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Enforcement Civil Penalties All Civil Penalty Actions

 
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All Civil Penalty Actions – 2017


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
American Transmission Company, LLC, Docket No. IN17-5-000, 160 FERC ¶ 61,030 (August 28, 2017)  PDF $205,000 in civil penalties to U.S. Treasury and implementation of measures designed to ensure compliance in the future, including submitting semi-annual compliance reports. The Commission approved a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and American Transmission Company, LLC (ATC) that found the Agreement resolves on fair and equitable terms Enforcement’s investigation under Part 1b of the Commission’s regulations, 18 C.F.R. Part 1b (2017), into (i) whether ATC violated section 203(a)(1)(B) of the Federal Power Act (FPA) and Part 33 of the Commission’s regulations, 18 C.F.R. Part 33, by acquiring certain Commission-jurisdictional facilities without prior Commission approval; and (ii) whether ATC violated section 205 of the FPA and Part 35 of the Commission’s regulations, 18 C.F.R. Part 35, by failing to timely file certain Commission jurisdictional agreements. ATC admits the violations and agrees to pay the civil penalty and implement compliance measures.
Westar Energy, Inc., Docket No. IN15-8-000, Order Approving Stipulation and Consent Agreement, 160 FERC ¶ 61,025 (August 24, 2017)  PDF $180,000 in civil penalty to U.S. Treasury and monitoring that includes submission of annual compliance monitoring reports for two years, with the requirement of a third year at Enforcement’s option. The Commission approved a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Westar Energy, Inc. (Westar). This found that the Agreement resolved on fair and equitable terms Enforcement’s investigation into whether Westar violated provisions of the Southwest Power Pool (SPP) Tariff and 18 C.F.R. § 35.41(b) by submitting inaccurate cost inputs for its mitigated energy offer curves (EOCs), or by intentionally targeting outsized make-whole payments. Westar admitted to the violation and agrees to pay the civil penalty and to be subject of the agreed upon compliance monitoring.
City Power Marketing, LLC and K. Stephen Tsingas, Docket No. IN15-5-000, and FERC v. City Power Marketing, LLC and K. Stephen Tsingas, Case No. 1:15-cv-01428-JDB (DDC), Order Approving Stipulation and Consent Agreement, 160 FERC ¶ 61,013 (August 22, 2017).  PDF

Prior Commission Activity:

Order Assessing Civil Penalties, 152 FERC ¶ 61,012 (July 2, 2015)  PDF

Order to Show Cause and Notice of Proposed Penalty, 150 FERC ¶ 61,176 (March 6, 2015)  PDF
Civil penalties and disgorgement as follows: $1,300,000 in disgorgement to PJM Interconnection, Inc. by Tsingas; $9 million civil penalty to U.S. Treasury against City Power; $1,420,000 civil penalty to U.S. Treasury against Tsingas. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and K. Stephen Tsingas and City Power Marketing, LLC finding that the Agreement resolves on fair and equitable terms (a) the Commission’s claims against Tsingas and City Power for violations of section 222 of the Federal Power Act (FPA) and the Commission’s Anti-Manipulation Rule, 18 C.F.R. § lc (2017), and of the Commission’s rule requiring truthful communications with (among others) the Commission, 18 C.F.R. § 35.41(b) (2017); and (b) the Commission’s action captioned FERC v. City Power Marketing, LLC, No. 1:15-cv-01428-JDB (D.D.C.). The Commission will file a new status report with the United States District Court for the District of Columbia advising that the Commission has approved the Agreement.
Covanta Haverhill Associates L.P., Docket No. IN17-3-000, Order Approving Stipulation and Consent Agreement, 158 FERC ¶ 61,105 (February 1, 2017)  PDF
Civil Penalty in the amount of $36,000 to the United States Treasury and implementation of new compliance measures, including submission of periodic reports to the Commission. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Covanta Haverhill Associates L.P. (Covanta Haverhill). The Agreement resolves the investigation conducted by Enforcement into whether Covanta Haverhill violated the ISO-New England (ISO-NE) Tariff and one of the Commission’s Market Behavior Rules, 18 C.F.R. § 35.41(a) (2016), by failing to provide required instantaneous metered powered output data to ISO-NE. Covanta Haverhill stipulated to the facts but neither admitted nor denied the alleged violations. It agreed to pay a civil penalty of $36,000 and to implement new compliance measures, including submission of periodic compliance monitoring reports for at least two years.
GDF SUEZ Energy Marketing NA, Inc. (GSEMNA), Docket No. IN17-2-000, Order Approving Stipulation and Consent Agreement, 158 FERC ¶ 61,102 (February 1, 2017)  PDF
Disgorgement in the amount of $40,800,000 to PJM. Civil Penalty in the amount of $41,000,000 to the United States Treasury. The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and GDF SUEZ Energy Marketing NA, Inc. (GSEMNA). The Agreement resolves the investigation conducted by Enforcement into whether GSEMNA violated the Commission’s Anti-Manipulation Rule, 18 C.F.R. § 1c (2016), by improperly targeting and increasing its receipt of lost opportunity cost credits (LOCs) in the PJM Interconnection, L.L.C. (PJM) market.  GSEMNA neither admits nor denies the alleged violations, but agrees to pay the amounts as outlined in the Agreement, and to be subject to monitoring that includes submission of an annual compliance monitoring report, with the requirement of a second annual report at Enforcement’s option.

