18 Cfr 381

Pt. 381

18 CFR Ch. I (4–1–12 Edition)

PART 381—FEES

Subpart A—General Provisions

Subpart A—General Provisions

§ 381.101 Purpose.
The purpose of this part is to set
forth the fees charged by the Commission for services and benefits provided
by the Commission.

Sec.
381.101 Purpose.
381.102 Definitions.
381.103 Filings.
381.104 Annual adjustment of fees.
381.105 Method of payment.
381.106 Waivers.
381.107 Direct billing.
381.108 Exemptions.
381.109 Refunds.
381.110 Fees for substantial amendments.

Subpart B—Fees Applicable to the Natural
Gas Act and Related Authorities
381.207

Pipeline certificate applications.

Subpart C—Fees Applicable to General
Activities
381.302 Petition for issuance of a declaratory order (except under Part I of the
Federal Power Act).
381.303 Review of a Department of Energy
remedial order.
381.304 Review of Department of Energy denial of adjustment.
381.305 Interpretations by the Office of the
General Counsel.

Subpart D—Fees Applicable to the Natural
Gas Policy Act of 1978
381.401 Review of jurisdictional agency determinations.
381.403 Petitions for rate approval pursuant
to § 284.123(b)(2).
381.404 [Reserved]

Subpart E—Fees Applicable to Certain
Matters Under Parts II and III of the
Federal Power Act and the Public Utility Regulatory Policies Act
381.501 Applicability.
381.505 Certification of qualifying status as
a small power production facility or cogeneration facility.

Subpart F [Reserved]

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Subpart G—Fees Applicable to the Interstate Commerce Act and Related Authorities [Reserved]
AUTHORITY: 15 U.S.C. 717–717w; 16 U.S.C.
791–828c, 2601–2645; 31 U.S.C. 9701; 42 U.S.C.
7101–7352; 49 U.S.C. 60502; 49 App. U.S.C. 1–85.
SOURCE: Order 360, 49 FR 5081, Feb. 10, 1984,
unless otherwise noted.

§ 381.102 Definitions.
For purposes of this part, the following definitions apply.
(a) Person means any person, group,
association, organization, partnership,
corporation, or business, except those
authorized to engage in the transaction
of official business for the United
States Government.
(b) Work year cost means the ratio of
the Commission’s budgeted expenses
during any given fiscal year to the authorized staff level for that fiscal year.
(c) Work-month means the amount of
work represented by one employee’s devotion of 100 percent of his or her time
for one month.
(d) Filing means any application, tariff or rate filing, intervention, complaint, petition, request, or motion
submitted to the Commission in connection with any of the services or benefits for which a fee is established in
this part.
§ 381.103 Filings.
(a) Submittal of fees. Except as provided in §§ 274.201(e) and 381.106, a fee in
the amount set forth in this part shall
accompany each filing for which a fee
has been established.
(b) Deficiencies. (1) Any filing that is
not accompanied by either the fee established for that filing or a petition
for
waiver
in
accordance
with
§ 381.106(b) is deficient.
(2) The Secretary will inform any
person submitting a deficient filing
that:
(i) Such filing will be rejected unless
the appropriate fee is submitted within
a time specified by the Secretary;
(ii) The Commission will not process
any filing that is deficient under this
paragraph; and
(iii) The date of filing is the date on
which the Commission receives the appropriate fee.
(3) This provision does not preclude a
determination that a filing is deficient
for any other reason.

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Federal Energy Regulatory Commission
(c) Choice of two or more fees. If a filing for one service or benefit may be
considered as falling within two or
more categories or services for which a
fee is established, that filing must be
accompanied by the higher or highest
of the applicable fees.
[Order 360, 49 FR 5081, Feb. 10, 1984, as
amended by Order 394, 49 FR 35365, Sept. 7,
1984]

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§ 381.104

Annual adjustment of fees.

