[Federal Register Volume 64, Number 213 (Thursday, November 4, 1999)]
[Proposed Rules]
[Pages 60140-60143]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-28821]


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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Parts 141 and 385

[Docket No. RM00-1-000]


Electronic Filing of FERC Form Nos. 423, 714 and 715; Notice of 
Proposed Rulemaking

October 28, 1999.
AGENCY: Federal Energy Regulatory Commission.

ACTIONS: Notice of proposed rulemaking.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) is 
proposing to amend its regulations under the Federal Power Act (FPA) to 
provide for the electronic filing of FERC Form Nos. 423, 714 and 715 
(collectively, Forms). Commencing with filings for the year 2000, 
filings would be required to be made electronically over the 
Commission's web site thereby eliminating the need for paper copies. 
The Commission is developing the capacity to accept such filings 
electronically and will conduct tests of the software and related 
elements of the electronic filing mechanism for each of the forms prior 
to formal implementation. The automation of the Forms will yield 
significant benefits to the Commission, the respondents, and to the 
electric industry as a whole. These benefits include more timely 
analysis and publication of data, increased data analysis capability, 
reduced cost of data entry and retrieval, simplification of form design 
and an eventual overall reduction in filing burden.

DATES: Comments on the Notice of Proposed Rulemaking are due December 
6, 1999. Comments should be filed with the Office of the Secretary and 
should refer to Docket No. RM00-1-000.

ADDRESS: File comments with the Office of the Secretary, Federal Energy 
Regulatory Commission, 888 First Street, N.E., Washington, DC 20426

FOR FURTHER INFORMATION CONTACT:

Meesha M. Bond (Technical Information), Office of Electric Power 
Regulation, Federal Energy Regulatory Commission, 888 First Street, NE, 
Washington, DC 20426, (202) 208-1414
Camilla Ng (Technical Information), Office of Electric Power 
Regulation, Federal Energy Regulatory Commission, 888 First Street, NE, 
Washington, DC 20426, (202) 208-0706
S.L. Higginbottom (Legal Information), Office of the General Counsel, 
Federal Energy Regulatory Commission, 888 First Street, NE, Washington, 
DC 20426, (202) 208-2168

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, DC 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 8.0. 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

[[Page 60141]]

Home Page 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, DC 20426.

I. Introduction

    The Federal Energy Regulatory Commission (Commission) proposes to 
amend 18 CFR Parts 141 and 385 to provide for the electronic filing 
using web-based applications of FERC Form No. 423, ``Monthly Report of 
Cost and Quality of Fuels for Electric Plants'' (Form 423), FERC Form 
No. 714, ``Annual Electric Control and Planning Area Report'' (Form 
714), and FERC Form No. 715, ``Annual Transmission Planning and 
Evaluation Report'' (Form 715), (collectively, Forms). This will 
eliminate the filing of paper copies of these Forms. Electronic filing 
of the Forms would be required commencing in the year 2000 as follows: 
the electronic filing of Form 423 will commence with the Form 423 for 
reporting month January 2000, which is due no later than March 16, 
2000; the electronic filing of Form 714 will commence with the Form 714 
for reporting calendar year 1999, which is due no later than June 1, 
2000; and the electronic filing of Form 715 will commence with the Form 
715 for reporting calendar year 1999, which is due no later than April 
1, 2000.

II. Reporting Burden

    The Commission anticipates a decrease in reporting burden for 
collection of information resulting from this proposed rule. For the 
last few years, most entities required to submit these Forms have been 
preparing their Forms' paper copies from computer-based systems. This 
proposed rule, requiring the filing of the Forms electronically using 
web-based applications, would avoid the need to prepare and submit 
paper copies.
    The automation of the Forms will yield significant benefits to the 
Commission, the respondents, and to the electric industry as a whole. 
These benefits include more timely analysis and publication of data, 
increased data analysis capability, reduced cost of data entry and 
retrieval, simplification of form design and an eventual overall 
reduction in filing burden. These benefits conform to the Commission's 
plan for efficient information collection and communication.
    Interested persons may obtain information on the reporting 
requirements by contacting the following: Federal Energy Regulatory 
Commission, 888 First Street, N.E., Washington, DC 20426 [Attention: 
Michael Miller, Office of Chief Information Officer, phone: (202) 208-
1415, fax: (202) 208-2425, e-mail: [email protected]].
    For submitting comments concerning the collection of information 
and the associated burden estimate, please send your comments to the 
contact listed above and to the Office of Management and Budget, Office 
of Information and Regulatory Affairs, Washington, DC 20503 [Attention: 
Desk Officer for the Federal Energy Regulatory Commission, phone: (202) 
395-3087, fax: (202) 395-7285].

