Appendix P

Federal Election Commission 


1 

FEC List of Guidance Documents 

Requested by Committee on Oversight and Government Reform (OGR) by letter dated December 8, 2017 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

1 Disclosure of Certain 

Documents in 

Enforcement, and Other 

Matters

Statement of 

Policy

A statement of policy with respect to 

placing certain documents on the public 

record in enforcement, administrative 

fines, and alternative dispute resolution 

cases, as well as administrative matters

July 25, 2016 FEC 81 FR 50702 (Aug. 2, 2016) https://transition.fec.gov/l

aw/cfr/ej_compilation/201

6/notice2016-06.pdf 

Notice 

2016-06 

2 Policy Statement 

Regarding a Program for 

Requests for Legal 

Consideration by 

Commission

Statement of 

Policy

A policy statement making two 

modifications to the program providing 

for a means by which persons and 

entities may have a legal question 

considered by the Commission 

May 5, 2016 FEC 81 FR 29861 (May 13, 

2016) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

6/notice2016-02.pdf 

Notice 

2016-02 

3 Policy Statement 

Regarding a Program for 

Requesting Consideration 

of Legal Questions by the 

Commission

Statement of 

Policy

A policy statement providing an 

alternative electronic means of a filing a 

request with the FEC for consideration 

of a legal question

Sept. 30, 2013 FEC 78 FR 63203 (Oct. 23, 

2013) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

3/notice2013-14.pdf 

Notice 

2013-14 

4 Policy Statement 

Regarding a Program for 

Requesting Consideration 

of Legal Questions by the 

Commission

Statement of 

Policy

A policy statement adopting a program 

providing for a means by which persons 

and entities may have a legal question 

considered by the FEC 

July 26, 2011 FEC 76 FR 45798 (Aug. 1 , 

2011) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

1/notice_2011-11.pdf 

Notice 

2011-11 

5 Policy Statement

Establishing a Pilot 

Program for Requesting 

Consideration of Legal 

Questions by the 

Commission

Statement of 

Policy

A policy statement adopting a new pilot 

program providing for a means by which 

persons and entities may have a legal 

question considered by the FEC

July 15, 2010 FEC 75 FR 42088 (July 20, 

2010) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

0/notice_2010-13.pdf 

Notice 

2010-13 
2 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

6 Statement of Policy 

Regarding Placing First 

General Counsel’s 

Reports on the Public 

Record

Statement of 

Policy

A statement of policy resuming the 

practice of placing all First General 

Counsel’s Reports on the public record, 

subject to appropriate redaction or 

withholding 

Dec. 4, 2009 FEC 74 FR 66132 (Dec. 14, 

2009) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/200

9/notice_2009-28.pdf

Notice 

2009-28 

7 Amendment of Agency 

Procedures for Probable 

Cause Hearings

Statement of 

Policy

An agency procedure amendment 

providing for Commissioners’ questions 

to the General Counsel, Staff Director, 

and their staff during probable cause 

hearings 

Oct. 22, 2009 FEC 74 FR 55443 (Oct. 28, 

2009) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/200

9/notice_2009-24.pdf 

Notice 

2009-24 

8 Agency Procedure for 

Notice to Respondents in 

Non-Complaint 

Generated Matters

Statement of 

Policy

A new agency procedure providing 

respondents in non-complaint generated 

matters procedural protections similar to 

those of respondents in complaintgenerated matters

July 29, 2009 FEC 74 FR 38617 (Aug. 4, 2009) https://transition.fec.gov/l

aw/cfr/ej_compilation/200

9/notice_2009-18.pdf 

Notice 

2009-18 

9 Date of Political Party 

Nominations of 

Candidates for Special 

Primary Elections in New 

York

Interpretive 

Rule

A notice clarifying the FEC’s 

interpretation of its rules for determining 

the date of a special primary election 

under New York statutesi

Dec. 5, 2013 FEC 78 FR 76032 (Dec. 16, 

2013) 

http://classic.fec.gov/law/c

fr/ej_compilation/2013/no

tice2013-16.pdf

Notice 

2013-16 

10 Reporting Ultimate 

Payees of Political 

Committee 

Disbursements

Interpretive 

Rule

A notice clarifying the FEC’s 

interpretation of the regulatory 

requirement that political committees 

report the full name and address of each 

person to whom they make expenditures 

or other disbursements in certain 

situations

June 27, 2013 FEC 78 FR 40625 (July 8, 2013) https://transition.fec.gov/l

aw/cfr/ej_compilation/201

3/notice2013-09.pdf

Notice 

2013-09 
3 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

11 Interpretive Rule on 

When Certain 

Independent Expenditures 

Are “Publicly 

Disseminated” for 

Reporting Purposes 

Interpretive 

Rule

Guidance on when independent 

expenditures communications that take 

the form of yard signs, mini-billboards, 

handbills, t-shirts, hats, buttons, and 

similar items are “publicly 

disseminated” for purposes of certain 

reporting requirements in FEC 

regulations 

Sept. 29, 2011 FEC 76 FR 61254 (Oct. 4, 2011) https://transition.fec.gov/l

aw/cfr/ej_compilation/201

1/notice_2011-13.pdf 

Notice 

2011-13 

12 Interpretive Rule 

Regarding Electronic 

Contributor 

Redesignations 

Interpretive 

Rule

A notice construing the FEC regulatory 

requirement that a contributor’s 

redesignation of a contribution for 

another election be in writing and signed 

by the contributor to encompass a 

certain method of electronic 

resdesignation 

Mar. 16, 2011 FEC 76 FR 16233 (Mar. 23, 

2011) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

1/notice_2011-02.pdf

Notice 

2011-02 

13 Agency Procedure 

Following Submission of 

Probable Cause Briefs by 

the Office of General 

Counsel 

Rules of 

Agency 

Organization, 

Procedure or 

Practice

A notice establishing an agency 

procedure to formalize the agency’s 

practice in the latter stages of Probable 

Cause process in FECA enforcement 

matters

Oct. 6, 2011 FEC 76 FR 63570 (Oct. 13, 

2011) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

1/notice_2011-15.pdf

Notice 

2011-15 

14 Agency Procedure for 

Disclosure of Documents 

and Information in the 

Enforcement Process

Rules of 

Agency 

Organization, 

Procedure or 

Practice

A notice establishing an agency 

procedure to define formally the scope 

of documents that will be provided to 

respondents by the agency, and to 

formalize the agency’s process of 

disclosing such documents, during the 

Commission’s investigation of FECA 

enforcement matters

June 2, 2011 FEC 76 FR 34986 (June 15, 

2011) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/201

1/notice_2011-06.pdf

Notice 

2011-06 
4 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

15 Agency Procedure for 

Notice to Respondents in 

Non-Complaint 

Generated Matters

Rules of 

Agency 

Organization, 

Procedure or 

Practice

A notice establishing a new agency 

procedure to provide respondents in 

certain enforcement matters brought 

under FECA with notice of a noncomplaint generated referral and an 

opportunity to respond thereto

July 29, 2009 FEC 74 FR 38617 (Aug. 4, 2009) https://transition.fec.gov/l

aw/cfr/ej_compilation/200

9/notice_2009-18.pdf 

Notice 

2009-18 

16 Procedural Rules for 

Audit Hearings 

Rules of 

Agency 

Organization, 

Procedure or 

Practice

A procedural rule instituting a program 

to provide committees audited pursuant 

to FECA with the opportunity to have a 

hearing before the FEC

July 7, 2009 FEC 74 FR 33140 (July 10, 

2009) 

https://transition.fec.gov/l

aw/cfr/ej_compilation/200

9/notice_2009-12.pdf

Notice 

2009-12 

17 Advisory Opinion 

Procedure

Rules of 

Agency 

Organization, 

Procedure or 

Practice

A notice establishing a program to allow 

persons requesting an advisory opinion a 

limited opportunity to appear before the 

FECii

June 30, 2009 FEC 74 FR 32160 (July 7, 2009) https://transition.fec.gov/l

aw/cfr/ej_compilation/200

9/notice_2009-11.pdf

Notice 

2009-11 

18 Rules of Procedure Rules of 

Agency 

Organization, 

Procedure or 

Practice

A notice revising the FEC’s written rules 

for conducting its activities when the 

FEC has fewer than four Membersiii

Jan. 24, 2008 FEC 73 FR 5568 (Jan. 30, 2008) https://transition.fec.gov/l

aw/cfr/ej_compilation/200

8/notice_2008-01.pdf

Notice 

2008-1 

19 FEC Campaign Guide for 

Corporations and Labor 

Organizations

Campaign 

Guide 

A guide summarizing the federal 

campaign finance laws applicable to 

corporations, labor organizations and 

their separate segregated funds to help 

them comply with FECA and FEC 

regulations 

Oct. 2017 FEC None https://www.fec.gov/resou

rces/cmscontent/documents/mtgdo

c_17-46-a.pdf and 

https://www.fec.gov/resou

rces/cmscontent/documents/approv

ed-edits.pdf

Agenda 

Doc. 

No. 17-

46-A 

and 

Edits 

thereto
5 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

20 FEC Campaign Guide for 

Congressional Candidates 

and Committees

Campaign 

Guide 

A guide summarizing the federal 

campaign finance laws applicable to 

congressional candidate committees to 

help them comply with FECA and FEC 

regulations 

June 2014 FEC None https://www.fec.gov/resou

rces/cmscontent/documents/candgu

i.pdf 

None

21 FEC Campaign Guide for 

Congressional Candidates 

and Committees

Campaign 

Guide 

A guide summarizing the federal 

campaign finance laws applicable to 

congressional candidate committees to 

help them comply with FECA and FEC 

regulations 

Aug. 2011 FEC None None None

22 FEC Campaign Guide for 

Congressional Candidates 

and Committees

Campaign 

Guide 

A guide summarizing the federal 

campaign finance laws applicable to 

congressional candidate committees to 

help them comply with FECA and FEC 

regulations 

April 2008 FEC None None None

23 FEC Campaign Guide for 

Political Party 

Committees

Campaign 

Guide 

A guide summarizing the federal 

campaign finance laws applicable to 

party committees to help political party 

committees at all levels—national, state, 

district and local—comply with FECA 

and FEC regulations 

Aug. 2013 FEC None https://www.fec.gov/resou

rces/cmscontent/documents/partyg

ui.pdf 

None

24 FEC Campaign Guide for 

Political Party 

Committees

Campaign 

Guide 

A guide summarizing the federal 

campaign finance laws applicable to 

party committees to help political party 

committees at all levels—national, state, 

district and local—comply with FECA 

and FEC regulations 

July 2009 FEC None None None
6 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

25 FEC Campaign Guide for 

Nonconnected 

Committees

Campaign 

Guideiv

A guide summarizing the federal 

campaign finance laws applicable to 

non-connected committees to help them 

comply with FECA and FEC regulations 

May 2008 FEC None https://www.fec.gov/resou

rces/cmscontent/documents/nongui

.pdf 

None

26 FEC Adopts Interim 

Verification Procedure for 

Filings Containing 

Possibly False or 

Fictitious Information

Press Release An announcement of an interim 

procedure staff will follow to verify 

information in filings from the 2016 

election cycle that appears to be 

unlawfully false or fictitious 

Aug. 18, 2016 FEC None https://www.fec.gov/updat

es/fec-adopts-interimverification-procedurefor-filings-containingpossibly-false-orfictitious-information/ 

None

27 FEC Issues Interim 

Reporting Guidance for 

National Party Committee 

Accounts

Press Release Interim reporting guidance for national 

party committees for new accounts 

enabled by the Consolidated and Further 

Continuing Appropriations Act, 2015 

Feb. 13, 2015 FEC None https://www.fec.gov/updat

es/fec-issues-interimreporting-guidance-fornational-party-committeeaccounts/ 

None

28 FEC Statement on Van 

Hollen v. FEC 

Press Release Statement outlining how the FEC would 

comply with a district court opinion and 

order invalidating an FEC regulation 

governing certain electioneering 

communicationsv

July 27, 2012 FEC None https://www.fec.gov/updat

es/fec-statement-on-2/ 

None

29 FEC statement on Carey 

v. FEC reporting 

guidancevi for political 

committees that maintain 

a non-contribution 

account

Press Release Providing guidance to the public on how 

the FEC intends to proceed consistent 

with the stipulated order and consent 

judgment in Carey v. FEC

Oct. 5, 2011 FEC None https://www.fec.gov/updat

es/fec-statement-on-careyfec/ 

None
7 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

30 FEC Statement on the 

Supreme Court's Decision 

in Citizens United v. FEC

Press Release A statement announcing that, in 

conformance with the U.S. Supreme 

Court’s decision in Citizens United v. 

FEC, the FEC will no longer enforce 

statutory and regulatory provisions 

prohibiting corporations and labor 

unions from making either independent 

expenditures or electioneering 

communications 

Feb. 5, 2010 FEC None https://www.fec.gov/updat

es/fec-statement-on-thesupreme-courts-decisionin/ 

None

31 FEC Statement on the 

D.C. Circuit Court of 

Appeals Decision in 

EMILY’s List v. FEC

Press Release A statement explaining the general 

principles the FEC will apply in light of 

the U.S. Court of Appeals decision in 

EMILY’s List v. FEC

Jan. 12, 2010 FEC None https://www.fec.gov/updat

es/fec-statement-on-thedc-circuit-court-ofappeals-decision-in/ 

None

32 FEC’s Public Statement 

on the Supreme Court’s 

Decision in Davis v. FEC

Press 

Releasevii

A statement outlining the general 

principles the FEC will apply to conform 

to the U.S. Supreme Court’s decision in 

Davis v. FEC

July 25, 2008 FEC None https://www.fec.gov/updat

es/federal-electioncommissions-publicstatement-on-thesupreme-courts-decisionin/ 

None

33 Six Commissioners’ 

Compliance Tips

Posting A brief list of basic compliance tips to 

complement FEC existing outreach 

efforts

Oct. 31, 2016 FEC None http://classic.fec.gov/pdf/c

ommissioners_tips.pdf

None

34 Guidebook for 

Complainants and 

Respondents on the FEC 

Enforcement Process

Guidebook A guidebook to assist complainants and 

respondents and educate the public by 

summarizing the FEC’s general 

enforcement policies and procedures and 

by providing a step-by-step guide 

through the FEC’s enforcement process 

May 2012 FEC None https://transition.fec.gov/e

m/respondent_guide.pdf 

None
8 

Title

(OGR Question 1)

Form

(Q. 2) 

Brief Description

(Q. 3) 

Date

(Q. 4) 

Issuer

(Q. 5) 

Fed.Reg.

(Q. 7.a.) 

Link

(Q. 7.b.) 

Number

(Q. 7.d.) 

35 Guideline for Presentation 

in Good Orderviii

Guideline A guideline setting forth a uniform 

format for the presentation of 

submissions from presidential 

candidates seeking federal matching 

funds and specifying a quality of content 

standard

July 2007 FECix None https://transition.fec.gov/l

aw/policy/guidance/2008_

guideline_approved_aug0

92007.pdf 

None

 

i

 The FEC issued this interpretive rule, which concerns a special primary election and presents unique issues stemming from New York election law. In connection with other special elections, the FEC issues 

special election notices, which provide the reporting schedule of 12-day pre- and post-election reports specified in FECA as that statutory schedule pertains to the dates chosen under state law for special elections. 

