18 CFR 385.604 - Alternative means of dispute resolution (Rule 604).

§ 385.604 Alternative means of dispute resolution (Rule 604).


(1) Participants may, subject to the limitations of paragraph (a)(2) of this section, use alternative means of dispute resolution to resolve all or part of any pending matter if the participants agree. The alternative means of dispute resolution authorized under subpart F of this part will be voluntary procedures that supplement rather than limit other available dispute resolution techniques.

(2) Except as provided in paragraph (a)(3) of this section, the decisional authority will not consent to use of an

alternative dispute resolution
proceeding if:

(i) A definitive or authoritative resolution of the matter is required for precedential value;

(ii) The matter involves or may bear upon significant questions of policy that require additional procedures before a final resolution may be made, and the proceeding would not likely serve to develop a recommended policy;

(iii) Maintaining established policies is of special importance;

(iv) The matter significantly affects persons or organizations who are not parties to the proceeding;

(v) A full public record of the proceeding is important, and a dispute resolution proceeding cannot provide a record; or

(vi) The Commission must maintain continuing jurisdiction over the matter with authority to alter the disposition of the matter in the light of changed circumstances, and a dispute resolution proceeding would interfere with the Commission's fulfilling that requirement.

(3) If one or more of the factors outlined in paragraph (a)(2) of this section is present,

alternative dispute resolution
may nevertheless be used if the
alternative dispute resolution
proceeding can be structured to avoid the identified factor or if other concerns significantly outweigh the identified factor.

(4) A determination to use or not to use a dispute resolution proceeding under subpart F of this part is not subject to judicial review.

(5) Settlement agreements reached through the use of

alternative dispute resolution
pursuant to subpart F of this part will be subject to the provisions of Rule 602, unless the decisional authority, upon motion or otherwise, orders a different procedure.

(b)Definitions. For the purposes of subpart F of this part:

(1)Alternative means of dispute resolution means any procedure that is used, in lieu of an adjudication, to resolve issues in controversy, including but not limited to, settlement negotiations, conciliation, facilitation, mediation, factfinding, minitrials, and arbitration, or any combination thereof;

(2)Award means any decision by an arbitrator resolving the issues in controversy;

(3)Dispute resolution communication means any oral or written communication prepared for the purposes of a dispute resolution proceeding, including any memoranda, notes or work product of the neutral, parties or non-party participant. A written agreement to enter into a dispute resolution proceeding, or a final written agreement or arbitral award reached as a result of a dispute resolution proceeding, is not a dispute resolution communication;

(4)Dispute resolution proceeding means any alternative means of dispute resolution that is used to resolve an issue in controversy in which a neutral may be appointed and specified parties participate;

(5)In confidence means information is provided:

(i) With the expressed intent of the source that it not be disclosed, or

(ii) Under circumstances that create a reasonable expectation on behalf of the source that the information will not be disclosed;

(6)Issue in controversy means an issue which is or is anticipated to be material to a decision in a proceeding before the Commission and which is the subject of disagreement between participants who would be substantially affected by the decision or between the Commission and any such participants;

(7)Neutral means an individual who, with respect to an issue in controversy, functions specifically to aid the parties in resolving the controversy;

(8)Participants in a dispute resolution proceeding that is used to resolve an issue in controversy in a proceeding involving an application for a license or exemption to construct, operate, and maintain a hydroelectric project pursuant to the

Federal Power Act
or the Public Utility Regulatory Policies Act shall include such state and federal agencies and Indian tribes as have statutory roles or a direct interest in such hydroelectric proceedings.


(1) A neutral may be a permanent or temporary officer or employee of the Federal Government (including an administrative law judge), or any other individual who is acceptable to the participants to a dispute resolution proceeding. A neutral must have no official, financial, or personal conflict of interest with respect to the issues in controversy, except that a neutral who is not a government employee may serve if the interest is fully disclosed in writing to all participants and all participants agree.

(2) A neutral serves at the will of the participants, unless otherwise provided.

(3) Neutrals may be selected from among the Commission's administrative law judges or other employees, from rosters kept by the

Federal Mediation and Conciliation Service
, the
Administrative Conference of the United States
, the American Arbitration Association, or from any other source.

(d)Submission of proposal to use alternative means of dispute resolution.

