18 Cfr 385.203

§ 385.102

18 CFR Ch. I (4–1–14 Edition)

§ 385.102 Definitions (Rule 102).
For purposes of this part—
(a) Decisional authority means the
Commission or Commission employee
that, at the time for decision on a
question, has authority or responsibility under this chapter to decide that
particular question.
(b) Participant means:
(1) Any party; or
(2) Any employee of the Commission
assigned to present the position of the
Commission staff in a proceeding before the Commission.
(c) Party means, with respect to a
proceeding:
(1) A person filing any application,
petition, tariff or rate filing, complaint, or any protest under section
19a(i) of the Interstate Commerce Act
(49 U.S.C. 19a(i));
(2) Any respondent to a proceeding;
or
(3) Any person whose intervention in
a proceeding is effective under Rule
214.
(d) Person means an individual, partnership, corporation, association, joint
stock company, public trust, an organized group of persons, whether incorporated or not, a receiver or trustee of
the foregoing, a municipality, including a city, county, or any other political subdivision of a State, a State, the
District of Columbia, any territory of
the United States or any agency of any
of the foregoing, any agency, authority, or instrumentality of the United
States (other than the Commission), or
any corporation which is owned directly or indirectly by the United
States, or any officer, agent, or employee of any of the foregoing acting as
such in the course of his or her official
duty. The term also includes a foreign
government or any agency, authority,
or instrumentality thereof.
(e) Presiding officer means:
(1) With respect to any proceeding set
for hearing under subpart E of this
part, one or more Members of the Commission, or any administrative law
judge, designated to preside at such
hearing, or, if no Commissioner or administrative law judge is designated,
the Chief Administrative Law Judge;
or
(2) With respect to any proceeding
not set for hearing under subpart E,

any employee designated by rule or
order to conduct the proceeding.
(f) Respondent means any person:
(1) To whom an order to show cause
or notice of tariff or rate examination
is issued by the Commission;
(2) Against whom a complaint is directed; or
(3) Designated as a respondent by the
Commission or by the terms of this
chapter.
[Order 225, 47 FR 19022, May 3, 1982, as
amended by Order 606, 64 FR 44405, Aug. 16,
1999]

§ 385.103 References
103).

to

rules

(Rule

This part cross-references its sections according to rule number, as indicated by the section titles. Any filing
with the Commission may refer to any
section of this part by rule number; for
example, ‘‘Rule 103.’’
§ 385.104 Rule of construction (Rule
104).
To the extent that the text of a rule is
inconsistent with its caption, the text
of the rule controls.
[Order 376, 49 FR 21705, May 23, 1984]

Subpart B—Pleadings, Tariff and
Rate Filings, Notices of Tariff or
Rate Examination, Orders To
Show Cause, Intervention,
and Summary Disposition
§ 385.201

Applicability (Rule 201).

This subpart applies to any pleading,
tariff or rate filing, notice of tariff or
rate examination, order to show cause,
intervention, or summary disposition.
§ 385.202 Types
202).

of

pleadings

(Rule

Pleadings include any application,
complaint, petition, protest, notice of
protest, answer, motion, and any
amendment or withdrawal of a pleading. Pleadings do not include comments on rulemakings or comments on
offers of settlement.
§ 385.203 Content of pleadings and tariff or rate filings (Rule 203).
(a) Requirements for a pleading or a
tariff or rate filing. Each pleading and

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Federal Energy Regulatory Commission
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.

§ 385.206
(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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