(Note: all files are in pdf format)
|Issue Date||Subject of Investigation||Description of Alleged Misconduct||Dates of Alleged Misconduct|
|December 14, 2012||EnerNOC, Inc. and Celerity Energy Partners LLC||EnerNOC submitted inaccurate data for settlement for five demand response assets in ISO-NE, in violation of the ISO-NE tariff. Celerity failed to comply with two Commission filing requirements and its market-based rate tariff.||January 2009–June 2012|
|December 4, 2012||Oceanside Power, LLC||Trades in PJM Up-To Congestion products that was not expected to earn a profit after payment of transaction costs, where purpose of these trades was to schedule transmission and thereby recover Marginal Loss Surplus Allocation payments.||July–August 2010|
|November 20, 2012||Entergy Services, Inc.||Alleged violations of 33 requirements of 16 Mandatory Reliability Standards approved by the Commission by failing to adequately perform functions required for the reliable operation of the transmission system.||The violations began in June 2007. Some ended in October 2010; others are ongoing.|
|November 14, 2012||Gila River Power LLC||Alleged violations of 18 C.F.R. § 35.41(b) and 18 C.F.R. § 1c.2 by scheduling transactions in the California Independent System Operator Corporation (CAISO) markets that did not meet tariff requirements and that benefitted other energy transactions in the CAISO markets.||July 2009–October 2010|
|October 26, 2012||Alliance Pipeline L.P.||In advance of publishing transmission information relevant to upcoming capacity auction, pipeline provided the same to its affiliate in violation of the non-discrimination, no-conduit, and transparency provisions of the Standards of Conduct regulation. Affiliate participated in auction in a manner violating the pipeline’s own auction rules and tariff.||May 2010|
|October 1, 2012||Florida Power Corporation d/b/a Progress Energy Florida (PEF)||Alleged violations of Section 205 of the Federal Power Act and the Commission’s order granting MBRA, specifically the misreporting of 1,300 transactions and the execution of 11 transactions at rates in excess of those permitted under PEF’s cost-based rate tariffs.||2004–2009|
|September 21, 2012||PacifiCorp||Alleged violations of sections 17.1 and 18.1 and Schedule 11 of PacifiCorp’s Open Access Transmission Tariff (OATT) and Part 37.6(e) of the Commission’s regulations.||July 2009–February 2011|
|September 13, 2012||California Independent System Operator Corporation||Alleged violations of two Mandatory Reliability Standards approved by the Commission, PER-002-0 (Operating Personnel Training) Requirements R1 and R3; and TOP-002-2a (Normal Operations Planning) Requirements R1 and R6, in connection with its management
of a local reliability requirement in the San Diego area. These violations resulted in CAISO erroneously and unnecessarily issuing directives to shed firm Load in the San Diego area on the night of March 31–April 1, 2010.
|Certain dates through and including March 31–April 1, 2010|
|April 5, 2012||Barclays Bank PLC, Daniel Brin, Scott Connelly, Karen Levine, and Ryan Smith||Alleged violations of 18 C.F.R. § 1c.2 of the Commission’s regulations by engaging in a coordinated scheme of trading day-ahead fixed-price physical electricity to benefit Barclays’ fixed-for-floating financial swap positions in those markets.||Certain months in the period November 2006 to December 2008|
|January 30, 2012||Constellation Energy Commodities Group, Inc.||Alleged violations of 18 C.F.R. § 1c.2 and 18 C.F.R. § 35.41(b) of the Commission’s regulations by engaging in virtual transactions in the NYSIO and scheduling day-ahead physical flows between the NYISO and PJM, in order to benefit financial positions.*||September 2007 to December 2008|
* Indicates that the investigation has been resolved through settlement. See Civil Penalty Actions for more information.