Curriculum Vitae: Steven A. Shapiro, Esq.
Steven Shapiro, President, Resolution Matters
Mr. Shapiro provides mediation, arbitration, and other alternative problem solving solutions for commercial and energy companies conducting business in the national energy markets, such as investor owned utilities, project developers, RTO and ISOs, Municipal Corporations, Electric Cooperatives, Natural Gas Corporations, Shippers, Marketers, Hydropower Facilities, and State Public Service Commissions. He is admitted to practice law in the Courts of Appeal for the State of Maryland, the District of Columbia, and the Supreme Court of the U.S.
Mr. Shapiro provides energy consulting and legal counsel to renewable energy developers on FERC, State and other regulatory interconnection issues. He has advised and consulted to Abengoa Solar one of the world’s leading utility scale solar developers in the U.S. regarding siting, transmission, and policy matters.
Hearing Officer – Mr. Shapiro serves as a Hearing Officer for the Southeast Reliability Council, the Reliability First Corporation and the Midwest Reliability Organization. In this capacity he hears and resolves compliance and enforcement matters that are subject to review by the Federal Energy Regulatory Commission.
Arbitrator and Mediator – Mr. Shapiro is a member of the American Arbitration Association (AAA) Roster of Commercial Mediators and Arbitrators and a member of the International Center for Conflict Prevention and Resolution (CPR) roster. In addition, he is an arbitrator and mediator for PJM Interconnection, LLC, ISO NE, NYISO, and MISO.
Settlement Master – Mr. Shapiro is certified as a civil mediator by the Circuit Courts throughout the State of Maryland where he has settled hundreds of cases.
The Partnership for Collaborative Governance May 2012 – Present Founding Board Member and Staff for this 501 C-3 organized around the President’s Blue Ribbon Commission on nuclear waste issues. Under the Partnership, Mr. Shapiro provided facilitation services to 5 major hospital centers in Baltimore and 10 other community based health care providers to form a collaborative that qualified and secured $5M in funding under the State’s Health Enterprise Zone Act.
Certus Strategies, US, LLC, Partner, May 2009 to Present. In addition to the services outlined above, Mr. Shapiro provides legal and advisory services to energy project developers concerning siting and other regulatory compliance issues. Certus and Mr. Shapiro contract with private and public institutions to support their public outreach efforts. These efforts include dispute resolution,commercial strategies for public involvement programs, public and stakeholder negotiations, and other policy strategies to positively impact on project development.Mr. Shapiro has applied these principles under contract to the State of Maryland and the Environmental Protection Agency.
Press, Potter & Dozier, LLC, Partner,2008 to 2009. Mr. Shapiro provided litigation and ADR services, supporting the financing and real estate practice of this D.C. – Bethesda based firm. He was involved in a $35M office park restructuring, a $20+M trading dispute between a large utility and an energy trading company, and a $40M arbitration involving a general partnership and a transmission owner disputing over avoided costs and future rates under a 35 year Power Purchase Agreement.
Settlement Counsel/Federal Mediator, Federal Energy Regulatory Commission,1997 to 2007.Dispute Resolution Specialist providing expert analysis of filed complaints and pleadings at the Commission to determine Alternative Dispute Resolution appropriateness. Providedconfidential consultation with party complainant and respondent discussing benefits and risks of proceeding through an ADR proceeding. Worked with parties to establish the ADR process, the rules regarding confidentiality, and the final agenda parties would rely on in preparing for the ADR proceeding. Often selected as the neutral and served on over 75 complex matters between developers and owners on matters pending before the Commission.
In addition, Mr. Shapiro lectured and trained hundreds of federal government employees on the benefits of principle-based negotiation and alternative dispute resolution settlement techniques. He also trained FERC’s Office of Enforcement in settlement negotiation best practices and was a project leader on the Energy Forum Study and Report on Effective Use of Dispute Resolution in Energy Transactions.
Attorney Advisor/ Federal Energy Regulatory Commission,1990 to 1997.