These notices involve a mechanical application of law, have limited application and future effect, and accordingly do not appear to be responsive to your December 8 letter. Such notices, which are published in the 

Federal Register, are also publicly available on the FEC’s website at this link: https://www.fec.gov/help-candidates-and-committees/dates-and-deadlines/ . 

ii

 Pursuant to FECA’s requirement, the FEC issues advisory opinions in response to requests for advice related to “a specific transaction or activity” by the requester. See 52 U.S.C. § 30108. FECA prohibits 

the FEC from proposing rules of law in an advisory opinion. See 52 U.S.C. § 30108(b). Although advisory opinions do not appear to be responsive to your December 8 letter, you may access all FEC advisory 

opinions issued since 2008 on the FEC website, here: https://www.fec.gov/data/legal/advisory-opinions/. 

iii These Rules of Procedures are contained in an FEC Directive, which is available on the FEC webpage for Guidance Documents. Other FEC Directives do not contain relevant guidance or were not issued in 

the relevant time period and accordingly do not appear to be responsive to your December 8 letter. All FEC Directives are publicly available on the FEC’s website at this link: https://www.fec.gov/about/leadershipand-structure/. 

iv FEC Campaign Guides are written prepared by FEC staff and then submit to the Commission for review and are approved by the Commission pursuant to a vote. The FEC also makes available to the public 

other educational materials that are prepared by FEC staff, and based primarily on Campaign Guides, such as e brochures, Tips for Treasurers, and answers to frequently asked questions. These other, more informal 

documents do not appear to be responsive to your December 8 letter. Some of the materials also may be found on the FEC’s website at this link: https://www.fec.gov/help-candidates-and-committees/ . 

v

 A subsequent U.S. Court of Appeals decision found the challenged FEC regulation valid, superseding this guidance. 

vi The FEC also issues FEC Forms and related Instructions for meeting FECA’s reporting requirements, as directed and authorized by FECA, 52 U.S.C. §§ 30107(a)(8) and 30111(a)(8). Forms and 

Instructions area available at https://www.fec.gov/help-candidates-and-committees/forms/. FECA provides for submission of these forms for Congressional review, see 52 U.S.C. § 30111(d), and accordingly the 

forms are outside the scope of your December 8 letter. 

vii Although the FEC has issued many other press releases, only the press releases that appear to be responsive to your December 8 letter are listed. FEC Press Releases are available on the FEC website here: 

https://www.fec.gov/updates/?update_type=press-release. 

viii The Guideline for Presentation in Good Order is listed because it is included on the FEC website page of Guidance Documents. Two other related documents, the Financial Control and Compliance Manual 

for Presidential Primary Candidates Receiving Public Financing (April 2000) and the General Election Supplement (June 2000) to that document, are not responsive because, by their terms, the documents “merely 
9 

 

suggest one approach to managing” a system for accounting, reporting, and recordkeeping. (Manual, at iii, emphasis in original.) Finally, the Commission issues a Schedule of Matching Fund Submission Dates and 

Dates to Submit Revised Statements of Net Outstanding Campaign Obligations, for each presidential election, however, such documents do not appear to be responsive because they are not an interpretation of laws 

or regulations, and are of limited applicability and limited future effect. The 2016 version of that document is available on the FEC website here: http://classic.fec.gov/pages/brochures/submission_dates_2016.pdf. 

ix OGR’s Question 6 asks about submission of any listed document to the Regulatory Reform Task Force, Office of Information and Regulatory Affairs, the Government Accountability Office, or Congress. 

None of the listed documents were submitted to any of those entities. The FEC is not subject to the requirement in Executive Order 12866 to submit significant policy and guidance documents to the Office of 

Information and Regulatory Affairs (OIRA), nor is it subject to the requirement in Executive Order 13777 to establish a Regulatory Reform Task Force. OIRA guidance states that “agencies subject to EO 13777 are 

only those agencies subject to the regulatory review requirements of EO 12866,” which the guidance states “are those authorities of the United States that are an ‘agency’ under 44 U.S.C. § 3502(5).” OIRA 

Guidance Implementing Executive Order 13777 at 2, n.2. Accordingly, because 44 U.S.C. § 3502(1) expressly excludes the FEC from the definition of “agency,” Executive Orders 12866 and 13777 do not apply to 

the FEC. 
Appendix Q

Federal Energy Regulatory Commission 
FEDERAL ENERGY REGULATORY COMMISSION 

WASHINGTON, DC 20426 

OFFICE OF THE CHAIRMAN 

The Honorable Trey Gowdy 

Committee on Oversight and 

Government Reform 

U.S. House of Representatives 

Washington, D.C. 20515 

Dear Chairman Gowdy: 

January 29, 2018 

Thank you for your letter dated January 11, 2018, regarding "guidance" 

documents issued by the Federal Energy Regulatory Commission ("Commission") since 

January 1, 2008. Commission staff has conducted an initial search for materials 

responsive to your letter. The attached spreadsheet lists all responsive documents 

identified during the course of the Commission's search as well as responses to certain 

information requested in your letter. 

In conducting the search for guidance documents, two types of guidance 

documents were identified: (1) policy statements and other guidance orders 

("Commission Guidance") and (2) staff documents including responses to Frequently 

Asked Questions that are available on the Commission's website ("Staff Guidance"). 

Based on the information in your letter distinguishing binding regulations from nonbinding guidance, staff did not include within the attached spreadsheet, notice-andcomment rulemaking proceedings and the resulting regulations promulgated by the 

Commission. 1 

Please note that responses to the additional information requested in your letter -

specifically, Items 1-5 and 7 - are addressed within the attached spreadsheet. Question 6 

is addressed below. 

Question 6a. You asked, for each guidance document listed, whether the 

guidance was considered significant. Commission Guidance is considered significant 

1 Staff relied on the OMB definition for "guidance documents" in identifying 

responsive materials included in the attached spreadsheet. In this regard, staff did not 

include certain Agency-related procedures and information contained on its website that 

staff did not consider to be encompassed within OMB' s definition of a "guidance 

document," as set forth in footnote 2 of your letter. By way of example, materials 

explaining basic Agency-related filing procedure and protocol were not considered 

responsive. 
-2-

because it is voted on by the Commission; however, it is not legally binding until it is 

applied in a particular proceeding. Staff Guidance is not considered significant because it 

is not intended to impose any new requirements. Rather, Staff Guidance is comprised of 

staff documents that are intended to provide summaries of previous Commission findings 

for the public, or to otherwise provide informal staff guidance and views. 

Question 6b. You asked, for each guidance document listed, whether the 

Commission submitted the guidance for review by the Office of Information and 

Regulatory Affairs. Commission Guidance and Staff Guidance are not typically 

submitted for review by the Office of Information and Regulatory Affairs. 

Question 6c. You asked, for each guidance document listed, whether the 

Commission submitted the guidance document to Congress and GAO. Commission 

Guidance and Staff Guidance are not typically submitted to Congress and GAO. 

Question 6d. You asked, for each guidance document listed, whether the 

Regulatory Reform Task Force has reviewed or has plans to review the guidance 

documents identified in the attached spreadsheet, and for the results of any such review. 

The Regulatory Reform Task Force process is still ongoing. In reviewing the 

Commission's regulations and requirements, the Task Force has also considered relevant 

guidance documents. 

I hope this information is helpful. If I can be of further assistance or if you have 

any questions about the information provided in the attached spreadsheet, please do not 

hesitate to contact me. 

Sincerely, 

r 

~'E:ff Chairman 
TREY GOWDY. SOUTH CAROLINA 

CHAIRMAN 

ONE HUNDRED FIFTEENTH CONGRESS 

(!Congress of tbe ~ntteb ~tates 

ELIJAH E. CUMMINGS, MARYLAND 

RANKING MINORITY MEMBER 

'.1'-' f :Ii) 'b 0 FF tr' E o -:: Rouse o ~epresentatt es EXrERN!\L AFFAIPS 

COMMITTEE ON OVERSIGHT AND GOVERNMENT ZlfJJORM f'i 

2157 RAYBURN HOUSE OFFICE BUILDING JAN I 2 p 4: I l 

WASHINGTON, DC 20515-6143 

The Honorable Kevin J. Mcintyre 

Chairman 

Federal Energy Regulatory Commission 

888 First Street, NE 

Washington, DC 20426 

Dear Mr. Chairman: 

MAJOAllY (202) 225.-5074 

M1NORnY (202) 225-5051 

hllp://oversight.house.gov 

January 11, 2018 

Agencies issue a wide variety of policy documents for different purposes. Generally, 

when a policy is intended to be binding, agencies issue a regulation. 1 Other times, agencies issue 

statements of policy, interpretive rules, and other guidance regarding how the agency plans to 

interpret laws and legislative rules.2 

These various forms of guidance are not legally binding, but, according to the 

Government Accountability Office (GAO), the documents have wide-ranging effects on public 

and private sector behavior. In a 2015 report, GAO stated: "guidance documents can have a 

significant effect on regulated entities and the public, both because of agencies' reliance on large 

volumes of guidance documents and the fact that the guidance can prompt changes in the 

behavior of regulated parties and the general public. "3 

The GAO also found agencies' use of guidance varied significantly, ranging from as few 

as ten at some agencies to more than one hundred guidance documents each year at others.4 The 

reason for this discrepancy is unclear. It is also unclear whether there are uniform practices or 

strategies throughout the executive branch for developing and issuing guidance documents. 

To help the Committee better understand how and when federal agencies issue guidance 

documents, please provide a list of all guidance documents issued by your agency since January 

1, 2008, including the following for each guidance document listed: 

I Gov'T ACCOUNTABILITY OFFICE, GAO-I 7-404T, REGULATORY GUIDANCE PROCESSES: SELECTED DEPARTMENTS 

COULD STRENGTHEN INTERNAL CONTROL AND DISSEMINATION PRACTICES 14 (April 2015), available at 

http://www.gao.gov/assets/670/669688.pdf. 

2 Agencies use a variety of names to refer to guidance documents, such as memoranda, policy statements, manuals, 

circulars, bulletins, advisories, or guidance. The Office of Management and Budget defines a guidance document as 

an agency statement of general applicability and future effect that sets forth a policy or interprets a statutory or 

regulatory issue. Id. at 7. 3 Id. at 8. 

4 /d. at 13. 
The Honorable Kevin J. Mcintyre 

January 11, 2018 

Page 2 

1. The title; 

2. The name of the form of guidance, such as circular, guidance, frequently asked questions, 

bulletin, memoranda, or statement; 

3. A brief description of the subject; 

4. The date of issuance; 

5. The issuing agency, component, office, or program; 

6. An indication of whether: 

a. The guidance was considered significant; 

b. The agency submitted the guidance for review by the Office of Information and 

Regulatory Affairs, and if it was: 

i. The title of the guidance used in the submission; and 

ii. The date submitted; 

c. The agency submitted the guidance to Congress and GAO, and if it was: 

i. The title of the guidance used in the submission; and 

11. The date submitted; 

d. The Regulatory Reform Task Force has reviewed or has plans to review the 

guidance document, and any results of such review; and 

7. To the extent applicable: 

a. The Federal Register citation; 

b. A hyperlink to a copy of the document; 

c. The Regulation Identification Number; and 

d. Any other identification number for the document. 

Provide the requested documents and information as soon as possible, but no later than 

5:00 p.m. on January 25, 2018. An attachment to this letter provides additional instructions for 

responding to the Committee's request. 
The Honorable Kevin J. Mcintyre 

January 11, 2018 

Page 3 

Please contact James Lesinski of the majority staff at or 

with any questions about this request. Thank you for your 

attention to this matter. 

Trey Gowdy 

Chairman 

Chairman 

Subcommittee on Healthcare, Benefits, 

and Administrative Rules 

Sincerely, 

Subcommittee on Government Operations 

Subcommittee on Intergovernmental Affairs 

r; 111 /(e ffr~11tl," i) 

Blake Farenthold 

Chairman 

Subcommittee on the Interior, Energy, 

and Environment 

Enclosure 

cc: The Honorable Elijah E. Cummings, Ranking Member 

Committee on Oversight and Government Reform 

The Honorable Gerald E. Connolly, Ranking Member 

Subcommittee on Government Operations 

The Honorable Raja Krishnamoorthi, Ranking Member 

Subcommittee on Healthcare, Benefits, and Administrative Rules 

The Honorable Val Butler Demings, Ranking Member 

Subcommittee on Intergovernmental Affairs 

The Honorable Stacey E. Plaskett, Ranking Member 

Subcommittee on the Interior, Energy, and Environment 
Responding to Committee Document Requests 

1. In complying with this request, you are required to produce all responsive documents that are 

in your possession, custody, or control, whether held by you or your past or present agents, 

employees, and representatives acting on your behalf. You should also produce documents 

that you have a legal right to obtain, that you have a right to copy or to which you have 

access, as well as documents that you have placed in the temporary possession, custody, or 

control of any third party. Requested records, documents, data or information should not be 

destroyed, modified, removed, transferred or otherwise made inaccessible to the Committee. 

2. In the event that any entity, organization or individual denoted in this request has been, or is 

also known by any other name than that herein denoted, the request shall be read also to 

include that alternative identification. 

3. The Committee's preference is to receive documents in electronic form (i.e., CD, memory 

stick, or thumb drive) in lieu of paper productions. 

4. Documents produced in electronic format should also be organized, identified, and indexed 

electronically. 

5. Electronic document productions should be prepared according to the following standards: 

(a) The production should consist of single page Tagged Image File ("TIF"), files 

accompanied by a Concordance-format load file, an Opticon reference file, and a file 

defining the fields and character lengths of the load file. 

(b) Document numbers in the load file should match document Bates numbers and TIF file 

names. 

( c) If the production is completed through a series of multiple partial productions, field 

names and file order in all load files should match. 

(d) All electronic documents produced to the Committee should include the following fields 

of metadata specific to each document; 

BEGDOC, ENDDOC, TEXT, BEGATTACH, ENDATTACH, 

PAGECOUNT,CUSTODIAN, RECORDTYPE, DA TE, TIME, SENTDA TE, 

SENTTIME, BEGINDATE, BEGINTIME, ENDDATE, ENDTIME, AUTHOR, FROM, 

CC, TO, BCC, SUBJECT, TITLE, FILENAME, FILEEXT, FILESIZE, 

DATECREATED, TIMECREATED, DA TELASTMOD, TIMELASTMOD, 

INTMSGID, INTMSGHEADER, NA TIVELINK, INTFILPA TH, EXCEPTION, 

BEGATTACH. 

6. Documents produced to the Committee should include an index describing the contents of 

the production. To the extent more than one CD, hard drive, memory stick, thumb drive, box 

or folder is produced, each CD, hard drive, memory stick, thumb drive, box or folder should 

contain an index describing its contents. 
7. Documents produced in response to this request shall be produced together with copies of file 

labels, dividers or identifying markers with which they were associated when the request was 

served. 

8. When you produce documents, you should identify the paragraph in the Committee's 

schedule to which the documents respond. 

9. It shall not be a basis for refusal to produce documents that any other person or entity also 

possesses non-identical or identical copies of the same documents. 

l 0. If any of the requested information is only reasonably available in machine-readable form 

(such as on a computer server, hard drive, or computer backup tape), you should consult with 

the Committee staff to determine the appropriate format in which to produce the information. 

11. If compliance with the request cannot be made in full by the specified return date, 

compliance shall be made to the extent possible by that date. An explanation of why full 

compliance is not possible shall be provided along with any partial production. 

12. In the event that a document is withheld on the basis of privilege, provide a privilege log 

containing the following information concerning any such document: (a) the privilege 

asserted; (b) the type of document; ( c) the general subject matter; ( d) the date, author and 

addressee; and (e) the relationship of the author and addressee to each other. 

13. If any document responsive to this request was, but no longer is, in your possession, custody, 

or control, identify the document (stating its date, author, subject and recipients) and explain 

the circumstances under which the document ceased to be in your possession, custody, or 

control. 

14. If a date or other descriptive detail set forth in this request referring to a document is 

inaccurate, but the actual date or other descriptive detail is known to you or is otherwise 

apparent from the context of the request, you are required to produce all documents which 

would be responsive as if the date or other descriptive detail were correct. 

15. Unless otherwise specified, the time period covered by this request is from January 1, 2009 

to the present. 

16. This request is continuing in nature and applies to any newly-discovered information. Any 

record, document, compilation of data or information, not produced because it has not been 

located or discovered by the return date, shall be produced immediately upon subsequent 

location or discovery. 

