Application/Petition Definitions

This is a review by the Commission to determine whether an existing hydroelectric project at a specified site is a generating facility within the jurisdiction of the FERC and requires a license. Such a review may be initiated because of a change in status, in operation, a request from a state or federal environmental agency, or for any other reason. While hydropower projects normally are docketed with the prefix P to identify the permanent project number assigned by FERC, documents submitted prior to the issuance of a permit, license or exemption application may be docketed with the prefix UL, indicating the subject is an Unlicensed Project. While under review, no docket number may be assigned.

Approval of Change in Land and Water Rights

This is an application submitted by the holder of a hydropower license or exemption from licensing to authorize a sale, lease, easement or other assignment conveying land or water rights at the specified project to another party for non-project use. The licensee must obtain FERC approval to convey land or water rights for such purposes as commercial properties, recreational facilities, landfills, or easements for utilities or roads.

Complaints

Any person or legal entity may file a complaint seeking Commission action against any respondents alleged to be in violation of any statute, rule, order or other law administered by the Commission or other alleged wrong over which the Commission may have jurisdiction. The EL docket prefix is for Electric.

Waiver Request for Fees and Charges

This is a submittal by an applicant or the holder of a hydropower license or exemption, requesting the waiver of fee requirements or an exemption from the payment of assessed annual charges. A common example of such a request is a petition by a municipality that holds a hydropower license for an exemption from annual charges as a qualifying local government entity under the Omnibus Budget Reconciliation Act (OBRA).

Waiver Request for Regulations or Terms/Conditions

This is a submittal by an applicant or the holder of a hydropower license or exemption from licensing for the waiver of one or more specified regulations or from the terms and conditions specified in one or more license articles. A common example is the request for exemption from reporting requirements concerning recreational facilities when the project is not suitable for public recreational access.

Request For Interpretation

This is a pleading by a utility or other party usually addressed to the General Counsel, or the Chief Accountant, or an Office Director requesting a written (advisory) opinion or interpretation of the specific applicability of a statute or regulations to a described activity (non‑docketed), although some requests to Chief Accountant have an AI prefix, and in some instances the request references specific hydropower projects which are docketed under the project numbers.

Disposition of Facilities Filing

This is a document submitted by a utility for FERC approval of the sale, retirement or other disposition of equipment or facilities used in the generation or transmission of electric power. (EC docket prefix.)

Electric Transmission Services

This is a request filed by a utility or municipality petitioning the Commission to issue an order that would require a specific electric utility to provide transmission service to the applicant, pursuant to FERC regulations and procedures implementing the Energy Policy Act of 1992. (TX docket prefix.)

Exempt Wholesale Generator Request

This is a request by a utility for a determination by FERC that the utility is a wholesale generator of electric power qualifying for exemption from FERC regulatory jurisdiction under the requirements set by the Energy Policy Act of 1992 and its implementation regulations. (EG docket prefix.)

Allegation of Non-Compliance

This is a document submitted by FERC regional office staff, government agencies, organizations, or citizens alleging that a permittee, licensee, or exemptee is in noncompliance with the terms and conditions of its preliminary permit, license, or exemption. Additional submittals would include reports and correspondence from the permittee, licensee, or exemptee responding to requests from the staff regarding the alleged non-compliance. If the allegation is disputed, the permittee, licensee, or exemptee may submit material to support his position.

Federal Rate Filing

This is an application submitted to FERC requesting approval of rates by four Federal Power marketing agencies. There are two classes of application in the federal rate filing category. They are listed below.

This is a filing by a federal power agency (BPA, etc.) for FERC approval of a rate order promulgated by that agency. Usually filed with extensive supporting documentation. (EF docket prefix.)

This is a filing by an electric utility for FERC approval of rates for transmission of power obtained from a federal power agency (EF docket prefix).

Approval of Interlocking Positions

This is an application by an officer or a director of a utility subject to FERC jurisdiction for an authorization to hold concurrently a position as an officer or director of another utility or supplier of electrical equipment or financial institution legally empowered to engage in securities, bonds or other debt instrument transactions. It is also an application to amend prior approval to reflect change in positions or directorates, including termination or resignation from one or more positions. The application for authorization is submitted by the individual seeking approval of interlocking positions rather than by the utility, although such an application frequently is prepared by the utility or its agent. (ID docket prefix.)