During Mr. Shapiro’s tenure at the Commission, he also served as an attorney and settlement counsel in the Office of Administrative Litigation. In this capacity, Mr. Shapiro served as counsel on litigated matters mostly dealing with rate cases in vertically integrated companies. Mr. Shapiro also served as Contracts Counsel/Contracting Officer in the Executive Director’s Office.
Assistant Corporate Counsel, General Telephone and Electronics (GTE),1983 to 1990.
Mr. Shapiro served as lead negotiator on major telecom contracts with the Army and Air Force. He represented the company before Boards of Contract Appeals on Claims against the Government. He negotiated and supported project development teams on multi-million dollar contract with the Department of Defense that included claims negotiations.valued at over $100M.
- Lecturer on numerous panels before the Energy Bar Association and the American Bar Association on cutting edge issues impacting energy law practitioners and changes in Federal/State regulatory structures.
- Guest Lecturer and Professor, the National Law Center, George Washington University, topics including: Principle Based Negotiations, Mediator Ethics and Confidentiality, Multiparty Mediation, and Arbitration and Discovery related issues..
- Guest Lecturer, Catholic University Law School, ADR Business Class.
- Faculty, Executive Training Center, US Office of Personnel Management, Multiparty Mediation and Negotiated Rulemaking
Education and Training
- Adelphi University, Bachelor of Business Administration, 1979
- Antioch University School of Law, J.D. 1983
- George Washington University Law Center,LLM Classes – Government Contract Law, 1986 to 1988
- The Center for Dispute Settlement, Mediation and Advanced MediationTraining, 1993 to 1994
- Institute for the Study of Conflict Transformation – Advanced Training, 1997 to 1999
- Harvard Law School, Advanced Mediation and Negotiation Training, 2000 and 2003
- CDR Associates – multiparty mediation and public policy facilitation, 2002
- New York Stock Exchange– Arbitration Training, 2004
- National Arbitration Forum – Arbitration Training, 2005
- Construction Dispute Resolution Services – Arbitration Training, 2007
- American Arbitration Association Arbitration Training, 2008
- The Chartered Institute of Arbitrators – Training, 2008 and Certified Member
- Admitted to practice law before the Court of Appeals in the State of Maryland, the District of Columbia and the Supreme Court of the United States
- The Energy Bar Association, Chairman, Alternative Dispute Resolution Committee 2005-2007, and 2011 – present.
- The Maryland State Bar Association, Past Chairman, Dispute Resolution Section
- American Bar Association, Co-Chairman, Committee on Federal ADR Confidentiality
Representative Case and Work Experience
Arbitration Panel Member – Dispute concerning the valuation of a hydro facility between the owner operator/general partners and the municipality that is the principle off-taker of the power.
Construction Claims – Settlement Counsel, GTE, Telecommunications EPC Contract with the US Army. $50M in contract claims ranging from Differing Site Conditions, Constructive Change Orders, Excusable Delays, and Suspension of Work.In addition served as negotiation and claims counsel for over $500M EPC development of telecommunications systems on US Air Force facilities CONUS-wide.
Construction Claims and Nameplate Certification – Mediated successfully dispute between the New York Independent System Operators, Astoria Power, and Key Span Energy regarding delay claims, EPC cost over-runs, and potential overbilling of capacity into the New York Forward Market regarding a 550MW facility in New York City.
Arbitrator, AAA Tribunal Hearing.Mr. Shapiro served as part of three-member panel involving a Qualified Facility built under PURPA and a utility in the Northwest .Dispute was over avoided cost calculations covering years 15-30 of a 30 year PPA where the first 15 years were fixed costs under the contract and years 16 through 30 were adjusted by Handy Whitman and an Incremental Cost of Capital. Claims in this matter were valued at $40M.
Arbitrator, AAA Tribunal Hearing. Mr Shapiro served as a panel arbitrator in a multimillion dollar wind curtailment claim between a Fortune 200 Wind Developer and an Investor Owned Utility. This case turned on a careful review of the PPA and its relation to the Interconnection Agreement between the utility and an RTO.
Arbitrator, AAA Hearing. Mr. Shapiro arbitrated a dispute involving a Power Producer in the Northeast and the RTO over the Installed Capacity Market tariff.
