FOIA Lawsuit and CIP Violation Database: Exposing the NERC CIP Coverup
I created the CIP violation database to disclose to the public the identities of violators of Critical Infrastructure Protection (CIP) standards as my investigation continues. These identities have been covered up by the North American Electric Reliability Corporation (NERC) and the Federal Energy Regulatory Commission (FERC) since 2010. [Read details of the coverup and my investigation HERE.] Unfortunately, I have been forced to file a lawsuit against FERC under the Freedom of Information Act (FOIA) due to FERC’s delay and denial of my FOIA requests. Details on my FOIAs and the lawsuit are all posted below.
Here is the current status of the CIP coverup and my FOIAs
| Date Updated: | 11/25/2020 |
| Total URE Dockets: | 266 |
| FOIAs Filed for: | 259 |
| Total UREs *: | 1498 |
| FOIA URE Names Released: | 10 |
| FOIA URE Names Denied: | 130 |
* Note: As of 2019 NERC is also hiding the number of UREs covered in spreadsheet NOPs, so we can no longer accurately determine the number of URE’s involved. As of August of 2020 NERC is no longer allowing the public any data whatsoever on CIP Notices of Penalty.
SCROLL DOWN FOR CIP VIOLATION DATABASE!
Background
I have filed 4 FOIA requests (so far) for the names of UREs (“Unidentified Registered Entities”) which is the industry euphemism for “covered up company name.” In addition, I was also forced to file a FOIA to get NERC’s and the utility industry’s objections to my FOIAs (ridiculous, I know). I also had to file a FOIA to disprove the electric industry’s assertion that FERC has officially blessed off on withholding the names of CIP violators – and there were no responsive documents. So the industry is misrepresenting this (or lying, depending on how charitable you’d like to be).
As a result of my December 2018 FOIA request, January 2019 FOIA Request and August 2019 FOIA request I will be getting the names a few at a time from FERC and will update the database as I get them. (Read FERC’s first response letter HERE.) Note that I have objected to FERC’s “rolling” treatment of my FOIA requests which appear to be a delay tactic to appease the industry.
As of October 29, 2020 FERC has processed only 140 of 253 dockets under my FOIA lawsuit.
At this rate, it will take FERC about 1.5 years to process my FOIAs.
Unfortunately, I do not think this unacceptable delay is anything other than an attempt by FERC to constructively deny the FOIA. The Court agreed and on January 28, 2020 issued an order requiring FERC to process 10-15 dockets per month until production is complete.
I will continue to work in FERC rulemaking and Motions to intervene (see HERE, HERE, HERE and HERE) to fix this NERC coverup permanently.
It is also important to note that the entire electric utility industry is actively fighting these FOIAs. This is an extraordinary level of objection to disclosure of regulatory actions that the American people have the right to know about!
I will only be posting the names that are confirmed. For example, you will find that in Docket NP18-7 the violator is Pacific Gas and Electric Company (PG&E). This was confirmed by a previous FOIA I filed.
The Database gives you details on all the covered up CIP violations to date and will be updated with the names of “UREs” as I receive them.
FOIA Documents
I will post the FOIAs and all responses, disclosures, denials and appeals below.
FOIA Lawsuit: Mabee v. Federal Energy Regulatory Commission
(NOTE: Lawsuit covers FOIAs 2019-0019, 2019-0030 and 2019-0099 below)
Click HERE For Press Release On Lawsuit
- Document 1 – Complaint
- Document 2 – Summonses
- Document 3 – FOIA Order and Guidelines
- Document 4 – Notice of Appearance (AUSA)
- Document 5 – Proof of Service (AG)
- Document 6 – Proof of Service (AUSA)
- Document 7 – Proof of Service (FERC)
- Document 8 – Answer
- Document 9 – Joint Status Report January 13, 2020
- Court Order January 28, 2020
- Document 10 – Defendant’s Monthly Status Report February 7, 2020
- Document 11 – Joint Status Report March 9, 2020
- Document 12 – Notice of Appearance (AUSA)
- Document 13 – Defendant’s Monthly Status Report April 7, 2020
- Document 14 – Defendant’s Monthly Status Report May 7, 2020
- Court Order May 11, 2020
- Document 15 – Joint Status Report June 8, 2020
- Court Order July 3, 2020
- Document 16 – Defendant’s Monthly Status Report July 7, 2020
- Document 17 – Defendant’s Monthly Status Report August 6, 2020
- Document 18 – Joint Status Report September 8, 2020
- Document 19 – Defendant’s Monthly Status Report October 7, 2020
- Document 20 – Defendant’s Monthly Status Report November 9, 2020
FOIA 2019-0099 (For FERC “URE” Dockets from January-July 2019)
Click HERE for my August 3, 2019 FOIA request to FERC
Click HERE for FERC’s September 17, 2019 determination Letter (Denial)
Click HERE for my September 24, 2019 FOIA appeal to FERC (2019-0099)
Click HERE for FERC’s November 7, 2019 denial of my appeal
FOIA 2019-0019 (for FERC “URE” Dockets from 2014-2018)
Click HERE for my December 18, 2018 FOIA request to FERC
Click HERE for FERC’s January 18, 2019 “Submitter’s Rights Letter.”
