Federal Energy Regulatory Commission The FERC Regulatory Process Dennis H. Melvin, Esq. Director –...
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![Page 1: Federal Energy Regulatory Commission The FERC Regulatory Process Dennis H. Melvin, Esq. Director – Legal Division (OAL) Federal Energy Regulatory Commission.](https://reader033.fdocuments.net/reader033/viewer/2022051215/56649e9e5503460f94ba097f/html5/thumbnails/1.jpg)
Federal Energy Regulatory Commission
The FERC Regulatory Process
Dennis H. Melvin, Esq.
Director – Legal Division (OAL)
Federal Energy Regulatory Commission
Washington, DC
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August 9, 2005 FERC Regulatory Process 2
Federal Energy Regulatory Commission
Question
•How does FERC decide what a utility can charge and what goes into a tariff?
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August 9, 2005 FERC Regulatory Process 3
Federal Energy Regulatory Commission
How Does FERC Regulate?
• Industry-wide Decisions– Notice of Inquiry (NOI)– Notice of Proposed Rulemaking (NOPR)– Final Rule or Policy Statement
• Company Specific Decisions– Applications (rate increase, change in a term or
condition of a contract, etc.) or complaints filed by utilities, customers, interested parties or state commissions
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August 9, 2005 FERC Regulatory Process 4
Federal Energy Regulatory Commission
Company Specific Decisions
• Application or complaint filed
• Filing is publicly noticed
• Staff analysis and recommendation to the Commission (tight deadlines)
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August 9, 2005 FERC Regulatory Process 5
Federal Energy Regulatory Commission
• Commission action– Decide merits of case without further
procedures
– Hold a technical conference or call for more written information
– Hold trial-type hearing before an Administrative Law Judge
Company Specific Decisions (con’t)
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August 9, 2005 FERC Regulatory Process 6
Federal Energy Regulatory Commission
OAL• Represents the public interest• Only unbiased party• The results we seek:
– Lowest rates consistent with a well-run utility
– Non-discriminatory treatment for all customers
– Opportunity for utility to earn a fair return and compete
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August 9, 2005 FERC Regulatory Process 7
Federal Energy Regulatory Commission
Settlements Are Important
• Prevents the legal system from being overloaded
• Settlement allows for faster resolution of disputes
• Parties are usually happier with a settlement
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August 9, 2005 FERC Regulatory Process 8
Federal Energy Regulatory Commission
Adjudication Milestones
• 1. Judge assigned and Procedural Track set• 2. Prehearing/Discovery• 3. Prepared Testimony• 4. Pre Trial Brief• 5. Hearing• 6. Initial and Reply Briefs• 7. Initial Decision • 8. Exceptions Briefs• 9. Commission Order & Rehearing
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August 9, 2005 FERC Regulatory Process 9
Federal Energy Regulatory Commission
Milestone One
• The Chief Judge will:– Assign an Administrative Law Judge to the
case– May indicate a deadline for decision
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August 9, 2005 FERC Regulatory Process 10
Federal Energy Regulatory Commission
Milestone Two• Prehearing Conference
– Conducted by Presiding Judge assigned– Scope and timetable to be determined– Settlement urged, Trial Staff available
• Discovery– Discovery concerns raised with ALJ– Procedures established– Wide range of options
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August 9, 2005 FERC Regulatory Process 11
Federal Energy Regulatory Commission
Discovery
• Information regularly filed with the agency
• Written questions and answers
• Subpoenas available– Necessary if non-party data required– Nationwide reach
• Depositions, Inspections, Audits
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August 9, 2005 FERC Regulatory Process 12
Federal Energy Regulatory Commission
Protective Orders
• Intent is to safeguard confidential information
• Order describes how confidential data is to be handled
• Issued by the Judge
• Everyone must sign and agree to its terms
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August 9, 2005 FERC Regulatory Process 13
Federal Energy Regulatory Commission
Milestone Three
• Prepared Testimony– Prefiled before the hearing– May contain confidential information and
need special handling– May be electronically filed– Several rounds
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August 9, 2005 FERC Regulatory Process 14
Federal Energy Regulatory Commission
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August 9, 2005 FERC Regulatory Process 15
Federal Energy Regulatory Commission
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August 9, 2005 FERC Regulatory Process 16
Federal Energy Regulatory Commission
Milestone Four
• Pre Trial Brief– Includes the theory of the case– Evidence to be presented– Summary of witnesses’ testimony – Description of exhibits– Legal foundation and precedent– Weaknesses in presentations of others
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August 9, 2005 FERC Regulatory Process 17
Federal Energy Regulatory Commission
Milestone Five• Hearing
– Can last one day to many months– Witnesses sworn, direct testimony and
exhibits admitted, then cross-examination– Confidential testimony requires special
procedures– Written transcript made – Judge ultimately decides admissibility of
evidence
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August 9, 2005 FERC Regulatory Process 18
Federal Energy Regulatory Commission
A Hearing Room at the FERC
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August 9, 2005 FERC Regulatory Process 19
Federal Energy Regulatory Commission
Another Hearing Room
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August 9, 2005 FERC Regulatory Process 20
Federal Energy Regulatory Commission
Milestone Six
• Initial and Reply Briefs– Dates set by Presiding ALJ– Simultaneous unless ordered otherwise– Must not discuss evidence outside of the
record
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August 9, 2005 FERC Regulatory Process 21
Federal Energy Regulatory Commission
Milestone Seven
• Initial Decision – Usually summarizes evidence and
arguments– Published in FERC Reports– Certified to Commission with the record– Always subject to Commission review
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August 9, 2005 FERC Regulatory Process 22
Federal Energy Regulatory Commission
Milestone Eight
• Briefs On and Opposing Exceptions– 30 days after ID, 20 days thereafter– Must be less than 100 pages
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August 9, 2005 FERC Regulatory Process 23
Federal Energy Regulatory Commission
Milestone Nine• Commission Order & Rehearing
– No deadlines on Commission action on Judge’s ruling
– Published in FERC Reports– Rehearing request must be filed within 30
days– Further appeals can be made to the court
system
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August 9, 2005 FERC Regulatory Process 24
Federal Energy Regulatory Commission
Thank you for your attention !
• Dennis H. Melvin, Esq.» Director, Legal Division» Office of Administrative Litigation» Federal Energy Regulatory Commission» 888 First Street, NE» Washington, DC 20426» (202) 502-8042 : Phone» (202) 208-0188 : FAX» [email protected]