[Federal Register Volume 64, Number 149 (Wednesday, August 4, 1999)]
[Proposed Rules]
[Pages 42307-42310]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-19882]


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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 385

[Docket No. RM99-9-000]


Designation of Corporate Officials or Other Persons to Receive 
Service

July 28, 1999.
AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Notice of Proposed Rulemaking.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) is 
proposing to amend Rule 2010 of its

[[Page 42308]]

regulations on practice and procedure to require that all entities 
regulated by the Commission designate a corporate official or other 
person to receive service of certain types of pleadings where a person 
to receive service has not otherwise been designated under the 
Commission's regulations. Each regulated entity would be required to 
file with the Commission: The name of the corporate official or other 
person that is to receive service, the title of the corporate official 
or person, if applicable, the address of the official, including, where 
applicable, department, room number, or mail routing code, the 
telephone number of the corporate official or person, the facsimile 
number of the corporate official or person, if applicable, and the 
electronic mail address of the corporate official or person, if 
applicable. Each regulated entity would have a continuing obligation to 
file updated information with the Commission. The intended effect is to 
facilitate timely notification to responsible corporate officials.
    The Commission also proposes to maintain a list of designated 
officials in the Office of the Secretary of the Commission and to make 
the list available to the public in hard copy and through the 
Commission's web site.

DATES: Comments are due October 4, 1999.

ADDRESSES: Comments should be submitted to the Office of the Secretary, 
Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426. For further instructions on submittal of comments 
see section VI. of SUPPLEMENTARY INFORMATION.

FOR FURTHER INFORMATION CONTACT: David Faerberg, Office of the General 
Counsel, Federal Energy Regulatory Commission, 888 First Street, NE., 
Washington, DC 20426, (202) 208-1275.

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., Room 2A, Washington, D.C. 20426.
    The Commission Issuance Posting System (CIPS) provides access to 
the texts of formal documents issued by the Commission from November 
14, 1994, to the present. CIPS can be accessed via Internet through 
FERC's Home Page (http://www.ferc.fed.us) using the CIPS Link or the 
Energy Information Online icon. Documents will be available on CIPS in 
ASCII and WordPerfect 6.1. User assistance is available at 202-208-2474 
or by E-mail to [email protected].
    This document is also available through the Commission's Records 
and Information Management System (RIMS), an electronic storage and 
retrieval system of documents submitted to and issued by the Commission 
after November 16, 1981. Documents from November 1995 to the present 
can be viewed and printed. RIMS is available in the Public Reference 
Room or remotely via Internet through FERC's Homepage using the RIMS 
link or the Energy Information Online icon. User assistance is 
available at 202-208-2222, or by E-mail to [email protected].
    Finally, the complete text on diskette in WordPerfect format may be 
purchased from the Commission's copy contractor, RVJ International, 
Inc. RVJ International, Inc. is located in the Public Reference Room at 
888 First Street, N.E., Washington, D.C. 20426.
    The Federal Energy Regulatory Commission (Commission) is proposing 
to revise its regulations to require that all entities regulated by the 
Commission designate a corporate official or other person to receive 
service.

I. Background

    On March 31, 1999, the Commission issued a final rule (Order No. 
602) revising its regulations governing complaints filed with the 
Commission under the Federal Power Act, the Natural Gas Act, the 
Natural Gas Policy Act, the Public Utility Regulatory Policies Act of 
1978, the Interstate Commerce Act, and the Outer Continental Shelf 
Lands Act.1 Order No. 602 was designed to encourage and 
support consensual resolution of complaints, and to organize the 
complaint procedures so that all complaints are handled in a timely and 
fair manner.
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    \1\ Complaint Procedures, Order No. 602, III FERC Stats. & Regs. 
para.31,071 (1999), 64 FR 17087 (April 8, 1999).
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    A number of requests for rehearing of Order No. 602 were filed. 
Among the parties filing for rehearing was the Interstate Natural Gas 
Association of America (INGAA). INGAA sought clarification of the 
service requirements of the final rule contained in section 385.206(c) 
of the Commission's regulations.2 That section currently 
reads as follows:

    \2\ 18 CFR 385.206(c).
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    Any person filing a complaint must serve a copy of the complaint 
on the respondent, affected regulatory agencies, and others the 
complainant reasonably knows may be expected to be affected by the 
complaint. Service must be simultaneous with filing at the 
Commission for respondents and affected entities in the same 
metropolitan area as the complainant. Simultaneous or overnight 
service is acceptable for respondents and affected entities outside 
the complainant's metropolitan area. Simultaneous service can be 
accomplished through electronic mail, fax, express delivery, or 
messenger.3

