18 C.F.R. Subpart T—Formal Requirements for Filings in Proceedings Before the Commission
Title 18 - Conservation of Power and Water Resources
(a) Filings with the Commission. (1) Except as otherwise provided in this chapter, any document required to be filed with the Commission must comply with Rules 2001 to 2005 and must be submitted to the Secretary by: (i) Mailing the document to the Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426; (ii) Hand delivering the document to Room 1A, 888 First Street, NE., Washington, DC; or (iii) In the case of qualified documents as defined in Rule 2003(c)(2), by filing via the Internet pursuant to Rule 2003(c) using the FERC Online links at http://www.ferc.gov. Note to paragraph (2) Any document is considered filed, if in paper form, on the date stamped by the Secretary or, in the case of a document filed via the Internet, on the date indicated in the acknowledgment that will be sent immediately upon the Commission's receipt of a submission, unless the document is subsequently rejected. Any document received after regular business hours is considered filed on the next regular business day. (b) Rejection. (1) If any filing does not comply with any applicable statute, rule, or order, the filing may be rejected, unless the filing is accompanied by a motion requesting a waiver of the applicable requirement of a rule or order and the motion is granted. (2) If any filing is rejected, the document is deemed not to have been filed with the Commission. (3) Where a document is rejected under paragraph (b)(1) of this section, the Secretary, or the office director to whom the filing has been referred, will notify the submitter and indicate the deficiencies in the filing and the reason for the rejection. (4) If a filing does not comply with any applicable requirement, all or part of the filing may be stricken. Any failure to reject a filing which is not in compliance with an applicable statute, rule, or order does not waive any obligation to comply with the requirements of this chapter. [Order 619, 65 FR 57091, Sept. 21, 2000, as amended by Order 2002, 68 FR 51143, Aug. 25, 2003; Order 647, 69 FR 32440, June 10, 2004] A filing must begin with a caption that sets forth: (a) The docket designation, if any; (b) The words “INTERLOCUTORY APPEAL” underneath the docket designation if the filing is an appeal under Rule 715(c) of a presiding officer's denial of a motion for an interlocutory appeal; (c) The title of the proceeding if a proceeding has been initiated; (d) A heading which describes the filing; and (e) The name of the participant for whom the filing is made, or a shortened designation for the participant. [Order 225, 47 FR 19022, May 3, 1982, as amended by Order 402, 49 FR 39539, Oct. 9, 1984] (a) All filings. Any filing with the Commission must be: (1) Typewritten, printed, reproduced, or prepared using a computer or other word or data processing equipment; (2) Have double-spaced lines with left margins not less than 1 (3) Have indented and single-spaced any quotation that exceeds 50 words; and (4) Use not less than 10 point font. (b) Filing by paper. (1) Any filing with the Commission made in paper form must be: (i) Printed or reproduced, with each copy clearly legible; (ii) On letter-size unglazed paper that is 8 to 8 (iii) Bound or stapled at the left side only, if the filing exceeds one page. (2) Any log, graph, map, drawing, or chart submitted as part of a filing will be accepted on paper larger than provided in paragraph (b)(1) of this section, if it cannot be provided legibly on letter-size paper. (c) Filing via the Internet. (1) A document filed with the Commission via the Internet must: (i) Be a qualified document; (ii) Be filed in accordance with instructions issued by the Secretary and made available via the FERC Online links at http://www.ferc.gov. (2) For purposes of Internet filings, qualified documents shall be those categories of documents listed in instructions to be issued by the Secretary. The Secretary is authorized to issue and amend a list of qualified documents only to the extent that no additional requirements are placed upon submitters of electronic documents beyond those contained in the Commission's regulations. (3) For purposes of statutes or regulations governing timeliness, a document filed via the Internet will be deemed to have been received by the Commission at the time the last byte of the document is received by the Commission. (d) Citation form. Any filing with the Commission should comply with the rules of citation, except Rule 1.1, set forth in the most current edition of A Uniform System of Citation, published by The Harvard Law Review Association. Citations to specific pages of documents filed via the Internet should use the page numbers appearing in the PDF (Portable Document Format) version of the document available on the Commission's web site. [Order 619, 65 FR 57091, Sept. 21, 2000, as amended by Order 2002, 68 FR 51143, Aug. 25, 2003; Order 647, 69 FR 32440, June 10, 2004] Any person filing under this chapter must provide an original of the filing and fourteen exact copies, unless otherwise required by statute, rule, or order. The provisions of this section and of §4.34(h) of this Chapter do not apply in the case of a document properly filed via the Internet under Rule 2003(c). [Order 619, 65 FR 57092, Sept. 21, 2000] (a) Subscription. (1) Any filing with the Commission must be signed. (2) The signature on a filing constitutes a certificate that: (i) The signer has read the filing signed and knows its contents; (ii) The contents are true as stated, to the best knowledge and