Merger Filing

This is a document or materials submitted by one or more utilities concerning corporate mergers. Usually the filing has extensive supporting documentation. Merger filings also concern disposition of facilities, corporate refinancing, adoption and restructuring of rates etc. (EC docket prefix.)

Qualifying Facility Application

This is a document submitted by the owner/operator or agent of a cogeneration or small power production facility requesting that the facility be certified as one having qualifying status under the provisions of Section 210 of the Public Utility Regulatory Policies Act (PURPA) or notifying the Commission of self‑certification by virtue of the qualifying status of the facility. Qualifying Status exempts small power production facilities from certain Federal and State regulations and requires electric utilities to purchase their electric outputs. Commission certification is not mandatory, but an owner/operator may elect to apply for qualifying status because qualification exempts small power facilities from certain federal and state regulations and meets PURPA conditions that require utilities to purchase electric power produced by a cogeneration or small power production facility. Commission certification also helps to resolve disputes and uncertainties. (QF docket prefix.)

Electric Rate Filing

This is a document or materials, voluntarily submitted with extensive validation, filed for the purpose of obtaining FERC approval of rates or tariffs for the transmission of electric energy in interstate commerce or the sale of electric energy at wholesale for resale in interstate commerce.

A rate filing document may be an application for approval of an initial rate schedule or for changes in the rates and/or terms of an existing, approved rate schedule. A rate schedule filing seeks approval of rates and terms for service to or interchanged with a specified party or parties. Once approved, an initial rate schedule has a numerical designation. An approved change has a numerical designation as a supplemental to the rate schedule.

A rate filing document also may be an application for approval of a tariff or of changes to a tariff, which is submitted in the form of individual replacement or additional tariff sheets modifying the tariff. A tariff is a compendium or catalog setting for the rates, terms, types of service being offered to the prospective buyer, and is composed of tariff sheets specifying terms for a application type of service. Tariff filings range from an application for initial approval of general rates or a general rate change, in which case an original or revised tariff volume may be submitted, to a partial change in the form of a single tariff sheet.

A rate filing may also be submitted by a transmittal letter forwarding an executed service agreement. A service agreement is a contract between a utility and another party that has agreed to and accepts service under the terms offered in the utility's tariff.

Compliance Electric Rate Filing

This is a rate filing as described above, that involves the filing of changes in electric rate schedules and tariffs, pursuant to a Commission order or a Commission opinion.

Security Issuances

These are applications or requests filed by a utility to obtain FERC approval for the negotiation and transaction of securities (stock issuances, bond, commercial paper, other debt instruments, etc.). An application for approval of a securities transaction frequently is submitted with extensive documentation. (ES docket prefix.)

Utility Accounting Request

This is a request frequently accompanied by supporting documentation submitted by a utility requesting FERC approval of journal entries (depreciation, etc.) or FERC consent to the adoption by the utility of specific accounting procedures with such approval or consent request from the Office of the Chief Accountant (OCA). (AC docket prefix.)

Compliance Electric Refund Report

These reports may be required as the result of the summary disposition of a portion of a utility's filing by the Commission; however, compliance refund reports are generally the last step of a formal electric rate proceeding. A public utility whose proposed increased rates or charges were suspended shall refund at such time in such amounts and in such manner as required by final order of the Commission that portion of any increased rates or charges found by the Commission not to be justified, together with interest. A public utility whose proposed increased rates or charges were replaced by settlement shall refund that portion of any increased rates or charges in excess of the settlement rates together with interest. (Sub-docketed under the docket that orders compliance.)

Declaration of Intent

An application is required to be submitted by any party who is planning to develop a hydroelectric project at a specified site to provide the Commission with sufficient detailed information to determine whether the proposed facility is within the Commission's jurisdiction. A project is required to be licensed or exempted if it will be located in navigable waters; or if it will be located on public lands; or if it will be using surplus water or waterpower from a government dam; or if it will affect interstate or foreign commerce, construction occurred after 1935, and will be located on a Commerce Clause waterway. Such proposed projects are docketed with the prefix DI, although projects in this category prior to late March 1994 were docketed with the prefix EL.