Click HERE for NERC’s January 28, 2019 objections to my FOIA
Click HERE for the electric industry Trade Associations objections to my FOIA
Click HERE for FERC’s February 28, 2019 “Notice of Intent to Release” Letter
Click HERE for FERC’s March 18, 2019 determination (with disclosed documents)
Click HERE for FERC’s April 2, 2019 second determination (denial)
Click HERE for my April 17, 2019 FOIA appeal to FERC
Click here for NERC’s April 23, 2019 objections to my FOIA
Click HERE for FERC’s June 12, 2019 denial of my appeal
Click HERE for my August 3, 2019 estimated completion date request to FERC
Click HERE for my September 13, 2019 FOIA appeal to FERC (2019-0019)
Click HERE for FERC’s October 21, 2019 denial letter
Click HERE for FERC’s January 16, 2020 denial letter
FOIA 2019-0030 (for FERC “URE” Dockets from 2010-2013)
Click HERE for my January 12, 2019 FOIA request to FERC
Click HERE for NERC’s February 15, 2019 objections to my FOIA
Click HERE for the electric industry Trade Associations objections to my FOIA
Click HERE for FERC’s March 20, 2019 “Notice of Intent to Release” Letter
Click HERE for FERC’s May 17, 2019 determination (with disclosed documents)
Click HERE for FERC’s June 13, 2019 “Notice of Intent to Release” Letter
Click HERE for my August 3, 2019 estimated completion date request to FERC
Click HERE for FERC’s September 3, 2019 determination (with disclosed documents)
Click HERE for my September 13, 2019 FOIA appeal to FERC (2019-0030)
Click HERE for FERC’s October 25, 2109 denial letter
Click HERE for FERC’s December 12, 2019 determination letter (with disclosed documents)
Click HERE for FERC’s February 26, 2020 denial letter
Click HERE for FERC’s March 30, 2020 denial letter
Click HERE for FERC’s April 28, 2020 denial letter
Click HERE for FERC’s May 19, 2020 “Notice of Intent to Release” Letter
Click HERE for FERC’s May 27, 2020 denial letter
Click HERE for FERC’s June 26, 2020 denial letter
Click HERE for FERC’s July 15, 2020 determination letter (with disclosed documents)
Click HERE for FERC’s July 28, 2020 denial letter
Click HERE for FERC’s August 27, 2020 denial letter
Click HERE for FERC’s September 23, 2020 “Submitter’s Rights Letter”
Click HERE for FERC’s September 25, 2020 denial letter
Click HERE for FERC’s October 29, 2020 denial letter
Click HERE for FERC’s November 25, 2020 denial letter
FOIA 2019-0056 (FOIA for the objections to my FOIAs)
Click HERE for my March 15, 2019 FOIA to get the objections to my previous FOIAs
Click HERE for FERC’s April 26, 2019 “Notice of Intent to Release” Letter
Click HERE for FERC’s May 17, 2019 determination (with disclosed documents)
Click HERE for Trade Associations objections to my FOIAs (Filed with Docket NP19-4-000)
FOIA 2019-0061 (For alleged “agreement” between FERC and NERC)
Click HERE for my FOIA for the alleged “agreement” between FERC and NERC to withhold identities
Click HERE for FERC’s Response (no responsive documents – in other words, the industry lied)
FOIA 2018-0075 (for FERC Docket NP18-7-000)
Click HERE for my April 13, 2018 FOIA request to FERC
Click HERE for FERC’s May 25, 2018 denial letter
Click HERE for my June 16, 2018 FOIA appeal to FERC
Click HERE for August 2, 2018 letter from FERC
Click HERE for August 24, 2018 letter and disclosed documents from FERC
FOIA 2020-0043 (For FERC “URE” Dockets from August-December 2019)
Click HERE for my January 1, 2020 FOIA Request to FERC
Click HERE for FERC’s February 19, 2020 denial letter
Click HERE for my May 3, 2020 Appeal in FOIA 2020-0043
Click HERE for FERC’s June 16, 2020 appeal denial letter
CIP Violation Database
| Date | FERC Docket Number | Region | Registered Entity | Entities | Total Penalty ($) | FOIA | Disclosed=Y Denied=N |
|---|---|---|---|---|---|---|---|
| 7/6/2010 | NP10-130-000 | SERC | South Carolina Electric & Gas | 1 | $0 | 2019-0030 | Y |
| 7/6/2010 | NP10-131-000 | SERC | Progress Energy Carolinas | 1 | $5,000 | 2019-0030 | Y |
| 7/6/2010 | NP10-137-000 | WECC | Tuscon Electric Power | 1 | $39,000 | 2019-0030 | Y |
| 7/6/2010 | NP10-138-000 | RFC | Duke Energy Co. | 1 | $5,000 | 2019-0030 | Y |
| 7/6/2010 | NP10-139-000 | WECC | Sunray Energy, Inc. | 1 | $3,000 | 2019-0030 | Y |
