All Civil Penalty Actions – 2011

To access the significant orders and federal district court papers related to all matters that have proceeded to Orders to Show Cause, see the Orders to Show Cause Proceedings page.

Subject(s) of Investigation and Order	Sanctions, including Civil Penalties, Disgorgement, and Compliance Measures	Description of Findings of Violations
In re Atmos Energy Corporation, Atmos Energy Marketing, Inc., Trans Louisiana Gas Pipeline, Inc., 137 FERC ¶ 61,190 (December 9, 2011)	$6,364,029 Civil Penalty; $5,635,971 Disgorgement; Compliance Monitoring.	The Commission approved a settlement resolving admitted violations of the Anti-Manipulation Rule, 18 C.F.R. § 1c.1, and of 18 C.F.R. § 284.8(h)(2) for serial alternating releases of short-term, discounted gas pipeline capacity to affiliated entities without posting and bidding; and under the Commission’s Open Access Transportation requirement that natural gas shippers must have title.
PacifiCorp, 137 FERC ¶ 61,176 (December 1, 2011)	$3,925,000 Civil Penalty; Reliability and Compliance Enhancements; Compliance Monitoring.	The Commission approved a settlement resolving findings under 23 Requirements of 15 Reliability Standards concerning being prepared for and appropriately responding to emergency conditions in the event of an energy-load imbalance on the system.
In re Holyoke Gas and Electric Department, 137 FERC ¶ 61,159 (November 29, 2011)	$336,368 Disgorgement.	The Commission approved a settlement resolving findings under the Anti-Manipulation Rule, 18 C.F.R. § 1c.2, for failure to advise the ISO-NE of planned outages of generation units that were registered in the ISO’s capacity market.
Duke Energy Carolinas, LLC, 136 FERC ¶ 61,237 (September 30, 2011)	$425,000 Civil Penalty; Compliance Monitoring.	The Commission approved a settlement resolving admitted violations of Duke’s Market Based Rate authority Orders and Tariff and of 18 C.F.R. § 35.10b for charging improper rates to counterparties and misreporting its sales to the Commission.
Grand River Dam Authority, 136 FERC ¶ 61,132 (August 29, 2011)	$350,000 Civil Penalty; $2,000,000 Mitigation and Compliance Enhancement Measures; Compliance Monitoring.	The Commission approved a settlement resolving findings under 52 Requirements of 19 Reliability Standards concerning long-term and operational system planning; communications network maintenance and architecture; preparedness for emergency operations; protection system maintenance; accurate facility ratings and system models; documentation of interconnection requirements; and system operator training.
Black Hills Power, Inc., 136 FERC ¶ 61,088 (August 5, 2011)	$200,000 Civil Penalty; Compliance Enhancements; Independent Compliance Audit; Compliance Monitoring.	The Commission approved a settlement resolving admitted violations under 18 C.F.R. Part 37 and its tariff for failing to post certain information on OASIS, and charge proper rates for service, and for providing service to an affiliate with disclosing to other customers, and also under 18 C.F.R. Part 35 for providing brokering services without charge to its affiliate.
Western Electric Coordination Council, 136 FERC ¶ 61,020 (July 7, 2011)	$350,000 Civil Penalty; Reliability and Compliance Enhancements; Compliance Monitoring.	The Commission approved a settlement resolving findings under 9 Requirements of 5 Reliability Standards for failure to respond properly to a system emergency, to initiate Energy Emergency Alerts and use three-step directives, and to model its Special Protection System or be prepared for an outage of its Real Time Contingency Analysis tool.