belief of the signer; and (iii) The signer possesses full power and authority to sign the filing. (3) A filing must be signed by: (i) The person on behalf of whom the filing is made; (ii) Any officer of the corporation, trust, association, or other organized group, on behalf of which the filing is made; (iii) Any officer, agent, or employee of the governmental authority, agency, or instrumentality on behalf of which the filing is made; or (iv) A representative qualified to practice before the Commission under Rule 2101 who possesses authority to sign. (4) The signer of any filing may be required to submit evidence of authority to sign the filing. (b) Verification. (1) The facts alleged in any filing need not be verified, unless verification is required by statute, rule, or order. (2) If verification of any filing is required, the verification must be under oath by a person having knowledge of the matters set forth in the filing. If any verification is made by a person other than the signer, a statement must be attached to the verification explaining why a person other than the signer provides verification. (3) Any requirement that a filing include or be supported by a sworn declaration, verification, certificate, statement, oath, or affidavit may be satisfied by compliance with the provisions of 28 U.S.C. 1746, provided that the filer, or an authorized representative of the filer, maintains a copy of the document bearing an original, physical signature until after such time as all administrative and judicial proceedings in the relevant matter are closed and all deadlines for further administrative or judicial review have passed. (c) Electronic signature. In the case of any document filed in electronic form under the provisions of this Chapter, the typed characters representing the name of a person shall be sufficient to show that such person has signed the document for purposes of this section. [Order 225, 47 FR 19022, May 3, 1982, as amended by Order 619, 65 FR 57092, Sept. 21, 2000; Order 653, 70 FR 8724, Feb. 23, 2005] (a) The Secretary will maintain a system for docketing proceedings. (b) Any public information in any docket is available for inspection and copying by the public during the office hours of the Commission, to the extent that such availability is consistent with the proper discharge of the Commission's duties and in conformity with part 388 of this chapter. [Order 226, 47 FR 19022, May 3, 1982; 48 FR 786, Jan. 7, 1983] (a) Computation. (1) Except as otherwise required by law, any period of time prescribed or allowed by statute or Commission rule or order is computed to exclude the day of the act or event from which the time period begins to run. (2) The last day of any time period is included in the time period, unless it is a Saturday, Sunday, day on which the Commission closes due to adverse conditions and does not reopen prior to its official close of business, part-day holiday that affects the Commission, or legal public holiday as designated in section 6103 of title 5, U.S. Code, in which case the period does not end until the close of the Commission business of the next day which is not a Saturday, Sunday, day on which the Commission closes due to adverse conditions and does not reopen prior to its official close of business, part-day holiday that affects the Commission, or legal public holiday. (b) Date of issuance of Commission rules or orders. (1) Any Commission rule or order is deemed issued when the Secretary does the earliest of the following: (i) Posts a full-text copy in the Division of Public Information; (ii) Mails or delivers copies of the order to the parties; or (iii) Makes such copies public. (2) Any date of issuance specified in a rule or order need not be the date on which the rule or order is adopted by the Commission. (c) Effective date of Commission rules or orders. (1) Unless otherwise ordered by the Commission, rules or orders are effective on the date of issuance. (2) Any initial or revised initial decision issued by a presiding officer is effective when the initial or revised initial decision is final under Rule 708(d). [Order 225, 47 FR 19022, May 3, 1982, as amended by Order 375, 49 FR 21316, May 21, 1984; Order 376, 49 FR 21707, May 23, 1984; Order 645, 69 FR 2504, Jan. 16, 2004] (a) Except as otherwise provided by law, the time by which any person is required or allowed to act under any statute, rule, or order may be extended by the decisional authority for good cause, upon a motion made before the expiration of the period prescribed or previously extended. (b) If any motion for extension of time is made after the expiration of a specified time period, the decisional authority may permit performance of the act required or allowed, if the movant shows extraordinary circumstances sufficient to justify the failure to act in a timely manner. Unless actual notice is given or unless newspaper notice is given as required by law, notice by the Commission is provided by the Secretary only by publication in the (a) By participants. (1) Any participant filing a document in a proceeding must serve a copy of the document on: (i) Each person whose name is on the official service list, or applicable restricted service list, for the proceeding or phase of the proceeding; and (ii) Any other person required to be served under Commission rule or order or under law. (2) If any person receives a rejection letter or deficiency letter from the Commission, the person must serve a copy of the letter on any person previously served copies of the rejected or deficient filing. (b) By the Secretary. The Secretary will serve, as