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Civil Penalty Actions – 2011


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
Atmos Energy Corporation, 137 FERC ¶ 61,190 (December 9, 2011) $6,364,029 Civil Penalty; $5,635,971 Disgorgement Civil penalty and disgorgement resulting from violations of 18 C.F.R. § 1c.1 (capacity release policies), 18 C.F.R. § 284.8 (posting and bidding requirements), and the shipper-must-have-title requirement.
PacifiCorp, 137 FERC ¶ 61,176  PDF (December 1, 2011) $3,925,000 Civil Penalty ($1,962,500 to each FERC and NERC) Civil penalty, reliability enhancement measures, and compliance monitoring resulting from multiple violations of reliability standards related to its functions as a Balancing Authority and Transmission Operator, surrounding a February 14, 2008 disturbance, including: BAL-002-0, R4, R6; EOP-001-0, R1, R8; EOP-002-0, R1, R7; EOP-002-2, R1, R2, R5, R6, R7; EOP-003-1, R1, R8; PER-001-0, R1; PER-002-0, R1; PRC-005-1, R2; PRC-008-0, R2; PRC-011-0, R2; PRC-017-0, R2; PRC-STD-005, WR1; TOP-001-1, R2, R8; TOP-004-1, R1, R2, R4; and WECC BAL-STD-002-0, WR1.
Holyoke Gas and Electric Department, 137 FERC ¶ 61,159  PDF (November 29, 2011) $336,367.86 Disgorgement Disgorgement and compliance monitoring resulting from violations of 18 C.F.R. § 1c.2 (prohibition of electric energy market manipulation). Holyoke took three separate units out of service without notifying the ISO-NE or scheduling with the ISO-NE as required by the tariff; offered the three units’ energy into the day-ahead and real-time markets, and submitted GADS data indicating the units had been available for dispatch during the outages, even though Holyoke knew the units could not have provided energy if dispatched.
Duke Energy Carolinas, LLC, 136 FERC ¶ 61,237 (September 30, 2011) $425,000 Civil Penalty Civil penalty and compliance monitoring resulting from forty-two transactions that violated the June 30, 2005 order revoking Duke’s MBR authority in its control area, Duke’s Commission-approved MBR and CBR tariffs, 18 C.F.R. § 35.1(e) (prohibition of charging rates different from the rate schedule on file with the Commission), and 18 C.F.R. § 35.10b (EQR filing requirements); and 134 transactions that violated 18 C.F.R. § 35.10b (EQR filing requirements)
Grand River Dam Authority, 136 FERC ¶ 61,132 (August 29, 2011) $350,000 Civil Penalty ($175,000 to each FERC and NERC)
$2,000,000 Mitigation and Compliance Enhancement Measures
Civil penalty, mitigation and compliance enhancement measures and compliance monitoring resulting from violations of fifty-two requirements of nineteen reliability standards (R5, R6, R10, R11 and R19 of TOP-002-2a; R1, R2 and R4 of TOP-004-2; R2 and R4 of TOP-008-1; R16.1 of TOP-002-2a; R6 of TOP-006-2; R1, R2 and R5 of COM-001-1.1; R1.1 through R1.8 of EOP-008-0; R3 of EOP-004-1; R1 of FAC-008-1; R1 of FAC-009-1; R1, R2 and R3 of FAC-001-0; R1, R2 and R3 of the TPL- series; R1 and R4 of PRC-001-1; R1 of PRC-004-1; R2.2 of PRC-001-1; Requirements R1, R2.1 and R2.2 of PRC-005-1; R1 of PRC-018-1; R1 of PER-002-0; R3.4 of PER-002-0).
Black Hills Power, Inc., 136 FERC ¶ 61,088 (August 5, 2011) $200,000 Civil Penalty Civil penalty and compliance monitoring resulting from violations of 18 C.F.R. § 37.6(b) (Open Access Same Time Information Systems) and 18 C.F.R. § 35.39(f) (Affiliate Restrictions).
Western Electric Coordination Council, 136 FERC ¶ 61,020 (July 7, 2011) $350,000 Civil Penalty Civil penalty and reliability enhancement measures resulting from violations of nine requirements of five reliability standards (IRO-005-1, R11; IRO-005-1, R8; EOP-002-2, R1; IRO001-1, R3; IRO-005-1, R13; EOP-002-2, R8; COM-002-2, R2; IRO-005-1, R12; IRO-002-1, R9) associated with a Bulk Electric System disturbance.
Moussa I. Kourouma D/B/A Quntum Energy LLC, 135 FERC ¶ 61,245 (June 16, 2011) $50,000 Civil Penalty Civil penalty resulting from violations of 18 § C.F.R. 35.41(b) (prohibition of submission of false or misleading information or the omission of material information in any communication with the Commission and certain jurisdictional entities)
Brian Hunter, 135 FERC ¶ 61,054 (April 21, 2011) $30,000,000* Civil Penalty Civil penalty resulting from violations of 18 C.F.R. §1c.1 (Natural Gas Anti-Market Manipulation Rule)
National Fuel Marketing Company, LLC, 135 FERC ¶ 61,011 (April 7, 2011) $290,000 Civil Penalty Civil penalty and compliance monitoring resulting from violations of shipper-must-have-title requirements.
In RE Seminole Services, LLC, 135 FERC ¶ 61,010 (April 7, 2011) $300,000 Civil Penalty
$271,315 Disgorgement
Civil penalty, disgorgement and compliance monitoring resulting from violations of the prohibition on buy/sell transactions.
Dartmouth Power Associates LTD. Partnership, 134 FERC ¶ 61,085 (February 3, 2011)   Compliance reporting resulting from violations of ISO-NE’s Open Access Transmission Tariff and 18 C.F.R. § 35.41(a) and § 35.41(b) (2010).
National Energy & Trade, L.P. and Mission Valley Pipeline Co., 134 FERC ¶ 61,072 (January 31, 2011) $500,000 Civil Penalty Civil penalty and compliance reporting resulting from violations of open access transportation policies, including competitive bidding requirements for long-term, discounted rate capacity releases, flipping, and the shipper-must-have-title requirement.

*The “Total Civil Penalties Assessed for all years” does not include the $30,000,000 penalty assessed against Hunter, which was addressed on petition for review in Hunter v. FERC, No. 11-1477 (D.C. Cir. March 15, 2013).


CIVIL PENALTY ACTIONS
 


Updated: April 19, 2013