(1) The participants may at any time submit a written proposal to use alternative means of dispute resolution to resolve all or part of any matter in controversy or anticipated to be in controversy before the Commission.

(2) For matters set for hearing under subpart E of this part, a proposal to use alternative means of dispute resolution must be filed with the presiding administrative law judge.

(3) For all other matters, a proposal to use alternative means of dispute resolution may be filed with the Secretary for consideration by the appropriate decisional authority.

(4) The appropriate decisional authority will issue an order, approving or denying, under the guidelines in Rule 604(a) (2) and (3), a proposal to use alternative means of dispute resolution. Denial of a proposal to use

alternative dispute resolution
will be in the form of an order and will identify the specific reasons for the denial. A proposal to use
alternative dispute resolution
is deemed approved unless an order denying approval is issued within 30 days after the proposal is filed.

(5) Any request to modify a previously-approved ADR proposal must follow the same procedure used for the initial approval.

(e)Contents of proposal. A proposal to use alternative means of dispute resolution must be in writing and include:

(1) A general identification of the issues in controversy intended to be resolved by the proposed

alternative dispute resolution

(2) A description of the

alternative dispute resolution
method(s) to be used,

(3) The signatures of all participants or evidence otherwise indicating the consent of all participants; and

(4) A certificate of service pursuant to Rule 2010(h).

(f)Monitoring the

alternative dispute resolution
proceeding. The decisional authority may order reports on the status of the
alternative dispute resolution
proceeding at any time.

[Order 578, 60 FR 19506, Apr. 19, 1995, as amended by Order 602, 64 FR 17099, Apr. 8, 1999]

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 717 - Regulation of natural gas companies

§ 717a - Definitions

§ 717b - Exportation or importation of natural gas; LNG terminals

15 U.S. Code § 717b–1 - State and local safety considerations

§ 717c - Rates and charges

15 U.S. Code § 717c–1 - Prohibition on market manipulation

§ 717d - Fixing rates and charges; determination of cost of production or transportation

§ 717e - Ascertainment of cost of property

§ 717f - Construction, extension, or abandonment of facilities

§ 717g - Accounts; records; memoranda

§ 717h - Rates of depreciation

§ 717i - Periodic and special reports

§ 717j - State compacts for conservation, transportation, etc., of natural gas

§ 717k - Officials dealing in securities

§ 717l - Complaints

§ 717m - Investigations by Commission

§ 717n - Process coordination; hearings; rules of procedure

§ 717o - Administrative powers of Commission; rules, regulations, and orders

§ 717p - Joint boards

§ 717q - Appointment of officers and employees

§ 717r - Rehearing and review

§ 717s - Enforcement of chapter

§ 717t - General penalties

§ 717t-1 - Civil penalty authority

15 U.S. Code § 717t–2 - Natural gas market transparency rules

§ 717u - Jurisdiction of offenses; enforcement of liabilities and duties

§ 717v - Separability

§ 717w - Short title

§ 717x - Conserved natural gas

§ 717y - Voluntary conversion of natural gas users to heavy fuel oil

§ 717z - Emergency conversion of utilities and other facilities

§ 3301 - Definitions

§ 3311 - Repealed. Pub. L. 101–60, § 2(b), July 26, 1989, 103 Stat. 158

§ 3341 to 3348 - Repealed. Pub. L. 100–42, § 2(a), May 21, 1987, 101 Stat. 314

§ 3361 - Declaration of emergency

§ 3362 - Emergency purchase authority

§ 3363 - Emergency allocation authority

§ 3364 - Miscellaneous provisions

§ 3371 - Authorization of certain sales and transportation

§ 3372 - Assignment of contractual rights to receive surplus natural gas

§ 3373 - Effect of certain natural gas prices on indefinite price escalator clauses

§ 3374 - Clauses prohibiting certain sales, transportation, and commingling

§ 3375 - Filing of contracts and agreements

§ 3391 - Natural gas for essential agricultural uses

§ 3391a - “Essential agricultural use” defined

§ 3392 - Natural gas for essential industrial process and feedstock uses

§ 3393 - Establishment and implementation of priorities

§ 3394 - Limitation on revoking or amending certain pre-1969 certificates of public convenience and necessity