| 7/6/2010 | NP10-140-000 | RFC | PJM | 1 | $5,600 | 2019-0030 | Y |
| 7/6/2010 | NP10-134-000 | SPP | Southwestern Power Administration | 1 | 0 | 2019-0030 | Y |
| 10/7/2010 | NP11-3-000 | SERC | Electric Energy, Inc. | 1 | $6,000 | 2019-0030 | Y |
| 2/27/2014 | NP14-32-000 | SPP RE | City Utilities of Springfield, MO | 1 | 0 | 2019-0019 | Y |
| 5/29/2014 | NP14-41-000 | WECC | Pacific Gas and Electric Company | 1 | $98,500 | 2019-0019 | Y |
| 2/28/2018 | NP18-7-000 | WECC | Pacific Gas and Electric Company | 1 | $2,700,000 | 2018-0075 | Y |
| 10/7/2010 | NP11-2-000 | WECC | Unidentified Registered Entity | 1 | $9,000 | 2019-0030 | N |
| 10/7/2010 | NP11-5-000 | SERC | Unidentified Registered Entity | 1 | $16,000 | 2019-0030 | N |
| 11/5/2010 | NP11-21-000 | RFC | Unidentified Registered Entity | 1 | $8,000 | 2019-0030 | N |
| 11/5/2010 | NP11-22-000 | SERC | Unidentified Registered Entity | 1 | $5,000 | 2019-0030 | N |
| 11/30/2010 | NP11-56-000 | SERC | Unidentified Registered Entity | 1 | $0 | 2019-0030 | N |
| 12/22/2010 | NP11-59-000 | RFC | Unidentified Registered Entity | 1 | $7,000 | 2019-0030 | N |
| 12/22/2010 | NP11-63-000 | WECC | Unidentified Registered Entity | 1 | $80,000 | 2019-0030 | N |
| 12/22/2010 | NP11-64-000 | WECC | Unidentified Registered Entity | 1 | $38,500 | 2019-0030 | N |
| 12/22/2010 | NP11-70-000 | WECC | Unidentified Registered Entity | 1 | $55,000 | 2019-0030 | N |
| 12/22/2010 | NP11-72-000 | SERC | Unidentified Registered Entity | 1 | $2,000 | 2019-0030 | N |
| 12/22/2010 | NP11-76-000 | SERC | Unidentified Registered Entity | 1 | 0 | 2019-0030 | N |
| 12/22/2010 | NP11-79-000 | FRCC | Unidentified Registered Entity | 1 | $100,000 | 2019-0030 | N |
| 12/22/2010 | NP11-81-000 | MRO, SPP | Unidentified Registered Entities | 2 | $50,000 | 2019-0030 | N |
| 1/31/2011 | NP11-98-000 | WECC | Unidentified Registered Entity | 1 | $5,000 | 2019-0030 | N |
| 1/31/2011 | NP11-102-000 | WECC | Unidentified Registered Entity | 1 | $6,500 | 2019-0030 | N |
| 2/23/2011 | NP11-106-000 | RFC | Unidentified Registered Entity | 1 | $15,000 | 2019-0030 | N |
| 2/23/2011 | NP11-111-000 | MRO | Unidentified Registered Entity | 1 | $120,000 | 2019-0030 | N |
| 2/23/2011 | NP11-116-000 | FRCC | Unidentified Registered Entity | 1 | $75,000 | 2019-0030 | N |
| 2/23/2011 | NP11-124-000 | RFC | Unidentified Registered Entity | 1 | $100,000 | 2019-0030 | N |
| 2/23/2011 | NP11-125-000 | SPP, RFC | Unidentified Registered Entity | 1 | $77,000 | 2019-0030 | N |
| 2/23/2011 | NP11-127-000 | FRCC | Unidentified Registered Entity | 1 | $55,000 | 2019-0030 | N |
| 2/23/2011 | NP11-128-000 | WECC | Unidentified Registered Entity | 1 | $450,000 | 2019-0030 | N |
| 3/30/2011 | NP11-143-000 | SERC | Unidentified Registered Entity | 1 | $5,000 | 2019-0030 | N |
| 3/30/2011 | NP11-136-000 | WECC | Unidentified Registered Entity | 1 | $14,500 | 2019-0030 | N |
| 3/30/2011 | NP11-137-000 | WECC | Unidentified Registered Entity | 1 | $106,000 | 2019-0030 | N |
| 3/30/2011 | NP11-140-000 | WECC | Unidentified Registered Entity | 1 | $27,000 | 2019-0030 | N |
| 3/30/2011 | NP11-145-000 | WECC | Unidentified Registered Entity | 1 | $13,000 | 2019-0030 | N |
| 3/30/2011 | NP11-150-000 | MRO | Unidentified Registered Entity | 1 | 0 | 2019-0030 | N |
| 3/30/2011 | NP11-156-000 | SERC | Unidentified Registered Entity | 1 | $12,500 | 2019-0030 | N |
| 3/30/2011 | NP11-157-000 | SERC | Unidentified Registered Entity | 1 | $7,000 | 2019-0030 | N |
| 3/30/2011 | NP11-161-000 | WECC | Unidentified Registered Entity | 1 | $35,000 | 2019-0030 | N |
| 3/30/2011 | NP11-146-000 | RFC | Unidentified Registered Entities | 3 | $52,500 | 2019-0030 | N |
| 3/31/2011 | NP11-162-000 | TRE, NPCC | Unidentified Registered Entities | 2 | $10,500 | 2019-0030 | N |
| 4/29/2011 | NP11-166-000 | SPP, TRE | Unidentified Registered Entity | 1 | $50,000 | 2019-0030 | N |
| 4/29/2011 | NP11-167-000 | WECC | Unidentified Registered Entity | 1 | $89,000 | 2019-0030 | N |
| 4/29/2011 | NP11-174-000 | RFC | Unidentified Registered Entity | 1 | $15,000 | 2019-0030 | N |
| 4/29/2011 | NP11-175-000 | WECC | Unidentified Registered Entity | 1 | $32,000 | 2019-0030 | N |
| 4/29/2011 | NP11-176-000 | WECC | Unidentified Registered Entity | 1 | $80,000 | 2019-0030 | N |
