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§ 385.204

18 CFR Ch. I (4–1–11 Edition)

each tariff or rate filing must include,
as appropriate:
(1) If known, the reference numbers,
docket numbers, or other identifying
symbols of any relevant tariff, rate,
schedule, contract, application, rule, or
similar matter or material;
(2) The name of each participant for
whom the filing is made or, if the filing
is made for a group of participants, the
name of the group, provided that the
name of each member of the group is
set forth in a previously filed document
which is identified in the filing being
made;
(3) The specific authorization or relief sought;
(4) The tariff or rate sheets or sections;
(5) The name and address of each person against whom the complaint is directed;
(6) The relevant facts, if not set forth
in a previously filed document which is
identified in the filing being made;
(7) The position taken by the participant filing any pleading, to the extent
known when the pleading is filed, and
the basis in fact and law for such position;
(8) Subscription or verification, if required;
(9) A certificate of service under Rule
2010(h), if service is required;
(10) The name, address, and telephone
number of an individual who, with respect to any matter contained in the
filing, represents the person for whom
filing is made; and
(11) Any additional information required to be included by statute, rule,
or order.
(b) Requirement for any initial pleading
or tariff or rate filing. The initial pleading or tariff or rate filing submitted by
a participant or a person seeking to become a party must conform to the requirements of paragraph (a) of this section and must include:
(1) The exact name of the person for
whom the filing is made;
(2) The location of that person’s principal place of business; and
(3) The name, address, and telephone
number of at least one, but not more
than two, persons upon whom service is
to be made and to whom communications are to be addressed in the proceeding.

(c) Combined filings. If two or more
pleadings, or one or more pleadings and
a tariff or rate filing are included as
items in a single filing each such item
must be separately designated and
must conform to the requirements
which would be applicable to it if filed
separately.
(d) Form of notice. If a pleading or tariff or rate filing must include a form of
notice suitable for publication in the
FEDERAL REGISTER, the company shall
submit the draft notice in accordance
with the form of notice specifications
prescribed by the Secretary and posted
under the Filing Procedures link at
http://www.ferc.gov and available in the
Commission’s Public Reference Room.
[Order 225, 47 FR 19022, May 3, 1982, as
amended by Order 647, 69 FR 32439, June 10,
2004; Order 663, 70 FR 55725, Sept. 23, 2005; 71
FR 14642, Mar. 23, 2006; Order 714, 73 FR 57538,
Oct. 3, 2008]

§ 385.204 Applications (Rule 204).
Any person seeking a license, permit,
certification, or similar authorization
or permission, must file an application
to obtain that authorization or permission.
§ 385.205 Tariff or rate filings (Rule
205).
A person must make a tariff or rate
filing in order to establish or change
any specific rate, rate schedule, tariff,
tariff schedule, fare, charge, or term or
condition of service, or any classification, contract, practice, or any related
regulation established by and for the
applicant.
§ 385.206 Complaints (Rule 206).
(a) General rule. Any person may file
a complaint seeking Commission action against any other person alleged
to be in contravention or violation of
any statute, rule, order, or other law
administered by the Commission, or for
any other alleged wrong over which the
Commission may have jurisdiction.
(b) Contents. A complaint must:
(1) Clearly identify the action or inaction which is alleged to violate applicable statutory standards or regulatory requirements;
(2) Explain how the action or inaction violates applicable statutory
standards or regulatory requirements;

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Federal Energy Regulatory Commission
(3) Set forth the business, commercial, economic or other issues presented by the action or inaction as
such relate to or affect the complainant;
(4) Make a good faith effort to quantify the financial impact or burden (if
any) created for the complainant as a
result of the action or inaction;
(5) Indicate the practical, operational, or other nonfinancial impacts
imposed as a result of the action or inaction, including, where applicable, the
environmental, safety or reliability
impacts of the action or inaction;
(6) State whether the issues presented are pending in an existing Commission proceeding or a proceeding in
any other forum in which the complainant is a party, and if so, provide
an explanation why timely resolution
cannot be achieved in that forum;
(7) State the specific relief or remedy
requested, including any request for
stay or extension of time, and the basis
for that relief;
(8) Include all documents that support the facts in the complaint in possession of, or otherwise attainable by,
the complainant, including, but not
limited to, contracts and affidavits;
(9) State
(i) Whether the Enforcement Hotline,
Dispute Resolution Service, tariffbased dispute resolution mechanisms,
or other informal dispute resolution
procedures were used, or why these
procedures were not used;
(ii) Whether the complainant believes
that alternative dispute resolution
(ADR) under the Commission’s supervision could successfully resolve the
complaint;
(iii) What types of ADR procedures
could be used; and
(iv) Any process that has been agreed
on for resolving the complaint.
(10) Include a form of notice of the
complaint suitable for publication in
the FEDERAL REGISTER in accordance
with the specifications in § 385.203(d) of
this part. The form of notice shall be
on electronic media as specified by the
Secretary.
(11) Explain with respect to requests
for Fast Track processing pursuant to
section 385.206(h), why the standard
processes will not be adequate for expeditiously resolving the complaint.