III. Background

    The Commission, in the exercise of its authority under the Federal 
Power Act, collects data pertaining to the electric industry in the 
United States.1 Forms 423, 714 and 715 are some of the forms 
used for the collection of this information.
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    \1\ 16 U.S.C. 825, 825c.
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    The Form 423 data are, at present, submitted monthly in hard copy 
form by approximately 227 entities for 702 electric generation plants. 
Currently, Form 423 respondents must file an original and 3 copies, no 
later than forty-five (45) days after the end of the report month. The 
Form 423 data are used by Commission staff for ratemaking purposes, by 
other government agencies for market oversight and other assessments 
and by the public for various fuel-related studies and analyses.
    The Form 714 data are submitted annually by approximately 237 
electric utilities and/or control areas having a load greater than 200 
MW. Portions of the data are filed in hard copy form, with the 
remainder of the data filed electronically. The Form 714 data are used 
by Commission staff to evaluate utility operations related to proposed 
mergers, interconnections, wholesale rate investigations, and wholesale 
market changes and trends under emerging competitive forces. Such 
evaluations also are made to assess reliability, costs and other 
operating attributes.
    The Form 715 data are submitted annually by 117 respondents for 
approximately 283 transmitting utilities. Portions of the data are 
filed in hard copy form, with the remainder of the data filed 
electronically. The Form 715 data are used by Commission staff and 
others to evaluate transmission capacity availability and constraints.
    In recent years, the Commission and its staff have been approached 
by individual electric utilities and energy information research groups 
inquiring whether the Commission either had or planned to develop 
automated data filing systems for the Forms. These parties suggested 
that such procedures could yield significant benefits in terms of 
process simplification and savings of time and expense.
    The Commission has given careful consideration to this matter and 
believes it is now appropriate to implement electronic filing using 
web-based applications for the Forms. The Commission believes this 
automation of the Forms will yield significant benefits to the 
Commission, the respondents, and to the electric industry as a whole. 
These benefits include more timely analysis and publication of data, 
increased data analysis capability, reduced cost of data entry and 
retrieval, simplification of form design, and overall reduction of 
filing burden.

IV. Summary of Proposal

    The Commission proposes to use a web-based, electronic-filing 
application for each of the Forms. The applications for filing each of 
these Forms will be available over the Commission's web site 
sufficiently in advance to allow respondents to meet the filing 
deadlines for data submitted for (Form 423) or in (Forms 714 and 715) 
the year 2000. Each of these applications will display the respective 
form's format and provide the capability for respondents to file on-
line. The applications will also permit a respondent the option either 
to ``import'' the required data from its computer directly into the 
software package or to manually enter the data. When the data entry is 
completed, the filing will be officially submitted electronically to 
the Commission through the Commission's web site.

V. Procedure for Implementation

    The Commission has already initiated the process of developing the 
necessary web-based, electronic-filing applications for each of the 
Forms. The Commission will conduct field tests of the applications with 
volunteer Form respondents. It is anticipated that during the field 
tests the volunteer respondents will be in contact with the Commission 
staff. The results of the testing process will be evaluated and, if 
necessary, the applications will be modified.

[[Page 60142]]

    The Commission expects the applications to be completed for each 
Form sufficiently in advance to allow respondents to meet the deadlines 
for data submitted for (Form 423) or in (Forms 714 and 715) the year 
2000.