| 4/29/2011 | NP11-179-000 | MRO | Unidentified Registered Entity | 1 | $10,000 | 2019-0030 | N |
| 4/29/2011 | NP11-180-000 | WECC | Unidentified Registered Entity | 1 | $71,500 | 2019-0030 | N |
| 5/26/2011 | NP11-182-000 | WECC | Unidentified Registered Entity | 1 | $59,000 | 2019-0030 | N |
| 5/26/2011 | NP11-184-000 | RFC | Unidentified Registered Entity | 1 | $70,000 | 2019-0030 | N |
| 5/26/2011 | NP11-188-000 | SPP | Unidentified Registered Entity | 1 | $16,860 | 2019-0030 | N |
| 5/26/2011 | NP11-189-000 | FRCC | Unidentified Registered Entity | 1 | $17,000 | 2019-0030 | N |
| 5/26/2011 | NP11-192-000 | WECC | Unidentified Registered Entity | 1 | $12,200 | 2019-0030 | N |
| 5/26/2011 | NP11-193-000 | WECC | Unidentified Registered Entity | 1 | $60,000 | 2019-0030 | N |
| 5/26/2011 | NP11-198-000 | SPP | Unidentified Registered Entity | 1 | $17,860 | 2019-0030 | N |
| 6/29/2011 | NP11-204-000 | WECC | Unidentified Registered Entity | 1 | $37,500 | 2019-0030 | N |
| 6/29/2011 | NP11-205-000 | WECC | Unidentified Registered Entity | 1 | $22,000 | 2019-0030 | N |
| 6/29/2011 | NP11-211-000 | WECC | Unidentified Registered Entity | 1 | $14,000 | 2019-0030 | N |
| 6/29/2011 | NP11-212-000 | WECC | Unidentified Registered Entity | 1 | 381600 | 2019-0030 | N |
| 6/29/2011 | NP11-213-000 | WECC | Unidentified Registered Entity | 1 | $143,500 | 2019-0030 | N |
| 6/29/2011 | NP11-225-000 | RFC | Unidentified Registered Entity | 1 | $10,000 | 2019-0030 | N |
| 6/29/2011 | NP11-226-000 | RFC | Unidentified Registered Entity | 1 | $85,000 | 2019-0030 | N |
| 7/28/2011 | NP11-229-000 | WECC | Unidentified Registered Entity | 1 | $75,000 | 2019-0030 | N |
| 7/28/2011 | NP11-230-000 | RFC | Unidentified Registered Entity | 1 | $18,000 | 2019-0030 | N |
| 7/28/2011 | NP11-233-000 | WECC | Unidentified Registered Entity | 1 | $70,000 | 2019-0030 | N |
| 7/28/2011 | NP11-243-000 | RFC | Unidentified Registered Entity | 1 | $20,000 | 2019-0030 | N |
| 7/28/2011 | NP11-248-000 | WECC | Unidentified Registered Entity | 1 | $5,000 | 2019-0030 | N |
| 7/28/2011 | NP11-249-000 | WECC | Unidentified Registered Entity | 1 | $18,000 | 2019-0030 | N |
| 7/28/2011 | NP11-250-000 | WECC | Unidentified Registered Entity | 1 | $12,600 | 2019-0030 | N |
| 8/31/2011 | NP11-261-000 | RFC | Unidentified Registered Entity | 1 | $70,000 | 2019-0030 | N |
| 12/30/2013 | NP14-16-000 | SERC | Unidentified Registered Entity | 1 | $50,000 | 2019-0030 | N |
| 12/30/2013 | NP14-17-000 | WECC | Unidentified Registered Entity | 1 | $144,000 | 2019-0030 | N |
| 12/30/2013 | NP14-18-000 | SERC | Unidentified Registered Entity | 1 | $110,000 | 2019-0030 | N |
| 12/30/2013 | NP14-19-000 | WECC | Unidentified Registered Entity | 1 | $185,000 | 2019-0030 | N |
| 12/30/2013 | NP14-20-000 | SERC | Unidentified Registered Entity | 1 | $198,000 | 2019-0030 | N |
| 12/30/2013 | NP14-22-000 | WECC | Unidentified Registered Entity | 1 | $150,000 | 2019-0030 | N |
| 12/31/2013 | NP14-21-000 | SERC | Unidentified Registered Entity | 1 | $175,000 | 2019-0030 | N |
| 12/31/2013 | NP14-23-000 | SPP RE | Unidentified Registered Entity | 1 | $100,000 | 2019-0030 | N |
| 12/31/2013 | NP14-24-000 | SERC | Unidentified Registered Entity | 1 | $350,000 | 2019-0030 | N |
| 12/31/2013 | NP14-25-000 | SERC | Unidentified Registered Entity | 1 | $250,000 | 2019-0030 | N |
| 12/31/2013 | NP14-26-000 | SERC | Unidentified Registered Entity | 1 | $120,000 | 2019-0030 | N |
| 1/30/2014 | NP14-30-000 | RFC | Unidentified Registered Entity | 1 | $75,000 | 2019-0019 | N |
| 3/31/2014 | NP14-37-000 | WECC | Unidentified Registered Entity | 1 | $465,000 | 2019-0019 | N |
| 4/30/2014 | NP14-39-000 | WECC | Unidentified Registered Entity | 1 | $155,000 | 2019-0019 | N |
| 5/29/2014 | NP14-42-000 | SERC | Unidentified Registered Entity | 1 | $250,000 | 2019-0019 | N |
| 7/31/2014 | NP14-45-000 | WECC | Unidentified Registered Entity | 1 | $180,000 | 2019-0019 | N |
| 7/31/2014 | NP14-46-000 | RFC | Unidentified Registered Entities | 7 | $50,000 | 2019-0019 | N |
| 8/27/2014 | NP14-48-000 | RFC/NPCC | Unidentified Registered Entities | 3 | $625,000 | 2019-0019 | N |