17. All documents shall be Bates-stamped sequentially and produced sequentially. 

18. Two sets of documents shall be delivered, one set to the Majority Staff and one set to the 

Minority Staff. When documents are produced to the Committee, production sets shall be 

delivered to the Majority Staff in Room 2157 of the Rayburn House Office Building and the 

Minority Staff in Room 24 71 of the Rayburn House Office Building. 
19. Upon completion of the document production, you should submit a written certification, 

signed by you or your counsel, stating that: ( 1) a diligent search has been completed of all 

documents in your possession, custody, or control which reasonably could contain responsive 

documents; and (2) all documents located during the search that are responsive have been 

produced to the Committee. 

Definitions 

1. The term "document" means any written, recorded, or graphic matter of any nature 

whatsoever, regardless of how recorded, and whether original or copy, including, but not 

limited to, the following: memoranda, reports, expense reports, books, manuals, instructions, 

financial reports, working papers, records, notes, letters, notices, confirmations, telegrams, 

receipts, appraisals, pamphlets, magazines, newspapers, prospectuses, inter-office and intraoffice communications, electronic mail (e-mail), contracts, cables, notations of any type of 

conversation, telephone call, meeting or other communication, bulletins, printed matter, 

computer printouts, teletypes, invoices, transcripts, diaries, analyses, returns, summaries, 

minutes, bills, accounts, estimates, projections, comparisons, messages, correspondence, 

press releases, circulars, financial statements, reviews, opinions, offers, studies and 

investigations, questionnaires and surveys, and work sheets (and all drafts, preliminary 

versions, alterations, modifications, revisions, changes, and amendments of any of the 

foregoing, as well as any attachments or appendices thereto), and graphic or oral records or 

representations of any kind (including without limitation, photographs, charts, graphs, 

microfiche, microfilm, videotape, recordings and motion pictures), and electronic, 

mechanical, and electric records or representations of any kind (including, without limitation, 

tapes, cassettes, disks, and recordings) and other written, printed, typed, or other graphic or 

recorded matter of any kind or nature, however produced or reproduced, and whether 

preserved in writing, film, tape, disk, videotape or otherwise. A document bearing any 

notation not a part of the original text is to be considered a separate document. A draft or 

non-identical copy is a separate document within the meaning of this term. 

2. The term "communication" means each manner or means of disclosure or exchange of 

information, regardless of means utilized, whether oral, electronic, by document or 

otherwise, and whether in a meeting, by telephone, facsimile, email (desktop or mobile 

device), text message, instant message, MMS or SMS message, regular mail, telexes, 

releases, or otherwise. 

3. The terms "and" and "or" shall be construed broadly and either conjunctively or disjunctively 

to bring within the scope of this request any information which might otherwise be construed 

to be outside its scope. The singular includes plural number, and vice versa. The masculine 

includes the feminine and neuter genders. 

4. The terms "person" or "persons" mean natural persons, firms, partnerships, associations, 

corporations, subsidiaries, divisions, departments, joint ventures, proprietorships, syndicates, 

or other legal, business or government entities, and all subsidiaries, affiliates, divisions, 

departments, branches, or other units thereof. 
5. The term "identify," when used in a question about individuals, means to provide the 

following information: (a) the individual's complete name and title; and (b) the individual's 

business address and phone number. 

6. The term "referring or relating," with respect to any given subject, means anything that 

constitutes, contains, embodies, reflects, identifies, states, refers to, deals with or is pertinent 

to that subject in any maimer whatsoever. 

7. The term "employee" means agent, borrowed employee, casual employee, consultant, 

contractor, de facto employee, independent contractor, joint adventurer, loaned employee, 

part-time employee, permanent employee, provisional employee, subcontractor, or any other 

type of service provider. 
COMMITTEE ON OVERSIGHT AND GOVERNMENT REFORM 

U.S. HOUSE OF REPRESENTATIVES 

115TM CONGRESS 

NOTICE OF APPEARANCE OF COUNSEL 

Counsel submitting: ----------------------------

Bar number: State/District of admission: -------- -------

Attorney for:-------------------------------

Address: 

Telephone: ( ) __ _ 

Pursuant to Rule 16 of the Committee Rules, notice is hereby given of the entry of the 

undersigned as counsel for ___________________ in (select one): 

('!) All matters before the Committee 

Q The following matters (describe the scope of representation): 

All further notice and copies of papers and other material relevant to this action should be 

directed to and served upon: 

Attorney's name: 

Attorney's email address: 

Firm name (where applicable):------------------

Complete Mailing Address: --------------------

I agree to notify the Committee within 1 business day of any change in representation. 

Signature of Attorney Date 
Question 1 Question 2 Question 3 Question 4 Question 5

Title Form of Guidance Description Date of Issuance Issuing Agency/Office Docket Number Federal Register/FERC Citation Hyperlink

Report and Recommendations on the TwoYear Hydro Pilot Process Report to Congress Report on review of two year hydro pilot process as required by the 

Hydropower Regulatory Efficency Act of 2013 May 31, 2017 Staff N/A N/A Report and Recommendations on the Two-Year Hydro Pilot Process 

Policy Statement on Establishing License 

Terms for Hydroelectric Projects Policy Statement

This policy statement adopts a 40-year default license term for original and 

new licenses for hydropower projects located at non-federal dams. The policy 

statement also describes when the Commission will consider issuing those 

projects a license with a term for less or more than 40 years.

October 19, 2017 Commission PL17-3-000 82 FR 49501 (2017)

161 FERC ¶ 61,078 (2017) http://www.ferc.gov/whats-new/comm-meet/2017/101917/H-1.pdf

Utilization of Electric Storage Resources for 

Multiple Services When Receiving Cost-Based 

Rate Recovery

Policy Statement

This policy statement clarifies precedent and provides guidance on the ability 

of electric storage resources to provide services at and seek to recover their 

costs through both cost-based and market-based rates concurrently. January 19, 2017 Commission PL17-2-000 82 FR 9343 (2017)

158 FERC ¶ 61,051 (2017) http://www.ferc.gov/whats-new/comm-meet/2017/011917/E-2.pdf 

Policy Statement on Hold Harmless 

Commitments Policy Statement

The policy statement discusses hold harmless commitments offered by 

applicants as ratepayer protection mechanisms to mitigate adverse effects on 

rates that may result from transactions subject to section 203 of the Federal 

Power Act.

May 19, 2016 Commission PL15-3-000 81 FR 33502 (2016)

155 FERC ¶ 61,189 (2016) http://www.ferc.gov/whats-new/comm-meet/2016/051916/E-5.pdf

Cost Recovery Mechanisms for 

Modernization of Natural Gas Facilities Policy Statement

The policy statement clarifies the ability of interstate natural gas pipelines to 

recover costs of modernizing their facilities and infrastructure to enhance the 

efficient and safe operation of their systems. April 16, 2015 Commission PL15-1-000 80 FR 22366 (2015)151 FERC ¶ 61,047 (2015) http://www.ferc.gov/whats-new/comm-meet/2015/041615/G-1.pdf 

Payment of Dividends from Funds Included in 

Capital Accounts Policy Statement

This policy statement provides guidance that the Federal Power Act should be 

interpreted as not prohibiting the payment of dividends from funds included in 

capital accounts by any public utility that has a market-based rate tariff on file 

with the Commission, does not have captive customers, and does not provide 

transmission or local distribution service.

July 17, 2014 Commission PL14-1-000 79 FR 42665 (2014)

148 FERC ¶ 61,020 (2014) http://www.ferc.gov/whats-new/comm-meet/2014/071714/E-11.pdf 

Allocation of Capacity on New Merchant 

Transmission Projects and New Cost-Based, 

Participant-Funded Transmission Projects

&

Priority Rights To New Participant-Funded 

Transmission

Policy Statement

This policy statement clarifies and refines the Commission's policies governing 

the allocation of capacity for new merchant transmission projects and new 

nonincumbent, cost-based, participant-funded transmission projects.

January 17, 2013 Commission

AD12-9-000 

&

AD11-11-000

78 FR 5268 (2013)

142 FERC ¶ 61,038 (2013) http://www.ferc.gov/whats-new/comm-meet/2013/011713/E-2.pdf 

Promoting Transmission Investment Through 

Pricing Reform Policy Statement

This policy statement provides guidance regarding the Commission's 

evaluation of applications for electric transmission incentives under section 

219 of the Federal Power Act.

November 15, 2012 Commission RM11-26-000 77 FR 69754 (2012)

141 FERC ¶ 61,129 (2012) http://www.ferc.gov/whats-new/comm-meet/2012/111512/E-3.pdf 

Policy Statement on The Commission’s Role 

Regarding The Environmental Protection 

Agency’s Mercury and Air Toxics Standards

Policy Statement

The Commission issued this policy statement to explain how it will provide 

advice to the Environmental Protection Agency (EPA) for it to rule on requests 

for Administrative Orders to operate in noncompliance with EPA's Mercury 

and Air Toxics Standards.

May 17, 2012 Commission PL12-1-000 77 FR 30274 (2012)

139 FERC ¶ 61,131 (2012) http://www.ferc.gov/whats-new/comm-meet/2012/051712/E-5.pdf 

Revised Policy Statement on Penalty 

Guidelines Policy Statement This policy statement revises the Policy Statement on Penalty Guidelines to address comments the Commission received. September 17, 2010 Commission PL10-4-000 Not Published in Federal Register132 FERC ¶ 61,216 (2010) https://www.ferc.gov/whats-new/comm-meet/2010/091610/M-1.pdf

Policy Statement on Penalty Guidelines Policy Statement

This policy statement was issued to add greater fairness, consistency, and 

transparency to the Commission's civil penalty determinations. March 18, 2010 Commission PL10-4-000 Not Published in Federal Register

130 FERC ¶ 61,220 (2010) http://www.ferc.gov/whats-new/comm-meet/2010/031810/M-1.pdf 

Policy Statement On Disclosure Of 

Exculpatory Materials Policy Statement

The Commission issued this policy statement to provide guidance concerning 

the obligations and procedures for disclosing exculpatory materials during 

investigations under Section 1b and administrative enforcement actions under 

Part 385 of the Commission's regulations.

December 17, 2009 Commission PL10-1-000 Not Published in Federal Register

129 FERC ¶ 61,248 (2009) http://www.ferc.gov/whats-new/comm-meet/2009/121709/M-2.pdf 

Smart Grid Policy Statement Policy Statement

This policy statement provides guidance regarding the development of a smart 

grid for the nation's electric transmission system, focusing on the 

development of key standards to achieve interoperability and functionality of 

smart grid systems and devices.

July 16, 2009 Commission PL09-4-000 74 FR 37097 (2009)

128 FERC ¶ 61,060 (2009) http://www.ferc.gov/whats-new/comm-meet/2009/071609/E-3.pdf 

Policy Statement on Compliance Policy Statement

This policy statement provides additional guidance to the public on compliance 

with the Commission's governing statutes, regulations, and orders. The policy 

statement also addresses factors related to effective compliance that the 

Commission will take into account in considering whether to reduce or 

eliminate civil penalties for violations.

October 16, 2008 Commission PL09-1-000 Not Published in Federal Register

125 FERC ¶ 61,058 (2008) http://www.ferc.gov/whats-new/comm-meet/2008/101608/M-3.pdf 

Question 7
Question 1 Question 2 Question 3 Question 4 Question 5

Title Form of Guidance Description Date of Issuance Issuing Agency/Office Docket Number Federal Register/FERC Citation Hyperlink

Question 7

Revised Policy Statement on Enforcement Policy Statement

This policy statement provides guidance to the regulated community as to the 

Commission's enforcement policies concerning its governing statutues, 

regulations, and orders, including how it has applied its enhanced 

enforcement tools under the Energy Policy Act of 2005.

May 15, 2008 Commission PL08-3-000 Not Published in Federal Register

123 FERC ¶ 61,156 (2008) http://www.ferc.gov/whats-new/comm-meet/2008/051508/M-1.pdf 

Composition of Proxy Groups for Determining 

and Oil Pipeline Return on Equity Policy Statement

This policy statement concerns the composition of the proxy groups used to 

determine gas and oil pipelines' return on equity under the Discounted Cash 

Flow model.

April 17, 2008 Commission PL07-2-000 73 FR 23222 (2008)

123 FERC ¶ 61,048 (2008) http://www.ferc.gov/whats-new/comm-meet/2008/041708/G-1.pdf 

Electric Quarterly Report Filing Requirements 

Guide Manual This staff-developed guide is designed to assist filers in submitting information accurately in the Electric Quarterly Report. November 15, 2017 Staff N/A N/A http://www.ferc.gov/docs-filing/eqr/eqr-requirements-guide.pdf 

Guidelines for Reporting on Cultural 

Resources Investigations for Natural Gas 

Projects

Manual

Assist project sponsors in preparing report filings under FERC regulations for 

interstate natural gas projects and for purposes of complying with Section 106 

of the National Historic Preservation Act.

July 2017 Staff AD15-10-000

Various notices published in Fed Reg, 

and full text of guidance document is 

on FERC website.

https://www.ferc.gov/industries/gas/enviro/guidelines/cultural-guidelines-final.pdf

Guidance Manual for Environmental

Report Preparation for Applications Filed 

under the Natural Gas Act

Manual

The Guidance Manual provides guidance to applicants on how to prepare 

environmental resource reports for both interstate natural gas projects and 

Commission-jurisdictional LNG facilities and explains how these projects may 

demonstrate compliance with certain regulatory requirements.

February 2017 Staff AD16-3-000

Various notices published in Fed Reg, 

and full text of guidance document is 

on FERC website.

Handbook for Using Third-Party Contractors 

To Prepare Environmental Documents for 

Natural Gas Facilities and Hydropower 

Projects

Manual

Provides an overview of the voluntary third-party contracting program to 

enable applicants seeking certificates for natural gas facilities and licenses for 

hydropower projects to fund a third-party contractor to assist the Commission 

staff in reviewing the environmental aspects of applications and preparing the 

environmental documents required by the National Environmental Policy Act 

of 1969.

August 2016 Staff N/A N/A https://www.ferc.gov/industries/hydropower/enviro/tpc/tpc-handbook.pdf

Upland Erosion Control, Revegetation, and 

Maintenance Plan Manual

Identifies baseline mitigation measures for minimizing erosion and enhancing 

revegetation in upland areas affected by FERC-jurisdictional natural gas 

projects.

May 2013 Staff AD12-2-000

Various notices published in Fed Reg, 

and full text of guidance document is 

on FERC website.

https://www.ferc.gov/industries/gas/enviro/plan.pdf

Wetland and Waterbody Construction and 

Mitigation Procedures Manual

Identifies baseline mitigation measures for minimizing the extent and duration 

of project-related disturbance on wetlands and waterbodies affected by FERCjurisdictional natural gas projects.May 2013 Staff AD12-2-000

Various notices published in Fed Reg, 

and full text of guidance document is 

on FERC website.

https://www.ferc.gov/industries/gas/enviro/procedures.pdf

Notice of No Further Review and Guidance 

Order Guidance Order 

The order addresses how repetitive infractions of the same or a closely-related 

Reliability Standard are treated as an aggravating factor in penalty 

determinations for violaitons of Reliability Standards. August 27, 2010 Commisison

NP10-143-000 

through NP10-

159-000

132 FERC ¶ 61,182 https://www.ferc.gov/CalendarFiles/20100827173602-NP10-143-000.pdf

Further Guidance Order on Reliability Notices 

of Penalty Guidance Order 

The order announces the Commission's willingness to accept abbreviatedformat notice of penalty filings under FPA section 215, and provides guidance 

on the types of violations that may be appropriate for short-form filings. October 26, 2009 Commission AD10-1 et al. Not Published in Federal Register129 FERC ¶ 61,069 https://www.ferc.gov/CalendarFiles/20091026151449-AD10-1-000.pdf 

Guidance Order on Compliance Audits 

Conducted by the Electric Reliability 

Organization and Regional Entities

Guidance Order 

The order provides guidelines to NERC and the Regional Entities responsible 

for conducting audits under FPA section 215 to enhance consistency in 

compliance audit processes, including guidelines for audit leadership and preaudit training.

