Tariff Filing Preparation
|Tariff Filing Contents:|
Every tariff filing is required to have the following material:
- Transmittal Letter: The Transmittal Letter identifies:
- The company and its contacts,
- Identifies what section of the Commission’s regulations it is filing pursuant to,
- Identifies the action it is requesting of the Commission,
- Identifies the documents and tariff records it is submitting in support of its request,
- Any other statements it deems necessary to complete its tariff filing. 18 CFR § 385.203 , and
- Any certifications or attestations may be included as part of the Transmittal Letter.
- Attachments: Supporting documentation and worksheets (when applicable) in native file format. See Tariff Statement of Operating Conditions (SOC) Requirements.
- Tariff Records: Tariff text in eTariff required format.
Tariff Statement of Operating Conditions (SOC) Requirements
A Statement of Operating Conditions (SOC) should contain the following material:
- A title record that identifies the company and company contact information;
- A rate summary record that lists all the applicable charges and fees for each service provided under the SOC. The list of charges and fees should include maximum and minimum reservation and usage charges, fuel, lost and unaccounted for charges or retention rates, and surcharges. § 284.123(e) .
- A statement of all the terms and conditions of service for all offered interstate services. § 284.123(e) .
- If required, a section on the company’s Standards of Conduct. Part 358 .
A SOC may contain the following material:
- A map of the pipeline to show zone boundaries. This map should not be of Critical Energy Infrastructure quality (18 CFR 388.113 (c)(1) ).
- Providing a separate red-line strike-out version of any SOC changes is preferred.
A SOC should not contain the following material:
- Rates, terms and conditions of service for any service not offered to interstate shippers.
- Supporting documentation from the tariff filing – such as Transmittal Letters, court or Commission orders, and rate derivations.
- Must be in electronic format. § 284.123(f) .
- .rtf format is preferred, and is required to be in .rtf format if the SOC is sectionalized. See OSEC Implementation Guide. In the Part 284 tariff program, whole document in .rtf (preferred) or .pdf format are acceptable.
- The rate summary section as a separate tariff record is preferred.
Note that the Commission commonly refers to SOCs as “tariffs”.
Additionally, when submitting a tariff record in PDF, the OSEC Implementation Guide requires that a title page be included that contains the following information:
- Tariff Submitter;
- FERC Tariff Program name;
- Tariff Title;
- Tariff Record Proposed Effective Date;
- Tariff Record Title;
- Option Code, and
- Other information as the FERC may require by notice or order.
eTariff requires that every regulated entity have a Company Identifier as part of an eTariff filing. A Company Identifier is obtained from the Commission. Information on acceptable company name formats and suggestions on how to populate the Company Registration on-line form are available from the Instructions for Company Registration.
You will need one person eRegistered to do business with the Commission to register a company. Once you have assembled the necessary information, proceed as follows:
- If you are not eRegistered, go to https://ferconline.ferc.gov/ and click on New User. If you are eRegistered, skip to step (c).
- Fill out and submit the form. You will receive and ID and password.
- Go to https://ferconline.ferc.gov/LogIn.aspx. Use your ID and password to log in to FERC Online.
- Go to the company registration page at https://ferconline.ferc.gov/Company.aspx, and click on “Register a company for the first time”
- Under Regulatory Program, select “NGPA 311 and NGA Hinshaw Gas Pipelines”, fill out the remainder of the form and submit.
- You will receive a Company Identifier (CID) and password in a couple of business days.
- Note that once you have registered your company, you will use the Company Identifier and password for all subsequent eTariff filings. You should not re-register your company again. If you do not know if your company has already been registered, you can search the Commission posted list of registered companies.
- Once you have obtained a Company Identifier and password, proceed to Making an eTariff Filing.
|Making an eTariff Filing
Making an eTariff Filing
If you are using:
Follow their instructions. It is always advisable, even when using eTariff software or services, to test your filing against the Commission’s Sandbox described in Step 2 below. The Commission cannot recommend and does not review or endorse any eTariff software package or vendor. The North American Energy Standards Board also does not recommend or endorse any eTariff software. However, they do maintain a list of eTariff vendors on their home page.
- Third party vendor software,
- Your own software, or
- A service,
If you are not using eTariff software, simple eTariff filings can be created using the following instructions.
- Create your .xml file
- Download a sample.xml file.
- You can use a text editor, such as Notepad, to edit an .xml file. Standard word processors and other similar software may not work well.