(a) Update and publication. The Commission, by its designee the Executive
Director, will update its fees each fiscal year according to the formula in
paragraph (c) of this section. The Executive Director will publish the fees in
the FEDERAL REGISTER.
(b) Payment of updated fees. Any person who submits a filing for which a fee
is established in this part must pay the
currently effective fee unless a waiver
is granted.
(c) Formula. (1) Except as provided in
paragraph (c)(2) of this section, the formula for determining each fee is the
work months dedicated to the given fee
category for the six fiscal years 1987
through 1992 or all years prior to FY 93
for which data are available divided by
the number of actual completions in
the six fiscal years 1987 through 1992 or
all years prior to FY 93 for which data
are available multiplied by the average
monthly employee cost in the most recent fiscal year for which data are
available.
(2) With respect to the fees charged
to
pipelines
filing
pursuant
to
§ 381.207(a), the fee for the first year
will be $1,000. The formula for the fee
in future years will be the work
months from the immediately prior
year divided by the number of actual
completions in that year multiplied by
the average monthly employee cost in
the most recent fiscal year for which
data are available. With the addition of
future years, the formula for § 381.207(a)
fees will be updated to include that
year as part of the base period.
(d) Effective date of fee. Any fee updated under this section is effective on
the thirtieth day after publication in
the FEDERAL REGISTER of the revised
sections in this part, unless otherwise

§ 381.107
specified in the FEDERAL REGISTER notice.
[Order 360, 49 FR 5081, Feb. 10, 1984, as
amended by Order 494, 53 FR 15382, Apr. 29,
1988; Order 521, 55 FR 12171, Apr. 2, 1990; 58 FR
2975, Jan. 7, 1993]

§ 381.105 Method of payment.
Fee payment shall be made by check
or money order payable to the Treasurer of the United States. The check
should state the nature of the filing
and the docket number where applicable so that the fee category for which
the check is being submitted is clearly
identifiable.
§ 381.106 Waivers.
(a) Filing of petition. If an applicant is
suffering from severe economic hardship at the time of filing an application
which makes the applicant economically unable to pay the appropriate fee
for the application, rate change, tariff,
petition, request or other filing requiring a fee, the applicant may submit an
original and two copies of a petition for
waiver with the application in lieu of
the applicable fee. The petition for
waiver must include evidence, such as
a financial statement, clearly showing
either that the applicant does not have
the money to pay all or part of the fee,
or that if the applicant does pay the
fee, the applicant will be placed in financial distress or emergency.
(b) Decision on petition. The Commission or its designee will analyze each
petition to determine whether the applicant has met the standards for waiver and then will notify the applicant of
its grant or denial, in whole or in part.
If the petition is denied, the applicant
will have 30 days from the date of notification of the denial to submit the appropriate fee to the Commission.
[Order 360, 49 FR 5081, Feb. 10, 1984, as
amended by Order 395, 49 FR 35356, Sept. 7,
1984]

§ 381.107 Direct billing.
(a) Applicability. If a filing presents
an issue of fact, law, policy, procedural
difficulty, or technical complexity that
requires an extraordinary amount of
expense to process, the Commission
may institute a direct billing procedure for the direct and indirect costs of
processing that filing. The Commission

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§ 381.108

18 CFR Ch. I (4–1–12 Edition)

will make a direct billing determination under this paragraph not later
than one year after receiving a complete filing from an applicant.
(b) Procedures. (1) Direct billing will
not be instituted with respect to any
filing until the person who submitted
the filing is notified that direct billing
will be applied to the filing in lieu of
the fees established under this part.
(2) Any fee submitted with the filing
will be applied, as a credit, to the
amount billed directly for processing
costs. The Secretary will thereafter periodically bill the person who submitted the filing for the actual direct
and indirect costs of processing the filing.
(3) If the Commission institutes a direct billing for the costs of a hearing
and reduces the fee to the applicant to
less than full cost recovery due to the
presence of intervenors, the Commission will consider, on a case-by-case
basis, direct billing the intervenors for
all or part of the reduced portion.
[Order 360, 49 FR 5081, Feb. 10, 1984, as
amended by Order 433, 50 FR 40346, Oct. 3,
1985; 58 FR 2975, Jan. 7, 1993]

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§ 381.108

Exemptions.