January 15, 2009 Commission AD09-3-000 126 FERC ¶ 61,038 https://legacyexternalwebsitefiles.balch.com/upload/FERC_Compliance_Audit_Guidance_Order.pdf 

Order Clarifying Requirement to Notify 

Commission of Material Changes in Facts 

under the Public Utility Holding Company Act 

of 2005 and Allowing 45-Day Filing Period for 

Updated Notifications

Guidance Order 

This order provides further guidance on filing requirements under the Public 

Utility Holding Company Act of 2005.

November 20, 2008 Commission PL09-2-000 73 FR 71640 (2008)

125 FERC ¶ 61,208 (2008) http://www.ferc.gov/whats-new/comm-meet/2008/112008/E-18.pdf 

Guidance Order on Reliability Notices of 

Penalty Guidance Order 

The order provides guidance to the North American Electric Reliability 

Corporation (NERC) to ensure that its notice of penalty filings under FPA 

section 215 contain information needed for Commission review, and to 

promote comparability and consistency in setting penalties.

July 3, 2008 Commission AD08-10 et al. Not Published in Federal Register

124 FERC ¶ 61,015 https://www.ferc.gov/CalendarFiles/20080703131349-AD08-10-000.pdf

Order on Violation Severity Levels Proposed 

by the Electric Reliability Organization Guidance Order 

The order sets out guidelines the Commission will use to evaluate Violation 

Severity Levels assigned to each requirement in NERC Reliability Standards. June 19, 2008 Commission RR08-4-000 123 FERC ¶ 61,284 https://elibrary.ferc.gov/idmws/nvcommon/-1'/19377012_1.pdf 

Interpretive Order Modifying No-Action 

Letter Process and Reviewing Other 

Mechanisms for Obtaining Guidance

Guidance Order 

The order addressses certain procedural and process matters and expands the 

scope of the "no-action" letter process through which entities subject to the 

Commission's authority may seek a determination on whether staff would 

recommend enforcement action.

May 15, 2008 Commission PL08-2-000 123 FERC ¶ 61,157 (2008) https://www.ferc.gov/whats-new/comm-meet/2008/051508/M-2.pdf

https://www.ferc.gov/industries/gas/enviro/guidelines/guidance-manual-volume-1.pdf

https://www.ferc.gov/industries/gas/enviro/guidelines/guidance-manual-volume-2.pdf
Question 1 Question 2 Question 3 Question 4 Question 5

Title Form of Guidance Description Date of Issuance Issuing Agency/Office Docket Number Federal Register/FERC Citation Hyperlink

Question 7

Order Providing Guidance on Recovery of 

Reliability Penalty Costs by Regional 

Transmission Organizations and Independent 

System Operators

Guidance Order 

The order provides guidance on recovery of penalty costs assessed on RTOs 

and ISOs for violation of reliability standards under FPA section 215, denying 

automatic pass-through of such costs to member organizations and instead 

requiring RTOs & ISOs to seek Commission approval for direct assignment of 

penalty costs to individual member(s) and/or for allocation of costs to all 

members. 

March 20, 2008 Commission AD07-12-000 Not Published in Federal Register

122 FERC ¶ 61,247 https://www.ferc.gov/whats-new/comm-meet/2008/032008/E-3.pdf 

FAST-41 FERC.gov website Guidance on 

website

Guidance on implementation of the Fixing America's Surface Transportation 

Act for FERC Projects September 1, 2017 Staff N/A N/A https://www.ferc.gov/legal/fed-sta/fast-41.asp

Updated Chapter 2 of Engineering Guidelines - 

Selecting and Accomodating Inflow Design 

Floods for Dams

Guidance on 

website

Assistance to licenses in preparing Inflow Design Floods for Dams

August 1, 2015 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/guidelines/eng-guide/chap2.pdf

Updated Chapter 6 of Engineering Guidelines - 

Emergency Action Plans

Guidance on 

website

Assistance to licenses for preparing Emergence Action Plans July 1, 2015 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/guidelines/eng-guide/chap6.pdf

Compliance Handbook Guidance on 

website

Description of compliance procedures at hydropower projects January 1, 2015 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/handbooks/compliance_handbook.pdf

Managing Hydropower Project Exhibits - 

Drawings Guide

Guidance on 

website

Assistance for preparing hydropower project exhibits August 1, 2014 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/guidelines/drawings-guide.pdf

Owner's Dam Safey Program Guidance on 

website

Guidance to licenses on their individual dam safety programs August 1, 2012 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/initiatives/odsp.asp

Shoreline Management Planning Guidance on 

website

Assistance to stakeholders on preparing shoreline management plans July 2012 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/guidelines/smpbook.pdf

A Guide to Understanding and Applying the 

Integrated Licensing Process Study Criteria

Guidance on 

website

Document to explain ILP study criteria

March 2012 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/guidelines/guide-study-criteria.pdf

Ideas for Implementing and Particpating in 

the Integrated Licensing Process 

Guidance on 

website

Assistance to stakeholders participating in the ILP March 2011 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/licensing/ilp/eff-eva/ideas.pdf

Time Senstive EAP Guidance on 

website

Document to assist in development of Emergency Action Plans (dam safety) September 2009 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/initiatives/time-initiative.asp

Preparing Environmental Documents Guidance on 

website

Assistance to stakeholders in preparing the enviornmental documents September 2008 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/guidelines/eaguide.pdf

BOEM/FERC Guidelines on Regulation of 

Marine and Hydrokinetic Energy Projects on 

the OCS

Guidance on the 

website

Guidance hydropower marine and hydrokinetic projects regulation

July 19, 2012 Staff N/A N/A http://www.ferc.gov/industries/hydropower/gen-info/licensing/hydrokinetics/pdf/mms080309.pdf

Guidelines for Drilling In and Near 

Embankment Dams

Guidance on 

website

Information for best practices for drilling near embankment dams June 2016 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/guidelines/eng-guide/drilling/guidelines.pdf

Revision 3A - Security Program for 

Hydropower Projects (Adding Cypersecurity 

Requirements)

Guidance on 

website

Guidance for licenses on security programs at hydropower projects including 

the cybersecurity requirement March 2016 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/guidelines/security/security.pdf

Draft Risk Informed Decision Making 

Guidelines

Guidance on 

website

Provides Information on Risk Informed Decision Making March 2016 Staff N/A N/A https://www.ferc.gov/industries/hydropower/safety/guidelines/ridm.asp

Hydropower Primer Guidance Description of hydropower program and roles and responsibilites of the Office 

of Energy Projects April 2017 Staff N/A N/A https://www.ferc.gov/legal/staff-reports/2017/hydropower-primer.pdf

Brochure on Hydropower Licensing Guidance Assistance to stakeholders on how to get involved in hydropower licensing December 2016 Staff N/A N/A Hydropower Licensing – How to Get Involved brochure

Whitepaper on Hydrokinetic Pilot Project 

Licensing

General Paper - 

Guidance

Description of hydrokinetic pilot project licensing April 14, 2008 Staff N/A N/A https://www.ferc.gov/industries/hydropower/gen-info/licensing/hydrokinetics/pdf/white_paper.pdf

Tree Trimming and Vegetation Management 

Landowners FAQs

The FAQs provide information about federal standards requiring utilities to 

manage vegetation along higher-voltage transmission lines under FERC's FPA 

section 215 authority, including the limited scope of those requirements. December 7, 2017 Staff N/A N/A https://www.ferc.gov/resources/faqs/tree-veget.asp 

Electric Quarterly Reports FAQs FAQs These FAQs are provided to assist filers in complying with the Electric 

Quarterly Report filing requirements. November 22, 2017 Staff N/A N/A http://www.ferc.gov/docs-filing/eqr.asp 

Exempt Wholesale Generators FAQs These questions and answers address matters under 42 USC 16451 et seq and 

18 CFR part 366. February 16, 2017 Staff N/A N/A https://www.ferc.gov/resources/faqs/ewg.asp 

Qualifying Facilities FAQs These questions and answers address matters under 16 USC 824a-3 and 18 

CFR Part 292. August 12, 2012 Staff N/A N/A https://www.ferc.gov/resources/faqs/qf-faqs.asp 

Gas Pre-Filing FAQs FAQs

The FAQs provide explainations of various meetings and procedures used in 

the FERC pre-filing review process for natural gas facility applications. May 30, 2012 Staff N/A N/A https://www.ferc.gov/resources/faqs/prefiling.asp

Power Marketers FAQs These questions and answers address matters under 16 USC 824d and 18 CFR 

Part 35. May 30, 2012 Staff N/A N/A https://www.ferc.gov/resources/faqs/power-market.asp
Question 1 Question 2 Question 3 Question 4 Question 5

Title Form of Guidance Description Date of Issuance Issuing Agency/Office Docket Number Federal Register/FERC Citation Hyperlink

Question 7

Market-Based Rates FAQs These questions and answers address matters under 16 USC 824d and 18 CFR 

Part 35. May 30, 2012 Staff N/A N/A https://www.ferc.gov/industries/electric/gen-info/mbr.asp

Accounting - Material Deviations FAQs These questions and answers address matters under 15 USC 717c and 18 CFR 

Part 154. May 30, 2012 Staff N/A N/A https://www.ferc.gov/resources/faqs/material-dev.asp 

Small Entity Compliance Guide Mandatory 

Reliability Standards (Order No. 693) Compliance Guide

The Compliance Guide provides an introduction to FERC's authority under FPA 

section 215 to oversee mandatory reliability standards, including their 

applicablity to small entities.

N/A Staff N/A N/A https://www.ferc.gov/industries/electric/indus-act/reliability/sm-entity-compliance.pdf 

Staff White Paper on Anti-Market 

Manipulation Enforcement Efforts Ten Years 

After EPAct 2005

Advisory

The White Paper provides information on: (1) some of the various factors that 

have been found to be indicative of fraudulent conduct under the AntiManipulation Rule; (2) some of the specific types of conduct and behaviors 

that have been found to constitute market manipulation; (3) mitigating and 

aggravating factors that have lessened or heightened an entity’s culpability 

and sanctions for such conduct; and (4) the types of cases that staff has closed 

without action and the various factors that led to such decisions.

November 17, 2016 Staff N/A N/A https://www.ferc.gov/legal/staff-reports/2016/marketmanipulationwhitepaper.pdf

Effective Energy Trading Compliance Practices Advisory

The purpose of the White Paper is to provide examples of compliance 

practices that have been effective in detecting and deterring market 

manipulation and of compliance practices that have been ineffective. November 17, 2016 Staff N/A N/A https://www.ferc.gov/legal/staff-reports/2016/tradecompliancewhitepaper.pdf

Suggested Best Practices for Industry 

Outreach Programs to Stakeholders Advisory

Presents best practices and highlights tools that Commission staff believe can 

be used to effectively engage stakeholders in the application

process for siting, construction, and operation of interstate natural gas 

facilities and LNG terminals.

July 2015 Staff N/A N/A https://www.ferc.gov/industries/gas/enviro/guidelines/stakeholder-brochure.pdf 

Guidance for Applicant-Prepared Draft 

Enviornmental Assessments for Certain 

Proposed Natural Gas Projects

Advisory

Provides applicants with guidance for using an applicant prepared 

enviornmental assessment process in implementing the National 

Environmental Policy Act for FERC-jurisdictional natural gas projects.

April 2011 Staff N/A N/A https://www.ferc.gov/industries/gas/enviro/draft-ea-guidance.pdf

Accounting and Financial Reporting for 

Pensions and Post-retirement Benefits other 

than Pensions

Accounting 

Guidance

The delegated order provides accounting and financial reporting guidance for 

Pensions and Post-retirement Benefits other than Pensions. December 28, 2017 Staff AI18-1-000 N/A https://www.ferc.gov/enforcement/acct-matts/docs/AI18-1-000.pdf

Accounting and Reporting Guidance for New 

Electric Storage Technologies

Accounting 

Guidance

The delegated order provides accounting and reporting guidance for new 

electric storage technologies. February 20, 2014 Staff AI14-1-000 N/A https://www.ferc.gov/enforcement/acct-matts/docs/AI14-1-000.pdf

Revision to Accounting Release No. 5, 

Capitalization of Allowance for Funds Used 

During Construction

Accounting 

Guidance

The delegated order provides guidance on the proper period for capitalization 

of Allowance for Funds Used During Construction. February 16, 2011 Staff AI11-1-000 N/A https://www.ferc.gov/enforcement/acct-matts/docs/AI11-1-000.pdf

Guidance on Formula Rate Updates Guidance on 

website

Provides guidance for utilities in the preparation of their annual electric 

transmission formula rate updates and annual update informational filings to 

avoid common deficiencies.

July 17, 2014 Staff N/A N/A https://www.ferc.gov/industries/electric/indus-act/oatt-reform/staff-guidance.pdf
Appendix R

Federal Housing Financing Agency 
FEDERAL HOUSING FINANCE AGENCY 

Office of the Director 

December 22, 2017 

The Honorable Trey Gowdy 

Chairman 

Committee on Oversight 

and Government Reform 

United States House of Representatives 

Washington, D.C. 20515 

Dear Chairman Gowdy: 

This letter and the enclosure are in response to your December 8, 2017 letter requesting 

information about the Federal Housing Finance Agency's (FHFA's) guidance documents. 

FHF A was established on June 30, 2008 and the enclosure contains a list of guidance documents 

issued by FHFA from that date to the date of this letter, including the title, reference number, 

description and hyperlink for each. FHF A guidance documents are routinely made public 

through publication on FHF A's website, unless contrary considerations exist. Other identifying 

information referenced in your letter does not appear to be applicable in light of the fact that 

FHF A is a relatively small agency and does not have offices fitting the description of 

"component, office, or program" that would be considered the issuer of the documents as 

opposed to the agency itself. 

The summaries contained in the enclosure are drawn from descriptions in FHFA's overview of 

regulations and guidance included in our Annual Reports to Congress. In line with the standards 

of what is deemed "economically significant" expressed in Executive Order 12866 or "major" in 

the Congressional Review Act, none ofFHFA's guidance documents are considered 

"significant." None of these guidance documents have been submitted to other agencies for 

review. 

While we have made a good faith effort to list and provide information on all documents meeting 

the criteria outlined in your December 8 letter, if we subsequently find other documents that we 

consider responsive they will be provided. Additionally, if there are documents other than those 

listed in the enclosure that you believe would be responsive to your request, please advise me so 

I can ensure appropriate follow up. 

400 7th Street, S.W., Washington, D.C. 20024 • 202-649-3801 • 202-649-1071 (fax) 
Page 2 

If you have any additional questions, please contact Peter Brereton, Associate Director, Office of 

Congressional Affairs and Communications at . 

Melvin L. Watt 

Enclosure 

cc: The Honorable Mark Meadows 

The Honorable Jim Jordan 

The Honorable Gary J. Palmer 

The Honorable Blake Farenthold 

The Honorable Elijah E. Cummings 

The Honorable Gerald E. Connolly 

The Honorable Raja Krishnamoorthi 

The Honorable Val Butler Demings 

The Honorable Stacey E. Plaskett 
2017-1208-HCOGR-GOW Page 1 of 7

Title Reference Date Description Hyperlink

2017

Acquired Member Asset Price Risk Governance AB 2017-03 11/21/2017 Provides Federal Housing Finance Agency (FHFA) guidance for Federal Home 

Loan Bank (FHLBank) Acquired Member Asset (AMA) price risk governance. It 

sets forth that a FHLBank should: (1) estimate expected spread to funding; (2) 

establish minimum expected spreads; (3) adopt total portfolio and acquisition limits; 

(4) create controls; and (5) conduct board and management committee education and 

reporting.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB-2017-03.pdf

Information Security Management AB 2017-02 9/28/2017 Provides Federal Housing Finance Agency (FHFA) guidance on information 

security management for supporting a safe and sound operational environment and 

promoting the resilience of Fannie Mae, Freddie Mac, the Federal Home Loan 

Banks, and the Office of Finance (OF) (collectively, the regulated entities). The 

guidance in this AB is applicable to the regulated entities and is based on current 

regulatory and industry standards. It does not prescribe specific standards or 

technology solutions, but describes three main components of an information 

security program (program).