    \3\ Certain aspects of the service requirements have been raised 
on rehearing of Order No. 602 and are being modified in Order No. 
602-A, which is being issued contemporaneously with this NOPR.
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    On rehearing, INGAA asserted that all Commission regulated entities 
should be required to appoint an official to receive service of 
complaints, which official is to be designated on the company's 
electronic bulletin board (EBB) or web site. INGAA requested that, as 
part of the service requirement of section 385.206(c), parties must 
serve the complaint on the corporate official appointed to receive such 
service by the regulated entity. INGAA contended that, absent such a 
requirement, a complaint served on a corporation without identifying a 
specific individual recipient could be misrouted or its significance 
overlooked. INGAA submitted that by the time the responsible officials 
become aware that a complaint has been filed, a large portion of time 
may have been lost, adversely affecting the completeness and timeliness 
of the answer.
    INGAA asserts that a uniform requirement that every regulated 
entity appoint a corporate official responsible for receiving service 
of complaints, and a corollary requirement that complainants serve that 
official directly, will ensure that responses to those complaints are 
filed expeditiously, thus further the goals of Order No. 602. INGAA 
states that, regardless of whether service must be issued 
electronically--an issue that INGAA understands is reserved for 
determination in Docket No. PL98-1-000 4--this requirement 
will ensure expeditious receipt and handling of a complaint by each 
regulated entity.
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    \4\ Public Access to Information and Electronic Filing.
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II. Discussion

    In the Commission's view, INGAA's suggestion has merit and should 
not be limited to service of complaints. Under Sec. 385.203 of the 
Commission's existing regulations (Rule 203), the initial pleading or 
tariff or rate filing of a person must contain, among other things, the 
name, address and telephone number of at least one person on whom 
service is to be made.5 In most cases, a regulated entity 
initiates a proceeding with a filing such as a rate change filing.

[[Page 42309]]

As part of the initial filing, it is required to designate a person to 
receive service under Rule 203. That person will be placed on the 
official service list of the proceeding. In addition, when a party 
makes a filing in a docketed proceeding, it is required to designate a 
person to receive service. That person's name is also placed on the 
official service list of the proceeding. The requirements and 
procedures currently followed under Rule 203 will not be changed.
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    \5\ 18 CFR 385.203.
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    There are, however, certain situations in which the Commission or 
another entity initiates a proceeding or some other action and a person 
to receive service has not otherwise been designated by the regulated 
entity under the Commission regulations. The filing of a complaint is 
one such situation. Other examples are petitions for declaratory order, 
show cause orders, data requests, investigatory letters, or where the 
Commission sua sponte initiates action under section 206 of the Federal 
Power Act or section 5 of the Natural Gas Act. In these situations, it 
would be efficient for persons wishing to serve pleadings on regulated 
entities, as well as the Commission, to be able to serve specific 
corporate officials. Designating a corporate official to receive 
service of complaints, declaratory orders, show cause orders, data 
requests, and investigatory letters would also allow regulated entities 
to receive pleadings as quickly as possible. This is especially 
important where the regulated entity has a short time to respond, for 
example when answering complaints or responding to Commission data 
requests.
    Therefore, the Commission is proposing to add a new paragraph (i) 
to Sec. 385.2010 (Rule 2010) to require that all entities regulated by 
the Commission designate at least one, but not more than two, corporate 
officials or other persons to receive service of certain types of 
pleadings where a person to receive service has not otherwise been 
designated under the Commission's regulations. Each regulated entity 
would be required to file with the Commission (1) the name of the 
corporate official or other person that is to receive service, (2) the 
title of the corporate official or person, if applicable, (3) the 
address of the official, including, where applicable, department, room 
number, or mail routing code, (4) the telephone number of the corporate 
official or person, (5) the facsimile number of the corporate official 
or person, if applicable, and (6) the electronic mail address of the 
corporate official or person, if applicable. Each regulated entity 
would have a continuing obligation to file updated information with the 
Commission.
    The Commission also proposes to maintain a list of designated 
officials in the Office of the Secretary of the Commission and to make 
the list available to the public in hard copy and through the 
Commission's web site. For ease of use, the list will be divided by 
industry. This list will be separate and apart from the official 
service lists that the Secretary maintains for each proceeding pursuant 
to Sec. 385.2010(c) of the Commission's regulations (Rule 2010). Thus, 
in situations where an official service list is maintained for an 
existing proceeding, a party would be required to serve the person 
designated by the regulated entity for that proceeding. Where there is 
no service list because, for example, the proceeding is initiated by 
the Commission or another entity, a party would be required to serve 
the person designated pursuant to proposed section 385.2010(i).
    In addition, the Commission invites comments on what other ways the 
names of designated officials could be made available to interested 
persons. For example, should regulated entities be required to post the 
names of designated corporate officials on a company's EBB or web site? 
The Commission recognizes that certain entities regulated by the 
Commission may not have EBBs, web sites, or other electronic methods to 
make names of designated officials available to the public. Therefore, 
the Commission requests comments on what other methods of distribution, 
if any, are appropriate. For example, should a company be required to 
periodically mail the names of the designated corporate officials to 
its customers or other persons otherwise affected by its operations. 
The Commission realizes that if regulated entities are required to 
distribute the names of their designated corporate officials, the 
methods of distribution will likely have to be tailored to the 
particular industry. The Commission is also interested in receiving 
comments on what level of burden, if any, will a distribution 
requirement place on a regulated entity.
    As discussed above, in order to implement the new service 
requirements, the Commission proposes to add a new section (i) to 
Sec. 385.2010 (Rule 2010).6 Placement of the requirements in 
the Rules of Practice and Procedure should provide sufficient notice of 
the obligations of both regulated entities and parties who desire to 
serve pleadings on regulated entities for purposes of initiating a 
proceeding before the Commission. However, the Commission requests 
comments on whether it is appropriate to place the new requirements in 
that section of the regulations or whether there may be other places in 
the regulations which would be more appropriate.
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    \6\ 18 CFR 385.2010.
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II. Information Collection Statement