Application for Preliminary Permit

This is a document submitted by any party intending to seek eventual licensing or exemption from licensing of a hydropower project at a specified site under the hydropower jurisdiction of the Commission. Filing an application for a preliminary permit application is not a necessary precondition to applying for a license or exemption from licensing, but is an option that a prospective applicant may elect in order to establish a priority position over other subsequent proposals to develop the site. During the term of a preliminary permit, permittee evaluates the feasibility of the project and undertakes the studies necessary to support a license application. A complete application for a preliminary permit includes a project description, study plan, cost and financing statement, project maps and related documentation.

A competing application for a permit for a specific site may be submitted within a specified deadline. Once a preliminary permit is issued, no other party may file for a competitive permit, license, or exemption for the same water resource for the duration of the permit.

Exemption from License—Conduit/5MW

This is a submittal by any party for an exemption from licensing requirements under the Federal Power Act for a hydropower project, where the facilities are on non-Federal lands and the project uses an existing conduit constructed primarily for a purpose other than the generation of electric hydropower. A complete application includes a description of the project, conduit facility, and proposed mode of operations; environmental report; project maps; design drawings; and supporting documentation. Conduit exemption is less than or equal to 15 MW for non-municipal hydro and 40 MW for municipal. Conduit applicant must control or own lands located entirely on non-federal lands. Conduit exemption utilizes potential of a conduit and does not rely on construction of a dam and is not a integral part of a dam. An Exemption from License—Small Hydroelectric Project is a submittal by any party for an exemption from licensing requirements under the Federal Power Act for a hydropower project at an existing dam or natural water feature that has a generating capacity of 5 MW or less and proposes to install capacity or increase capacity. A complete application includes a description of the project, proposed method of operations, project maps, design drawings, and supporting documentation. An existing dam is one whose construction was completed on or before 4/20/77 and which does not require any more construction or enlargement of the impoundment structures that is not operated or owned by US federal government. The exempted project includes any associated dam and reservoir and can occupy federal lands.

Application for Transmission Line License

This is a submittal for a license to authorize the construction, and maintenance of a transmission line to transmit hydroelectric power from a licensed water power project or other hydro project authorized by the Congress to the point of junction with the distribution system or with the interconnected primary transmission system. Transmission lines that are primary for hydropower projects are licensed as part of the electric project. When the company owning the transmission line license is different from the electric project licensee, an application for transmission line license may be submitted.

License/Relicense Application

This is a submittal to obtain a license to construct, operate, and maintain a non-federal hydropower project under the jurisdiction of the Commission. The license states the terms and conditions under which the project is to be operated. A license application also may be filed for an existing operating project.

Hydropower license applications are classified on the bases of generating capacity as either Major or Minor. A major license is for a project generating over 1.5 MW. Both major or minor license applications are also classified on the basis of whether the project is at a constructed or unconstructed dam.

A third basis for distinguishing a license application is whether the application is for an initial license, or is for the renewal of an existing license. A license issued by FERC extends for a period of no more than 50 years. Upon the license expiration, the project may be acquired by the federal government, or relicensed to the initial licensee or to another party. Relicensing of a project involves the same basic procedures as the initial license application.

Despite such categorical distinctions as existing versus new capacity, major or minor project, new license or relicensing etc., the licensing process is essentially the same and requires agency consultation, environmental assessment, approval of plans, technical specifications and design reports, schedules and financial information. Submittals by the applicant of such documents are part of the license application. In addition to the initial license application, typically the applicant will submit numerous supplements, revisions, amendments and supporting documentation.

There are standard exhibits that are required for a license application, each providing specific categories of information, ranging from Exhibit A: Project Description, to Exhibit G: Maps of Project location. The license exhibits are frequently submitted subsequent to the initial license application or are submitted as supplements or revisions to the original exhibits.

Within the licensing process, a Better Adapted Statement is a submittal required of competing applicants for a hydropower license at a specified site. The statement attempts to explain why the applicant's proposal for development of the project is superior to competing applications, with reference to such criteria as hydropower generation, recreation, environment, etc.

Petition For Declaratory Order

This is a petition requesting the issuance of an order or ruling on jurisdictional issues where uncertainty, ambiguity, or controversy exists. The petition may seek an interpretation of a party's rights or obligations under contracts, statutes, rules, regulations, or orders. Pleadings filed in the form of petitions for declaratory orders which seek more than a mere interpretive ruling (particularly those involving alleged rate schedule violations) are treated, instead, as formal complaints. The EL docket prefix is for Electric.

