[Federal Register Volume 64, Number 221 (Wednesday, November 17, 1999)]
[Rules and Regulations]
[Pages 62580-62582]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-29979]


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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 385

[Docket No. RM99-9-000; Order No. 610]


Designation of Corporate Officials or Other Persons To Receive 
Service

    Issued: November 10, 1999.
AGENCY: Federal Energy Regulatory Commission.

ACTION: Final rule.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) is 
adding a new paragraph (i) to Sec. 385.2010 (Rule 2010) of its 
regulations 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 Commission will 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: The regulations are effective December 17, 1999.

ADDRESSES: Federal Energy Regulatory Commission 888 First Street, NE, 
Washington, DC 20426.

FOR FURTHER INFORMATION CONTACT: David Faerberg, Office of the General 
Counsel, Federal Energy Regulatory Commission, 888 First Street, N.E, 
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, NE, 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 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, NE, Washington, DC 20426.
    Before Commissioners: James J. Hoecker, Chairman; Vicky A. 
Bailey, William L. Massey, Linda Breathitt, and Curt Hebert, Jr.

    The Federal Energy Regulatory Commission (Commission) is revising 
its regulations to require that all entities regulated by the 
Commission must designate a corporate official or other person to 
receive service.

I. Background

    On July 28, 1999, as a result of a suggestion made by the 
Interstate Natural Gas Association of America (INGAA) on rehearing of 
Order No. 602,1 the Commission issued a notice of proposed 
rulemaking (NOPR) 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.2
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    \1\ Complaint Procedures, Order No. 602, 64 FR 17087 (Apr. 8, 
1999), III FERC Stats. & Regs. para. 31,071 (1999), order on reh'g 
and clarification, Order No. 602-A, 64 FR 43600 (Aug. 11, 1999), III 
FERC Stats. & Regs. para. 31,076 (1999), order on reh'g, Order No. 
602-B, 88 FERC para. 61,294 (1999).
    \2\ Designation of Corporate Officials or Other Persons to 
Receive Service, 64 FR 42307 (Aug. 4, 1999), IV FERC Stats. & Regs. 
para. 32,543 (July 28, 1999).
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    The NOPR stated that the Commission would maintain a list of 
designated officials in the Office of the Secretary of the Commission 
and make the list available to the public in hard copy and through the 
Commission's web site. However, the Commission invited comments on what 
other ways the names of designated officials could be made available to 
interested persons. The Commission asked whether regulated entities 
should be required to post the names of designated corporate officials 
on a company's EBB or web site. The Commission also asked whether a 
company should 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 was also 
interested in receiving comments on what level of burden, if any, will 
a distribution requirement place on a regulated entity.

[[Page 62581]]

    In order to implement the new service requirements, the Commission 
proposed to add a new paragraph (i) to Sec. 385.2010 (Rule 
2010).3 In the NOPR, the Commission stated that 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 requested comments on whether it would be 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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    \3\ 18 CFR 385.2010.
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    Comments on the NOPR were filed by CNG Transmission Corporation 
(CNG), INGAA, Williston Basin Interstate Pipeline Company (Williston), 
Chevron Pipe Line Company (Chevron), and Duke Energy Corporation 
(Duke).

II. Discussion

    All of the commenters support the NOPR and the proposed regulations 
as drafted. The final rule adopts the regulations as proposed in the 
NOPR subject to certain clarifications discussed below. Each regulated 
entity is 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 has 
a continuing obligation to file updated information with the 
Commission.
    The Office of the Secretary of the Commission will maintain a list 
of designated officials and make the list available to the public in 
hard copy and through the Commission's web site. For ease of use, the 
Commission proposed that the list 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 will be required to serve the person designated 
pursuant to proposed Sec. 385.2010(i).
    The commenters do not support duplication of service information 
through other methods of distribution such as periodic mailings or 
separate postings on company EBBs or web sites. The commenters submit 
that information will be most effective if the official data are 
maintained by the Commission on its web site and in hard copy. The 
commenters assert that maintaining multiple sources of information 
could create the possibility of inconsistent data leading to disputes 
about proper service. The commenters argue that such confusion would 
undermine the NOPR's purpose of the efficient service and receipt of 
pleadings.
    The Commission agrees with the commenters that the service 
information required by the rule should be officially maintained only 
by the Commission in order to avoid confusion. Nevertheless, the 
Commission encourages regulated entities to maintain service 
information on their EBBs or web sites as a convenience to their 
customers.
    Chevron requests clarification with respect to protests to oil 
pipeline tariff filings. Chevron states that the current Commission 
regulations allow a pipeline to designate, in the transmittal letter 
accompanying the tariff filing, the person to receive any protest to 
the tariff. Chevron interprets the Commission's statement in the NOPR 
that such a designation would continue to govern service of protests, 
rather than any general designation as envisioned in the NOPR. The 
Commission grants Chevron's request for clarification. As the 
Commission stated in the NOPR, proposed Sec. 385.2010(i) was only 
designed to cover situations where a person to receive service has not 
otherwise been designated under the Commission's regulations. The 
situation described by Chevron is covered by two regulations. Under 
Sec. 385.203 of the Commission's regulations, the initial pleading 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. In addition, Sec. 343.3(a) states that:

    Any protest pursuant to section 15(7) of the Interstate Commerce 
Act must be filed not later than 15 days after the filing of a 
tariff publication. If the carrier submits a separate letter with 
the filing, providing a telefax number and contact person, and 
requesting all protests to be telefaxed to the carrier by a 
protestant, any protest must be so telefaxed to the pipeline at the 
time the protest is filed with the Commission.

    Duke requests that the Commission clarify the proposed rule in two 
respects. First, Duke requests that the Commission make clear in the 
final rule that, for entities such as Duke that have numerous corporate 
affiliates and divisions conducting activities subject to the 
Commission's jurisdiction under the Federal Power Act, Natural Gas Act 
and other statutory provisions, each such corporate affiliate and 
division is to designate persons to receive service under the new 
regulation. Second, Duke states that in some cases individual companies 
conduct activities that are subject to Commission regulation under 
different statutory schemes. For example, Duke Power, which is a 
division of Duke Energy Corporation, engages in activities regulated by 
the Commission under Part II of the Federal Power Act and also is a 
hydroelectric licensee regulated by the Commission pursuant to Part I 
of the Federal Power Act. Duke believes that it makes sense for such 
companies to designate one person to receive service of documents 
pertaining to Part II matters and a different person to receive service 
of documents pertaining to Part I matters, and requests that the 
Commission so clarify in its final rule. Duke submits that the 
clarification requested will ensure that the company personnel 
responsible for a particular jurisdictional activity will receive 
service of the filed documents pertaining to that activity and thus 
will further the goal of the Commission's NOPR.
    The Commission clarifies that companies subject to this regulation 
may provide the names of officials or persons to receive service for 
each jurisdictional activity in which the regulated entity engages. 
Thus, in Duke's case, for example, it can provide one contact person 
for electric matters and another person for hydroelectric matters. This 
should ensure that the appropriate personnel receive documents in a 
timely manner.

III. 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 were 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

[[Page 62582]]

significant adverse impact on the human environment.4 The 
Commission has categorically excluded certain actions from these 
requirements as not having a significant effect on the human 
environment.5 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.6 Therefore, an environmental assessment is 
unnecessary and has not been prepared for this final rule.
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    \4\ 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).
    \5\ 18 CFR 380.4.
    \6\ 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 an impact on a substantial number of small 
entities.7 The Commission is not required to make such 
analyses if a rule would not have such an effect.8
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    \7\ 5 U.S.C. 601-612.
    \8\ 5 U.S.C. 605(b).
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    In the Commission's view, this 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 not meet the RFA's definition of a small 
entity.9 Further, it would be easier for any small entity to 
serve a pleading on a regulate 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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    \9\ 5 U.S.C. 601(3).
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VI. Effective Date

    The regulations are effective December 17, 1999. The Small Business 
Regulatory Enforcement Fairness Act of 1996 requires agencies to report 
to Congress certain final rules prior to their effective 
dates.10 Since this final rule concerns agency practice and 
procedure, a determination as to whether it is a major or non-major 
rule is not necessary and Congressional notification is not required.
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    \10\ 5 U.S.C. 801.
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List of Subjects in 18 CFR Part 385

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

    By the Commission.
David P. Boergers,
Secretary.

    In consideration of the foregoing, the Commission amends Part 385, 
Chapter I, Title 18, Code of Federal Regulations, as follows.

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 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. 99-29979 Filed 11-16-99; 8:45 am]
BILLING CODE 6717-01-P