| 12/30/2014 | NP15-13-000 | RFC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | N |
| 12/30/2014 | NP15-15-000 | SERC | Unidentified Registered Entities | 2 | $120,000 | 2019-0019 | N |
| 12/30/2014 | NP15-17-000 | WECC | Unidentified Registered Entity | 1 | $120,000 | 2019-0019 | N |
| 2/26/2015 | NP15-20-000 | SERC | Unidentified Registered Entity | 1 | S70,000 | 2019-0019 | N |
| 4/30/2015 | NP15-24-000 | RFC | Unidentified Registered Entity | 1 | $150,000 | 2019-0019 | N |
| 4/30/2015 | NP15-26-000 | RFC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | N |
| 8/31/2015 | NP15-33-000 | RFC | Unidentified Registered Entity | 1 | $425,000 | 2019-0019 | N |
| 10/29/2015 | NP16-2-000 | WECC | Unidentified Registered Entity | 1 | $160,000 | 2019-0019 | N |
| 12/1/2015 | NP16-4-000 | WECC | Unidentified Registered Entity | 1 | $205,000 | 2019-0019 | N |
| 1/25/2019 | NP19-4-000 | XXX | Unidentified Registered Entity | 1 | $10,000,000 | 2019-0099 | N |
| 2/28/2019 | NP19-5-000 | FRCC/SPP | Unidentified Registered Entities | 3 | 0 | 2019-0099 | N |
| 3/28/2019 | NP19-6-000 | WECC | Unidentified Registered Entities | 6 | 0 | 2019-0099 | N |
| 4/30/2019 | NP19-7-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0099 | N |
| 4/30/2019 | NP19-9-000 | FRCC | Unidentified Registered Entity | 1 | $301,000 | 2019-0099 | N |
| 5/30/2019 | NP19-10-000 | XXX | Unidentified Registered Entity | 1 | $1,000,000 | 2019-0099 | N |
| 5/30/2019 | NP19-11-000 | XXX | Unidentified Registered Entity | 1 | $1,000,000 | 2019-0099 | N |
| 6/26/2019 | NP19-14-000 | SERC | Unidentified Registered Entity | 1 | $775,000 | 2019-0099 | N |
| 6/27/2019 | NP19-12-000 | NPCC/WECC | Unidentified Registered Entities | 2 | $87,000 | 2019-0099 | N |
| 7/21/2019 | NP19-15-000 | NPCC/WECC | Unidentified Registered Entities | 2 | $164,000 | 2019-0099 | N |
| 8/29/2019 | NP19-16-000 | WECC | Unidentified Registered Entity | 1 | $2,100,00 | 2020-0043 | N |
| 8/29/2019 | NP19-17-000 | MRO | Unidentified Registered Entities | 1 | 0 | 2020-0043 | N |
| 9/26/2019 | NP19-18-000 | Texas RE | Unidentified Registered Entity | 1 | 0 | 2020-0043 | N |
| 10/31/2019 | NP20-2-000 | WECC | Unidentified Registered Entity | 1 | $378,000 | 2020-0043 | N |
| 10/31/2019 | NP20-3-000 | NPCC | Unidentified Registered Entities | 1 | $84,000 | 2020-0043 | N |
| 12/30/2019 | NP20-6-000 | WECC/RF | Unidentified Registered Entities | 1 | $175,000 | 2020-0043 | N |
| 7/28/2011 | NP11-237-000 | RFC | Unidentified Registered Entity | 3 | $180,000 | 2019-0030 | N |
| 11/30/2011 | NP12-3-000 | WECC | Unidentified Registered Entity | 1 | $125,000 | 2019-0030 | N |
| 11/30/2011 | NP12-4-000 | WECC | Unidentified Registered Entity | 1 | $160,000 | 2019-0030 | N |
| 12/30/2011 | NP12-9-000 | RFC | Unidentified Registered Entity | 1 | $60,000 | 2019-0030 | N |
| 1/31/2012 | NP12-11-000 | WECC | Unidentified Registered Entity | 1 | $135,000 | 2019-0030 | N |
| 12/31/2012 | NP13-11-000 | SPP | Unidentified Registered Entity | 1 | $107,000 | 2019-0030 | N |
| 12/31/2012 | NP13-16-000 | WECC | Unidentified Registered Entity | 1 | $207,000 | 2019-0030 | N |
| 12/31/2012 | NP13-18-000 | SPP | Unidentified Registered Entity | 1 | $153,000 | 2019-0030 | N |
| 12/31/2012 | NP13-19-000 | SERC | Unidentified Registered Entity | 1 | $950,000 | 2019-0030 | N |
| 1/31/2013 | NP13-22-000 | WECC | Unidentified Registered Entity | 1 | $115,000 | 2019-0030 | N |
| 3/27/2013 | NP13-28-000 | Various | Unidentified Registered Entity | 1 | $90,000 | 2019-0030 | N |
| 10/31/2011 | RC12-1-000 | Various | Unidentified Registered Entities | 33 | 0 | 2019-0030 | N |
| 2/29/2012 | NP12-16-000 | WECC | Unidentified Registered Entity | 1 | $80,000 | 2019-0030 | N |
| 7/31/2012 | NP12-38-000 | WECC | Unidentified Registered Entity | 1 | $72,000 | 2019-0030 | N |
| 9/28/2012 | NP12-45-000 | FRCC | Unidentified Registered Entity | 1 | $150,000 | 2019-0030 | N |
| 9/28/2012 | NP12-46-000 | WECC | Unidentified Registered Entity | 1 | $200,000 | 2019-0030 | N |
| 10/31/2012 | NP13-1-000 | WECC | Unidentified Registered Entity | 1 | $200,000 | 2019-0030 | N |
| 12/31/2012 | NP13-17-000 | RFC | Unidentified Registered Entities | 3 | $80,000 | 2019-0030 | N |