Surrender

This is an application by the holder to surrender a license, exemption from licensing, or preliminary permit. The application to surrender must be approved by FERC. An order approving surrender may have terms and conditions attached to it.

Application to Amend License or Exemption

This is a submittal by the holder of a hydropower license or exemption from licensing to amend one or more articles of the existing license or exemption or to request authorization to modify project structures, operations, installed capacity, or boundary. Also, a filing made in response to a term and condition of the license may amend the license. The same applies to an exemption. Frequently, such an application is initiated by the licensee to authorize changes or deviations from the initial design and specifications in the construction of the project or to modify an operating project. In some instances, the application to amend the license is submitted in response to a determination by FERC of a discrepancy between the terms and conditions specified in the license and the actual construction or operation of the project.

Transfer of Hydropower License or Exemption

This is a submittal by the holder of a hydropower license or exemption requesting authorization to transfer ownership of the license or exemption to another party or to reflect corporate reorganization or changes in ownership. Such an application must be submitted jointly by the licensee and the party who will become the licensee. A license transfer may also add or eliminate a second party as joint licensee. Since the license grants rights to operate a hydropower project, a change in ownership of project property does not necessarily mean a transfer of the license. Similarly, the conveyance or assignment of land and water rights at a project site may not require a transfer or change of the license.

Abandonment of Service or Facilities

This is an application for authorization to abandon the sale and/or transportation of natural gas or to abandon facilities used in the production, gathering or transmission of natural gas. The procedures for abandonment of service or facilities reflect changes initiated by the Natural Gas Policy Act (NGPA) whose primary objective was a phased approach of deregulating the industry resulting in a gradual decrease of the scope of FERC jurisdiction.

Applications for abandonment frequently are submitted by a producer with an accompanying notice of partial or complete cancellation of a related gas rate schedule. The document type includes corrections, revisions, amendments or additional information or materials submitted to supplement an abandonment application. The relevant docket prefixes are G, CI, CP, and CS.

Certificate Of Public Convenience and Necessity

This is an application for a certificate of public convenience and necessity, a blanket certificate, authorization of natural gas transactions or facilities under a certificate previously issued by the Commission. Certificates are classified on the basis of an applicant's status as natural gas pipeline or producer. Producer certificates are differentiated on the basis of scale as independent natural gas producers or small independent producers.

The application process for a certificate of public convenience and necessity, or for a blanket certificate, or for FERC review of a self-implementing transaction or prior notice filing, usually involves the subsequent submittal of supplemental information and materials. The relevant docket prefixes are G, CP, CS, GP and CI.

Gas Tariff Filing

This is an application by an oil pipeline for FERC approval of a tariff or an application by an interstate pipeline or transmission company for the approval of rates applicable to the transportation or sale of natural gas. Applications for approval of oil pipeline rates are made by the submittal of the tariff sheets for which FERC approval is sought. Gas rate applications also are affected by the submittal of tariff sheets, a petition for approval of transportation rates, filing of an initial billing or rate change statement (Form 559), a notice of a change or cancellation of a rate schedule or the submittal of contracts, contract amendments and letter agreements effecting a change in rates for service or sales authorized under certificate or blanket certificate authority.

Revisions, corrections, amendments, and supplements to rate applications also are included in this document type. The relevant docket prefixes are ST, TF, GT, CI, CP, CS, FS, IS, PR, RP, GP, OR, MT, and G.

Waiver of Filing Fee

This is a petition of request for waiver of the fee assessed by FERC for the filing of an application for authorization of activities within the jurisdiction of the Commission. An application for refund of a filing fee is considered an application for waiver. Certain statutes permit and require FERC to assess filing fees and to grant waiver of the fee in some circumstances.

Waiver of Oil or Gas Regulation

This is a request by a natural gas company (holder of certificate or other reporting (filing) party) for waiver of requirements imposed by statute or FERC regulations and/or orders such as, the equipment to report activities or transactions by the company in a specific time period.

Financial Audit Refund Report

This is a refund report filed pursuant to a previous financial audit.

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