[Federal Register Volume 62, Number 6 (Thursday, January 9, 1997)]
[Rules and Regulations]
[Pages 1281-1284]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-380]


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FEDERAL ENERGY REGULATORY COMMISSION

18 CFR Parts 33, 34, 35, 36, 292 and 300

[Docket No. RM96-16-000; Order No. 593]


Revision of Form of Notice Requirements; Final Rule

    Issued January 2, 1997.

Agency: Federal Energy Regulatory Commission.

Action: Final rule.

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Summary: The Federal Energy Regulatory Commission is revising the form 
of notice requirements applicable to filings under several parts of its 
regulations. The final rule establishes requirements for submitting 
diskette copies of the notices of filing for the Federal Register, in 
addition to the paper copies currently required, in order to speed the 
process of noticing such filings. In addition, the final rule makes a 
minor correction to the regulations being revised, to delete a 
reference to filing fees.

Effective Date: This final rule is effective on February 10, 1997.

For Further Information Contact:

L. Jorn Dakin, (Legal Information), Office of the General Counsel, 
Federal Energy Regulatory Commission, 888 First St. NE., Washington, 
D.C. 20426, (202) 208-2172
Michael Miller, (Technical Information), Office of Executive Director, 
Federal Energy Regulatory Commission, 888 First St. NE., Washington, 
D.C. 20426, (202) 208-1415.

Supplementary Information: In addition to publishing the full text of 
this document in the Federal Register, the Commission also provides all 
interested persons an opportunity to inspect or copy the contents of 
this document during normal business hours in the Public Reference Room 
at 888 First Street N.E., Washington, DC 20426.
    The Commission Issuance Posting System (CIPS), an electronic 
bulletin board service, provides access to the texts of formal 
documents issued by the Commission. CIPS is available at no charge to 
the user and may be accessed using a personal computer with a modem by 
dialing 202-208-1397, if dialing locally, or 1-800-856-3920 if dialing 
long distance. CIPS is also available on the Internet through the 
FedWorld System (by modem or Internet). To access CIPS, set your 
communications software to 19200, 14400, 12000, 9600, 7200, 4800, 2400 
or 1200 bps, full duplex, no parity, 8 data bits and 1 stop bit. The 
full text of this order will be available on CIPS in ACSII and 
WordPerfect 5.1 format. The complete text on diskette in WordPerfect 
format may also be purchased from the Commission's copy contractor, La 
Dorn Systems Corporation, also located in the Public Reference Room at 
888 First Street N.E., Washington, DC 20426.

I. Introduction

    The Federal Energy Regulatory Commission is revising the form of 
notice requirements for filings under Parts 33, 34, 35, 36, 292 and 300 
of the Commission's regulations.1 The revised requirements provide 
that an electronic version, in addition to the paper copy, of the draft 
notice of filing (in either ASCII text, WordPerfect 5.1 for DOS or 
WordPerfect 5.2 for Windows format) be submitted on a 3\1/2\'' 
diskette. This diskette is to be a part of the filing. In addition, all 
entities submitting filings for which there is not a requirement of a 
draft notice (but for which the entity expects the Commission to issue 
a notice) are encouraged to provide a draft notice in the same fashion 
as set out in these revised regulations. Finally, a reference to filing 
fees under Part 33 of the regulations, in the caption and text of 18 
CFR 33.2, will be deleted. The Commission no longer charges filing fees 
for applications under Part 33.
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    \1\ 18 CFR Parts 33, 34, 35, 36, 292, and 300.
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II. Public Reporting Burden

    The final rule, if adopted, would amend reporting requirements, but 
would result in insignificant changes to the reporting burden. In the 
long term, the Commission's switch to electronic filing should result 
in further reductions in reporting burden and savings to the entities 
that make such filings. These reporting requirements are associated 
with the following data collections:

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                                                                                                                                  Hrs. per              
                Data collection                                   CFR                   Respondents    Frequency    Responses      filing       Total   
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FERC-516......................................  Part 35...............................          328          2.97          975          901      878,500

[[Page 1282]]

                                                                                                                                                        
FERC-519......................................  Part 33...............................           30          1              30           80        2,400
FERC-523......................................  Part 34...............................           60          1              60          110        6,600
FERC-556......................................  Part 292..............................          332          1             332        \1\ 6        2,047
FERC-716A.....................................  Part 36...............................           20          1              20            5          100
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\1\ Rounded off.                                                                                                                                        