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB-2017-02.pdf

Classifications of Adverse Examination Findings AB 2017-01 3/13/2017 Establishes classifications of adverse examination findings at Fannie Mae, Freddie 

Mac, the Federal Home Loan Banks (the regulated entities) and the Office of 

Finance. Adverse examination findings are typically risk management deficiencies, 

increases in risk exposures, or violations of laws, regulations, or orders that affect 

the performance or condition of a regulated entity or the Office of Finance. This 

advisory bulletin establishes classifications of examination findings that identify 

priorities for remediation by the regulated entities and the Office of Finance and 

guide FHFA in the development of supervisory strategies. This advisory bulletin 

supersedes and rescinds Advisory Bulletin 2012-01, Categories of Examination 

Findings (April 2, 2012).

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB-2017-01-Classifications-of-AdverseExamination-Findings.pdf

FHFA Examination Manual N/A 3/3/2017 and 

8/30/2017

FHFA issued modules for Default Legal Services and Single-Family Mortgage 

Securitization Management on August 30, 2017 and March 3, 2017, respectively. 

FHFA also revised the Information Technology Risk Management Program module 

in January 2017 and the OMWI Diversity and Inclusion module in June 2017. 

Supplemental examination modules complement the modules in the FHFA 

Examination Manual.

https://www.fhfa.gov/SupervisionRegulation

/ExaminerResources/Pages/Manual-andSupplemental-Guidance.aspx

2016

Advisory Bulletin on Internal Audit Governance and Function AB 2016-05 10/7/2016 Communicates FHFA’s supervisory expectations for the regulated entities and the 

OF to establish independent Internal Audit functions and that those functions 

provide timely feedback to management and assurance to audit committees on the 

effectiveness of regulated entities’ internal controls, risk management, and 

governance. Timely and reliable information about elevated risks and internal 

control systems are important so that management can make prompt corrections. 

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/Final_AB_Internal_Audit_2016-05.pdf

Advisory Bulletin on Data Management and Usage AB 2016-04 9/29/2016 Rescinds and replaces three Finance Board guidance documents issued between 

1996 and 2002 relating to risk assessment: internal auditor independence; internal 

audit department external reviews; and examination reviews of audit independence, 

audit committee oversight of selection, compensation and performance evaluation of 

the audit director.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2016-04_Data-Management-andUsage-AB.pdf

Advisory Bulletin on Affordable Housing Program: Monitoring 

of Income Eligibility and Rents for Shelters for the Homeless 

and Victims of Domestic Violence 

AB 2016-03 8/29/2016 Communicates FHFA’s guidance under the AHP on how the FHLBanks may verify 

AHP household income eligibility and rents in the case of shelters for the homeless 

and shelters for victims of domestic violence.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB_on_AHP_Homeless_and_Victims_o

f_Domestic_Violence_to_FHLBanks_8-29-

2016.pdf
2017-1208-HCOGR-GOW Page 2 of 7

Title Reference Date Description Hyperlink

Advisory Bulletin on FHLBank Changes to Internal Market Risk 

Models

AB 2016-02 4/21/2016 Updates previous guidance on how an FHLBank may obtain approval to implement 

significant changes to a previously approved internal market risk model after proper 

notification to FHFA. The Bulletin describes the procedures and documentation for 

the notification process.

The Bulletin rescinds and replaces the 2005 Finance Board guidance on changes to 

internal market risk models.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB_Market-Risk-ModelApproval_Final.pdf

Advisory Bulletin on Classification of Investment Securities at 

FHLBanks 

AB 2016-01 1/21/2016 Communicates FHFA’s guidance on the classification of investment securities at the 

FHLBanks. The Bulletin incorporates the guidance provided by the Uniform 

Agreement on the Classification and Appraisal of Securities Held by Depository 

Institutions issued by the Office of the Comptroller of the Currency, the Board of 

Governors of the Federal Reserve System, and the Federal Deposit Insurance 

Corporation in October 2013.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB-2016-01_Classification-ofInvestment-Securities-at-FHLBanks.pdf

FHFA Examination Manual N/A 12/8/2016 

and 

12/12/2016

On December 12, FHFA issued the Diversity and Inclusion (D&I) Examination 

Module and on December 8 issued the Fraud Overview and Fraud Risk 

Management supplemental examination module for field testing. Supplemental 

examination modules complement the modules in the FHFA Examination Manual.

https://www.fhfa.gov/SupervisionRegulation

/ExaminerResources/Pages/Manual-andSupplemental-Guidance.aspx

2015

Advisory Bulletin on Fraud Risk Management AB 2015-07 9/29/2015 Communicates to Fannie Mae and Freddie Mac (the Enterprises) the Federal 

Housing Finance Agency's (FHFA) supervisory expectations for fraud risk 

management, including the establishment and maintenance of internal controls to 

prevent, deter, and detect fraud or possible fraud.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2015-07_Fraud-RiskManagement.pdf

Advisory Bulletin on Information Technology Investment 

Management

AB 2015-06 9/21/2015 Provides Federal Housing Finance Agency (FHFA) guidance on information 

technology (IT) investment management by Fannie Mae and Freddie Mac (the 

Enterprises). FHFA expects that each Enterprise's IT investment management will 

include sound governance and effective monitoring and reporting that reflect 

relevant risk assessments of the Enterprise. 

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB_2015-06_Info-TechnologyInvestment-Management.pdf

Advisory Bulletin on Federal Home Loan Bank Core Mission 

Achievement

AB 2015-05 7/14/2015 Provides Federal Housing Finance Agency (FHFA) guidance on Federal Home Loan 

Bank (Bank) core mission achievement. It should be considered in conjunction with 

FHFA's Advisory Bulletin 2010-AB-02, Strategic Plans. The Advisory Bulletin also 

describes how FHFA will assess the Banks' core mission achievement, as well as 

FHFA's expectations about the content of the strategic plans for Banks with core 

mission assets below specified levels. 

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/Core%20Mission%20AB%20-%207-14-

2015%20FINAL.pdf

 Advisory Bulletin on Federal Home Loan Bank Unsecured 

Credit Exposure Reporting

AB 2015-04 6/26/2015 Applies to the Federal Home Loan Banks (FHLBanks) and the Office of Finance 

(OF), and describes changes to the manner in which the FHLBanks are to report 

their unsecured credit exposures. The AB provides guidance to the FHLBanks in 

fulfilling the requirements of Section 932.9(e)(1), Section 932.9(e)(2), Section 

1273.6(f), and Section 1260.2 of the Federal Housing Finance Agency (FHFA) 

regulations, which pertain to FHLBank reporting requirements and OF monitoring 

requirements, as described below. This AB replaces and supersedes the Federal 

Housing Finance Board guidance on unsecured credit reporting requirements 

provided by AB-02-07, dated August 27, 2002. 

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2015-AB04%20Bank%20Unscd%20Cred%20Rptg%

20-%206-26-2015.pdf

Advisory Bulletin on Rescission of Division of Enterprise 

Regulation Guidance Documents

AB 2015-03 3/26/2015 To rescind five examination guidance documents issued by the Office of Federal 

Housing Enterprise Oversight (OFHEO).

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2015-03_Rescission-of-DERGuidance-Documents.pdf

Advisory Bulletin on Enterprise Fraud Reporting AB 2015-02 3/26/2015 Communicates to Fannie Mae and Freddie Mac (the Enterprises) the Federal 

Housing Finance Agency’s (FHFA) fraud reporting requirements pursuant to 12 

CFR Part 1233 (FHFA Regulation).

Rescinds and replaces FHFA’s Regulatory Policy Guidance RPG-2011-001, 

Reporting of Fraudulent Financial Instruments, dated March 2011.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2015-02_Enterprise-FraudReporting.pdf
2017-1208-HCOGR-GOW Page 3 of 7

Title Reference Date Description Hyperlink

Advisory Bulletin on FHLBank Fraud Reporting AB 2015-01 2/12/2015 Communicates the Federal Housing Finance Agency's (FHFA) guidance on fraud 

activity reporting for the Federal Home Loan Banks (FHLBanks). 

Rescinds and replaces FHFA's Regulatory Policy Guidance RPG-2011-001, 

Reporting of Fraudulent Financial Instruments (RPG-2011-001), as the RPG applies 

to the FHLBanks. 

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2015-AB01_Bank_Fraud_Reporting_for_2-12-

2015.pdf

FHFA Examination Manual N/A 6/25/2015 On June 25, FHFA issued the Bank Secrecy Act/Anti-Money Laundering Program 

and the Office of Foreign Assets Control Compliance supplemental examination 

modules for field testing.

Supplemental examination modules complement the modules in the FHFA 

Examination Manual.

https://www.fhfa.gov/SupervisionRegulation

/ExaminerResources/Pages/Manual-andSupplemental-Guidance.aspx

2014

Advisory Bulletin on Oversight of Single-Family Seller/Servicer 

Relationships

AB 2014-07 12/1/2014 Communicates FHFA’s supervisory expectation that the Enterprises maintain the 

safety and soundness of their operations by effectively managing counterparty risks 

by implementing a board-approved risk management framework that specifically 

includes risk-based oversight of single-family Seller/Servicers. The risk 

management framework should include policies and procedures that assess financial, 

operational, legal, compliance, and reputation risks associated with its single-family 

Seller/Servicer counterparties and take appropriate action to mitigate those risks or 

reduce the Enterprise’s exposure.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2014-07-Oversight-of-Single-FamilySeller-Servicer-Relationships1212014.pdf

Advisory Bulletin on Mortgage Servicing Transfers AB 2014-06 6/11/2014 Communicates FHFA’s supervisory expectations for risk management practices at 

the Enterprises in conjunction with the sale and transfer of mortgage servicing rights 

or the transfer of the operational responsibilities of servicing mortgage loans owned 

or guaranteed by the Enterprises. Specifically, an Enterprise should have policies 

and procedures in place to adequately review proposed transfers and an Enterprise 

should only approve those transactions that are consistent with sound business 

practice, aligned with the Enterprise’s board-approved risk appetite, and in 

compliance with regulatory and Conservator requirements.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2014%20AB06%20Mortgage%20Servicing%20Transfers

%20Advisory%20Bulletin.pdf

Advisory Bulletin on Cyber Risk Management Guidance

[Rescinded and replaced 9/28/2017]

AB 2014-05 5/19/2014 Communicates FHFA’s supervisory expectations to the Enterprises and the Federal 

Home Loan Banks for cyber-risk management. Specifically, it describes the seven 

main components of a program to manage cyber-risk effectively: proportionality; 

cyber-risk management; risk assessments; monitoring and response; system, patch, 

and vulnerability management; third party management, and privacy and data 

protection.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/Pages/RescindedAdvisory-Bulletins.aspx

Advisory Bulletin on Guidance on the Retirement of the 

Microsoft Windows XP Operating System

AB 2014-04 3/20/2014 Communicates FHFA’s supervisory expectations to the Enterprises and the Federal 

Home Loan Banks regarding Microsoft’s retirement and ending of support for the 

Windows XP operating system and Office 2003 on April 8, 2014.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB_2014-04.pdf

Advisory Bulletin on Rescission of the Federal Home Loan Bank 

Examination Manual and the Division of Enterprise Regulation 

Supervision Handbook

AB 2014-03 3/11/2014 Rescinds the prior Finance Board FHLBank Examination Manual and FHFA 

Division of Enterprise Regulation Supervision Handbook that were superseded by 

the FHFA Examination Manual issued on December 19, 2013.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB-2014-

03_Rescission_of_FHLBank_Examination_

Manual_and_DER_Supervision_Handbook.

pdf

Advisory Bulletin on Operational Risk Management AB 2014-02 2/18/2014 Communicates FHFA’s supervisory expectations to the Enterprises and the Federal 

Home Loan Banks for an operational risk management program. Specifically, it 

describes the four basic components of a program to manage operational risk 

effectively: risk identification and assessment; measurement and modeling; 

reporting; and risk management decision-making. It also addresses governance 

aspects of operational risk management, i.e., the duties and responsibilities of 

management and the board of directors.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB_2014-

02_Operational_Risk_Management_(2-18-

2014).pdf
2017-1208-HCOGR-GOW Page 4 of 7

Title Reference Date Description Hyperlink

Advisory Bulletin on Liquidity Risk Management AB 2014-01 2/18/2014 Communicates FHFA’s supervisory expectations for a liquidity risk management 

process at the Enterprises. Specifically, it describes key elements of an effective risk 

management process including adequate board of directors and senior management 

oversight; appropriate liquidity management policies, procedures, and limits; 

appropriate risk measurement methodology, monitoring, and reporting systems; 

adequate management information systems and internal controls; an effective 

contingency funding plan; adequate levels of highly liquid assets; a funding strategy 

that provides appropriate diversification of funding, regularly assesses market 

access, and identifies alternative sources of funding; and active management of 

intraday liquidity and collateral.

http://www.fhfa.gov/SupervisionRegulation/

AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2014-01_Liquidity-RiskManagement.pdf

FHFA Examination Manual N/A 12/18/2014 The FHFA Examination Manual was first published in 2013, and FHFA revised five 

of the 25 modules during 2014: AMA; Advances and Collateral; Capital; Insurance 

Management; and Office of Finance.

In addition, FHFA issued the Multifamily Mortgage Underwriting and Acquisitions 

supplemental examination module on December 18. Supplemental examination 

modules complement the modules in the FHFA Examination Manual.

https://www.fhfa.gov/SupervisionRegulation

/ExaminerResources/Pages/Manual-andSupplemental-Guidance.aspx

2013

Advisory Bulletin on Collateralization of Advances and Other 

Credit Products; Perfection and Control of Collateral

AB 2013-10 12/23/2103 Communicates FHFA’s expectations on credit risk management practices that 

ensure the FHLBank advances remain “fully secured,” as required by statute, 

relative to the perfection and control of collateral, when accepting particular types of 

collateral.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/Perfection_and_Control_of_Collateral.pd

f

Advisory Bulletin on Collateralization of Advances and Other 

Credit Products to Insurance Company Members

AB 2013-09 12/23/2013 Provides guidance on credit risk management practices to ensure FHLBank 

advances remain fully secured when lending to insurance company members.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/Collateralization_for_Insurance_Compan

y_Lending.pdf

Advisory Bulletin on Guidance on On-Site Monitoring of 

Projects under the Affordable Housing Competitive Application 

Program

AB 2013-08 12/13/2013 Provides guidance to the FHLBanks on incorporating site visits into their project 

monitoring policies and procedures for certain projects awarded funds under the 

competitive application program of the Affordable Housing Program (AHP). 

