Date	Regulatory Authority	Regulatory Filing ID	Region	Registered Entity	NCR ID	Total Penalty ($)	NERC Violation ID	Reliability Standard	Requirement	Violation Risk Factors
12/28/2017	FERC	NP18-5-000 View Filing >> View A-1 Spreadsheet >> View Notice >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
11/30/2017	FERC	NP18-4-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
11/30/2017	FERC	NP18-3-000 View Filing >> View Notice >>	SPP RE	Southwestern Public Service Company	NCR01145	$137,000	SPP2013012947	FAC-009-1	R1	Medium
10/31/2017	FERC	NP18-2-000 View Filing >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
10/31/2017	FERC	NP18-1-000 View Filing >> View Notice >>	MRO	Western Area Power Administration – Upper Great Plains	NCR01036	No Penalty	MRO2016015732	PRC-001-1	R3.2	High
							MRO2016015733	TOP-002-2	R6	Medium
							MRO2016015734	TOP-002-2	R11	Medium
							MRO2016015736	TOP-004-2	R1	High
							MRO2016015737	TOP-006-1	R5	Medium
							MRO2016015738	TOP-008-1	R1	High
							MRO2016015739	TOP-008-1	R3	High
							MRO2016015740	TPL-002-0	R2	Medium
							MRO2016015741	VAR-001-1	R8	Medium
9/28/2017	FERC	NP17-31-000 View Filing >> View Notice >>	SERC	Unidentified Registered Entity	NCRXXXXX	$500,000	SERC2013012661	CIP-002-3	R3	High
							SERC2016015522	CIP-002-3	R4	Lower
							SERC2013012662	CIP-003-3	R1; R1.3	Medium
							SERC2013012663	CIP-003-3	R6	Lower
							SERC2013012664	CIP-004-3	R2; R2.1	Medium
							SERC2013012665	CIP-004-3	R3	Medium
							SERC2016016616	CIP-004-3	R3; R3.3	Medium
							SERC2016015515	CIP-004-3a	R3; R3.2	Medium
							SERC2013012666	CIP-004-3	R4	Lower
							SERC2016015480	CIP-004-3a	R4; R4.2	Lower
							SERC2016016615	CIP-004-6	R5; R5.2	Medium
							SERC2017016813	CIP-004-6	R5; R5.4	Medium
							SERC2013012667	CIP-005-3	R1; R1.1; R1.5	Medium
							SERC2016016619	CIP-005-3a	R1	Medium
							SERC2017017849	CIP-005-3a	R1; R1.1	Medium
							SERC2013012668	CIP-005-3	R2; R2.2; R2.4	Medium
							SERC2016016620	CIP-005-3a	R2; R2.2	Medium
							SERC2013012669	CIP-005-3	R4; R4.2; R4.3; R4.4	Medium
							SERC2013012670	CIP-005-3	R5; R5.1; R5.2	Lower
							SERC2016015523	CIP-005-3a	R5; R5.1	Lower
							SERC2013012671	CIP-006-3a	R1; R1.2; R1.8	Medium
							SERC2016015516	CIP-006-3c	R1; R1.6	Medium
							SERC2016015524	CIP-006-3c	R1; R1.8	Lower
							SERC2016016603	CIP-006-6	R1; R1.3	Medium
							SERC2013012678	CIP-006-3a	R2	Medium
							SERC2016016606	CIP-006-6	R2; R2.1	Medium
							SERC2016016611	CIP-006-6	R2; R2.2	Medium
							SERC2017017812	CIP-006-6	R2; R2.2	Medium
							SERC2013012681	CIP-007-3a	R2; R2.1; R2.2; R2.3	Medium
							SERC2013012675	CIP-007-3a	R3; R3.1; R3.2	Lower
							SERC2013012676	CIP-007-3a	R4; R4.1	Medium
							SERC2013012677	CIP-007-3a	R5; R5.1.2; R5.3	Lower
							SERC2013012680	CIP-007-3a	R6; R6.1	Lower
							SERC2013012679	CIP-007-3a	R8; R8.2; R8.3	Lower
							SERC2016015525	CIP-007-3a	R9	Lower
							SERC2017017851	CIP-007-6	R2; R2.1	Medium
							SERC2016016614	CIP-007-6	R2; R2.2	Medium
							SERC2016016609	CIP-007-6	R2; R2.3	Medium
							SERC2017017811	CIP-007-6	R2; R2.4	Medium
							SERC2017017813	CIP-007-3a	R6; R6.1	Medium
							SERC2016016605	CIP-007-6	R4; R4.4	Medium
							SERC2017017854	CIP-007-3a	R5; R5.2.1	Lower
							SERC2016016607	CIP-007-3a	R5; R5.3.3	Lower
							SERC2016016608	CIP-007-6	R5; R5.5	Medium
							SERC2016016610	CIP-007-6	R5; R5.7	Medium
							SERC2013012682	CIP-009-3	R1	Medium
							SERC2017017850	CIP-010-2	R1; R1.1	Medium
							SERC2016016612	CIP-010-2	R1; R1.3	Medium
							SERC2017017852	CIP-010-2	R1; R1.5	Medium
							SERC2016016613	CIP-010-2	R2; R2.1	Medium
							SERC2016015460	BAL-002-1	R4	Medium