    The Commission finds that the information required to be provided 
by regulated entities is so minimal that it does not impose any 
measurable additional burden on regulated entities. Therefore, no 
public reporting burden estimates are being made.

IV. Environmental Analysis

    The Commission is required to prepare an Environmental Assessment 
or an Environmental Impact Statement for any action that may have a 
significant adverse effect on the human environment.7 The 
Commission has categorically excluded certain actions from these 
requirements as not having a significant effect on the human 
environment.8 The actions proposed to be taken here fall 
within categorical exclusions in the Commission's regulations for rules 
that are clarifying, corrective, or procedural, for information 
gathering, analysis, and dissemination, and for sales, exchange, and 
transportation of natural gas that requires no construction of 
facilities.9 Therefore, an environmental assessment is 
unnecessary and has not been prepared in this notice of proposed 
rulemaking.
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    \7\ Order No. 486, Regulations Implementing the National 
Environmental Policy Act, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & 
Regs. Preambles 1986-1990 para. 30,783 (1987).
    \8\ 18 CFR 380.4.
    \9\ See 18 CFR 380.4(a)(2)(ii), 380.4(a)(5), 380.4(a)(27).
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V. Regulatory Flexibility Act Certification

    The Regulatory Flexibility Act (RFA) requires agencies to prepare 
certain statements, descriptions and analyses of proposed rules that 
will have a significant economic impact on a substantial number of 
small entities.10 The Commission is not required to make 
such analyses if a proposed rule would not have such an 
effect.11
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    \10\ 5 U.S.C. 601-612 (1994).
    \11\ 5 U.S.C. 605(b) (1994).
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    In the Commission's view, this proposed rule would not have a 
significant economic impact on small entities. The companies that are 
regulated by the Commission, who would have to designate a corporate 
official to receive service, generally do

[[Page 42310]]

not meet the RFA's definition of a small entity.12 Further, 
it would be easier for any small entity to serve a pleading on a 
regulated company if that company had a specific official designated to 
receive service. Therefore, the Commission certifies that this rule 
will not have a significant economic impact on a substantial number of 
small entities.
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    \12\ 5 U.S.C. 601(3)(1994).
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VI. Comment Procedures