| 5/30/2013 | NP13-34-000 | Texas RE | Unidentified Registered Entity | 1 | $137,000 | 2019-0030 | N |
| 5/30/2013 | NP13-38-000 | WECC | Unidentified Registered Entity | 1 | $291,000 | 2019-0030 | N |
| 7/31/2013 | NP13-45-000 | WECC | Unidentified Registered Entity | 1 | $198,000 | 2019-0030 | N |
| 2/29/2012 | NP12-17-000 | SPP RE | Unidentified Registered Entity | 1 | $40,000 | 2019-0030 | N |
| 3/20/2012 | NP12-20-000 | WECC | Unidentified Registered Entity | 1 | $60,000 | 2019-0030 | N |
| 4/30/2012 | NP12-25-000 | RFC | Unidentified Registered Entity | 1 | $115,000 | 2019-0030 | N |
| 5/30/2012 | NP12-29-000 | WECC | Unidentified Registered Entity | 1 | $16,2200 | 2019-0030 | N |
| 8/31/2012 | NP12-43-000 | WECC | Unidentified Registered Entity | 1 | $70,000 | 2019-0030 | N |
| 2/28/2013 | NP13-24-000 | WECC | Unidentified Registered Entity | 3 | $151,500 | 2019-0030 | N |
| 4/30/2013 | NP13-32-000 | NERC | Unidentified Registered Entity | 1 | $40,000 | 2019-0030 | N |
| 7/31/2013 | NP13-47-000 | RFC, SERC | Unidentified Registered Entities | 2 | $350,000 | 2019-0030 | N |
| 9/30/2013 | NP13-55-000 | WECC | Unidentified Registered Entity | 1 | $150,000 | 2019-0030 | N |
| 10/30/2013 | NP14-5-000 | RFC | Unidentified Registered Entity | 1 | 0 | 2019-0030 | N |
| 7/6/2010 | NP10-135-000 | WECC | Unidentified Registered Entity | 1 | $8,000 | 2019-0030 | |
| 7/6/2010 | NP10-136-000 | WECC | Unidentified Registered Entity | 1 | $7,000 | 2019-0030 | |
| 7/30/2010 | NP10-159-000 | WECC | Unidentified Registered Entity | 1 | $109,000 | 2019-0030 | |
| 9/13/ 2010 | NP10-160-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0030 | |
| 10/7/2010 | NP11-1-000 | WECC | Unidentified Registered Entity | 1 | $106,000 | 2019-0030 | |
| 10/7/2010 | NP11-4-000 | FRCC | Unidentified Registered Entity | 1 | $250,000 | 2019-0030 | |
| 11/30/2010 | NP11-47-000 | SERC | Unidentified Registered Entity | 1 | $0 | 2019-0030 | |
| 2/1/2011 | NP11-104-000 | Various | Unidentified Registered Entities | 6 | $9,300 | 2019-0030 | |
| 2/28/2011 | NP11-133-000 | Various | Unidentified Registered Entities | 5 | $11,500 | 2019-0030 | |
| 3/30/2011 | NP11-149-000 | RFC | Unidentified Registered Entity | 1 | $20,000 | 2019-0030 | |
| 3/30/2011 | NP11-155-000 | WECC | Unidentified Registered Entity | 1 | $2,000 | 2019-0030 | |
| 4/29/2011 | NP11-178-000 | WECC | Unidentified Registered Entity | 1 | $35,000 | 2019-0030 | |
| 4/29/2011 | NP11-181-000 | FRCC, NPCC | Unidentified Registered Entities | 6 | $39,500 | 2019-0030 | |
| 5/26/2011 | NP11-199-000 | Various | Unidentified Registered Entities | 3 | $3,500 | 2019-0030 | |
| 6/29/2011 | NP11-206-000 | NPCC | Unidentified Registered Entity | 3 | $80,000 | 2019-0030 | |
| 6/29/2011 | NP11-218-000 | WECC | Unidentified Registered Entity | 1 | $130,000 | 2019-0030 | |
| 6/29/2011 | NP11-223-000 | SPP | Unidentified Registered Entity | 1 | $30,000 | 2019-0030 | |
| 7/28/2011 | NP11-234-000 | WECC | Unidentified Registered Entity | 1 | $35,000 | 2019-0030 | |
| 7/28/2011 | NP11-247-000 | RFC | Unidentified Registered Entity | 1 | $15,000 | 2019-0030 | |
| 7/28/2011 | NP11-251-000 | WECC | Unidentified Registered Entity | 1 | $7,000 | 2019-0030 | |
| 7/29/2011 | NP11-253-000 | Various | Unidentified Registered Entities | 8 | $26,500 | 2019-0030 | |
| 8/31/2011 | NP11-262-000 | SPP | Unidentified Registered Entity | 1 | $12,000 | 2019-0030 | |
| 8/31/2011 | NP11-263-000 | TRE | Unidentified Registered Entity | 1 | $11,000 | 2019-0030 | |
| 8/31/2011 | NP11-264-000 | SPP | Unidentified Registered Entity | 1 | $8,000 | 2019-0030 | |
| 8/31/2011 | NP11-266-000 | Various | Unidentified Registered Entities | 5 | $63,500 | 2019-0030 | |
| 9/30/2011 | NP11-269-000 | WECC | Unidentified Registered Entity | 1 | $225,000 | 2019-0030 | |
| 9/30/2011 | NP11-270-000 | Various | Unidentified Registered Entities | 21 | $193,900 | 2019-0030 | |
| 9/30/2011 | RC11-6-000 | Various | Unidentified Registered Entities | 59 | 0 | 2019-0030 | |
| 10/31/2011 | NP12-1-000 | RFC | Unidentified Registered Entities | 3 | $275,000 | 2019-0030 | |
| 10/31/2011 | NP12-2-000 | Various | Unidentified Registered Entities | 16 | $184,200 | 2019-0030 | |