    To send comments regarding the burden estimates or other aspects of 
these collections of information, including suggestions for reducing 
burdens, please direct them to the contacts listed under ``Information 
Collection Statement.''
    Data Collection/Requirement Costs: The Commission believes that 
there will be minimal cost to implement these requirements. The 
Commission believes that the vast majority of filing entities are 
currently preparing these draft notices in electronic form as a 
preliminary to preparing paper copies of the draft notices, and many 
filing entities are already voluntarily providing draft notices in 
electronic form. The Commission is merely formalizing an existing 
business practice.
    Internal Review: The Commission has reviewed in general the 
requirements and determined that they are necessary to expedite the 
process of preparing and publishing notices of filings. The 
requirements conform to the Commission's plan for efficient information 
collection, communication and respond to the requirements of the 
Paperwork Reduction Act of 1995 (P.L. 104-13) and the Office of 
Management and Budget's implementing regulations in 5 CFR 1320 to 
minimize the burden on those who are to respond through the use of the 
appropriate automated, electronic, mechanical, or other technological 
collection techniques or other forms of information technology. The 
Commission has assured itself, by means of internal review, that there 
is specific, objective support for the burden estimates associated with 
the information collection requirements established in this final rule.

III. Background

    Under various provisions of Parts 33, 34, 35, 36, 292, and 300 of 
the Commission's regulations, an applicant must file a draft notice of 
filing for publication in the Federal Register. In this final rule, the 
Commission is revising the applicable specific sections of its 
regulations to require that the filing entity submit its draft notice 
on paper and in electronic form, on a separate 3\1/2\'' diskette, 
either in ASCII text, WordPerfect 5.1 for DOS or WordPerfect 5.2 for 
Windows format, marked with the name of the applicant and the words 
``Notice of Filing.'' This revision of the notice requirements in 
specific provisions of Parts 33, 34, 35, 36, 292, and 300 will enable 
the Commission to accelerate the process by which notice of filings is 
provided through publication in the Federal Register and, especially, 
through the Commission Issuance Posting System (CIPS), an electronic 
bulletin board service that requires that text be in ASCII text format 
in order for it to provide electronic access to the text information.
    In this final rule, the Commission is also deleting a reference to 
filing fees in Part 33 of its regulations. The Commission no longer 
requires filing fees for applications under Part 33, and so the 
reference no longer is necessary.

IV. Regulatory Flexibility Act Certification

    The Regulatory Flexibility Act (RFA) 2 generally requires a 
description and analysis of final rules that will have significant 
economic impact on a substantial number of small entities. Most, if not 
all, of the applicants required to comply with this final rule are 
entities which do not fall within the RFA's definition of small entity. 
Further, most, if not all, of these entities already have this material 
in electronic form and therefore, forwarding a diskette to the 
Commission would not be an additional burden.
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    \2\ 5 U.S.C. 601-612.
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    The Commission certifies that promulgating this rule does not 
represent a major Federal action having a significant economic impact 
on a substantial number of small entities. Therefore, no regulatory 
flexibility analysis is required.

V. Information Collection Statement

    The Office of Management and Budget's (OMB) regulations (5 CFR 
1320.12) require that OMB approve certain information and recordkeeping 
requirements. Since this order does not increase the reporting burden 
and formally adopts current business practices, OMB approval will not 
be requested for these collections of information. When the rule is 
issued, the Commission will submit a copy to OMB for informational 
purposes only.

Title:
    FERC-516, Electric Rate Schedule Filings
    FERC-519, Corporate Applications, Dispositions of Facilities, 
Mergers and Acquisitions of Securities
    FERC-523, Applications for Authorization of Issuance of Securities
    FERC-556, Cogeneration and Small Power Production
    FERC-716A, Application for Transmission Services Under Section 211 
of the Federal Power Act

    OMB Control No: The following OMB control numbers correspond to the 
collections of information listed above: 1902-0096; 1902-0082; 1902-
0043; 1902-0075; and 1902-0168.
    Failure to comply with this collection of information will not 
result in a penalty, if you were unaware that a valid control number 
assigned by the Office of Management and Budget must be displayed on 
this collection of information.
    Action: Proposed Data Collection Requirements
    Respondents: Public utilities, small power production and 
cogeneration facilities, and Federal Power Marketing Administrations.
    Frequency of Responses: On Occasion
    Interested persons may obtain information on the reporting 
requirements by contacting the Federal Energy Regulatory Commission, 
888 First Street, N.E., Washington, D.C. 20426 [Attention: Michael 
Miller (202) 208-1415, fax: (202) 273-0873] and to the Office of 
Information and Regulatory Affairs of the Office of Management and 
Budget, Washington, D.C. 20503 [Attention: Desk Officer for the Federal 
Energy Regulatory Commission (202) 395-3087].