Moussa I. Kourouma D/B/A Quntum Energy LLC, Docket No. IN11-2-000, Order Assessing Civil Penalties, 135 FERC ¶ 61,245 (June 16, 2011) Prior Commission Activity: Order to Show Cause and Notice of Proposed Penalty, 134 FERC ¶ 61,105 (Feb 14, 2011)	$50,000 Civil Penalty, affirmed by the United States Court of Appeals, District of Columbia Circuit.	The Commission issued a final order assessing a civil penalty for violation of 18 C.F.R. § 35.41(b) for submission of false information to the Commission in an application for Market Based Rate authority. Kourouma petitioned pursuant to FPA section 31(d)(2)(B) for review in the U.S. Court of Appeals for the District of Columbia Circuit, which denied the petition.
Brian Hunter, , Docket No. IN07-26-004, Order Affirming Initial Decision and Ordering Payment of Civil Penalty,135 FERC ¶ 61,054 (April 21, 2011) Prior Commission Activity: Initial Decision, 130 FERC ¶ 63,004 (Jan. 22, 2010), Order Granting Severence and Partial Stay, 128 FERC ¶ 61,081 (Jul. 23, 2009), Order Establishing Hearing Procedures, Docket No. IN07-26-000, 124 FERC ¶ 61,050 (Jul. 17, 2008), Order to Show Cause and Notice of Proposed Penalties, Docket No. IN07-26-000, 120 FERC ¶ 61,085 (Jul. 26, 2007)	$30,000,000 Civil Penalty, overturned on jurisdictional grounds by the United States Court of Appeals, District of Columbia Circuit.	The Commission issued a final Order Assessing Civil Penalties finding, after adjudication before an ALJ, a violation of the Commission’s Anti-Manipulation Rule, 18 C.F.R. § 1c.1, for trading natural gas futures contracts on the NYMEX to affect the index price at which related financial instruments settled. Hunter petitioned pursuant to NGA section 717r(b) for review in the U.S. Court of Appeals for the District of Columbia Circuit, which granted the petition.
National Fuel Marketing Company, LLC, NFM Midstream, LLC, NFM Texas Pipeline, LLC, NFM Texas Gathering, LLC, Docket No. IN09-10-000, Order Assessing Penalties, 135 FERC ¶ 61,011 (April 7, 2011) Prior Commission Activity: Order to Show Cause and Notice of Proposed Penalty, 126 FERC ¶ 61,042 (Jan. 15, 2009)	$290,000 Civil Penalty; Compliance Monitoring.	The Commission issued an Order to Show Cause why it should not assess a penalty for violation of Commission’s Open Access Transportation requirement that natural gas shippers must have title. The Commission subsequently approved a settlement resolving the matter.
In re Seminole Energy Services, LLC, Seminole Gas Company, LLC, Seminole High Plains, LLC, Lakeshore Energy Services, LLC Vanguard Energy Services, LLC, Docket No. IN09-9-000, Order Assessing Penalties, 135 FERC ¶ 61,010 (April 7, 2011) Prior Commission Activity: Order to Show Cause and Notice of Proposed Penalty, 126 FERC ¶ 61,041 (Jan. 15, 2009)	$300,000 Civil Penalty; $271,315 Disgorgement; Compliance Monitoring.	The Commission issued an Order to Show Cause why it should not assess a penalty for violation of Commission’s Open Access Transportation requirement prohibiting buy/sell natural gas transactions. The Commission subsequently approved a settlement resolving the matter.
Dartmouth Power Associates Limited Partnership, 134 FERC ¶ 61,085 (February 3, 2011)	Compliance Monitoring.	The Commission approved a settlement resolving findings under the ISO-NE tariff and 18 C.F.R. 35.41 for failure to notify the ISO of a planned maintenance outage of a generator registered in the capacity market.
National Energy & Trade, L.P., Mission Valley Pipeline Company, 134 FERC ¶ 61,072 (January 31, 2011)	$500,000 Civil Penalty; Compliance Monitoring.	The Commission approved a settlement resolving findings under the Commission’s Open Access Transportation regulations that prohibit flipping of short term capacity releases between affiliated shippers, and resolving admitted violation of the requirement that natural gas shippers must have title.

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