(a) Filing of petition. States, municipalities and anyone who is engaged in
the official business of the Federal
Government are exempt from the fees
required by this part and may file a petition for exemption in lieu of the applicable fee.
(b) Decision on petition. A petitioner
may claim this exemption by filing an
original and two copies of a petition for
exemption that includes evidence that
the petitioner is a State or municipality, or is engaged in the official
business of the Federal Government.
The Commission or its designee will
analyze each petition to determine
whether the petition has met the
standards for exemption and will notify
the petitioner whether it is granted or
denied. If the petition is denied, the
person will have thirty days from the
date of notification of the denial to
submit the appropriate fee to the Commission.
[Order 395, 49 FR 35356, Sept. 7, 1984]

§ 381.109

Refunds.

Fees established under this part may
be refunded only if the related filing is
withdrawn within fifteen (15) days of
the date of filing or, if applicable, before the filing is noticed in the FEDERAL REGISTER or, if the fee is inappropriately paid for a filing for which no
fee is established. Fees paid in excess
of the fees established under this part
may be refunded to the extent of the
amount paid in excess. To obtain a refund, the applicant must file a motion
requesting refund with the Commission.
[Order 433, 50 FR 40346, Oct. 3, 1985, as amended by Order 433–A, 51 FR 43607, Dec. 3, 1986]

§ 381.110 Fees for substantial amendments.
Fees established under this part for
any filing will also be charged, as appropriate, for any substantial amendment to a pending filing. An amendment is considered substantial if it
changes the character, nature, or the
magnitude of the proposed activity or
rate in the pending filing. For purposes
of this section, an application for a
temporary certificate is not considered
to be an amendment to a pending certificate application.
[Order 433–A, 51 FR 43607, Dec. 3, 1986]

Subpart B—Fees Applicable to the
Natural Gas Act and Related
Authorities
§ 381.207 Pipeline certificate applications.
(a) Definition. For purposes of this
section, ‘‘pipeline certificate application’’ means any application for authorization or exemption, any substantial amendment to such an application,
and any application, other than an application for a temporary certificate,
for authorization to amend an outstanding authorization or exemption,
by any person, made pursuant to section 7(c) of the Natural Gas Act filed in
accordance with § 284.224 of this chapter.
(b) Fee. Unless the Commission orders direct billing under § 381.107 or
otherwise, the fee established for a
blanket certificate application is

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Federal Energy Regulatory Commission
$1,000. The fee filed under this paragraph must be submitted in accordance
with § 284.224 of this chapter.
(c) Effective date. Any pipeline certificate application filed with the Commission prior to November 4, 1985, is
subject to the fees established by part
159 of this chapter to the extent that
part 159 applies to such an application.
[Order 433, 50 FR 40346, Oct. 3, 1985, as amended by Order 433–A, 51 FR 43607, Dec. 3, 1986; 52
FR 10367, Apr. 1, 1987; 53 FR 15384, Apr. 29,
1988; 54 FR 12901, Mar. 29, 1989; 55 FR 13901,
Apr. 13, 1990; 56 FR 15497, Apr. 17, 1991; 58 FR
2975, Jan. 7, 1993]

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Subpart C—Fees Applicable to
General Activities
§ 381.302 Petition for issuance of a declaratory order (except under Part
I of the Federal Power Act.)
(a) Except as provided in paragraph
(b) of this section, the fee established
for filing a petition for issuance of a
declaratory order under § 385.207 of this
chapter is $24,860. The fee must be submitted in accordance with subpart A of
this part.
(b) No fee is necessary to file a petition for issuance of a declaratory order
that solely concerns the investigation,
issuance, transfer, renewal, revocation,
and enforcement of licenses and permits for the construction, operation,
and maintenance of dams, water conduits, reservoirs, powerhouses, transmission lines, or other works for the
development and improvement of navigation and for the development and
utilization of power across, along,
from, or in navigable waters under
Part I of the Federal Power Act.
(c) A person claiming the exemption
provided in paragraph (b) of this section must file an original and two copies of a petition for exemption in lieu
of a fee along with its petition for
issuance of a declaratory order. The petition for exemption should summarize
the issues raised in the petition for
issuance of a declaratory order and explain why the exemption is applicable.
The Commission or its designee will
analyze each petition to determine
whether the petition has met the
standards for exemption and will notify
the applicant whether it is granted or
denied. If the petition is denied, the pe-