VI. National Environmental Policy Act Analysis

    The Commission concludes that promulgating this rule does not 
represent a major Federal action having significant adverse effect on 
the human environment under the Commission's regulations implementing 
the National

[[Page 1283]]

Environmental Policy Act.3 This rule is procedural in nature and 
does not substantially change the effect of the regulation being 
amended. Therefore, this rule falls within the categorical exemptions 
provided in the Commission's regulations.4 Consequently, neither 
an environmental impact statement nor an environmental assessment is 
required.
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    \3\ 42 U.S.C. 4332.
    \4\ 18 CFR 380.4(a)(2)(ii).
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VII. Administrative Findings and Effective Date

    This final rule is a matter of agency organization, procedure, or 
practice. Since this rule does not itself alter the substantive rights 
or interests of any interested persons, prior notice and comment are 
unnecessary under Section 4 of the Administrative Procedure Act.5
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    \5\ 5 U.S.C. 553(b).
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    This final rule is effective February 10, 1997.

VIII. Congressional Notification

    The Small Business Regulatory Enforcement Fairness Act of 1996 
requires agencies to report to Congress on the promulgation of certain 
final rules prior to their effective dates.6 That reporting 
requirement does not apply to this final rule because it falls within a 
statutory exception for rules relating to agency organization, 
procedure, or practice that do not substantially affect the rights or 
obligations of non-agency parties.7
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    \6\ Pub. L. No. 104-121, 110 Stat. 847 (1996).
    \7\ Pub. L. No. 104-121, 110 Stat. 847, 804(3)(C) (1996).
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List of Subjects in 18 CFR Parts 33, 34, 35, 36, 292 and 300

    Electricity, Reporting and recordkeeping requirements.
    By the Commission.
Lois D. Cashell,
Secretary.

    In consideration of the foregoing, the Commission amends Parts 33, 
34, 35, 36, 292, and 300, Chapter I, Title 18, Code of Federal 
Regulations, as set forth below.

PART 33--APPLICATION FOR SALE, LEASE, OR OTHER DISPOSITION, MERGER 
OR CONSOLIDATION OF FACILITIES, OR FOR PURCHASE OR ACQUISITION OF 
SECURITIES OF A PUBLIC UTILITY

    1. The authority citation for Part 33 continues to read as follows:

    Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 
U.S.C. 7101-7352.

    2. In Sec. 33.2, the section heading, introductory text and 
paragraph (l) are revised to read as follows:


Sec. 33.2  Contents of application.

    Each such applicant shall set forth in its application to the 
Commission, in the manner and form and in the order indicated, the 
following information which should insofar as possible be furnished as 
to said applicant and each company whose facilities or securities are 
involved:
* * * * *
    (l) A form of notice suitable for publication in the Federal 
Register, as well as a copy of the same notice in electronic format (in 
either ASCII text, WordPerfect 5.1 for DOS or WordPerfect 5.2 for 
Windows format) on a 3\1/2\'' diskette marked with the name of the 
applicant and the words ``Notice of Filing,'' which will briefly 
summarize the facts contained in the application in such way as to 
acquaint the public with its scope and purpose.

PART 34--APPLICATION FOR AUTHORIZATION OF THE ISSUANCE OF 
SECURITIES OR THE ASSUMPTION OF LIABILITIES

    1. The authority citation for Part 34 continues to read as follows:

    Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 
U.S.C. 7101-7352.

    2. In Sec. 34.3, paragraph (k) is revised to read as follows:


Sec. 34.3  Contents of application for issuance of securities.

