Title 18:
Conservation of Power and Water Resources
PART 385RULES OF PRACTICE AND PROCEDURE
Subpart BPleadings, Tariff and Rate Filings,
Notices of Tariff or Rate Examination, Orders To Show Cause, Intervention,
and Summary Disposition
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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;
(3) Set forth the business, commercial, economic or other issues
presented by the action or inaction as such relate to or affect the
complainant;
(4) Make a good faith effort to quantify the financial impact or burden
(if any) created for the complainant as a result of the action or
inaction;
(5) Indicate the practical, operational, or other nonfinancial impacts
imposed as a result of the action or inaction, including, where
applicable, the environmental, safety or reliability impacts of the action
or inaction;
(6) State whether the issues presented are pending in an existing
Commission proceeding or a proceeding in any other forum in which the
complainant is a party, and if so, provide an explanation why timely
resolution cannot be achieved in that forum;
(7) State the specific relief or remedy requested, including any
request for stay or extension of time, and the basis for that relief;
(8) Include all documents that support the facts in the complaint in
possession of, or otherwise attainable by, the complainant, including, but
not limited to, contracts and affidavits;
(9) State
(i) Whether the Enforcement Hotline, Dispute Resolution Service,
tariff-based dispute resolution mechanisms, or other informal dispute
resolution procedures were used, or why these procedures were not
used;
(ii) Whether the complainant believes that alternative dispute
resolution (ADR) under the Commission's supervision could successfully
resolve the complaint;
(iii) What types of ADR procedures could be used; and
(iv) Any process that has been agreed on for resolving the
complaint.
(10) Include a form of notice of the complaint suitable for publication
in theFederal Registerin accordance with the specifications
in 385.203(d) of this part. The form of notice shall be on electronic
media as specified by the Secretary.
(11) Explain with respect to requests for Fast Track processing
pursuant to section 385.206(h), why the standard processes will not be
adequate for expeditiously resolving the complaint.
(c) Service. Any person filing a complaint must serve a copy of
the complaint on the respondent, affected regulatory agencies, and others
the complainant reasonably knows may be expected to be affected by the
complaint. Service must be simultaneous with filing at the Commission for
respondents. Simultaneous or overnight service is permissible for other
affected entities. Simultaneous service can be accomplished by electronic
mail in accordance with 385.2010(f)(3), facsimile, express delivery, or
messenger.
(d) Notice. Public notice of the complaint will be issued by the
Commission.
(e) Privileged treatment. (1) If a complainant seeks privileged
treatment for any documents submitted with the complaint, the complainant
must submit, with its complaint, a request for privileged treatment of
documents and information under section 388.112 of this chapter and a
proposed form of protective agreement. In the event the complainant
requests privileged treatment under section 388.112 of this chapter, it
must file the original and three copies of its complaint with the
information for which privileged treatment is sought and 11 copies of the
pleading without the information for which privileged treatment is sought.
The original and three copies must be clearly identified as containing
information for which privileged treatment is sought.
(2) A complainant must provide a copy of its complaint without the
privileged information and its proposed form of protective agreement to
each entity that is to be served pursuant to section 385.206(c).
(3) The respondent and any interested person who has filed a motion to
intervene in the complaint proceeding may make a written request to the
complainant for a copy of the complete complaint. The request must include
an executed copy of the protective agreement and, for persons other than
the respondent, a copy of the motion to intervene. Any person may file an
objection to the proposed form of protective agreement.
(4) A complainant must provide a copy of the complete complaint to the
requesting person within 5 days after receipt of the written request that
is accompanied by an executed copy of the protective agreement.
(f) Answers, interventions and comments. Unless otherwise
ordered by the Commission, answers, interventions, and comments to a
complaint must be filed within 20 days after the complaint is filed. In
cases where the complainant requests privileged treatment for information
in its complaint, answers, interventions, and comments are due within 30
days after the complaint is filed. In the event there is an objection to
the protective agreement, the Commission will establish when answers will
be due.
(g) Complaint resolution paths. One of the following procedures
may be used to resolve complaints:
(1) The Commission may assign a case to be resolved through alternative
dispute resolution procedures in accordance with 385.604385.606, in
cases where the affected parties consent, or the Commission may order the
appointment of a settlement judge in accordance with 385.603;
(2) The Commission may issue an order on the merits based upon the
pleadings;
(3) The Commission may establish a hearing before an ALJ;
(h) Fast Track processing. (1) The Commission may resolve
complaints using Fast Track procedures if the complaint requires
expeditious resolution. Fast Track procedures may include expedited action
on the pleadings by the Commission, expedited hearing before an ALJ, or
expedited action on requests for stay, extension of time, or other relief
by the Commission or an ALJ.
(2) A complainant may request Fast Track processing of a complaint by
including such a request in its complaint, captioning the complaint in
bold type face COMPLAINT REQUESTING FAST TRACK PROCESSING, and
explaining why expedition is necessary as required by section
385.206(b)(11).
(3) Based on an assessment of the need for expedition, the period for
filing answers, interventions and comments to a complaint requesting Fast
Track processing may be shortened by the Commission from the time provided
in section 385.206(f).
(4) After the answer is filed, the Commission will issue promptly an
order specifying the procedure and any schedule to be followed.
(i) Simplified procedure for small controversies. A simplified
procedure for complaints involving small controversies is found in section
385.218 of this subpart.
(j) Satisfaction. (1) If the respondent to a complaint satisfies
such complaint, in whole or in part, either before or after an answer is
filed, the complainant and the respondent must sign and file:
(i) A statement setting forth when and how the complaint was satisfied;
and
(ii) A motion for dismissal of, or an amendment to, the complaint based
on the satisfaction.
(2) The decisional authority may order the submission of additional
information before acting on a motion for dismissal or an amendment under
paragraph (c)(1)(ii) of this section.
[Order 225, 47 FR 19022, May 3, 1982, as amended by Order 602, 64 FR
17097, Apr. 8, 1999; Order 602A, 64 FR 43608, Aug. 11, 1999; Order 647,
69 FR 32440, June 10, 2004]
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