appropriate: (1) A copy of any complaint on any person against whom the complaint is directed; (2) A copy of any notice of tariff or rate examination or order to show cause, on any person to whom the notice or order is issued; (3) A copy of any rule or any order by a decisional authority in a proceeding on any person included on the official service list, or applicable restricted service list, for the proceeding or phase of the proceeding, provided that such person has complied with paragraph (g) of this section. (c) Official service list. (1) The official service list for any proceeding will contain: (i) The name, address and, for proceedings commenced on or after March 21, 2005, e-mail address of any person designated for service in the initial pleading, other than a protest, or in the tariff or rate filing which is filed by any participant; and (ii) The name of counsel for the staff of the Commission. (2) Any designation of a person for service may be changed by following the instructions for the Commission's electronic registration system, located on its Web site at http://www.ferc.gov or, in the event that the proceeding was commenced prior to March 21, 2005, or the person designated for service is unable to use the electronic registration system, by filing a notice with the Commission and serving the notice on each person whose name is included on the official service list. (d) Restricted service list. (1) For purposes of eliminating unnecessary expense or improving administrative efficiency, the Secretary, an office director, or the presiding officer may establish, by order, a restricted service list for an entire proceeding, a phase of a proceeding, one or more issues in a proceeding, or one or more cases in a consolidated proceeding. (2) Any restricted service list will contain the names of each person on the official service list, or the person's representative, who, in the judgment of the decisional authority establishing the list, is an active participant with respect to the proceeding or consolidated proceeding, any phase of the proceeding, or any issue in the proceeding, for which the list is established. (3) Any restricted service list is maintained in the same manner as, and in addition to, the official service list under paragraph (c) of this section. (4) Before any restricted service list is established, each person included on the official service list will be given notice of any proposal to establish a restricted service list and an opportunity to show why that person should also be included on the restricted service list or why a restricted service list should not be established. (5) Any designation of a person for service on a restricted service list may be changed by filing written notice with the Commission and serving that notice on each person whose name is on the applicable restricted service list. (e) Intervenors. If a motion to intervene or any notice of intervention is filed, the name, address and, for proceedings commenced on or after March 21, 2005, e-mail address of any person designated for service in the motion or notice are placed on the official service list or any applicable restricted service list, provided that such person has complied with paragraph (g) of this section. Any person placed on the official service list under this paragraph is entitled to service in accordance with this section. If a motion to intervene is denied, the name, address and e-mail address of each person designated for service pursuant to that motion will be removed from the official service list. (f) Methods of service. (1) Except as provided in paragraph (g) of this section, service of any document in proceedings commenced prior to March 21, 2005, must be made by: (i) Electronic means where the sender and recipient agree to such means; (ii) United States mail, first class or better; or (iii) Delivery in a manner that, and to a place where, the person on whom service is required may reasonably be expected to obtain actual and timely receipt. (2) Except as provided in paragraph (g) of this section, service of any document in proceedings commenced on or after March 21, 2005, must be made by electronic means unless the sender and recipient agree otherwise or the recipient's e-mail address is unavailable from the official service list, except in the case of a recipient who has secured a waiver under the provisions of §390.3 of this chapter, or is exempt under the provisions of §390.4 of this chapter, or in the case of a protected or confidential document the security of which might be jeopardized by electronic service, in which case service upon that recipient or of that document only shall be made by: (i) United States mail, first class or better; or (ii) Delivery in a manner that, and to a place where, the person on whom service is required may reasonably be expected to obtain actual and timely receipt. (3) Service of a document by electronic means shall be made by the transmission of a link to that document in the Commission's eLibrary system or by alternate means reasonably calculated to make the document available to required recipients. Alternate means may include but are not limited to, attachment of an electronic copy of the document to an e-mail or transmission of a link to an Internet site containing the document. It is the sender's responsibility to take reasonable steps to ensure that the means employed for service will be within the technological capabilities of the recipients. (g) Methods of Service by the Secretary. Service by the Secretary shall be made by electronic means, unless such means are impractical, in which case