Describes the existing monitoring requirements of the AHP regulation and provides 

guidance to the FHLBanks on how they may meet those requirements by identifying 

risks and conditions that may warrant a visit to the project site.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/201308_AB_2013-08_On_OnSite_Monitoring_Under_the_Affordable_Ho

using_Competitive_Application_Program_5

08%20(1).pdf

Advisory Bulletin on Model Risk Management Guidance AB 2013-07 11/20/2013 Sets the minimum thresholds, based on the extent and scale of model development 

for each regulated entity and the Office of Finance, for FHFA’s supervisory 

expectations for model risk management by outlining the framework of baseline 

control and governance requirements.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB_2013-

07_Model_Risk_Management_Guidance.pd

f

Advisory Bulletin on Guidance on Scoring Tie-Break 

Methodologies in the Affordable Housing Competitive 

Application Program

AB 2013-06 10/8/2013 Provides guidance under the AHP regulation, 12 CFR Part 1291, on how the 

FHLBanks may treat AHP competitive program applications in the event that two or 

more applications have identical scores in the same funding round and there is 

insufficient AHP subsidy to approve all of the tied applications.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2013-AB-06_AHP_TieBreak_Methodologies.pdf

Advisory Bulletin on Management of Deficiency Balances AB 2013-05 9/16/2013 Establishes supervisory expectations for deficiency balance management at the 

Enterprises. Describes factors that should be considered when deciding whether to 

pursue recovery of deficiency balances as part of a deficiency balance management 

program.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/20130916_AB_2013-05_Management-ofDeficiency-Balances_508.pdf

Advisory Bulletin on Rescission of Division of Bank Regulation 

Advisory Bulletins

AB 2013-04 7/16/2013 Rescinds 29 ABs issued between 1996 and 2007 by the Finance Board relating to 

the examination of the FHLBanks.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/20130716_AB_2013-04_Rescission-ofDivision-of-Bank-Regulation-AdvisoryBulletins_508.pdf
2017-1208-HCOGR-GOW Page 5 of 7

Title Reference Date Description Hyperlink

Advisory Bulletin on FHFA Enforcement Policy AB 2013-03 5/31/2013 Disseminates the internal FHFA policy for taking enforcement actions, when 

determined appropriate, to address compliance with laws, rules, or regulations; 

supervisory guidance, examination findings, or failure to comply with final agency 

orders; capital deficiencies; failure to meet prudential standards; and/or unsafe or 

unsound practices or conditions.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/20130531_AB_2013-03_FHFAEnforcement-Policy_508%20(2).pdf

Advisory Bulletin on Clarification of Implementation for 

Advisory Bulletin 2012-02, Framework for Adversely 

Classifying Loans, Other Real Estate Owned, and Other Assets 

and Listing Assets for Special Mention

AB 2013-02 5/13/2013 Clarifies that the implementation of the asset classification framework set forth in 

AB 2012-02 may occur in two phases. The asset classification provision to be 

implemented by January 1, 2014 and the charge-off provisions should be 

implemented no later than January 1, 2015.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2013_AB_2013-

02_Clarification_of__Implementation_for_A

sset_Classification_Framework_May_13_20

13_508.pdf

Advisory Bulletin on Contingency Planning for High-Risk or 

High-Volume Counterparties

AB 2013-01 4/1/2013 Establishes guidelines for contingency plans for high-risk or high-volume 

counterparties at the regulated entities. The guidelines describe the criteria Fannie 

Mae, Freddie Mac and the FHLBanks should use to develop plans for managing 

counterparty credit risk exposures.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/20130401_AB_2013-01_ContingencyPlanning-for-High-Risk-or-High-VolumeCounterparties_508.pdf

FHFA Examination Manual N/A 12/19/2013 The FHFA Examination Manual comprises an overview of the examination process 

and 25 modules that provide examination instructions and work programs organized 

by risk category or line of business or activity. The examination manual serves as a 

reference tool and describes standards and expectations for the examinations of the 

regulated entities and the Office of Finance.

https://www.fhfa.gov/SupervisionRegulatio

n/ExaminerResources/Pages/Manual-andSupplemental-Guidance.aspx

2012

Advisory Bulletin on FHFA Examination Rating System AB 2012-03 12/19/2012 Communicates the new examination rating system to be used when examining the 

regulated entities and the FHLBanks’ Office of Finance. The FHFA Examination 

Rating System replaces the rating systems previously developed by FHFA’s 

predecessor agencies. The new rating system is based on assessment of seven 

individual components: Capital, Asset quality, Management, Earnings, Liquidity, 

Sensitivity to market risk, and Operational risk, known as the CAMELSO 

framework.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/FHFA_AB_2012-03.pdf

Advisory Bulletin on Framework for Adversely Classifying 

Loans, Other Real Estate Owned, and Other Assets and Listing 

Assets for Special Mention

AB 2012-02 4/9/2012 Established guidelines for adverse classification and identification of special 

mention assets and off-balance sheet credit exposures at the regulated entities, 

excluding investment securities. These guidelines include sound practices for 

managing credit risk at the regulated entities. A clarification of implementation of 

this bulletin was issued in Advisory Bulletin 2013-AB-02, May 13, 2013.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2012_AB_2012-

02_Framework_for_Classifying_Loans_508.

pdf

Advisory Bulletin on Categories for Examination Findings

[Rescinded and replaced 3/13/2017]

AB 2012-01 4/2/2012 Established categories for safety and soundness and Affordable Housing Program 

examination findings for the regulated entities. Examination findings are 

deficiencies related to risk management, risk exposure, or violations of laws, 

regulations, or orders that affect the performance or condition of a regulated entity. 

This advisory bulletin establishes a hierarchy of examination findings categories that 

distinguish levels of seriousness to identify priorities for remediation by the 

regulated entities and guide FHFA in developing supervisory strategies.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/Pages/RescindedAdvisory-Bulletins.aspx

2011

Advisory Bulletin on Standard & Poor’s Rating Action and RiskBased Capital Calculation for Federal SecuritiesAB 2011-02 8/9/2011 Advises the FHLBanks that Standard & Poor’s downgrade of U.S. and federal 

agency securities on August 5, 2011, does not affect the FHLBanks’ riskbased

capital calculations.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2011_AB_2011_02_Standard_and_Poor

s_Rating_Action_508.pdf

Advisory Bulletin on Operational Readiness for Swaps-Related 

Reporting, Clearing, and Recordkeeping Requirements

AB 2011-01 3/8/2011 Advises the FHLBanks to prepare to comply with derivatives reporting and clearing 

requirements proposed by the Commodity Futures Trading Commission under the 

Dodd-Frank Act.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2011-AB01_(Swaps_Guidance_030411)_508.pdf
2017-1208-HCOGR-GOW Page 6 of 7

Title Reference Date Description Hyperlink

Policy Guidance - RPG-2011-001

[Rescinded and replaced 2/12/2015 and 3/26/2015]

RPG 2011-001 3/30/2011 Advices each regulated entity to develop and implement or enhance existing 

reporting structures, policies, procedures, internal controls, and operational training 

programs to sufficiently discover and report fraud or possible fraud in accordance 

with the guidance. This policy guidance replaced OFHEO Policy Guidance PG-08-

OO1 and was effective on the date issued.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2015-AB01_Bank_Fraud_Reporting_for_2-12-

2015.pdf

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB2015-02_Enterprise-FraudReporting.pdf

2010

Strategic Plans 2010-AB-02 11/9/2010 Sets forth principles the Division of Federal Home Loan Bank Regulation will use in 

evaluating the FHLBanks’ strategic plans; reminds the FHLBanks of the regulatory 

requirement (12 CFR 917.5) that strategic plans set quantitative performance goals 

with respect to multifamily, small business, small farm, and small agribusiness 

lending to community financial institution members.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2010-AB-02_strategic_Plan.pdf

Advisory Bulletin on Nontraditional and subprime mortgages 2010-AB-01 4/6/2010 Answers various specific questions raised by earlier guidance (2008AB02) advising 

FHLBanks not to buy mortgages (or MBS backed by mortgages) not complying 

with the banking agencies’ joint guidance on nontraditional and subprime 

mortgages.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2010-AB-2010-01_QandA_on_2008-AB02_508.pdf

2009

Advisory Bulletin on Validation and Documentation of Models 

and Related Controls on Internal Processes 

2009-AB-03 12/15/2009 Explicitly includes credit risk models and also addresses the validation of externally 

managed vendor models, internally managed vendor models, and the importance of 

validating and documenting the controls over models and their use. It also discusses 

model validation and documentation in the case of a model that is jointly used by 

several FHLBanks. (This replaces AB 2006-AB-02 which focused on markt risk 

models).

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/AB-2017-03.pdf

Advisory Bulletin on Principles of Executive Compensation at 

the FHLBanks and the Office of Finance

2009-AB-02 10/27/2009 Outlines several principles for sound incentive compensation practices to which the 

Federal Home Loan Banks (FHLBanks, Banks, or organization) and the Office of 

Finance (OF, or organization) should adhere in setting executive compensation 

policies and practices. In evaluating compensation at the FHLBanks and the OF, the 

FHFA Director will consider the extent to which an executive’s compensation is 

consistent with these principles.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2009_AB_2009-

02_Principles_for_Executive_Compensation

_at_the_FHLBanks_and_the_OF_10-27-

09_508.pdf

Examination Guidance for Accounting Practices N/A 10/27/2009 The guidance sets forth examination guidance and standards relating to the 

accounting practices of the Fannie Mae, Freddie Mac, and the FHLBanks consistent 

with the safety and soundness responsibilities of FHFA.

N/A

Advisory Bulletin on Disclosure of Preliminary Capital 

Classifications

2009-AB-01 7/20/2009 Advisory Bulletin 2006-AB-03, Disclosure in SEC Filings of “Unpublished 

Information” as Defined in Part 911 of the Finance Board Rules and Regulations, 

provides written authorization for each Federal Home Loan Bank (FHLBank) to use 

or disclose in its Securities and Exchange Commission (SEC) filings unpublished 

information that is material to the Bank’s financial condition and business 

operations, provided that the disclosure is limited to a recital of the factual content 

of the unpublished information.

This authority is granted the FHLBanks so that management of an FHLBank can 

satisfy the disclosure requirements of the Securities Exchange Act of 1934. Through 

the public filing of various disclosure documents, including annual reports on Form 

10-K, quarterly reports on Form 10-Q, and current reports on Form 8-K, each 

FHLBank must disclose all material information concerning its financial condition 

and business operations. 

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2009_AB_2009-

01_Disclosure_of_Cap_Classifications_7-20-

09_508.pdf
2017-1208-HCOGR-GOW Page 7 of 7

Title Reference Date Description Hyperlink

2008

Advisory Bulletin on Application of Guidance on Nontraditional 

and Subprime Residential Mortgage Loans to Specific FHLBank 

Assets 

2008-AB-02 7/1/2008 Communicates FHFB’s expectation that residential mortgage loans (a) purchased 

under the FHLBanks’ Acquired Member Assets programs, (b) backing private-label 

MBS in which the FHLBanks invest, or (c) serving as collateral securing advances 

must conform to the bank regulatory agencies’ guidance that emphasizes 

underwriting requirements and risk management standards.

https://www.fhfa.gov/SupervisionRegulation

/AdvisoryBulletins/AdvisoryBulletinDocume

nts/2008-AB-02.pdf
Appendix S

Federal Labor Relations Authority 





UNITED STATES OF AMERICA 

FEDERAL LABOR RELATIONS AUTHORITY

WASHINGTON, D.C. 20424 

OFFICE OF THE SOLICITOR 

BY HAND 

December 21, 2017 

The Honorable Trey Gowdy, Chairman The Honorable Jim Jordan, Chairman

Committee on Oversight Subcommittee on Healthcare, Benefits,

 and Government Reform and Administrative Rules

2418 Rayburn House Office Building 20515 Rayburn House Office Building

Washington, DC 20515 Washington, DC 20515

The Honorable Gary J. Palmer, Chairman The Honorable Mark Meadows, Chairman

Subcommittee on Intergovernmental Affairs Subcommittee on Government Operations

330 Cannon House Office Building 1024 Longworth House Office Building

Washington, DC 20515 Washington, DC 20515

Re: Committee Request for FLRA Guidance Documents

Dear Chairman Gowdy, Chairman Meadows, Chairman Jordan, and Chairman Palmer:

We write to respond to your letter dated December 8, 2017, requesting guidance 

documents issued by the Federal Labor Relations Authority (the “FLRA”) from January 1, 2008

to the present. We enclose a DVD-rom disc containing your letter and a chart of the requested 

guidance. Each column of the chart contains information corresponding to a numbered request 

in your letter. Please note that none of the FLRA’s guidance qualifies as a “significant guidance 

document” as that term is defined in the Office of Management and Budget’s Final Bulletin for 

Agency Good Guidance Practices, 72 Fed. Reg. 3434-01, 3439 (Jan. 25, 2007). 

Our response includes guidance prepared – most notably, summaries of FLRA case law –

to educate outside parties concerning the public functions that the Federal Service LaborManagement Relations Statute, 5 U.S.C. §§ 7101-7135, charges the FLRA with performing. In 

an abundance of caution, we also have included links to training materials that we use to educate 

agencies, labor organizations, federal employees, and members of the general public about 

federal-sector labor law. 

Our response does not include internal agency polices not generally available to the 

public concerning subjects such as management of FLRA employees, the format to be used in 
2

drafting FLRA documents, and case processing procedures. Our response also does not include 

FLRA regulations available with the U.S. Government Publishing Office. 

Finally, due to the adjudicatory functions that the FLRA performs, many of the FLRA’s 

manuals are routinely updated to include recent FLRA case law. To the extent possible, we have 

included the dates the FLRA created and/or last updated the identified documents. We have not 

included prior versions of those documents because the changes from one document to the next 

are often as small as inserting references to individual case decisions. 

Pursuant to Paragraph 19 of the instructions for responding to Committee document 

requests attached to your letter, I certify that (1) a diligent search has been completed of all 

documents in our possession, custody, or control that reasonably could contain responsive 

documents, and (2) all documents located during our search that are responsive have been 

identified to the Committee on the attached list. 

If you have any questions or need additional assistance, your staff may contact me at 

or 

 Sincerely, 

 Fred B. Jacob 

 Solicitor 

Enclosure 

cc: The Honorable Elijah E. Cummings, Ranking Member 

 Committee on Oversight and Government Reform 

 The Honorable Gerald E. Connolly, Ranking Member 

 Subcommittee on Governmental Operations 

 

 The Honorable Raja Krishnamoorthi, Ranking Member 

 Subcommittee on Healthcare, Benefits and Administrative Rules 

 The Honorable Val Butler Demings, Ranking Member 

 Subcommittee on Intergovernmental Affairs 

The Honorable Stacey E. Plaskett, Ranking Member 

 Subcommittee on the Interior, Energy, and Environment 

 Majority Staff 

 Committee on Oversight and Government Reform 

 Minority Staff 

 Committee on Oversight and Government Reform

FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 1 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Unfair Labor Practice Case 

Law Outline 

Guides and 

Manuals 

A detailed overview of Federal Labor Relations Authority 

(“FLRA”) cases concerning unfair labor practice (“ULP”) 

issues. The outline is designed to help federal government 

agencies, employees, and labor organizations understand 

their rights and responsibilities in collective bargaining. 

Sept. 20, 2010; 

last updated

Aug. 15, 2017 

Office of the 

General 

Counsel

(“OGC”)

N/A https://go.usa.gov/xnnSz; 

see also

https://go.usa.gov/xnUBg

Guidance on Meetings Guides and 

Manuals 

Guidance on the types of meetings that can lead to ULPs, 

including formal discussions, investigatory (Weingarten) 

interviews, and bypasses.

Sept. 1, 2015 OGC N/A https://go.usa.gov/xnnSh; 

see also

https://go.usa.gov/xnUBx

Guidance on Information 

Requests

Guides and 

Manuals 

Guidance on union and agency rights, responsibilities, and 

obligations regarding information requests. It covers common 

issues, such as the Privacy Act and the definition of 

particularized need.

Oct. 31, 2011 OGC N/A https://go.usa.gov/xnnh3; 

see also 

https://go.usa.gov/xnUBC

Model Union Request for 

Information

Guides and 

Manuals 

Model form that unions can use when drafting information 

requests. This document was issued in conjunction with the 

Guidance on Information Requests above.

Oct. 31, 2011; 

last updated 

Jan. 7, 2016

OGC N/A https://go.usa.gov/xnnha; 

see also

https://go.usa.gov/xnUBY

Model Agency Response to 

Request for Information

Guides and 

Manuals 

Model form that agencies can use when responding to 

information requests. This document was issued in 

conjunction with the Guidance on Information Requests

above.