§ 381.304
titioner will have thirty days from the
date of notification of the denial to
submit the appropriate fee to the Commission.
[Order 395, 49 FR 35356, Sept. 7, 1984]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 381.302, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 381.303 Review of a Department of
Energy remedial order.
(a) Except as provided in § 381.303(b),
the fee established for an answer to a
Department of Energy remedial order
under subpart I of the Commission’s
Rules of Practice and Procedure, 18
CFR part 385, subpart I (1983), is $36,290.
The fee must be submitted in accordance with subpart A of this part.
(b) If the amount in controversy is
below $30,000, then the fee to file a petition for review of a DOE remedial order
is reduced as follows:
Fee
Amount in controversy:
$0 to $9,999 ...........................................................
$10,000 to $29,999 ................................................

(c) In order to qualify for the fees in
paragraph (b) of this section, the check
must be accompanied by an affidavit
by the petitioner that states the
amount in controversy.
[Order 395, 49 FR 35356, Sept. 7, 1984]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 381.303, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 381.304 Review of Department of Energy denial of adjustment.
(a) Except as provided in § 381.304(b),
the fee established for filing a petition
for review of a Department of Energy
denial of an adjustment request under
subpart J of the Commission’s Rules of
Practice and Procedure, 18 CFR part
385, subpart J (1983), is $19,030. The fee
must be submitted in accordance with
subpart A of this part.
(b) If the amount in controversy is
below $30,000, then the fee to file a petition for review of a DOE denial of an
adjustment is reduced as follows:

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600

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§ 381.305

18 CFR Ch. I (4–1–12 Edition)
Fee

Amount in controversy:
$0 to $9,999 ...........................................................
$10,000 to $29,999 ................................................

$100
600

(c) In order to qualify for the fees in
paragraph (b) of this section, the check
must be accompanied by an affidavit
by the petitioner that states the
amount in controversy.

§ 381.401 Review
of
jurisdictional
agency determinations.
The fee established for review of a jurisdictional agency determination is
$115. The fee must be submitted in accordance with subpart A of this part
and § 270.301(c) of this chapter.

[Order 395, 49 FR 35356, Sept. 7, 1984]

[Order 616, 65 FR 45872, July 26, 2000]

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 381.304, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 381.305 Interpretations by the Office
of the General Counsel.
(a) Except as provided in paragraph
(b) of this section, the fee established
for a written interpretation by the Office of the General Counsel of any statute or implementing regulation under
the jurisdiction of the Commission is
$7,130. The fee must be submitted in accordance with subpart A of this part
and § 385.1901 or § 388.104 of this chapter.
(b) No fee is necessary to file a request for a written interpretation by
the Office of the General Counsel that
solely concerns matters under Part I of
the Federal Power Act.
(c) A person claiming the exemption
provided in paragraph (b) of this section must file an original and two copies of a petition for exemption in lieu
of a fee along with the request for a
written interpretation. The petition for
exemption should summarize the issues
raised in the request for a legal opinion
and explain why the exemption is applicable. The Commission or its designee will analyze each petition to determine whether the petition has met
the standards for exemption and will
notify the applicant whether it is
granted or denied. If the petition is denied, the applicant will have 30 days
from the date of notification of the denial to submit the appropriate fee to
the Commission.
[Order 494, 53 FR 15382, Apr. 29, 1988]

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Subpart D—Fees Applicable to the
Natural Gas Policy Act of 1978

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 381.305, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 381.403 Petitions for rate approval
pursuant to § 284.123(b)(2).
The fee established for a petition for
rate approval pursuant to § 284.123(b)(2)
is $12,370. Such fee must be submitted
in accordance with subpart A of this
part and § 284.123(b)(2).
[Order 394, 49 FR 35365, Sept. 7, 1984]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 381.403, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

§ 381.404

[Reserved]

Subpart E—Fees Applicable to
Certain Matters Under Parts II
and III of the Federal Power
Act and the Public Utility Regulatory Policies Act
§ 381.501 Applicability.
The fees set forth in this subpart
apply to filings submitted on or after
November 4, 1985.
[Order 435, 50 FR 40358, Oct. 3, 1985]