service shall be made by United States mail. (h) Electronic registration. In the case of proceedings commenced on or after March 21, 2005, any person, to be included on a service list, must have complied with the procedures for electronic registration made available on the Commission's Web site, at http://www.ferc.gov, unless such person has secured a waiver under the provisions of §390.3 of this Chapter, or is exempt under the provisions of §390.4 of this Chapter. (i) Timing of service. (1) Service is made under this section when the document served is deposited in the mail or is delivered in another manner. (2) Service of any document must be made not later than the date of the filing of the document. (3) In the case of a document served through a link to the Commission's eLibrary system, as specified in paragraph (f)(2) of this section, if a link to the document does not become available in eLibrary within two business days after the document is filed, the person responsible for serving the document must immediately serve the document by other means, as specified in paragraph (f)(1) or (f)(2) of this section. (j) Certification. (1) At the time any document required to be served is filed with the Commission, the original of a certificate of service must be attached to the document and a copy of the certificate must be attached to each copy of the document filed with the Commission. (2) The certificate of service must conform to the following format:
I hereby certify that I have this day served the foregoing document upon each person designated on the official service list [or the restricted service list, if applicable] compiled by the Secretary in this proceeding. Dated at this day of , 19 . (if applicable) (k) Designation of corporate officials to receive service. (1) Any entity subject to regulation by the Commission must designate at least one, but not more than two, corporate officials or other persons to receive service of complaints, petitions for declaratory order, show cause orders, data requests, investigatory letters or other documents where a person to receive service has not otherwise been designated under Commission regulations. Each entity must file with the Secretary of the Commission: (i) The name of the corporate official or person that is to receive service; (ii) The title of the corporate official or person, if applicable; (iii) The address of the corporate official or person, including, where applicable, department, room number, or mail routing code; (iv) The telephone number of the corporate official or person; (v) The facsimile number of the corporate official or person, if applicable; and (vi) The electronic mail address of the corporate official or person, if applicable. (2) Each regulated entity has a continuing obligation to file with the Secretary of the Commission updated information concerning the corporate official or person designated to receive service. (3) A list of corporate officials and persons designated to receive service pursuant to this paragraph will be maintained by the Secretary of the Commission and will be made available to the public in hard copy upon request and through the Commission's web site at http://www.ferc.gov. (4) Any person who wishes to serve a complaint or petition for declaratory order on any entity regulated by the Commission must serve the corporate official or person designated pursuant to this paragraph (i). (5) The Commission will serve show cause orders, data requests, investigatory letters or other documents on the corporate official or person designated under this paragraph (i). [Order 225, 47 FR 19022, May 3, 1982, as amended by Order 604, 64 FR 31496, June 11, 1999; Order 610, 64 FR 62582, Nov. 17, 1999; Order 647, 69 FR 32440, June 10, 2004; Order 653, 70 FR 8725, Feb. 23, 2005; 70 FR 21332, Apr. 26, 2005] (a) FERC Forms subject to the procedures provided in this section include: (1) FERC Form No. 2, Annual report for major natural gas companies. (2) FERC Form No. 2–A, Annual report for nonmajor natural gas companies. (3) FERC Form No. 8, Underground gas storage report. (4) FERC Form No. 11, Natural gas pipeline monthly statement. (5) FERC Form No. 14, Annual report for importers and exporters of natural gas. (6) FERC Form No. 1, Annual report of Major electric utilities, licensees and others. (7) FERC Form No. 6, Annual Report of Oil Pipeline Companies. (8) FERC Form No. 423, Monthly Report of Cost and Quality of Fuels for Electric Plants. (b) These procedures also apply to: (1) Material submitted electronically pursuant to §154.4 of this chapter. (2) Certificate and abandonment applications filed under subparts A, E, and F of part 157 of this chapter. (3) Blanket certificate applications filed under subpart G of part 284 of this chapter. (4) Discount rate reports filed pursuant to §284.7 of this chapter. (5) Non-discriminatory open access transmission tariffs filed pursuant to §35.28 of this chapter. (c) What to file. (1) Except as provided in paragraph (e) of this section, any filing of a schedule or an update described in paragraphs (a) or (b) of this section must be submitted on electronic media. (2) Electronic media suitable for Commission filings are listed in the instructions for each form and filings. Additionally, lists of suitable electronic media are available upon request from the Commission. (3) With the exception of the Form Nos. 1, 2, 2–A and 6, the electronic media must be accompanied by the traditional prescribed number of paper copies. (4) The formats for the electronic filing and the paper copy can be obtained at the Federal Energy Regulatory Commission, Public