§ 385.206
(c) Service. Any person filing a complaint must serve a copy of the complaint on the respondent, affected regulatory agencies, and others the complainant reasonably knows may be expected to be affected by the complaint.
Service must be simultaneous with filing at the Commission for respondents.
Simultaneous or overnight service is
permissible for other affected entities.
Simultaneous service can be accomplished by electronic mail in accordance with § 385.2010(f)(3), facsimile, express delivery, or messenger.
(d) Notice. Public notice of the complaint will be issued by the Commission.
(e) Privileged treatment. (1) If a complainant seeks privileged treatment for
any documents submitted with the
complaint, the complainant must submit, with its complaint, a request for
privileged treatment of documents and
information under section 388.112 of
this chapter and a proposed form of
protective agreement. In the event the
complainant requests privileged treatment under section 388.112 of this chapter, it must file the original and three
copies of its complaint with the information for which privileged treatment
is sought and 11 copies of the pleading
without the information for which
privileged treatment is sought. The
original and three copies must be
clearly identified as containing information for which privileged treatment
is sought.
(2) A complainant must provide a
copy of its complaint without the privileged information and its proposed
form of protective agreement to each
entity that is to be served pursuant to
section 385.206(c).
(3) The respondent and any interested
person who has filed a motion to intervene in the complaint proceeding may
make a written request to the complainant for a copy of the complete
complaint. The request must include
an executed copy of the protective
agreement and, for persons other than
the respondent, a copy of the motion to
intervene. Any person may file an objection to the proposed form of protective agreement.
(4) A complainant must provide a
copy of the complete complaint to the
requesting person within 5 days after

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§ 385.207

18 CFR Ch. I (4–1–11 Edition)

receipt of the written request that is
accompanied by an executed copy of
the protective agreement.
(f) Answers, interventions and comments. Unless otherwise ordered by the
Commission, answers, interventions,
and comments to a complaint must be
filed within 20 days after the complaint
is filed. In cases where the complainant
requests privileged treatment for information in its complaint, answers,
interventions, and comments are due
within 30 days after the complaint is
filed. In the event there is an objection
to the protective agreement, the Commission will establish when answers
will be due.
(g) Complaint resolution paths. One of
the following procedures may be used
to resolve complaints:
(1) The Commission may assign a
case to be resolved through alternative
dispute resolution procedures in accordance with §§ 385.604–385.606, in cases
where the affected parties consent, or
the Commission may order the appointment of a settlement judge in accordance with § 385.603;
(2) The Commission may issue an
order on the merits based upon the
pleadings;
(3) The Commission may establish a
hearing before an ALJ;
(h) Fast Track processing. (1) The Commission may resolve complaints using
Fast Track procedures if the complaint
requires expeditious resolution. Fast
Track procedures may include expedited action on the pleadings by the
Commission, expedited hearing before
an ALJ, or expedited action on requests for stay, extension of time, or
other relief by the Commission or an
ALJ.
(2) A complainant may request Fast
Track processing of a complaint by including such a request in its complaint,
captioning the complaint in bold type
face
‘‘COMPLAINT
REQUESTING
FAST TRACK PROCESSING,’’ and explaining why expedition is necessary as
required by section 385.206(b)(11).
(3) Based on an assessment of the
need for expedition, the period for filing answers, interventions and comments to a complaint requesting Fast
Track processing may be shortened by
the Commission from the time provided in section 385.206(f).

(4) After the answer is filed, the Commission will issue promptly an order
specifying the procedure and any
schedule to be followed.
(i) Simplified procedure for small controversies. A simplified procedure for
complaints involving small controversies is found in section 385.218 of this
subpart.
(j) Satisfaction. (1) If the respondent
to a complaint satisfies such complaint, in whole or in part, either before or after an answer is filed, the
complainant and the respondent must
sign and file:
(i) A statement setting forth when
and how the complaint was satisfied;
and
(ii) A motion for dismissal of, or an
amendment to, the complaint based on
the satisfaction.
(2) The decisional authority may
order the submission of additional information before acting on a motion
for dismissal or an amendment under
paragraph (c)(1)(ii) of this section.
[Order 225, 47 FR 19022, May 3, 1982, as
amended by Order 602, 64 FR 17097, Apr. 8,
1999; Order 602–A, 64 FR 43608, Aug. 11, 1999;
Order 647, 69 FR 32440, June 10, 2004]

§ 385.207

Petitions (Rule 207).

(a) General rule. A person must file a
petition when seeking:
(1) Relief under subpart I, J, or K of
this part;
(2) A declaratory order or rule to terminate a controversy or remove uncertainty;
(3) Action on appeal from a staff action, other than a decision or ruling of
a presiding officer, under Rule 1902;
(4) A rule of general applicability; or
(5) Any other action which is in the
discretion of the Commission and for
which this chapter prescribes no other
form of pleading.
(b) Declarations of intent under the
Federal Power Act. For purposes of this
part, a declaration of intent under section 23(b) of the Federal Power Act is
treated as a petition for a declaratory
order.

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