§ 3411 - General rulemaking authority

§ 3412 - Administrative procedure

§ 3413 - Repealed. Pub. L. 101–60, § 3(b)(5), July 26, 1989, 103 Stat. 159

§ 3414 - Enforcement

§ 3415 - Intervention

§ 3416 - Judicial review

§ 3417 - Repealed. Pub. L. 101–60, § 3(a)(6), July 26, 1989, 103 Stat. 158

§ 3418 - Applicability of other Federal statutory provisions relating to information-gathering

§ 3431 - Coordination with the Natural Gas Act

§ 3432 - Effect on State laws

U.S. Code: Title 16 - CONSERVATION

§ 792 - Federal Power Commission; creation; number; appointment; term; qualifications; vacancies; quorum; chairman; salary; place of holding sessions

§ 793 - Appointment of officers and employees of Commission; duties, and salaries; detail of officers and employees from other departments; expenditures authorized

§ 793a - Repealed. Pub. L. 87–367, title I, § 103(5), Oct. 4, 1961, 75 Stat. 787

§ 794, 795 - Omitted

§ 796 - Definitions

§ 797 - General powers of Commission

§ 797a - Congressional authorization for permits, licenses, leases, or authorizations for dams, conduits, reservoirs, etc., within national parks or monuments

§ 797b - Duty to keep Congress fully and currently informed

§ 797c - Dams in National Park System units

§ 797d - Third party contracting by FERC

§ 798 - Purpose and scope of preliminary permits; transfer and cancellation

§ 799 - License; duration, conditions, revocation, alteration, or surrender

§ 800 - Issuance of preliminary permits or licenses

§ 801 - Transfer of license; obligations of transferee

§ 802 - Information to accompany application for license; landowner notification

§ 803 - Conditions of license generally

§ 804 - Project works affecting navigable waters; requirements insertable in license

§ 805 - Participation by Government in costs of locks, etc.

§ 806 - Time limit for construction of project works; extension of time; termination or revocation of licenses for delay

§ 807 - Right of Government to take over project works

§ 808 - New licenses and renewals

§ 809 - Temporary use by Government of project works for national safety; compensation for use

§ 810 - Disposition of charges arising from licenses

§ 811 - Operation of navigation facilities; rules and regulations; penalties

§ 812 - Public-service licensee; regulations by State or by commission as to service, rates, charges, etc.

§ 813 - Power entering into interstate commerce; regulation of rates, charges, etc.

§ 814 - Exercise by licensee of power of eminent domain

§ 815 - Contract to furnish power extending beyond period of license; obligations of new licensee

§ 816 - Preservation of rights vested prior to June 10, 1920

§ 817 - Projects not affecting navigable waters; necessity for Federal license, permit or right-of-way; unauthorized activities

§ 818 - Public lands included in project; reservation of lands from entry

§ 819 - Repealed. Aug. 26, 1935, ch. 687, title II, § 212, 49 Stat. 847

§ 820 - Proceedings for revocation of license or to prevent violations of license

§ 821 - State laws and water rights unaffected

§ 822 - Reservation of right to alter or repeal chapter

§ 823 - Repeal of inconsistent laws

§ 823a - Conduit hydroelectric facilities

§ 823b - Enforcement

§ 823c - Alaska State jurisdiction over small hydroelectric projects

§ 823d - Alternative conditions and prescriptions

§ 824 - Declaration of policy; application of subchapter

§ 824a - Interconnection and coordination of facilities; emergencies; transmission to foreign countries

16 U.S. Code § 824a–1 - Pooling

16 U.S. Code § 824a–2 - Reliability

16 U.S. Code § 824a–3 - Cogeneration and small power production

16 U.S. Code § 824a–4 - Seasonal diversity electricity exchange

§ 824b - Disposition of property; consolidations; purchase of securities

§ 824c - Issuance of securities; assumption of liabilities

§ 824d - Rates and charges; schedules; suspension of new rates; automatic adjustment clauses

§ 824e - Power of Commission to fix rates and charges; determination of cost of production or transmission

§ 824f - Ordering furnishing of adequate service

§ 824g - Ascertainment of cost of property and depreciation

§ 824h - References to State boards by Commission

§ 824i - Interconnection authority

§ 824j - Wheeling authority

16 U.S. Code § 824j–1 - Open access by unregulated transmitting utilities

§ 824k - Orders requiring interconnection or wheeling

§ 824l - Information requirements

§ 824m - Sales by exempt wholesale generators

§ 824n - Repealed. Pub. L. 109–58, title XII, § 1232(e)(3), Aug. 8, 2005, 119 Stat. 957

