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Civil Penalty Actions – 2012


Subject of investigation and ORDER and DATE Total payment
Civil Penalty,
Disgorgement,
Other
Explanation of payments (civil penalty under the NGA, FPA, or NGPA; DISGORGEMENT OF PROFITS; other PAYMENTS) and compliance plans
EnerNOC Inc. and Celerity Energy Partners LLC,
141 FERC ¶  61,211  PDF (December 17, 2012)
$820,000 Civil Penalty
$656,806 Disgorgement
Civil penalty, disgorgement, and compliance monitoring resulting from EnerNOC's violations of the ISO-NE Tariff (failing to exercise due diligence to prevent submission of inaccurate load data) and Celerity's violations of 18 C.F.R. § 35.7 (Order No. 714), 18 C.F.R. 35.37(a)(1) (Order No. 697) and its market-based rate tariff.
California Independent System Operator Corporation,
141 FERC ¶  61,209  PDF (December 14, 2012)
$200,000 Civil Penalty Civil penalty and compliance monitoring resulting from violations of Reliability Standards PER-002-0, Requirements R1 and R3.1; TOP-002-2a, Requirement R6; and TOP-002-2a, Requirement R1
Alliance Pipeline LP,
141 FERC ¶  61,182  PDF (November 30, 2012)
$500,000 Civil Penalty Civil penalty and compliance monitoring resulting from violations of 18 C.F.R. § 358.4(b) (non-discrimination requirement), 18 C.F.R. § 358.6 (no conduit rule), 18 C.F.R. § 358.7(a)(1) (transparency rule, contemporaneous disclosure), and Section 42.3 of its tariff.
In RE PacificCorp,
141 FERC ¶  61,156  PDF (November 28, 2012)
$265,000 Civil Penalty Civil penalty, remedial measures, and compliance monitoring resulting from violations of 18 C.F.R. § 37.6(e)(1) (OASIS posting requirements) and PacifiCorp’s OATT (sections 17.1 and 18.1 and schedule 11).
Gila River Power, LLC
141 FERC ¶ 61,136  PDF (November 19, 2012)
$2,500,000 Civil Penalty;
$911,553 Disgorgement
Civil penalty, disgorgement, and compliance monitoring resulting from violations of 18 C.F.R. § 1c.2 (prohibition of electric energy market manipulation), 18 C.F.R. § 35.41(b) (prohibition of submission of false or misleading information or the omission of material information), and provisions of the CAISO tariff.
In re Missouri Gas Energy
140 FERC ¶ 61,135  PDF (August 23, 2012)
$35,000 Civil Penalty Civil penalty plus compliance monitoring resulting from violations of capacity release policies: (1) § 284.8(h)(2) (rollover transactions); (2) the shipper-must-have-title requirement; (3) prohibited buy/sell arrangements; (4) § 284.8(c) (notice and posting deficiencies); and (5) § 284.8(h)(1) (failure to post biddable transactions).
In re Vista Energy Marketing, L.P. 139 FERC ¶ 61,154  PDF (May 24, 2012) $350,000 Civil Penalty; two-years of market participation restrictions Civil penalty plus a two-year restriction on market participation for Vista Energy and Michael P. Whalen, Jr., resulting from violations of order granting Vista MBR authority and 18 C.F.R. § 35.41(b) (prohibition of submission of false or misleading information or the omission of material information).
Constellation Energy Commodities Group, Inc. 138 FERC ¶ 61,168  PDF(March 9, 2012) $135,000,000 Civil Penalty;
$110,000,000 Disgorgement
Civil penalty, disgorgement, and compliance monitoring, resulting from violation of 18 C.F.R. § 1c.2 (prohibition of electric energy market manipulation) and 18 C.F.R. § 35.41(b) (prohibition of submission of false or misleading information or the omission of material information).
Xcel Energy, Inc. 138 FERC ¶ 61,026  PDF (January 17, 2012) $2,000,000 Civil Penalty Civil penalty and compliance monitoring resulting from the misuse of network transmission service in violation of the OATT.
In RE Joseph Polidoro, 138 FERC ¶ 61,018  PDF (January 11, 2012) $50,000 Civil Penalty; two-year ban from participation in PJM’s Demand Response markets Civil penalty and two-year ban from participation in PJM’s Demand Response markets resulting from violations of 18 C.F.R. § 1c and various PJM OATT provisions (1.7.4(a) and (d), 1.7.20(a), 1.8.2, and 3.3A.5(c) of Attachment K, sections A(2), (3) and (7) and provision I of Attachment DD-1). .
ConocoPhillips Company, 138 FERC ¶ 61,004  PDF (January 4, 2012) $545,000 Civil Penalty; $3,174,900 Disgorgement Civil penalty, disgorgement, and compliance monitoring resulting from violations of 18 C.F.R. § 284.8(h)(2) (capacity release policies on rollovers of short-term releases), 18 C.F.R. § 284.8 (posting and bidding requirements), the shipper-must-have-title requirement, and a single violation of the prohibition of buy/sell transactions.


CIVIL PENALTY ACTIONS
 


Updated: January 31, 2013