- Use the eTariff codes for Part 284 rate filing document and XML Schema Tables to populate your .xml file with the correct metadata.
- You need to obtain a binary 64 converter for the binary fields. Binary 64 converters can be found online. These converters will convert word processing, spread sheets and many other electronic documents, including formatting codes, into binary text fields, so your tariff and documents can be displayed properly. Be aware that this will look like meaningless text. When encoding your attachments and tariff records, set the encoder to UTF-8 character set.
- You can use the copy command to copy text from your source tariff file (.rtf or .pdf) and paste into the ‹record_plain_text› field.
- Your proposed effective date should not be before the date of filing.
- If your tariff filing requires a filing fee, please follow the special instructions on how to make this payment and how the use the resulting documentation in your .xml filing.
- Save your .xml file.
- Zip your .xml file (and only your .xml file – not the documents).
- Submit your xml
- Submit your xml file to our Sandbox Electronic Test Site
- Please review the Test File Instruction Guide
- Correct any pertinent errors you receive and resubmit to the Sandbox.
- Continue correcting any errors and resubmitting until no pertinent errors are reported.
- Submit your Filing
- Log on to FERC Online.
- Click eFiling
- Under “How is your filing to be directed?” choose Gas
- Under “What kind of filing are you making?” choose eTariff
- Under “Filing Type (Fee)” choose “eTariff” (even if your tariff filing requires a fee – see the special instructions) and click Next
- Enter your CID and Password. The CID that you use here should be the same one used in your .xml filing.
- Upload the zip file that contains your .xml file
- You will receive 2 emails verifying that we received your filing:
- If you receive any errors, amend your .xml file and resubmit your filing.
- If you receive Warnings, your filing has been received, but you need to double-check that you submitted the correct information as such warnings are indications that what you submitted is different than what we normally receive.
|Market Based Rate Filings
Market Based Rate Filings
In order to authorize the applicant to charge market-based rates, the Commission must find that the applicant lacks significant market power, i.e., that the market is sufficiently competitive to preclude the pipeline from profitably maintaining prices above competitive levels for a prolonged period of time.
Market-based application must include:
- Describe proposed service.
- Define relevant product and geographic markets.
- Provide applicant's ownership and then list affiliated energy companies, services provided, and their location. If an affiliate operates in the same geographic market, the market shares of the applicant and the affiliate should be combined.
- Identify good alternatives to the proposed service - which parties provide similar service within the same geographic market. List the applicant's competitors and location.
- Include market share and Herfindahl-Hirschman Index (HHI).1 calculations to measure market concentration. The Commission’s traditional HHI threshold is 1,800.
- Discuss other relevant competitive factors such as ease of entry and excess capacity held by competitors.
- Describe how the applicant's rates compare to the competitors.
1  The HHI Index is used as the initial screen to determine market concentration. It is an indicator of the likelihood that the applicant alone or together with other suppliers can jointly exercise market power in a given market. As such, the HHI Index can suggest but not prove whether a market is competitive or not. It is not a definitive statement whether the applicant can exercise market power.
|Notices of Cancellation or Succession to a Tariff
Notices of Cancellation or Succession to a Tariff
The pipeline must notify the Commission if the pipeline desires to cancel a service or its complete tariff (18 C.F.R. § 284.123(e) , a change in operations). This notice is required to be submitted through the eTariff system. If the tariff is the only tariff the seller has on file, or all of the records under one tariff are being cancelled, then the seller must also as part of that filing request that the Commission cancel that Tariff ID using a complete tariff Cancellation type of filing. However, if cancelling just part of the tariff, the pipeline should file a revision to the tariff that either removes the service from the tariff text or cancels the tariff records that contain the service.
A seller must notify the Commission if the pipeline merges with another entity, or has its tariff adopted by another entity (18 C.F.R. § 284.123(e) , a change in operations). The notice is required to be submitted through the eTariff system as a Tariff Revision.
If the pipeline changes its name, it must notify the Commission. With the adoption of eTariff, there are two steps to the process:
- Company Registration. Log in using the Company Identifier and password, and modify the pipeline’s name and effective date. Company Registration only accepts proposed effective dates the later of the date of the logging in or the proposed effective date.
- Tariff Revision. If the company’s name appears in the text of the tariff, then the company must file a tariff revision through eTariff to modify the name. If the pipeline’s name is not in the tariff text, then the modified Company Registration will be reflected as part of the Public Tariff Viewer’s meta data and no tariff filing is required.