Through the No-Action Letter (NAL) process, established by Commission order on November 18, 2005, persons may obtain written advice as to whether staff would recommend that the Commission take no enforcement action with respect to specific proposed transactions, practices, or situations. While not a Commission ruling and therefore not binding on the Commission, NAL responses provide increased certainty regarding staff's view on whether a particular transaction, practice, or situation would be subject to agency enforcement action. As a result, the NAL process is a tool for entities subject to Commission authority to reduce the risk of failing to comply with the relevant statutes, the orders, rules or regulations thereunder, or Commission-approved tariffs.
In an order issued May 15, 2008, the Commission expanded the scope of issues for which NAL requests may be submitted to include any issue that falls within the Commission's jurisdiction, except for those issues arising under:
- Part I of the FPA;
- Sections 215 and 216 of the FPA;
- Sections 3, 7, and 15 of the NGA; and
- Section 311 of the NGPA.
In addition, a request:
- May not be anonymous; and
- Must relate to a situation in which the requesting party is or may be involved and not involve hypothetical circumstances or completed transactions.
Although NAL responses are not binding on the Commission, they are signed by representatives of the Office of the General Counsel and the Office of Enforcement and thus reflect the consensus view of those offices. Where appropriate, members of the Office of Energy Market Regulation, Office of Energy Policy and Innovation, and Office of Electric Reliability are also consulted when preparing an NAL response. Until a response is issued, NAL requests are treated as non-public. Applicants can request that staff continue to treat both NAL requests and responses as non-public for an additional period of 120 days after a response is issued. Once a NAL response is public, it is posted in the Commission's eLibrary system in a searchable format.
Filing a NAL Request
Please use the following guidelines when filing a NAL request.
Entities interested in submitting a NAL request are strongly encouraged to confer with designated staff prior to submitting a NAL request. Staff can arrange for a pre-filing meeting/conference, which is often helpful in ensuring that the NAL request includes all relevant information needed for consideration and that a NAL is the appropriate mechanism to address the matter.
What to Submit:
Submit one original and two paper copies of the NAL request and any supporting information or documents to each of the General Counsel and the Director of Enforcement. Also email copies of the request and attachments to NAL-TaskForce@FERC.gov.
Each request must include the name, address, telephone number, and email address of the person to whom the response should be directed.
Where to Submit?
The Commission's eFiling system is not available for NAL requests. Please follow the information about delivery via express mail or courier service at the About FERC page.
No-Action Letter Resources
(November 18, 2005)
(October 19, 2006)
(May 15, 2008)
NAL Task ForceEmail: NAL-TaskForce@FERC.gov