Mediator, Western Regional Coordinating Council, Los Angeles Department of Water and Power, PacifiCorp.Mr. Shapiro mediated the first dispute in the Western Interconnection involving the three parties identified surrounding a dispute over the ratings of certain power lines, and the cost allocation principles that apply. This case initially focused on alleged procedural violations with the WECC Governance structure, then ratings disputes over a 400 MW Wind Facility, and finally Plans of Service in order to meet reliability standards.
Mediator.Mr. Shapiro mediatedamong stakeholders in the NYISO market concerning credit policy impacting the settlement period between suppliers and buyers from a 30 day traditional market period to a 7 day period.
Facilitator.Mr. Shapiro served as the lead facilitator regarding the re-allocation of land title holdings surrounding the Avtex Superfund Site in Front Royal, Virginia. In this capacity Mr. Shapiro assisted certain parties gaining release of liability following the acceptable completion and sign off by the US Department of Justice on the completion of the clean-up.
Chairman, Arbitrator Tribunal.Mr. Shapiro served as the Chairman of acase involving a tax abatement dispute between a hydro-electric facility andamunicipality regarding an effective asset valuation methodology.
Spectra Energy –Algonquin Gas Company and NSTAR.Mr. Shapiro served as a multiparty neutral on this case involving the Pipeline Integrity Inspection Act and a single line serving the City of Cambridge. In order to avoid shut down of the pipeline system during testing NSTAR would be required to provide up to 50 LNG tankers per day to maintain fuel supply. Settlement avoided this alternative and arranged for a loop to be installed providing firm gas. Parties involved Harvard University, MIT, City of Cambridge, NSTAR Electric Corporation, Algonquin Natural Gas Pipeline Company, MIRANT and others.
Conoco-Phillips, Flint Hills, Enbridge Oil and the Canadian Association of Petroleum Producers (CAPP).Mr. Shapiro served as a neutral on this highly contested matter where customers were alleging discrimination and market power abuse by the shipper.
Eighty-Eight Oil and Tesoro.Mr. Shapiro served as a neutral on this matter involving a pipeline abandonmentand possible buy-out of the old pipe. Mr. Shapiro worked with the pipelines to review alternatives ranging from buy-out options to exchanges for crude at mutually convenient locations.
Toca Producers and Southern Natural Gas.Multiparty matter involving gas quality being taken by Southern Pipeline Co. from the Toca Producers consisting of Shell Oil, Chevron, Texaco, Conoco-Phillips. The other parties involved wereSouthern’s customers consisting of local townships located in the southeast U.S. Concerned customers focused on inordinate gas prices during colder winter periods and restrictions on plastics manufacturing to keep prices in check.
Constellation and BP Trading.Case involved a trading dispute over trades that were made where there were alleged ambiguities in the pricing terms.Case settled after 6 months of ongoing negotiations.
New York Independent System Operator, Astoria Energy LLC, and KeySpan Ravenswood LLC.Mr. Shapiro served as the multiparty mediator concerning nameplate certification of a new 550 MW facility and its actual capability day one of operation. All issues resolved.
Minnesota Municipal Power Administration and Shackopee Public Utility Commission.Minnesota State Court matter concerning developing a methodology for releasing internal confidential materials as prescribed by State statute. All issues resolved.
Southern Minnesota Municipal Power Agency and Rochester Public Utility.State Court mediation involving dispute over 50-year Power Sales Agreement. Matter still pending.
PJM Reliability Pricing Model.Co-mediated 65 plus parties to establish a new capacity market for the PJM Region. This entailed a five month intensive process working with Generators and Large Investor Owned Utilities on one side and with State Governments, Cooperatives, Municipalities, and Industrials on the other. Partial settlement was reached establishing a capacity market, auction mechanism, and fixed resource requirements.
Large Generator Interconnection Agreement.Facilitated industry-wide Negotiated Rulemaking establishing the basic template and procedures for Large Generating projects to interconnect to the electric grid. This was an intensive five-month program involving over a hundred parties, State Commissions and Commission staff. The result was a pro forma agreement that the Federal Energy Regulatory Commission now uses for all interconnection agreements nationwide.