VI. Regulatory Flexibility Act Certification

    The Regulatory Flexibility Act 2 requires rulemakings to 
contain either a description and analysis of the effect that a rule 
will have on small entities or to certify that the rule will not have a 
significant economic effect on a substantial number of small entities. 
Because most respondents do not fall within the definition of ``small 
entity,'' 3 the Commission certifies that this rule will not 
have a significant economic impact on a substantial number of small 
entities.
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    \2\ 5 U.S.C. 601-612.
    \3\ See 5 U.S.C. 601(3).
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VII. Information Collection Statement

    The regulations of the Office of Management and Budget (OMB) 
4 require that OMB approve certain information and record 
keeping requirements imposed by an agency. The information collection 
requirements in this proposed rule are contained in Form 423, ``Monthly 
Report of Cost and Quality of Fuels for Electric Plants'' (OMB approval 
No. 1902-0024); in Form 714, ``Annual Electric Control and Planning 
Area Report'' (OMB approval No. 1902-0140); and in Form 715, ``Annual 
Transmission Planning and Evaluation Report'' (OMB approval No. 1902-
0171). OMB recertifications are coincidently occurring with this NOPR.
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    \4\ 5 CFR 1320.13.
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    The Commission uses the data collected in the Form 423 reports to 
carry out its regulatory responsibilities, including comparing 
delivered fuel costs for utilities receiving like fuels of similar 
quality; detecting consistently high cost patterns or irregularities 
indicative of possible uneconomic fuel purchase practices; evaluating 
the economic effect of unusual fuel purchase practices (such as buying 
fuel from affiliate fuel sources, as opposed to selecting suppliers by 
competitive bids); and investigating a broad range of fuel cost and 
fuel purchase practice issues raised in contested rate proceedings. 
Such data are also used by other government agencies and the public for 
similar purposes.
    Form 714 gathers utility operating and planning information, 
primarily on a control area basis, for the purpose of evaluating 
utility operations related to proposed mergers, interconnections, 
wholesale rate investigations, and wholesale market changes and trends 
under emerging competitive forces. Such evaluations also are made to 
assess reliability, costs and other operating attributes.
    The information reported on Form 715 is used to inform Commission 
staff, potential transmission customers, state regulatory authorities, 
and the public of, among other things, potentially available 
transmission capacity and transmission constraints on electric 
transmission systems. Potential transmission system customers will use 
the information to determine transmission availability. Transmission 
dependent utilities will use the information to determine transmission 
availability to access alternative wholesale suppliers.
    The automation of the Forms will yield significant benefits to the 
Commission, the respondents, and to the electric industry as a whole. 
These benefits include more timely analysis and publication of data, 
increased data analysis capability, reduced cost of data entry and 
retrieval, simplification of form design, and an eventual overall 
reduction in filing burden.

VIII. Environmental Statement

    Commission regulations require that an environmental assessment or 
an environmental impact statement be prepared for any Commission action 
that may have a significant adverse effect on the human 
environment.5 No environmental consideration is necessary 
for the promulgation of a rule that is clarifying, corrective, or 
procedural or that does not substantially change the effect of 
legislation or regulations being amended,6 and also for 
information gathering, analysis, and dissemination.7 The 
proposed rule changes do not substantially change the effect of the 
underlying legislation or change the Forms, and also involve 
information gathering. Accordingly, no environmental considerations are 
necessary.
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    \5\ Regulations Implementing National Environmental Policy Act, 
52 FR 47897 (Dec. 17, 1987); FERC Stats. & Regs. 30,783 (1987).
    \6\ 18 CFR 380.4(a)(2)(ii).
    \7\ 18 CFR 380.4(a)(5).
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IX. Public Comment Procedure

    The Commission invites all interested persons to submit written 
comments on this proposal. An original and 14 copies of such comments 
should be received by the Commission before 5:00 p.m. December 6, 1999. 
Comments should be submitted to the Office of the Secretary, Federal 
Energy Regulatory Commission, 888 First Street, N.E., Washington, DC 
20426, and should refer to Docket No. RM00-1-000.
    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 
lower version, Microsoft Word 97 or lower version, or ASCII format.
    For diskette filing, include the following information on the 
diskette label: Docket No. RM00-1-000; 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.
    For Internet E-Mail submittal, comments should be submitted to 
``[email protected]'' in the following format. On the subject 
line, specify Docket No. RM00-1-000. 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, DC 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

18 CFR Part 141

    Electric power, Reporting and recordkeeping requirements.

