Submittals are a general category of documents and other materials addressed to the Commission officers or offices, filed with the Office of the Secretary, or otherwise delivered to the Commission.
The links below will provide you with information about specific types of submittals.
Affirmation
Agreement/Understanding/Contract
Appellate Court Ruling
Applicant Correspondence
Application/Petition/Request
Briefing/Arguments of Law
Comment/Protest
Deposition Document
Exhibit
Intervention
Litigation Correspondence
Other Submittals
Pleading/Motion
Report/Form
Status Report
Subpoena
Testimony
Top Sheet
This is a document defining and describing the nature and content of an agreement between two or more parties on a subject or in a proceeding within FERC jurisdiction. There are four types of documents within this class.
To see definitions of individual Agreement/Understanding/Contact types, click here.
This is a class of documents consisting of all applications, requests by an electric utility for approval of an action subject to FERC jurisdiction, and all other filings petitioning FERC to exercise its regulatory authority. An application or request may be filed by a utility, individual, corporation, organization, or government agency.
To see definitions of individual Application/Petition types, click here.
This is a document or material that has been certified as evidence that is part of the formal record in a proceeding before an ALJ or the Commission. This exhibit has been stamped with a numerical designation, with entries specifying the date the exhibit was identified, and the date it was accepted, rejected, or withdrawn.
To see definitions of individual Exhibit types, click here.
This is a request or notice written for the purpose of becoming a party to a proceeding before the Commission. There are three types of documents within the intervention class of documents.
To see definitions of individual Intervention types, click here.
This is a letter or other communication between parties or between parties and an ALJ or the Commission concerning matters in litigation. Litigation correspondence discusses issues or matters apart from the formal record of the proceeding, in such examples as letters urging disposition be expedited or delayed.
This is a document submitted in a proceeding before an ALJ, the Commission or an appellate court for purposes such as to enter evidence to the record of the proceeding or to seek a ruling or directive concerning the scope, procedures or schedule for the proceeding. The following types of documents are in the motions/pleading class.
To see definitions of individual Pleading Motion types, click here.
This is an order issued by the presiding ALJ (normally prepared by one of the parties in litigation) requiring an organization or individual to appear and/or produce specified records.
This is a sworn statement or verbatim record of testimony submitted in support of an application in a docketed proceeding or offered as evidence in a proceeding in litigation before the Commission. Testimony often is submitted with supporting exhibits which are considered attachments to the testimony and are not processed in the eLibrary system as separate documents. They are only considered to be exhibits when they have been identified, accepted and certified to the record.
To see definitions of individual Testimony types, click here.
This is a general class of documents submitted by electric utilities to provide documentation of compliance with FERC regulations, or to submit periodic data on a range of regulatory topics such as corporate finance, market information, fees and charges, refund obligation, etc.
A report is a document or other material, including photographs, graphics, audio, video and electronic filings, submitted by the principal party or designated agent to comply with terms and conditions specified in the licensing instrument, or in compliance with Commission orders or regulations concerning the operation of a hydropower facility subject to FERC jurisdiction.
This class of documents includes various annual reports, periodic and incidental compliance reports, and the Part 12 inspection report and the supplemental and subsequent compliance filings required for final Part 12 acceptance. Statements submitted for the determination of annual charges are classified as hydropower reports. This excludes the submittal of technical data, drawings, design documents or other supporting documentation that are required components of a licensing application.
The general class of reports includes not only the initial report or compliance filing, but also contains correspondence from the licensee or principal party concerning a compliance filing, such as an explanation of delay, request for additional time to complete a response or meet a compliance date, or to request a delay in Commission action relative to a reporting requirement of the license or exemption or of FERC regulation.
To see definitions of individual Report Form types, click here.
This is a class of documents that do not relate directly to the docketed regulation of the Commission. This is a general class of documents consisting of comments, inquiries, informational letters, and other correspondence and materials submitted by external parties other than licensing applicants or licensees, exemptees, or permittees. The class of other submittals includes letters and correspondence by such external parties that concern specific proposed or existing hydropower projects or are related to general matters and issues involving the exercise of regulation of the hydropower industry, including rulemaking proposals.
To see definitions of individual Other Submittals types, click here.
This is a type of document filed by an electric utility or its agent in support of a prior application or request for approval of an activity that requires Commission action, such as a rate filing, qualifying facility application, etc. Applicant correspondence is a subsequent document related to the initial filing, usually as a response to a FERC deficiency letter or to a request for additional information, and is designated by the docket number assigned to the initial filing.
To see definitions of individual Applicant Correspondence types, click here.
This is a report to the presiding ALJ or to the Commission by a party to a proceeding in litigation, usually in response to a request or directive from the ALJ or the Commission. Most frequently, such a report concerns the status of settlement negotiations, but such a report may be requested as to the status of discovery, responsive briefs, matters of procedural schedules, etc.
This is a document prepared by FERC staff or staff counsel summarizing staff's position on a case being considered before an ALJ.
This is a written oath, sworn statement or certification attesting to the authenticity of a document or affirming that a specified actions has occurred. There are three types of documents within this class.
To see definitions of individual Affirmation types, click here.
This is an order promulgated by any of the 12 US Courts of Appeal or by the US Supreme Court in a proceeding which has been docketed on appeal of an order of the Commission.
This is a formal legal pleading before an ALJ or the Commission, stating issues, facts, positions, relevant law, proposed remedy etc. There are three types of documents in the briefings class.
To see definitions of individual Briefing/Arguments of Law types, click here.
This consists of a review, analysis, and comment on an application, report or other regulatory matter in a proceeding before the Commission. Also, a formal written statement of position expressing the views and supporting arguments of a party on a matter in litigation before an Administrative Law Judge (ALJ) or the Commission, or on a proposed settlement pending in proceedings before an ALJ or the Commission.
To see definitions of individual Comment/Protest types, click here.
This is a document class initiating the discovery process in which one party in a proceeding deposes or takes answer or responses under oath to questions addressed orally, or states objection to the taking of a deposition, or provides a written transcribed record of the deposition/interview. There are three types of deposition documents.
To see definitions of individual Deposition Document types, click here.