* * * * *
    (k) A form of notice suitable for publication in the Federal 
Register, as well as a copy of the same notice in electronic format (in 
either ASCII text, WordPerfect 5.1 for DOS or WordPerfect 5.2 for 
Windows format) on a 3\1/2\'' diskette marked with the name of the 
applicant and the words ``Notice of Filing,'' setting forth:
    (1) The legal name of the applicant;
    (2) The securities offered for issuance including the proposed 
issue date; and
    (3) The comment procedure.
* * * * *

PART 35--FILING OF RATE SCHEDULES

    1. The authority citation for Part 35 continues to read as follows:

    Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 
U.S.C. 7101-7352.

    2. In Sec. 35.8, the introductory text to paragraph (a) is revised 
to read as follows:


Sec. 35.8  Comments by interested parties.

    (a) Form of notice for Federal Register. The public utility shall 
file a form of notice suitable for publication in the Federal Register, 
as well as a copy of the same notice in electronic format (in either 
ASCII text, WordPerfect 5.1 for DOS or WordPerfect 5.2 for Windows 
format) on a 3\1/2\'' diskette marked with the name of the applicant 
and the words ``Notice of Filing,'' which shall be in the following 
form:
* * * * *

PART 36--RULES CONCERNING APPLICATIONS FOR TRANSMISSION SERVICES 
UNDER SECTION 211 OF THE FEDERAL POWER ACT

    1. The authority citation for Part 36 is revised to read as 
follows:

    Authority: 5 U.S.C. 551-557; 16 U.S.C. 791a-825r; 31 U.S.C. 
9701; 42 U.S.C. 7107-7352.

    2. In Sec. 36.1, the first sentence of paragraph (b)(1) is revised 
to read as follows:


Sec. 36.1  Notice provisions applicable to applications for 
transmission services under section 211 of the Federal Power Act.

* * * * *
    (b) * * *
    (1) A form of notice suitable for publication in the Federal 
Register, as well as a copy of the same statement in electronic format 
(in either ASCII text, WordPerfect 5.1 for DOS or WordPerfect 5.2 for 
Windows format) on a 3\1/2\'' diskette marked with the name of the 
applicant and the words ``Notice of Filing.''
* * * * *

PART 292--REGULATIONS UNDER SECTIONS 201 AND 210 OF THE PUBLIC 
UTILITY REGULATORY POLICIES ACT OF 1978 WITH REGARD TO SMALL POWER 
PRODUCTION AND COGENERATION

    1. The authority citation for Part 292 continues to read as 
follows:

    Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 
U.S.C. 7101-7352.

    2. In Sec. 292.207, the first sentence of paragraph (b)(4)(i) is 
revised to read as follows:


Sec. 292.207  Procedures for obtaining qualifying status.

* * * * *
    (b) * * *
    (4) Notice. (i) Applications for certification filed under 
paragraph (b) of this section must include a form of notice of the 
request for certification suitable for publication in the Federal 
Register, as well as a copy of the same

[[Page 1284]]

notice in electronic format (in either ASCII text, WordPerfect 5.1 for 
DOS or WordPerfect 5.2 for Windows format) on a 3\1/2\'' diskette 
marked with the name of the applicant and the words ``Notice of 
Filing.''
* * * * *

PART 300--CONFIRMATION AND APPROVAL OF THE RATES OF FEDERAL POWER 
MARKETING ADMINISTRATIONS

    1. The authority citation for Part 300 continues to read as 
follows:

    Authority: 16 U.S.C. 825s, 832-832l, 838-838k, 839-839h; 42 
U.S.C. 7101-7352; 43 U.S.C. 485-485k.

    2. In Sec. 300.10, paragraph (a)(1) is revised to read as follows:


Sec. 300.10  Application for confirmation and approval.

    (a) General provisions--(1) Contents of filing. Any application 
under this subpart for confirmation and approval of rate schedules must 
include, as described in this section a letter of request for rate 
approval, a form of notice suitable for publication in the Federal 
Register, as well as a copy of the same notice in electronic format (in 
either ASCII text, WordPerfect 5.1 for DOS or WordPerfect 5.2 for 
Windows format) on a 3\1/2\'' diskette marked with the name of the 
applicant and the words ``Notice of Filing,'' the rate schedule, a 
statement of revenue and related costs, the order, if any, placing the 
rates into effect on an interim basis, the Administrator's Record of 
Decision or explanation of the rate development process, supporting 
documents, a certification, and technical supporting information and 
analysis.
* * * * *
[FR Doc. 97-380 Filed 1-8-97; 8:45 am]
BILLING CODE 6717-01-P