Oct. 31, 2011;

last updated 

Jan. 7, 2016 

OGC N/A https://go.usa.gov/xnUA6; 

see also

https://go.usa.gov/xnUBT

ULP Casehandling Manual Guides and 

Manuals 

Manual that FLRA agents follow when processing ULP cases. 

It describes the procedures for handling and investigating 

ULP charges.

Last updated

July 20, 2016 

OGC N/A https://go.usa.gov/xnnhb

Litigation Manual Guides and 

Manuals

Manual that FLRA agents follow when prosecuting ULP 

complaints. 

Aug. 2000 OGC N/A https://go.usa.gov/xnnhZ
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 2 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

ULP Factsheet – Filing 

through Appeals

Guides and 

Manuals

Brief outline of the standards applied to ULP claims, how they 

are adjudicated, and what parties in the process should know.

Last updated 

Jan. 22, 2016

OGC N/A https://go.usa.gov/xnnhk

ULP Frequently Asked 

Questions 

Guides and 

Manuals 

Answers to ULP questions that are frequently asked by 

agencies, employee unions, employees, and members of the 

general public.

Webpage 

created Dec. 8, 

2015

OGC N/A https://go.usa.gov/xnnh9

Representation Case Law 

Outline

Guides and 

Manuals 

A detailed overview of FLRA cases concerning representation 

issues. 

2013; last 

updated Aug.

8, 2017 

OGC N/A https://go.usa.gov/xnnhN

Representation Case 

Handling Manual

Guides and 

Manuals 

Manual that provides detailed information about FLRA 

procedures for processing representation petitions. 

2000; corrected 

copy posted 

Feb. 20, 2015 

OGC N/A https://go.usa.gov/xnnhQ

Hearing Officer’s Guide Guides and 

Manuals

Guide to the FLRA’s representation hearing procedures. 2000 OGC N/A https://go.usa.gov/xnnhm

Representation Frequently 

Asked Questions 

Guides and 

Manuals 

Answers to questions about union elections and 

representation matters that are frequently asked by agencies, 

employee unions, employees, and members of the general 

public.

Webpage 

created Dec.

22, 2015 

OGC N/A https://go.usa.gov/xnnhy

Guide to Arbitration Under 

the Federal Service LaborManagement Relations 

Statute

Guides and 

Manuals 

Overview of the arbitration-appeals process, including the 

grounds upon which the FLRA will review an arbitration 

award.

Oct. 12, 2010; 

updated Sept.

30, 2016 

Office of the 

Authority (the 

“Authority”) 

N/A https://go.usa.gov/xnnhV; 

see also

https://go.usa.gov/xnUBZ; 

https://go.usa.gov/xnUB5
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 3 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Guide to Negotiability

Under the Federal Service 

Labor-Management 

Relations Statute

Guides and 

Manuals 

Guide designed to help parties understand the negotiability 

process and their rights and responsibilities in connection 

with that process. 

Draft issued 

Apr. 2013; final 

guide issued 

June 17, 2013

The Authority Public 

comment 

sought on Apr.

22, 2013

https://go.usa.gov/xnnhv; 

see also

https://go.usa.gov/xnUZv; 

https://go.usa.gov/xnUZp

Guide to Dispute Resolution 

Procedures Used by the 

Federal Service Impasses 

Panel

Guides and 

Manuals 

Guide concerning the various types of dispute-resolution 

procedures used by the Federal Service Impasses Panel

(“FSIP”). 

Webpage 

created Sept.

17, 2009 

FSIP N/A https://www.flra.gov/fsip_

drpg

OGC: ULP Case Processing 

in the Absence of a General 

Counsel

Guides and 

Manuals 

Answers to commonly asked questions concerning ULP 

processing during times when the FLRA does not have a 

General Counsel.

Nov. 2017 OGC N/A https://go.usa.gov/xnU92

Overview of Procedures Guides and 

Manuals 

Overview of procedures used by the Office of Administrative 

Law Judges (“OALJ”) to process ULP claims. 

Webpage 

created Jan. 19, 

2016

OALJ N/A https://go.usa.gov/xnU9b

American Foreign Service 

Association and U.S. 

Department of State

Decision 

Guidance

Decision in American Foreign Service Association and U.S. 

Department of State, Case No. FS-PS-0002 (June 20, 2017); 

https://go.usa.gov/xnUKq, which was the first Foreign Service 

Labor Relations Board (“FSLRB”) case involving a request for 

a “general statement of policy or guidance.” The FSLRB

found that union dues should not be deducted from an 

individual’s paycheck once he transitions from active duty to 

retirement unless the individual chooses to continue the 

deductions. 

June 20, 2017 FSLRB N/A https://go.usa.gov/xnUKq;

see also

https://go.usa.gov/xnUBu
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 4 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Basic Statutory Training 

Slides (OGC)

Training 

Materials 

PowerPoint slides that accompany Basic Statutory Training

given by the FLRA to agency representatives, union 

representatives, and members of the general public. This 

document contains eight sets of slides concerning eight topics 

that are covered during the FLRA’s Basic Statutory Training.

Last updated 

Jan. 1, 2016 

OGC N/A https://go.usa.gov/xnUKn

Online Training Training 

Materials 

Web-based training available to federal agency employees 

entitled Basic Statutory Training. 

May 3, 2012 OGC N/A https://go.usa.gov/xnU9D;

see also 

https://go.usa.gov/xnUKD

Advanced Statutory 

Training Slides (OGC)

Training 

Materials

PowerPoint slides for the FLRA’s advanced statutory training 

entitled Office Moves and the Duty to Bargain. 

Oct. 2015 OGC, the 

Authority, FSIP

N/A https://go.usa.gov/xnUHh

Advanced Statutory 

Training Slides (OGC)

Training 

Materials

PowerPoint slides for the FLRA’s advanced statutory training 

entitled Bargaining. 

Oct. 2008 OGC N/A https://go.usa.gov/xnUKn

Advanced Statutory 

Training Slides (OGC)

Training 

Materials 

PowerPoint slides for the FLRA’s advanced statutory training 

entitled Furloughs and Collective Bargaining. 

Mar. 2013 OGC N/A https://go.usa.gov/xnU6c;

see also

https://go.usa.gov/xnUKn

Representation Training 

Slides (OGC)

Training 

Materials 

PowerPoint slides for the FLRA’s training entitled BargainingUnit Determinations: Appropriate Units and Exclusions. Dec. 2010 OGC N/A https://go.usa.gov/xnU6a;

see also

https://go.usa.gov/xnUKn

Online Training Training 

Materials 

Web-based training available to federal agency employees

entitled Statutory Exclusions from Bargaining Units. 

Aug. 1, 2013 OGC N/A https://go.usa.gov/xnU9D;

see also

https://go.usa.gov/xnUZG

Representation Training 

Slides (OGC)

Training 

Materials 

PowerPoint slides for the FLRA’s training entitled

Reorganizations: Impact on Bargaining Units and Impact on 

Bargaining Obligations.

Dec. 2010 OGC N/A https://go.usa.gov/xnU64; 

see also

https://go.usa.gov/xnUKn
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 5 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Online Training Training 

Materials 

Web-based training available to federal agency employees

entitled Impact of Reorganization on Bargaining Units. 

Aug. 1, 2013 OGC N/A https://go.usa.gov/xnU9D; 

see also

https://go.usa.gov/xnUZG

Arbitration Training 

(Authority)

Training 

Materials

PowerPoint slides for the FLRA’s training entitled After 

Arbitration: Filing Exceptions with the Authority. 

July 18, 2017 The Authority N/A https://go.usa.gov/xnU6W

Arbitration Training 

(Authority)

Training 

Materials

Handout for the FLRA’s training entitled After Arbitration:

Filing Exceptions with the Authority.

July 18, 2017 The Authority N/A https://go.usa.gov/xnU6k

Arbitration Training 

(Authority)

Training 

Materials

PowerPoint slides for the FLRA’s training entitled 

Comprehensive Arbitration Training.

Aug. 3, 2016 The Authority N/A https://go.usa.gov/xnU65

Arbitration Training 

(Authority)

Training 

Materials 

Training exercises with answers for the FLRA’s federal-sector 

labor arbitration training. 

Aug. 2016 The Authority N/A https://go.usa.gov/xnU6E;

see also

https://go.usa.gov/xnUKn

Arbitration Training 

(Authority)

Training 

Materials 

Procedural exercises for the FLRA’s federal-sector labor

arbitration training. 

July 2015 The Authority N/A https://go.usa.gov/xnU6d;

see also

https://go.usa.gov/xnUKn

Online Training Training 

Materials 

Web-based training available to federal agency employees

entitled Arbitration Training. 

Aug. 25, 2012 The Authority N/A https://go.usa.gov/xnU9D;

see also

https://go.usa.gov/xnUKj

Arbitration Training 

(Authority)

Training 

Materials 

PowerPoint slides for the FLRA’s training entitled Unique 

Attributes of Federal-Sector Arbitration. This material was 

presented to the Society of Federal Labor & Employee 

Relations Professionals on May 19, 2017.

May 19, 2017 The Authority N/A https://go.usa.gov/xnU6f

Arbitration Training 

(Authority)

Training 

Materials

Diagram that explains how the parts of 5 U.S.C. 7106 interact. Last updated 

Feb. 5, 2016

The Authority N/A https://go.usa.gov/xnU6F
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 6 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Negotiability Training 

(Authority)

Training 

Materials

PowerPoint slides for the FLRA’s training entitled Navigating 

the Negotiability Process.

Aug. 16, 2017 The Authority N/A https://go.usa.gov/xnU6h

Negotiability Training 

(Authority)

Training 

Materials

PowerPoint slides for the FLRA’s training entitled 

Negotiability In Depth: Management Rights and Beyond.

Aug. 17, 2017 The Authority N/A https://go.usa.gov/xnUF3

Negotiability Training 

(Authority)

Training 

Materials 

PowerPoint slides for the FLRA’s Comprehensive Negotiability 

Training. 

Draft issued 

Apr. 2013; last 

updated July 

22, 2015 

The Authority N/A https://go.usa.gov/xnUFC; 

see also

https://go.usa.gov/xnUWd

Negotiability Training 

(Authority)

Training 

Materials

Table of authorities for the FLRA’s Comprehensive Negotiability 

Training. 

July 2015 The Authority N/A https://go.usa.gov/xnUKn

Negotiability Training 

(Authority)

Training 

Materials

Diagram explaining the three phases of negotiability. Uploaded Feb. 

5, 2016

The Authority N/A https://go.usa.gov/xnUF2

Case-Law Updates 

(Authority)

Training 

Materials 

Outline of case law entitled Recent, Significant Authority 

Decisions that was created for a Feb. 2016 ABA presentation.

Feb. 2016 The Authority N/A https://go.usa.gov/xnUFb;

see also

https://go.usa.gov/xnUKn

Case-Law Updates 

(Authority)

Training 

Materials 

Outline of case law entitled FLRA Case Law Update that was 

created for an Apr. 29, 2016 Society of Federal Labor & 

Employment Relations Professionals presentation.

Apr. 29, 2016 The Authority N/A https://go.usa.gov/xnUFD

Online Training Training 

Materials 

Web-based training available to federal agency employees

entitled Federal Service Impasses Panel Process and Procedures. 

Aug. 2, 2012 FSIP N/A https://go.usa.gov/xnU9D;

see also

https://go.usa.gov/xnUKT
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 7 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Checklist for Filing 

Arbitration Appeals 

(Exceptions)

Checklists Outline of procedures that parties should follow when filing 

arbitration appeals or exceptions to appeals. This document 

includes timeliness requirements, required content, and other 

procedural requirements.

Webpage 

created July 10, 

2009 

The Authority N/A https://go.usa.gov/xnUKR

Statement of Standard 

Procedures in 

Representation Hearings 

Before Hearing Officers

Checklists Outline of the procedures that are followed in representation 

hearings.

Jan. 1996 The Authority N/A https://go.usa.gov/xnUK5

Alternative Dispute 

Resolution

Alternative 

Dispute 

Resolution

(“ADR”)

Overview of the ADR services provided by various FLRA

offices.

Webpage 

created July 14, 

2009 

Collaboration 

and Alternative 

Dispute 

Resolution 

Office

(“CADRO”), 

OGC, FSIP

N/A https://go.usa.gov/xnUK9

Collaboration and 

Alternative Dispute 

Resolution Office (CADRO)

ADR Overview of the functions of CADRO. Webpage 

created July 15, 

2009

CADRO N/A https://go.usa.gov/xnUKk

Settlement Judge Program ADR Overview of the Settlement Judge Program. Webpage 

created Sept.

20, 2009

OALJ, CADRO N/A https://go.usa.gov/xnUKB
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 8 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Settlement Judge Program 

Frequently Asked Questions

ADR Answers to questions about the Settlement Judge Program 

including information concerning requesting a settlement 

conference, participation in a settlement conference, and 

confidentiality.

Webpage 

created Apr.

14, 2016 

OALJ, CADRO N/A https://go.usa.gov/xnUKW

OGC Alternative Dispute 

Resolution

ADR Overview of ADR services provided by the OGC. Webpage 

created Aug.

31, 2009

OGC N/A https://go.usa.gov/xnUKZ

Settlement Corner ADR Overview of the times when ADR may be useful, as well as 

examples of novel resolutions that parties may consider when 

assessing disputes for which resolution may be challenging.

Webpage 

created Jan. 14, 

2016

OGC N/A https://go.usa.gov/xnUBJ

ADR Frequently Asked 

Questions 

ADR Answers to questions about the FLRA’s ADR services. Webpage 

created July 15, 

2009

The Authority; 

CADRO

N/A https://go.usa.gov/xnUBh

File a Case Case Types General information concerning filing a case with the FLRA. Webpage 

created Jan. 20, 

2012

The FLRA N/A https://go.usa.gov/xnUXf

Unfair Labor Practice Case Types General information concerning the definition of a ULP. Webpage 

created July 13, 

2009

The FLRA N/A https://go.usa.gov/xnUXG

Representation Case Types General information concerning representation issues. Webpage 

created July 13, 

2009

The FLRA N/A https://go.usa.gov/xnUXs
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 9 of 10

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Arbitration Case Types General information concerning federal-sector labor 

arbitration. 

Webpage 

created July 10, 

2009

The FLRA N/A https://go.usa.gov/xnUXF

Negotiability Case Types General information concerning negotiability disputes and 

basic procedures in negotiability cases. 

Webpage 

created July 10, 

2009

The FLRA N/A https://go.usa.gov/xnUXe

Negotiation Impasse Case Types General information concerning negotiation impasses. Webpage 

created July 10, 

2009

The FLRA N/A https://go.usa.gov/xnUXu

Other Types Case Types General information concerning other types of cases that the 

FLRA adjudicates.

Webpage 

created July 13, 

2009

The FLRA N/A https://go.usa.gov/xnUXJ

Guidance that has been subsequently rescinded.

Online Training Training 

Materials 

Web-based training previously available to federal agency 

employees entitled Creating Management Forums to Improve 

Delivery of Government Services. The training was developed in 

response to Executive Order 13522, which was rescinded on 

Sept. 29, 2017. The online training was removed from the 

FLRA’s website on or about Oct. 3, 2017.

May 18, 2011; 

removed on or 

about Oct. 3, 

2017 

OGC N/A See

https://go.usa.gov/xnU9X;

https://go.usa.gov/xnUMY
FEDERAL LABOR RELATIONS AUTHORITY

Response to Congressional Requests: FLRA Guidance Issued on or After Jan. 1, 2008 

___________________________________________ 

1 The number of the Congressional Request to which each column is responsive is identified as “(Q[request number]).” Page 10 of 10 

(Q1)1: Title (Q2):

Document 

Category

(Q3): Document Description (Q4): Issuance/ 

Update Date(s) 

(Q5): Issuing 

Office

(Q6): External 

Review Before 

Issuance

(Q7): Hyperlink

Online Training Training

Materials 

Web-based training previously available to federal agency 

employees entitled Bargaining Over 5 U.S.C. § 7106(b)(1). This 

training was intended to be a companion to the May 18, 2011 

training listed above concerning Executive Order 13522. The 

online training has since been removed from the FLRA’s 

website.