Reference and Files Maintenance Branch, Division of Information Services, Washington, DC 20426. (5) The subscription required by §385.2005(a) must state that the paper copies contain the same information as contained on the electronic media, that the signer knows the contents of the paper copies and electronic media, and that the contents as stated in the copies and on the electronic media are true to the best knowledge and belief of the signer. (d)(1) Where to file. The electronic media, the paper copies, and accompanying cover letter must be submitted to: Office of the Secretary, Federal Energy Regulatory Commission, Washington, DC 20426. (2) EDI data submissions must be made as indicated in the electronic filing instructions and formats for the particular form or filing, and the paper copies and accompanying cover letter must be submitted to: Office of the Secretary, Federal Energy Regulatory Commission, Washington, DC 20426. (e) Waiver—(1) Filing of petition. If a natural gas company, electric utility, licensee or other entity does not have and is unable to acquire the computer capability to file the information required to be filed on electronic media, the company may request waiver from the requirement of this part, by filing an original and two copies of a petition. The natural gas company, electric utility, licensee or other entity may renew the waiver if the company can continue to show that it does not have and is unable to acquire the computer capability for electric filing. (2) Standard for waiver. The petition for waiver must show that the natural gas company, electric utility, licensee or other entity does not have the computer capability to file the information required under this section on electronic media and that acquisition of the capability would cause the company severe economic hardship. This waiver may be granted for up to one year. (3) Timing. The petition for waiver must be filed by the date on which the information in the manner affected by the petition is required to be initially filed. (4) Decision on petition. The Commission or its designee will review a petition for waiver and notify the applicant of its grant or denial. Once the petition is decided, the natural gas company, electric utility, licensee or other entity will have 30 days from the date of notification of the decision to submit any information, in the manner specified by the Commission in the decision on the waiver petition, that was required to be filed while the petition was pending. [53 FR 15032, Apr. 27, 1988, as amended at Order 493–C, 54 FR 21199, May 17, 1989; Order 493–D, 58 FR 7987, Feb. 11, 1993; Order 554, 58 FR 38528, July 19, 1993; Order 574, 60 FR 1718, Jan. 5, 1995; Order 581, 60 FR 53074, Oct. 11, 1995; Order 888, 61 FR 21695, May 10, 1996; Order 639, 65 FR 20371, Apr. 17, 2000; Order 620, 65 FR 81344, Dec. 26, 2000; Order 622, 66 FR 67078, Dec. 28, 2001; Order 626, 67 FR 36096, May 23, 2002; Order 628, 68 FR 269, Jan. 3, 2003; Order 639–B, 69 FR 12540, Mar. 17, 2004] When a petition for review of an order issued by the Commission is filed in a United States Court of Appeals, a copy of the petition which has been stamped by the court with the date of filing must be mailed or hand delivered to the Office of the Secretary, Federal Energy Regulatory Commission, 825 North Capitol Street NE., Washington, DC 20426. If within ten days after issuance of the Commission order, the Office of the Secretary has physically received court-stamped copies of petitions for review of the same order, which petitions have been filed in two or more U.S. Courts of Appeals, the Commission will forward copies of those petitions to the Judicial Panel on Multidistrict Litigation pursuant to 28 U.S.C. 2112(a). [Order 504, 53 FR 37546, Sept. 27, 1988] Any person may file a videotape that portrays the site of, or some physical aspect of, an energy project, such as a waterfall or flood waters at the site of an existing or proposed hydroelectric project, or construction activities at the site of a natural gas pipeline. The filing must include a written statement describing the place, date, and time at which the videotape was filmed, who filmed it, what it purports to depict, and the caption and docket number of the proceeding (if any) in which it is to be filed. Any person who files a videotape and who is also a party (either as an applicant or as an intervenor) to a docketed proceeding in which the videotape is filed must file four copies of the videotape with the Commission's Secretary, in VHS format with voice-over or pictorial inclusion of the data contained in the accompanying written statement, serve copies of the videotape on all of the other parties to the proceeding, and include a certificate of service with the filing. [Order 573, 59 FR 63247, Dec. 8, 1994]
Title 18: Conservation of Power and Water Resources
PART 385—RULES OF PRACTICE AND PROCEDURE
Subpart T—Formal Requirements for Filings in Proceedings Before the Commission
§ 385.2001 Filings (Rule 2001).
§ 385.2002 Caption of filings (Rule 2002).
§ 385.2003 Specifications (Rule 2003).
§ 385.2004 Original and copies of filings (Rule 2004).
§ 385.2005 Subscription and verification (Rule 2005).
§ 385.2006 Docket system (Rule 2006).
§ 385.2007 Time (Rule 2007).
§ 385.2008 Extensions of time (Rule 2008).
§ 385.2009 Notice (Rule 2009).
§ 385.2010 Service (Rule 2010).
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Telephone No.____________________§ 385.2011 Procedures for filing on electronic media (Rule 2011).
§ 385.2012 Petitions for review of Commission Orders (Rule 2012).
§ 385.2013 Videotapes (Rule 2013).
