All Civil Penalty Actions – 2019

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
Calpine Corporation, Docket No. IN17-1-000, Order Approving Stipulation and Consent Agreement, 169 FERC ¶ 61,092 (Nov. 1, 2019)	Civil Penalty of $375,000 to Texas Reliability Entity, Inc. (Texas RE), and $25,000 to U.S. Treasury.	On November 1, 2019, the Commission approved a Stipulation and Consent Agreement (Agreement) between FERC’s Office of Enforcement, Texas RE, North American Electric Reliability Corporation (NERC), and Calpine. In the Order, the Commission found the settlement is in the public interest because it resolves on fair and equitable terms Enforcement’s investigation under Part 1b of the Commission’s regulations, 18 C.F.R. Part 1b (2019), into whether Calpine violated the Reliability Standard for protection systems maintenance and testing, PRC-005-1 R2, as well as California Independent System Operator Tariff (CAISO), section 9.3.10.3.1, relating to forced outages. Calpine agrees to be subject to compliance monitoring as provided in the Agreement, and stipulates to the facts set forth in Section II of the Agreement, but neither admits nor denies the alleged violations.
Vitol Inc. and Federico Corteggiano, Docket No. IN14-4-000, Order Assessing Civil Penalties, 169 FERC ¶ 61,070 (Oct. 25, 2019) Prior Activity: Order to Show Cause and Notice of Proposed Penalty, 168 FERC ¶ 61,013 (July 10, 2019)	Civil Penalty of $1,515,738 against Vitol, and $1,000,000 against Federico Corteggiano, and Disgorgement of $1,227,143, plus interest, against Vitol Inc.	Following an Order to Show Cause proceeding, the Commission issued an Order Assessing Civil Penalties on October 25, 2019, against Vitol and Corteggiano (Respondents) finding that Respondents violated section 1c.2 of the Commission’s regulations and section 222a of the Federal Power Act by selling physical power at a loss in the California Independent System Operator’s wholesale electric market in order to eliminate congestion that they expected to cause losses on Vitol’s congestion revenue rights (CRRs). The order assessed disgorgement and civil penalties as outlined. During the Order to Show Cause proceeding, Respondents elected the procedures of FPA section 31(d)(3), in which the Commission assesses a civil penalty and if it is not paid within 60 days, the Commission institutes an action in federal district court to affirm the assessment.
Virginia Electric & Power Company, d/b/a Dominion Energy Virginia (DEV), Docket No. IN19-3-000, Order Approving Stipulation and Consent Agreement, 167 FERC ¶ 61,103 (May 3, 2019)	Civil Penalty of $7,000,000 to the United States Treasury, and Disgorgement of $7,000,000 to PJM.	The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and DEV. The Agreement resolves the investigation conducted by Enforcement into whether DEV violated any Commission rules, including the Anti-Manipulation Rule, 18 C.F.R. § 1c.2 (2018), by improperly targeting and increasing its receipt of lost opportunity cost credits (LOCs) in the PJM Interconnection, L.L.C. (PJM) market. DEV 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.
Footprint Power LLC and Footprint Power Salem Harbor Operations LLC, Docket No. IN18-7-000, Order Terminating Order to Show Cause Proceeding, 166 FERC ¶ 61,150 (February 25, 2019) Prior Commission Activity: Order to Show Cause and Notice of Proposed Penalty, 163 FERC ¶ 61,198 (June 18, 2018)	None.	On June 18, 2018, the Commission ordered Footprint Power LLC and Footprint Power Salem Harbor Operations LLC (collectively, Footprint) to show cause why it should not be found to have violated ISO-NE Tariff, Market Rule 1, §§ III.1.7.20(b) and (f), III.1.10.1A(d), and III.13.6.1.1.2 by submitting false and misleading supply offers for Unit 4 of Footprint’s multi-unit Salem Harbor Power Plant in Salem, Massachusetts and by failing to report the fuel status and related operational status of Unit 4 to ISO-NE from June 26, 2013 through July 25, 2013. The Commission considered filings made in the order to show cause proceeding, which included an Answer and Amended Answer to the order to show cause by Footprint, and a reply to Footprint’s Answer by Office of Enforcement Litigation Staff (OE Staff). OE Staff, in their Reply, acknowledged a new defense presented by Footprint in its Answer. OE Staff found merit in the new defense and recommended to the Commission that the order to show cause be vacated and no penalties be assessed against Footprint. The Commission agreed with OE Staff’s assessment and recommendation. On February 25, 2019, the Commission issued an order terminating the order to show cause proceeding. No penalties were assessed against Footprint.
Algonquin Gas Transmission, LLC, Docket No. IN19-2-000, Order Approving Stipulation and Consent Agreement, 166 FERC ¶ 61,012 (January 7, 2019)	Civil Penalty of $400,000 to the United States Treasury.	The Commission issued an Order approving a Stipulation and Consent Agreement (Agreement) between the Office of Enforcement (Enforcement) and Algonquin Gas Transmission, LLC (Algonquin). The Agreement resolves the investigation conducted by Enforcement into whether Algonquin violated the express terms of the Commission-issued Algonquin Incremental Market (AIM) Project Certificate, when it entered wetlands on the banks of the Hudson River outside the AIM Project’s right of way with construction equipment in an attempt to retrieve a broken drill stem without obtaining a variance from the Commission as required. Algonquin admits to the facts set forth in the Agreement, but neither admits nor denies the violations.

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