Sept. 29, 2011; 

subsequently 

removed

OGC N/A See

https://go.usa.gov/xnUDt; 

https://go.usa.gov/xnUMY

Guidance on Electronic 

Notice Dissemination 

Guides and 

Manuals 

Guidance concerning electronic notice postings (i.e., emails) as 

remedies for ULPs. The FLRA has since adopted electronic 

notice postings as a traditional remedy. See ULP Case Law 

Outline, at 86 (citing DOJ, BOP, Fed. Transfer Ctr., Okla. City, 

Okla., 67 FLRA 221 (2014)); https://go.usa.gov/xnnSH (last 

visited Dec. 15, 2017).

May 31, 2011; 

rescinded Jan. 

2014 

OGC N/A https://go.usa.gov/xnUMb; 

see also

https://go.usa.gov/xnnh4; 

https://go.usa.gov/xnUBj
Appendix T

Federal Maritime Commission



Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 1 of 15

Federal Maritime Commission Guidance Documents 

Prepared for the House of Representatives Committee on Oversight and Government Reform 

About the information provided: 

The list provides all available information responsive to the Committee’s request. 

1) The prepared table does not include a section for responses to the following inquiry as all FMC 

Commission responses for the inquiry are negative: 

 6. An indication whether: 

 a. The guidance was considered significant; 

 b. The agency submitted the guidance for review by the Office of Information 

 and Regulatory Affairs, and if it was: 

 i. The title of the guidance used in the submission; and 

 ii. The date submitted; 

 c. The agency submitted the guidance to Congress and GAO, and if it was: 

 i. The title of the guidance used in the submission; and 

 ii. The date submitted; 

 d. The Regulatory Reform Task Force has reviewed or has plans to review the 

 guidance document, and any results of such review. 

2) The Commission’s website houses the majority of the FMC’s guidance documents. In 2010, the 

Commission migrated all existing web content to a new platform. As a result of this migration, 

the date of issuance for documents before 2010 is not ascertainable unless it is listed on the 

document itself. 

3) Based on current Commission website protocols, most content issued will not have an issued 

date. Issuance dates provided for the documents are approximate and, unless otherwise noted, 

have been compiled based on information on the Commission website updating efforts and 

Commission recordkeeping. For older content, the Commission has added a “Date Last 

Updated” category to better describe the current webpage version’s date of issuance. 

4) Several webpages post similar guidance, but are listed under separate pages. The Commission 

has included duplicative content in its response. The Commission is working to redesign its 

website, which will remove duplicative pages moving forward. 

5) Commission meetings held in Open Session are transcribed. Meeting transcripts have not been 

included in this response. Copies of transcripts are available upon request. 

 

 
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 2 of 15

I. Current Guidance Documents

1

Title: Guidance for NVOCCs on Revised Optional Bond Rider Forms, November 2012

Form of 

Guidance: 

Webpage posting

Description: FMC plain language description of rules amending the amount of bond coverage used 

to evidence additional Non-Vessel-Operating Common Carrier (NVOCC) financial 

responsibility when operating in the trade with the People’s Republic of China (PRC).

Date of 

Issuance: 

October 1, 2012 and December 9, 2015

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/news/revised_optionalbond_forms.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

2

Title: Guidance on License Updates

Form of 

Guidance: 

Webpage posting

Description: Explanation of OTI license updated deadlines and process; schedule for license update 

notification

Date of 

Issuance: 

April 18, 2016

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/guidance_renewals.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

3

Title: How to How to Become FMC Licensed / Apply for an OTI License

Form of 

Guidance: Webpage posting

Description: Explanation of OTI license application process

Date of 

Issuance: 

March 29, 2012
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 3 of 15

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/how_to_apply_for_oti_license.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

4

Title: How to Apply for a PVO Certificate

Form of 

Guidance: 

Webpage posting

Description: Explanation of PVO Certificate application process

Date of 

Issuance: 

March 29, 2012

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/how_to_apply_for_a_pvo_certificate.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

5

Title: How to File Carrier / MTO Agreements

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing Carrier / MTO Agreements

Date of 

Issuance: 

February 7, 2012

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/filing_carrier__mto_agreements.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

6

Title: How to File a Shipping Act Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Shipping Act Complaint 

Date of 

Issuance: 

March 30, 2012

Issued by: Federal Maritime Commission / Office of Consumer Affairs and Dispute Resolution

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/filing_a_shipping_act_complaint.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 4 of 15

7

Title: How to File a Petition for Appeal of Staff Action

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Petition for Appeal of Staff Action

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.ecfr.gov/cgi-bin/textidx?c=ecfr&sid=8b0ab64d0abf011b6a49ae6325e342fb&rgn=div5&view=text&node=4

6:9.0.1.1.3&idno=46#se46.9.502_176

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

8

Title: How to File a Petition for Declaratory Order

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Petition for Declaratory Order

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.ecfr.gov/cgi-bin/textidx?c=ecfr&sid=8b0ab64d0abf011b6a49ae6325e342fb&rgn=div5&view=text&node=4

6:9.0.1.1.3&idno=46#se46.9.502_175

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

9

Title: How to Request Issuance, Amendment or Repeal of FMC Rules

Form of 

Guidance: 

Webpage posting

Description: Explanation of How to Request Issuance, Amendment or Repeal of FMC Rules

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.ecfr.gov/cgi-bin/textidx?c=ecfr&sid=96cd40c1ef820171220addb113eead14&rgn=div5&view=text&node=4

6:9.0.1.1.3&idno=46#se46.9.502_151

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 5 of 15

10

Title: How to File an Information Guidelines Change Request

Form of 

Guidance: 

Webpage posting

Description: Explanation of How to File an Information Guidelines Change Request

Date of 

Issuance: 

September 20, 2010

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/about/information_quality_guideline_details.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

11

Title: How to Request Review of Classified or Declassified FMC Information

Form of 

Guidance: 

Webpage posting

Description: Explanation of How to Request Review of Classified or Declassified FMC Information

Date of 

Issuance: 

March 1, 2011

Issued by: Federal Maritime Commission / Office of the Managing Director

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/about/mandatory_declassification_review.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

12

Title: How to File Service Contracts

Form of 

Guidance: 

Webpage posting

Description: Explanation of How to File Service Contracts

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Trade Analysis & Office of Information 

Technology

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/how_to_file_service_contracts.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

13

Title: How to File NSAs

Form of 

Guidance: 

Webpage posting

Description: Explanation of How to File NSAs

Date of 

Issuance: 

March 30, 2012
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 6 of 15

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/how_to_file_nsas.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

14

Title: How to Apply for Practice Before the Commission for Non-Attorneys

Form of 

Guidance: 

Webpage posting

Description: Explanation of How to Apply for Practice Before the Commission for Non-Attorneys

Date of 

Issuance: 

August 8, 2013

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/non_attorney_instructions.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

15

Title: For Ocean Transportation Intermediaries: Ocean Transportation Intermediary License 

Application Worksheet

Form of 

Guidance: 

Webpage posting

Description: Explanation of Application to become and an Ocean Transportation Intermediary

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/FormFMC-18worksheet.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

16

Title: For Ocean Transportation Intermediaries: Foreign Based Unlicensed NVOCC 

Registration (New application and changes)

Form of 

Guidance: 

Webpage posting

Description: Explanation of Foreign Based Unlicensed NVOCC Registration/Renewal

Date of 

Issuance: 2016

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 7 of 15

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/FMC-65Rev4-2016.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

17

Title: For Ocean Transportation Intermediaries: NVOCC Service Arrangement Registration

Form of 

Guidance: 

Webpage posting

Description: Explanation of NVOCC Service Arrangement Registration

Date of 

Issuance: 2017

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/FMC-78andInstructions2017.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

18

Title: For Ocean Transportation Intermediaries: Guidance for NVOCCs on Revised Optional 

Bond Riders

Form of 

Guidance: 

Webpage posting

Description: Explanation of Guidance for NVOCCs on Revised Optional Bond Riders

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/news/revised_optionalbond_forms.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

19

Title: For Filing an Agreement: Instructions for the Information Form for Agreements

Form of 

Guidance: 

Webpage posting

Description: Explanation of Instructions for the Information Form for Agreements.

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/Information%20Form%20Instructions.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 8 of 15

20

Title: For Filing an Agreement: Information Form for Agreements 

Form of 

Guidance: 

Webpage posting

Description: Explanation of Information Form for Agreements

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/Information%20Form%20for%20Agreements.d

oc

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

21

Title: For Filing an Agreement: Instructions for the Monitoring Report Form

Form of 

Guidance: 

Webpage posting

Description: Explanation of Instructions for the Monitoring Report Form

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/Monitoring%20Report%20Instructions.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

22

Title: For Filing an Agreement: Monitoring Report Form

Form of 

Guidance: 

Webpage posting

Description: Explanation of Monitoring Report Form

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/Monitoring%20Report%20Form.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

23

Title: Filing a Shipping Act Complaint Formats: Format for Filing a Small Claims Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Format for Filing a Small Claims Complaint

Date of 

Issuance: 

Not Available
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 9 of 15

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/assets/1/Page/SmallClaimsComplaintFormat.pdf

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

24

Title: Filing a Shipping Act Complaint Formats: Instructions for Drafting a Shipping Act 

Complaint

Form of 

Guidance: 

Webpage posting

Description: Instructions for Drafting a Shipping Act Complaint

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Office of the Secretary

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document: 

https://www.fmc.gov/resources/drafting_complaint.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

25

Title: Industry Oversight: Ocean Transportation Intermediaries

Form of 

Guidance: 

Webpage posting

Description: Explanation of Ocean Transportation Intermediaries

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/ocean_transportation_intermediaries.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

26

Title: Industry Oversight: Vessel-Operating Common Carriers

Form of 

Guidance: 

Webpage posting

Description: Explanation of Vessel-Operating Common Carriers

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/vessel_operating_common_carriers.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 10 of 15

30

Title: Guidance on Amended Service Contract and NVOCC Service Arrangements

Form of 

Guidance: 

Webpage posting

Description: Information on regulatory changes to Service Contract and NVOCC Service 

Arrangement Regulations

Date of 

Issuance: 

2017

Issued by: Federal Maritime Commission / Office of the Secretary

27

Title: Industry Oversight: Passenger Vessel Operators

Form of 

Guidance: 

Webpage posting

Description: Explanation of Passenger Vessel Operators

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/passenger_vessel_operators.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

28

Title: Industry Oversight: Marine Terminal Operators

Form of 

Guidance: 

Webpage posting

Description: Explanation of Marine Terminal Operators

Date of 

Issuance: 

Not Available

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/marine_terminal_operators.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

29

Title: Negotiated Rate Arrangements

Form of 

Guidance: 

PowerPoint presentation

Description: Explanation of NRAs

Date of 

Issuance: 

2012

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the 

extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document: N/A

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 11 of 15

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/amended_service_contract_nsas_rule.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

31

Title: Filing a Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Complaint

Date of 

Issuance: 

Unknown

Date Last 

Updated:

March 27, 2012

Issued by: Federal Maritime Commission / Office of the Secretary

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/filing_a_complaint.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

32

Title: Filing a Formal Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Formal Complaint

Date of 

Issuance: 

Unknown

Date Last 

Updated:

December 17, 2012

Issued by: Federal Maritime Commission / Office of the Secretary

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/filing_a_formal_complaint.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

33

Title: Filing a Shipping Act Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Shipping Act Complaint

Date of 

Issuance: 

Unknown

Date Last 

Updated:

December 19, 2012

Issued by: Federal Maritime Commission / Office of the Secretary

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 12 of 15

https://www.fmc.gov/resources/filing_a_shipping_act_complaint.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

34

Title: Filing a Small Claims Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Filing a Small Claims Complaint

Date of 

Issuance: 

Unknown

Date Last 

Updated:

December 17, 2012

Issued by: Federal Maritime Commission / Office of the Secretary

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/filing_a_small_claims_complaint.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

35

Title: Filing Carrier / MTO Agreements

Form of 

Guidance: 

Webpage posting

Description: Explanation of procedures for filing agreements with the Commission

Date of 

Issuance: 

Not Available

Date Last 

Updated:

12/17/2012

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/filing_carrier__mto_agreements.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

36

Title: How to Apply for a PVO Certificate

Form of 

Guidance: 

Webpage posting

Description: Explanation of application procedures for passenger vessel operator certificates

Date of 

Issuance: 

Not Available

Date Last 

Updated:

5/19/2015

Issued by: Federal Maritime Commission / Bureau of Certification and Licensing

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/how_to_apply_for_a_pvo_certificate.aspx
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 13 of 15

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

37

Title: How to Publish Tariffs and MTO Schedules

Form of 

Guidance: 

Webpage posting

Description: Explanation of procedures for tariff and MTO schedule publication

Date of 

Issuance: 

Not Available

Date Last 

Updated:

4/17/2012

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/how_to_publish_tariffs_and_mto_schedules.asp

x

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

38

Title: Investigations

Form of 

Guidance: 

Webpage posting

Description: Explanation of Investigation types at the Commission

Date of 

Issuance: 

Not Available

Date Last 

Updated:

9/21/2010

Issued by: Federal Maritime Commission 

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/electronic_reading_room/investigations.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

39

Title: Filing an Informal Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Small Claims Procedures at the Commission

Date of 

Issuance: 

Not Available

Date Last 

Updated:

10/29/2010

Issued by: Federal Maritime Commission / Office of the Secretary

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/bureaus_offices/informal_complaints.aspx

c. The Regulation Identification Number: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 14 of 15

d. Any other identification number for the document: N/A

40

Title: Filing an Informal Complaint

Form of 

Guidance: 

Webpage posting

Description: Explanation of Small Claims Procedures at the Commission

Date of 

Issuance: 

Not Available

Date Last 

Updated:

2/7/2012

Issued by: Federal Maritime Commission / Office of the Secretary

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/resources/informal_complaints.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

41

Title: Guidance for NVOCCs on How to Use Negotiated Rate Arrangements

Form of 

Guidance: 

Webpage posting

Description: Explanation of NRAs and their use.

Date of 

Issuance: 

Not available

Date Last 

Updated:

10/25/2013

Issued by: Federal Maritime Commission / Bureau of Trade Analysis

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/news/negotiated_rate_arrangement_exemption.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

42

Title: Circular Letter No. 00-1

Form of 

Guidance: 

Webpage posting/ Circular

Description: Explanation of charges assessed for access to tariffs and tariff systems 

Date of 

Issuance: 

April 6, 2000

Date Last 

Updated:

October 4, 2010

Issued by: Federal Maritime Commission

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/about/circular_letter_no_001.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A
Federal Maritime Commission Guidance Documents 

January 25, 2018 Page 15 of 15

43

Title: Circular Letter No. 00-2

Form of 

Guidance: 

Webpage posting/ Circular

Description: Explanation of public access to tariffs and tariff systems under the Ocean Shipping 

Reform Act of 1998

Date of 

Issuance: 

October 6, 2000

Date Last 

Updated:

October 4, 2010

Issued by: Federal Maritime Commission 

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document:

https://www.fmc.gov/about/circular_letter_no_002.aspx

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A

II. Former Guidance Document

44

Title: Questions

Form of 

Guidance: 

Retired webpage posting

Description: Extensive list of questions and answers on various topics including tariffs, FOIA, 

service contracts, PVOs, and others.

Date of 

Issuance: 

Not available

Date Last 

Updated: August 2010 – November 2015

Issued by: Federal Maritime Commission 

To the extent 

applicable:

a. Federal Register citation: N/A

b. A hyperlink to a copy of the document: N/A

c. The Regulation Identification Number: N/A

d. Any other identification number for the document: N/A