Enforcement All Civil Penalty Actions
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|
|Vitol Inc. and Frederico Corteggiano, Docket No. IN14-4-000, Order to Show Cause and Notice of Proposed Penalty, 168 FERC ¶ 61,013 (July 10, 2019)||Proposed Civil Penalty of $6,000,000 against Vitol, and $800,000 against Frederico Corteggiano, and Disgorgement of $1,227,143, plus interest, against Vitol Inc.||The Commission issued an Order to Show Cause directing Vitol and Corteggiano to show cause why they should not be found to have violated Section 1c.2 of the Commission’s regulations and Section 222 of the Federal Power Act (FPA) by selling physical power at a loss in the California Independent System Operator’s (CAISO) market in order to eliminate congestion that they expected to cause losses on Vitol’s congestion revenue rights (CRRs), and be assessed disgorgement and civil penalties as outlined.|
|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.22.214.171.124.2 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.|
Total Civil Penalties assessed for all years 2007 to present: $783,756,520.
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; $7,500,000 against Competitive Energy Services, LLC; and $1,250,000 against Richard Silkman assessed in the matter of CES and Richard Silkman; $16,800,000 against Powhatan Energy Fund LLC, $10,080,000 against CU Fund Inc., $1,920,000 against HEEP Fund Inc., or $1,000,000 against Houlian Chen assessed in Powhatan Energy Fund, et al.; $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.; $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, et al.; or $6,000,000 civil penalty against Vitol Inc. and $800,000 civil penalty against Frederico Corteggiano in Vitol Inc. and Frederico Corteggiano.
Total Disgorgement ordered for all years 2007 to present: $517,938,115.
Total Disgorgement does not include amounts ordered in the following currently pending matters: $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.; $9,180,000 proposed in Total Gas & Power North America , et al.; or $1,227,143, plus interest, assessed in Vitol Inc. and Frederico Corteggiano.
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.