Total Civil Penalties assessed for all years 2007 to present: $692,991,012.

Total Civil Penalties does not include the $30,000,000 assessed in Hunter and overturned on jurisdictional grounds by the U.S. Court of Appeals for the District of Columbia Circuit. Also does not include penalties proposed or assessed in the following currently pending matters: $20,160,000 in BP America Inc., et al. that is now at the US Court of Appeals for the Fifth Circuit; $453,000,000 in Barclays Bank PLC, et al.; $7,500,000 assessed in Competitive Energy Services, LLC; $1,250,000 assessed in Richard Silkman; $16,800,000 assessed in Powhatan Energy Fund LLC; $10,080,000 assessed in CU Fund Inc.; $1,920,000 assessed in HEEP Fund Inc.; or $1,000,000 assessed in Houlian Chen for his acts on behalf of Powhatan Energy Fund; $26 million against Coaltrain Energy, L.P.; $5 million each against Peter Jones and Shawn Sheehan; $1 million against Robert Jones; and $500,000 each against Jeff Miller and Jack Wells assessed in Coaltrain Energy, L.P., et al.; $2,400,000 against ETRACOM LLC and $100,000 against Michael Rosenberg assessed in ETRACOM LLC, et al.; $213,600,000 civil penalty against TGPNA, $1,000,000 civil penalty against Hall, and $2,000,000 civil penalty against Tran proposed in Total Gas & Power North America.

Total Disgorgement ordered for all years 2007 to present: $443,976,028.

Total Disgorgement does not include amounts ordered in the following currently pending matters: $34,900,000 ordered in Barclays Bank PLC, et al.; $166,841 ordered in Competitive Energy Services, LLC; $207,169 in BP America Inc., et al.; that is now at the US Court of Appeals for the Fifth Circuit; $3,465,108 assessed in Powhatan Energy Fund LLC; $1,080,576 assessed in CU Fund Inc.; $173,100 assessed in HEEP Fund, Inc.; $4,121,894 plus interest assessed in Coaltrain Energy, L.P., et al.; $315,072 plus interest assessed in ETRACOM LLC, et al.; or $9,180,000 proposed in Total Gas & Power North America.

Total Other Payments ordered for all years 2007 to present: $8,200,000

“Other payments” are defined as miscellaneous items ordered by the Commission that have a financial value, but are not considered a civil penalty or disgorgement. They include payments towards mitigation, enhancements, compliance activities, or a hurricane charitable fund. Payments included in this total are: $1,000,000 charitable donation ordered in Entergy Energy Services, Inc. in 2007; $1,000,000 in compliance plan improvements ordered in Duquesne Light Company in 2008; $2,000,000 in compliance plan improvements ordered in Edison Mission in 2008; $2,000,000 in mitigation and compliance plan improvements ordered in Grand River Dam Authority in 2011; $2,200,000 in public safety enhancements and computer system upgrades ordered in Erie Boulevard Hydropower, L.P. and Brookfield Power US Assets Management, LLC in 2014.