	NP14-10-000 View NOP>> View Order>>	WECC	Public Service Company of Colorado	NCR05521	$215,000	WECC2012009202	PRC-005-1	R2	High
11/27/2013	FERC	NP14-9-000 View NOP>> View Order>>	WECC	Dynegy Power, LLC	NCR00200	$70,000	WECC2013011944	PRC-005-1	R2; R2.1; R2.2	High
11/27/2013	FERC	NP14-8-000 View NOP>> View Order>>	RFC	Whiting Clean Energy, Inc.	NCR00417	$35,000	RFC2012010746	PRC-005-1	R1	High
							RFC2012011350	CIP-001-1	R2	Medium
							RFC2012011351	FAC-008-1	R1	Lower
							RFC2012011352	FAC-009-1	R1	Medium
							RFC2012011353	PRC-001-1	R1	High
							RFC2012011354	PRC-005-1	R2; R2.1; R2.2	High
							RFC2012011355	VAR-002-1.1b	R2	Medium
11/27/2013	FERC	NP14-7-000 View NOP>> View Order>>	RFC	Indianapolis Power & Light Company	NCR00798	$30,000	RFC2013012210	TOP-002-2	R11	Medium
11/27/2013	FERC	NP14-7-000 View NOP>> View Order>>	RFC	Indianapolis Power & Light Company	NCR00798	$30,000	RFC2013012211	VAR-002-1	R1	Medium
11/27/2013	FERC	NP14-6-000 View Filing >> View Errata>> 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
10/30/2013	FERC	NP14-5-000 View NOP>> View Order>>