§ 381.505 Certification of qualifying
status as a small power production
facility or cogeneration facility.
(a) Unless the Commission orders direct billing under § 381.107 of this chapter or otherwise, the fee established for
an application for Commission certification as a qualifying small power production facility, as defined in section
3(17) of the Federal Power Act, is
$21,380 and the fee established for an
application for Commission certification as a qualifying cogeneration facility, as defined in section 3(18) of the
Federal Power Act, is $24,200.
(b) The fee filed under this section
must be submitted in accordance with

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Federal Energy Regulatory Commission
subpart A of this part and § 292.207(b)(2)
of this chapter.
[Order 494, 53 FR 15382, Apr. 29, 1988]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 381.505, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.

Subpart F [Reserved]
Subpart G—Fees Applicable to
the Interstate Commerce Act
and Related Authorities [Reserved]
PART 382—ANNUAL CHARGES
Subpart A—General Provisions
Sec.
382.101 Purpose.
382.102 Definitions.
382.103 Payment.
382.104 Enforcement.
382.105 Waiver.
382.106 Accounting for annual charges paid
under part 382.

Subpart B—Annual Charges
382.201 Annual charges under Parts II and
III of the Federal Power Act and related
statutes.
382.202 Annual charges under the Natural
Gas Act and Natural Gas Policy Act of
1978 and related statutes.
382.203 Annual charges under the Interstate
Commerce Act.
AUTHORITY: 5 U.S.C 551–557; 15 U.S.C 717–
717w, 3301–3432; 16 U.S.C. 791a–825r, 2601–2645;
42 U.S.C. 7101–7352; 49 U.S.C. 60502; 49 App.
U.S.C. 1–85.
SOURCE: Order 472, 52 FR 21292, June 5, 1987,
unless otherwise noted.

Subpart A—General Provisions

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§ 382.101

Purpose.

The purpose of this part is to establish procedures for calculating and assessing annual charges to reimburse
the United States for all of the costs
incurred by the Commission, other
than costs incurred in administering
Part I of the Federal Power Act and
costs recovered through the Commission’s filing fees.

§ 382.102
§ 382.102 Definitions.
For the purpose of this part:
(a) Natural gas pipeline company
means any person:
(1) Engaged in natural gas sales for
resale or natural gas transportation
subject to the jurisdiction of the Commission under the Natural Gas Act
whose sales for resale and transportation exceed 200,000 Mcf at 14.73 psi (60
°F) in any of the three calendar years
immediately preceding the fiscal year
for which the Commission is assessing
annual charges; and
(2) Not engaged solely in ‘‘first sales’’
of natural gas as that term is defined
in section 2(21) of the Natural Gas Policy Act of 1978; and
(3) To whom the Commission has not
issued a Natural Gas Act Section 7(f)
declaration; and
(4) Not holding a limited jurisdiction
certificate.
(b) Public utility means any person
who owns or operates facilities subject
to the jurisdiction of the Commission
under Parts II and III of the Federal
Power Act, and who has rate schedule(s) on file with the Commission and
who is not a ‘‘qualifying small power
producer’’ or a ‘‘qualifying cogenerator’’, as those terms are defined in
section 3 of the Federal Power Act, or
the United States or a state, or any political subdivision of the United States
or a state, or any agency, authority, or
instrumentality of the United States, a
state, political subdivision of the
United States, or political subdivision
of a state.
(c) Oil pipeline company means any
person engaged in the transportation of
crude oil and petroleum products subject to the Commission’s jurisdiction
under the Interstate Commerce Act
with annual operating revenues greater
than $350,000 in any of the three calendar years immediately preceding the
fiscal year for which the Commission is
assessing annual charges.
(d) Natural gas regulatory program is
the Commission’s regulation of the
natural gas industry under the Natural
Gas Act; Natural Gas Policy Act of
1978; Alaska Natural Gas Transportation Act; Public Utility Regulatory
Policies Act; Department of Energy Organization Act; Outer Continental
Shelf Lands Act; Energy Security Act;

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