    The Commission invites interested persons to submit written 
comments on the matters and issues proposed in this notice to be 
adopted, including any related matters or alternative proposals that 
commenters may wish to discuss.
    The original and 14 copies of such comments must be received by the 
Commission before 5:00 p.m. October 4, 1999. Comments should be 
submitted to the Office of the Secretary, Federal Energy Regulatory 
Commission, 888 First Street, N.E., Washington D.C. 20426 and should 
refer to Docket No. RM99-9-000.
    In addition to filing paper copies, the Commission encourages the 
filing of comments either on computer diskette or via Internet E-Mail. 
Comments may be filed in the following formats: WordPerfect 8.0 or 
below, MS Word Office 97 or lower version, or ASCII format.
    For diskette filing, include the following information on the 
diskette label: Docket No. RM99-9-000; the name of the filing entity; 
the software and version used to create the file; and the name and 
telephone number of a contact person.
    For Internet E-Mail submittal, comments should be submitted to 
``[email protected]'' in the following format. On the subject 
line, specify Docket No. RM99-9-000. In the body of the E-Mail message, 
include the name of the filing entity; the software and version used to 
create the file, and the name and telephone number of the contact 
person. Attach the comment to the E-Mail in one of the formats 
specified above. The Commission will send an automatic acknowledgment 
to the sender's E-Mail address upon receipt. Questions on electronic 
filing should be directed to Brooks Carter at 202-501-8145, E-Mail 
address [email protected].
    Commenters should take note that, until the Commission amends its 
rules and regulations, the paper copy of the filing remains the 
official copy of the document submitted. Therefore, any discrepancies 
between the paper filing and the electronic filing or the diskette will 
be resolved by reference to the paper filing.
    All written comments will be placed in the Commission's public 
files and will be available for inspection in the Commission's Public 
Reference room at 888 First Street, N.E., Washington D.C. 20426, during 
regular business hours. Additionally, comments may be viewed, printed, 
or downloaded remotely via the Internet through FERC's Homepage using 
the RIMS or CIPS links. RIMS contains all comments but only those 
comments submitted in electronic format are available on CIPS. User 
assistance is available at 202-208-2222, or by E-Mail to 
[email protected].

List of Subjects in 18 CFR Part 385

    Administrative practice and procedure, Electric power, Penalties, 
Pipelines, Reporting and recordkeeping requirements.

    By direction of the Commission.
David P. Boergers,
Secretary.

    In consideration of the foregoing, the Commission proposes to amend 
Part 385, Chapter I, Title 18, Code of Federal Regulations, as set 
forth below.

PART 385--RULES OF PRACTICE AND PROCEDURE

    1. The authority citation for Part 385 continues to read as 
follows:

    Authority: 5 U.S.C. 551-557; 15 U.S.C. 717-717z, 3301-3432; 16 
U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-7352; 49 
U.S.C. 60502; 49 App. U.S.C. 1-85.

    2. In Sec. 385.2010, new paragraph (i) is added to read as follows:


Sec. 385.2010  Service (Rule 2010).

* * * * *
    (i) Designation of corporate officials to receive service. (1) Any 
entity subject to regulation by the Commission must designate at least 
one, but not more than two, corporate officials or other persons to 
receive service of complaints, petitions for declaratory order, show 
cause orders, data requests, investigatory letters or other documents 
where a person to receive service has not otherwise been designated 
under Commission regulations. Each entity must file with the Secretary 
of the Commission:
    (i) The name of the corporate official or person that is to receive 
service;
    (ii) The title of the corporate official or person, if applicable;
    (iii) The address of the corporate official or person, including, 
where applicable, department, room number, or mail routing code;
    (iv) The telephone number of the corporate official or person;
    (v) The facsimile number of the corporate official or person, if 
applicable; and
    (vi) The electronic mail address of the corporate official or 
person, if applicable.
    (2) Each regulated entity has a continuing obligation to file with 
the Secretary of the Commission updated information concerning the 
corporate official or person designated to receive service.
    (3) A list of corporate officials and persons designated to receive 
service pursuant to this paragraph (i) will be maintained by the 
Secretary of the Commission and will be made available to the public in 
hard copy upon request and through the Commission's web site at http://
www.ferc.fed.us.
    (4) Any person who wishes to serve a complaint or petition for 
declaratory order on any entity regulated by the Commission must serve 
the corporate official or person designated pursuant to this paragraph 
(i).
    (5) The Commission will serve show cause orders, data requests, 
investigatory letters or other documents on the corporate official or 
person designated under this paragraph (i).

[FR Doc. 99-19882 Filed 8-3-99; 8:45 am]
BILLING CODE 6717-01-P