18 CFR Part 385

    Administrative practice and procedure, Electric power, Penalties,

[[Page 60143]]

Pipelines, Reporting and recordkeeping requirements.

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

    In consideration of the foregoing, the Commission proposes to amend 
Parts 141 and 385, Chapter I, Title 18, of the Code of Federal 
Regulations, as follows:

PART 141--STATEMENTS AND REPORTS (SCHEDULES)

    1. The authority citation for Part 141 continues to read as 
follows:

    Authority: 15 U.S.C. 79; 16 U.S.C. 791a-828c, 2601-2645; 31 
U.S.C. 9701; 42 U.S.C. 7101-7352.

    2. Section 141.51 is amended by revising paragraph (c) to read as 
follows:


Sec. 141.51  FERC Form No. 714, Annual Electric Control and Planning 
Area Report.

* * * * *
    (c) What to file. FERC Form No. 714, ``Annual Electric Control and 
Planning Area Report,'' must be filed with the Commission as prescribed 
in Sec. 385.2011 and as indicated in the general instructions set out 
in this report form, and must be properly completed and verified. 
Filing on electronic media pursuant to Sec. 385.2011 will be required 
commencing with the report required to be submitted for the reporting 
year 1999, to be submitted on or before June 1, 2000.
    3. Section 141.61 is revised to read as follows:


Sec. 141.61  FERC Form No. 423, Monthly Report of Cost and Quality of 
Fuels for Electric Plants.

    (a) Who must file. Every electric power producer having electric 
generating plants with a rated steam-electric generating capacity of 50 
megawatts or greater during the reporting month must file with the 
Federal Energy Regulatory Commission for each such plant the FERC Form 
No. 423, ``Monthly Report of Cost and Quality of Fuels for Electric 
Plants,'' pursuant to the General Instructions set out in that form.
    (b) When to file and what to file. This report form must be filed 
on or before the 45th day after the end of each reporting month. This 
report form must be filed with the Federal Energy Regulatory Commission 
as prescribed in Sec. 385.2011 and as indicated in the general 
instructions set out in this report form, and must be properly 
completed and verified. Filing on electronic media pursuant to 
Sec. 385.2011 will be required commencing with the report required to 
be submitted for the reporting period of January 2000.
    4. Section 141.300 is amended by revising paragraphs (b) and (c) to 
read as follows:


Sec. 141.300  FERC Form No. 715, Annual Transmission Planning and 
Evaluation Report.

* * * * *
    (b) When to file. FERC Form No. 715 must be filed on or before 
April 1 for the preceding calendar year.
    (c) What to file. FERC Form No. 715 must be filed with the Federal 
Energy Regulatory Commission as prescribed in Sec. 385.2011 and as 
indicated in the general instructions set out in this report form, and 
must be properly completed and verified. Filing on electronic media 
pursuant to Sec. 385.2011 of this chapter will be required commencing 
with the report required to be submitted for the reporting year of 
1999, to be submitted on or before April 1, 2000.

PART 385--RULES OF PRACTICE AND PROCEDURE

    5. 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.

    6. Section 385.2011 is amended by adding paragraphs (a)(7), (a)(8), 
and (a)(9) and by revising paragraph (c)(3) to read as follows:


Sec. 385.2011  Procedures for filing on electronic media (Rule 2011).

    (a) * * *
    (7) FERC Form No. 423, Monthly report of cost and quality of fuels 
for electric plants (No paper copies required).
    (8) FERC Form No. 714, Annual electric control and planning area 
report (No paper copies required).
    (9) FERC Form No. 715, Annual transmission planning and evaluation 
report (No paper copies required).
* * * * *
    (c) * * *
    (3) The electronic media must be accompanied by the traditional 
prescribed numbers of paper copies, unless otherwise provided in 
paragraph (a) of this section.
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[FR Doc. 99-28821 Filed 11-3-99; 8:45 am]
BILLING CODE 6717-01-P