New York Independent System Operator, KeySpan – Ravenswood, LLC and Consolidated Edison Corp.Multiparty mediation that resolved a remand matter concerning the summer 2002 New York City capacity market which resulted from a misinterpretation of the ICAP capacity tariff formula. This case also involved 12 other electric utilities providing distribution services in the New York City area.
New England Independent System Operator and Massachusetts Wholesale Electric Corporation.Multi-party matter that resolved complaint alleging market manipulation during the August 2006 heat wave in New England. Secondary issue was also resolved which permitted the question of a proposed balancing formula to be vetted through the NEPOOL Stakeholder process.
Long Island Power Authority and Cross Sound Cable. Worked with the companies to settle substantial delay claims tied to State of Connecticut environmental issues and Department of Energy Declared National Emergency Orders in New York State.
California Independent System Operator and California Department of Water Resources.Case involved emergency scheduling of California Hydro projects in support of emergency grid operations. Ninth Circuit Case remanded to FERC. Workout balanced curtailment needs of major hydro-operations and grid reliability requirements.
New York Independent System Operator and Strategic Energy.Bilateral Netting concerning market traders’ ability to enter the bilateral market without having to post collateral on both ends of the transaction.
City of Sioux Falls – Xcel Energy, Inc., and Midwest Independent Transmission System Operator. Multiparty matter involving Grandfathered Contracts granting special treatment under MISO Tariff and Business Rules, but not necessarily for new service.The parties worked out a modified Interconnection Agreement between City of Sioux Falls and Xcel.
Midwest Independent Transmission System Operator and Michigan Public Power Administration.Worked out resettlement of imbalance in scheduling charges.
Wisconsin Public Service – Xcel Energy, Inc., and Midwest Independent Transmission System Operator.Multiparty matter that involved working out FTR allocations through a series of capacity transfers. This was caused by partial path transmission service between WPS and Xcel and disagreements over the source and sync. Issues originated in the DC Circuit and were remanded to FERC. Settlement resolved all issues.
Longview Power and Allegheny Power.Case involved a generator interconnection matter with allegations of obstruction by the Transmission Provider to make accommodations under their OATT. The workout involved permitting the generator to interconnect through an alternative route and had PJM participate in the final agreement.
CPV Power, Tenaska and Dominion Power.Generator Interconnection case concerning the power supplier falling behind in their schedule.Competitor in the queue pushed the Transmission Provider to cancel the IA because of alleged defaults. Revised Interconnection Agreement was negotiated ultimately not to the benefit of the competitor, but with enough built in milestones that their protest was weakened and not upheld.
Minnesota Municipal Power Administration – Southern Minnesota Municipal Power Agency – Xcel Energy, Inc., and Rochester Public Utility.Dispatch and scheduling dispute under power sales agreement.Agreement called for alternative dispatch and routing, thus eliminating losses.
Minnesota Municipal Power Administration and Rochester Public Utility.Dispute arose over Rochester’s concern with scheduling and delivery of coal during the winter months. Workout solution called for ongoing communication and parameters for order, delivery and storage of coal. Also resolved long-standing personnel dispute between two feuding business executives from each side.
Greenbrier and Dominion Power.Multiple cities in southern Virginia challenged citizen disputes over gas certification process.
Augusta Canal. Multiparty contested licensing matter between industrials, resource agencies and the City of Augusta, the Licensee, over water rights issues.Mitigation alternatives were worked out between the Licensee and the Agencies.
Grand River Dam Authority.Mediated a multiparty compliance matter and re-licensing of two projects in northeastern Oklahoma (Pensacola and Markham Ferry). Workout included a substantial mitigation package provided by the Authority.
Southern California Edison.Mediated a multiparty water rights issue involving three hydro projects in southern California (Santa Ana, Mill Creek and Lytle).One hundred year contracts were in question granting water rights to the Water Districts, which were competing interests with the Agency interests under the National Environmental Policy Act. Two of the three projects settled containing substantial mitigation packages; the third project was awarded its license based on the recommended term of settlement – after protest.
Toledo Bend.Multiparty matter involving flood control issues following major property losses and deaths due to a flood event. Supported the parties in working out interim protocols for communication and a process to implement emergency preparedness measures.