							SERC2016016157	BAL-003-1.1	R2	Medium
							SERC2016015526	FAC-014-2	R3	Medium
							SERC2016015527	FAC-014-2	R4	Medium
							SERC2017016808	PRC-002-2	R5; R5.3	Lower
							SERC2016015697	PRC-023-3	R6	High
							SERC2016015532	TPL-002-0b	R1; R1.3	High
							SERC2016015533	TPL-003-0b	R1; R1.3	High
							SERC2016015534	TPL-004-0a	R1; R1.3	Medium
9/28/2017	FERC	NP17-30-000 View Filing >> View Notice >>	RF	Boston Energy Trading and Marketing; GenON REMA 1; Genon Power Midwest; Genon Northeast Management Company	NCR00769, NCR11141, NCR11136, NCR11137	$100,000	RFC2014014541	PRC-005-1	R2; R2.1; R2.2	Medium
							RFC2014014203	PRC-005-1	R2; R2.1	Lower
							RFC2014013615	VAR-002-2b	R2	Medium
							RFC2014014540	VAR-002-2b	R2	Medium
							RFC2015014838	VAR-002-3	R2	Medium
							RFC2015014839	VAR-002-3	R2	Medium
9/28/2017	FERC	NP17-29-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
8/31/2017	FERC	NP17-28-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
8/31/2017	FERC	NP17-27-000 View Filing >> View Notice >>	SERC	Southwest Power Pool	NCR01143	$0	SERC2013012078	IRO-002-1	R2	Medium
							SERC2013012080	IRO-005-1	R1; R1.8	High
							SERC2013012081	FAC-014-2	R1	Medium
7/31/2017	FERC	NP17-26-000 View Filing >> View Notice >>	SPP RE	Unidentified Registered Entity	NCRXXXXX	$250,000	SPP2014014499	CIP-003-3	R2: R2.2	Medium
							SPP2014014500	CIP-003-3	R6	Lower
							SPP2014014513	CIP-004-3a	R4	Lower
							SPP2014014514	CIP-005-3a	R1: R1.5; R1.6	Medium
							SPP2014014501	CIP-006-3c	R1: R1.6.1	Medium
							SPP2014014502	CIP-006-3c	R2: R2.2	Medium
							SPP2014014505	CIP-007-3a	R1: R1.1	Lower
							SPP2014014506	CIP-007-3a	R2: R2.1; R2.2	Medium
							SPP2014014507	CIP-007-3a	R4: R4.1	Medium
							SPP2014014508	CIP-007-3a	R5: R5.2; R5.2.2	Lower
							SPP2015015324	CIP-007-3a	R6: R6.1; R6.4; R6.5	Medium
							SPP2014014510	CIP-008-3	R1: R1.6	Lower
							SPP2014014511	CIP-009-3	R2	Lower
7/31/2017	FERC	NP17-25-000 View Filing >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
6/29/2017	FERC	NP17-24-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
5/31/2017	FERC	NP17-23-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
4/27/2017	FERC	NP17-22-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
4/27/2017	FERC	NP17-21-000 View Filing >> View Notice >>	WECC	Unidentified Registered Entity	NCRXXXXX	$201,000	WECC2015014909	CIP-006-3c	R2.2	Medium
							WECC2015015031	CIP-004-1	R3	Lower
3/30/2017	FERC	NP17-20-000 View Filing >> View A-1 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
2/28/2017	FERC	NP17-19-000 View Filing >> View Notice >>	SERC	Alabama Power Company	NCR01166	$250,000	SERC2016015498	FAC-003-3	R2	High
							SERC2016015499	FAC-009-1	R1	Medium
2/28/2017	FERC	NP17-18-000 View Filing >> View Notice >>	Texas RE	American Electric Power Service Corporation	NCR04006	$205,000	TRE2015015386	EOP-003-2	R5	High
							TRE2015015387	TOP-001-1a	R3	High
2/28/2017	FERC	NP17-17-000 View Filing >> View Notice >>	Texas RE	Texas-New Mexico Power Company	NCR04143	$70,000	TRE2016015467	COM-002-2	R1	High
							TRE2016015468	TOP-006-2	R1.2	Medium
							TRE2016015469	TOP-006-2	R2	High
							TRE2016016041	EOP-008-1	R4	High
2/28/2017	FERC	NP17-16-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information
2/28/2017	FERC	NP17-15-000 View Filing >> View Notice >>	SERC	Mississippi Power Company	NCR01273	$40,000	SERC2015015011	FAC-003-3	R2	High
1/30/2017	FERC	NP17-14-000 View Filing >> View A-1 Spreadsheet >> View A-2 Spreadsheet >> View Notice >>	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	See Spreadsheets and NOP for Spreadsheet NOP information	See Spreadsheets and NOP for Spreadsheet NOP information