§ 824o - Electric reliability

§ 824p - Siting of interstate electric transmission facilities

§ 824q - Native load service obligation

§ 824r - Protection of transmission contracts in the Pacific Northwest

§ 824s - Transmission infrastructure investment

§ 824t - Electricity market transparency rules

§ 824u - Prohibition on filing false information

§ 824v - Prohibition of energy market manipulation

§ 824w - Joint boards on economic dispatch

§ 825 - Accounts and records

§ 825a - Rates of depreciation; notice to State authorities before fixing

§ 825b - Requirements applicable to agencies of United States

§ 825c - Periodic and special reports; obstructing filing reports or keeping accounts, etc.

§ 825d - Officials dealing in securities

§ 825e - Complaints

§ 825f - Investigations by Commission

§ 825g - Hearings; rules of procedure

§ 825h - Administrative powers of Commission; rules, regulations, and orders

§ 825i - Appointment of officers and employees; compensation

§ 825j - Investigations relating to electric energy; reports to Congress

§ 825k - Publication and sale of reports

§ 825l - Review of orders

§ 825m - Enforcement provisions

§ 825n - Forfeiture for violations; recovery; applicability

§ 825o - Penalties for violations; applicability of section

16 U.S. Code § 825o–1 - Enforcement of certain provisions

§ 825p - Jurisdiction of offenses; enforcement of liabilities and duties

§ 825q - Repealed. Pub. L. 109–58, title XII, § 1277(a), Aug. 8, 2005, 119 Stat. 978

16 U.S. Code § 825q–1 - Office of Public Participation

§ 825r - Separability

§ 825s - Sale of electric power from reservoir projects; rate schedules; preference in sale; construction of transmission lines; disposition of moneys

§ 825s-1 - Southwestern area sale and transmission of electric power; disposition of receipts; creation of continuing fund; use of fund

16 U.S. Code § 825s–2 - Southeastern area sale and transmission of electric power; disposition of receipts; creation of continuing funds; use of fund

16 U.S. Code § 825s–3 - Southwestern area sale at uniform systemwide rates of electric power over transmission lines constructed with appropriated funds or used under contractual arrangements

§ 825s-4 - Southwestern Power Administration; deposit and availability of advance payments

16 U.S. Code § 825s–5 - Southeastern Power Administration; deposit and availability of advance payments

16 U.S. Code § 825s–6 - Southeastern Power Administration; deposit and availability of discretionary offsetting collections

16 U.S. Code § 825s–7 - Southwestern Power Administration; deposit and availability of discretionary offsetting collections

§ 825t - Utilization of power revenues

§ 825u - Interest rate on power bonds held by Administrator of General Services

§ 828 - Facilitation of development and construction of water conservation facilities; exemption from certain Federal requirements

§ 828a - Definitions

§ 828b - Exemption from formula, books and records, and project cost statement requirements; annual charges

§ 828c - Applicability of this subchapter

§ 2601 - Findings

§ 2602 - Definitions

§ 2603 - Relationship to antitrust laws

§ 2611 - Purposes

§ 2612 - Coverage

§ 2613 - Federal contracts

§ 2621 - Consideration and determination respecting certain ratemaking standards

§ 2622 - Obligations to consider and determine

§ 2623 - Adoption of certain standards

§ 2624 - Lifeline rates

§ 2625 - Special rules for standards

§ 2626 - Reports respecting standards

§ 2627 - Relationship to State law

§ 2631 - Intervention in proceedings

§ 2632 - Consumer representation

§ 2633 - Judicial review and enforcement

§ 2634 - Prior and pending proceedings

§ 2641 - Voluntary guidelines

§ 2642 - Responsibilities of Secretary

§ 2643 - Gathering information on costs of service

§ 2644 - Relationship to other authority

§ 2645 - Utility regulatory institute

U.S. Code: Title 31 - MONEY AND FINANCE
USC: Title 49a
U.S. Code: Title 49 - TRANSPORTATION
Presidential Documents

Executive Order ... 12009

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