| 11/30/2011 | NP12-5-000 | RF, WECC | Unidentified Registered Entities | 12 | $89,000 | 2019-0030 | |
| 11/30/2011 | RC12-2-000 | Various | Unidentified Registered Entities | 30 | 0 | 2019-0030 | |
| 12/30/2011 | NP12-10-000 | Various | Unidentified Registered Entities | 21 | $109,600 | 2019-0030 | |
| 12/30/2011 | RC12-6-000 | Various | Unidentified Registered Entities | 40 | 0 | 2019-0030 | |
| 1/31/2012 | NP12-12-000 | Various | Unidentified Registered Entities | 18 | $160,500 | 2019-0030 | |
| 1/31/2012 | RC12-7-000 | Various | Unidentified Registered Entities | 30 | 0 | 2019-0030 | |
| 2/29/2012 | NP12-18-000 | Various | Unidentified Registered Entities | 23 | $222,900 | 2019-0030 | |
| 2/29/2012 | RC12-8-000 | Various | Unidentified Registered Entities | 24 | 0 | 2019-0030 | |
| 3/30/2012 | NP12-22-000 | Various | Unidentified Registered Entities | 15 | $42,000 | 2019-0030 | |
| 3/30/2012 | RC12-10-000 | Various | Unidentified Registered Entities | 12 | 0 | 2019-0030 | |
| 4/30/2012 | NP12-26-000 | Various | Unidentified Registered Entities | 18 | $95,300 | 2019-0030 | |
| 4/30/2012 | RC12-11-000 | Various | Unidentified Registered Entities | 18 | 0 | 2019-0030 | |
| 5/30/2012 | NP12-27-000 | Various | Unidentified Registered Entities | 20 | $48,600 | 2019-0030 | |
| 5/30/2012 | RC12-12-000 | Various | Unidentified Registered Entities | 40 | 0 | 2019-0030 | |
| 6/29/2012 | NP12-36-000 | Various | Unidentified Registered Entities | 15 | $121,900 | 2019-0030 | |
| 6/29/2012 | RC12-13-000 | Various | Unidentified Registered Entities | 40 | 0 | 2019-0030 | |
| 7/31/2012 | NP12-37-000 | WECC | Unidentified Registered Entities | 4 | $134,350 | 2019-0030 | |
| 7/31/2012 | NP12-40-000 | Various | Unidentified Registered Entities | 15 | $101,100 | 2019-0030 | |
| 7/31/2012 | RC12-14-000 | Various | Unidentified Registered Entities | 30 | 0 | 2019-0030 | |
| 8/31/2012 | NP12-44-000 | Various | Unidentified Registered Entities | 16 | $182,800 | 2019-0030 | |
| 8/31/2012 | RC12-15-000 | Various | Unidentified Registered Entities | 38 | 0 | 2019-0030 | |
| 9/28/2012 | NP12-47-000 | Various | Unidentified Registered Entities | 14 | $113,400 | 2019-0030 | |
| 9/28/2012 | RC12-16-000 | Various | Unidentified Registered Entities | 41 | 0 | 2019-0030 | |
| 10/31/2012 | NP13-4-000 | RFC | Unidentified Registered Entities | 3 | $725,000 | 2019-0030 | |
| 10/31/2012 | NP13-5-000 | Various | Unidentified Registered Entities | 19 | $216,000 | 2019-0030 | |
| 10/31/2012 | RC13-1-000 | Various | Unidentified Registered Entities | 44 | 0 | 2019-0030 | |
| 11/30/2012 | NP13-6-000 | WECC | Unidentified Registered Entity | 1 | $62,500 | 2019-0030 | |
| 11/30/2012 | RC13-2-000 | Various | Unidentified Registered Entities | 25 | 0 | 2019-0030 | |
| 12/31/2012 | NP13-12-000 | Various | Unidentified Registered Entities | 21 | $214,000 | 2019-0030 | |
| 12/31/2012 | RC13-3-000 | Various | Unidentified Registered Entities | 25 | 0 | 2019-0030 | |
| 1/31/2013 | NP13-23-000 | Various | Unidentified Registered Entities | 22 | $73,000 | 2019-0030 | |
| 1/31/2013 | RC13-5-000 | Various | Unidentified Registered Entities | 22 | 0 | 2019-0030 | |
| 2/28/2013 | NP13-27-000 | Various | Unidentified Registered Entities | 14 | $53,000 | 2019-0030 | |
| 2/28/2013 | RC13-6-000 | Various | Unidentified Registered Entities | 27 | 0 | 2019-0030 | |
| 3/27/2013 | NP13-29-000 | Various | Unidentified Registered Entities | 10 | $80,000 | 2019-0030 | |
| 3/27/2013 | NP13-30-000 | RFC | Unidentified Registered Entity | 3 | $120,000 | 2019-0030 | |
| 4/30/2013 | NP13-33-000 | Various | Unidentified Registered Entities | 18 | $315,250 | 2019-0030 | |
| 4/30/2013 | RC13-8-000 | Various | Unidentified Registered Entities | 50 | 0 | 2019-0030 | |
| 5/30/2013 | NP13-39-000 | Various | Unidentified Registered Entities | 16 | $67,500 | 2019-0030 | |
| 5/30/2013 | RC13-9-000 | Various | Unidentified Registered Entities | 53 | 0 | 2019-0030 | |
| 6/27/2013 | NP13-41-000 | Various | Unidentified Registered Entities | 20 | $198,000 | 2019-0030 | |
| 6/27/2013 | RC13-10-000 | Various | Unidentified Registered Entities | 52 | 0 | 2019-0030 | |
| 7/31/2013 | NP13-46-000 | Various | Unidentified Registered Entities | 18 | $112,000 | 2019-0030 | |
| 8/30/2013 | NP13-51-000 | Various | Unidentified Registered Entities | 18 | $98,000 | 2019-0030 | |
| 9/30/2013 | NP13-57-000 | Various | Unidentified Registered Entities | 12 | $189,000 | 2019-0030 | |
| 10/30/2013 | NP14-4-000 | RF, SERC | Unidentified Registered Entities | 16 | $55,000 | 2019-0030 | |
| 11/27/2013 | NP14-6-000 | Various | Unidentified Registered Entities | 14 | $142,000 | 2019-0030 | |
| 12/30/2013 | NP14-14-000 | Various | Unidentified Registered Entities | 18 | $276,500 | 2019-0030 | |
| 1/30/2014 | NP14-29-000 | WECC | Unidentified Registered Entity | 1 | $109,000 | 2019-0019 | |
| 10/30/2014 | NP15-5-000 | SPP | Unidentified Registered Entity | 1 | $45,000 | 2019-0019 | |
| 10/30/2014 | NP15-6-000 | TRE | Unidentified Registered Entity | 1 | $106,000 | 2019-0019 | |
| 11/25/2014 | NP15-9-000 | MRO | Unidentified Registered Entity | 1 | $150,000 | 2019-0019 | |
| 11/25/2014 | NP15-10-000 | WECC | Unidentified Registered Entity | 1 | $150,000 | 2019-0019 | |
| 11/25/2014 | NP15-11-000 | RFC | Unidentified Registered Entity | 1 | $75,000 | 2019-0019 | |
| 12/30/2014 | NP15-18-000 | Multiple | Unidentified Registered Entities | 10 | $124,000 | 2019-0019 | |
| 3/31/2015 | NP15-23-000 | WECC | Unidentified Registered Entities | 3 | $165,000 | 2019-0019 | |
| 12/1/2015 | NP16-5-000 | WECC | Unidentified Registered Entity | 1 | $200,000 | 2019-0019 | |
| 12/30/2015 | NP16-7-000 | SPP | Unidentified Registered Entity | 1 | $235,000 | 2019-0019 | |
| 1/28/2016 | NP16-9-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 1/28/2016 | NP16-10-000 | RF | Unidentified Registered Entity | 1 | $150,000 | 2019-0019 | |
| 2/29/2016 | NP16-12-000 | RF | Unidentified Registered Entity | 1 | $1,700,000 | 2019-0019 | |
| 4/28/2016 | NP16-18-000 | RF / SERC | Unidentified Registered Entities | 5 | $115,000 | 2019-0019 | |
| 5/31/2016 | NP16-20-000 | FRCC | Unidentified Registered Entity | 1 | $35,000 | 2019-0019 | |
| 7/28/2016 | NP16-23-000 | SERC | Unidentified Registered Entity | 1 | $225,000 | 2019-0019 | |
| 7/28/2016 | NP16-24-000 | SERC | Unidentified Registered Entity | 1 | $180,000 | 2019-0019 | |
| 10/31/2016 | NP17-2-000 | WECC | Unidentified Registered Entity | 1 | $1,125,000 | 2019-0019 | |
| 10/31/2016 | NP17-3-000 | WECC | Unidentified Registered Entity | 1 | $250,000 | 2019-0019 | |
| 11/30/2016 | NP17-8-000 | MRO | Unidentified Registered Entity | 1 | $142,000 | 2019-0019 | |
| 12/29/2016 | NP17-10-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 12/29/2016 | NP17-11-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 12/29/2016 | NP17-12-000 | WECC /SERC | Unidentified Registered Entities | 4 | $60,000 | 2019-0019 | |
| 12/29/2016 | NP17-13-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 4/27/2017 | NP17-21-000 | WECC | Unidentified Registered Entity | 1 | $201,000 | 2019-0019 | |
| 7/31/2017 | NP17-25-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 7/31/2017 | NP17-26-000 | SPP RE | Unidentified Registered Entity | 1 | $250,000 | 2019-0019 | |
| 9/28/2017 | NP17-31-000 | SERC | Unidentified Registered Entity | 1 | $500,000 | 2019-0019 | |
| 10/31/2017 | NP18-2-000 | WECC | Unidentified Registered Entities | 2 | 0 | 2019-0019 | |
| 5/31/2018 | NP18-14-000 | RF | Unidentified Registered Entity | 1 | $180,000 | 2019-0019 | |
| 5/31/2018 | NP18-15-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 7/31/2018 | NP18-21-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 8/30/2018 | NP18-22-000 | WECC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 9/27/2018 | NP18-26-000 | NPCC | Unidentified Registered Entity | 1 | 0 | 2019-0019 | |
| 1/30/2020 | NP20-7-000 | RF | Unidentified Registered Entities | 1 | $50,000 | ||
| 3/31/2020 | NP20-12-000 | RF | Unidentified Registered Entities | 1 | $225,000 | ||
| 4/30/2020 | NP20-14-000 | RF/NPCC/TX | Unidentified Registered Entities | 2 | $42,000 | ||
| 4/30/2020 | NP20-15-000 | RF | Unidentified Registered Entity | 1 | $450,000 | ||
| 5/28/2020 | NP20-18-000 | WECC | Unidentified Registered Entities | 1 | 0 | ||
| 7/30/2020 | NP20-20-000 | TRE/WECC | Unidentified Registered Entities | 1 | $36,750 | ||
| 8/31/2020 | NP20-21-000 | WECC | Unidentified Registered Entity | 1 | 0 |
