[Federal Register Volume 65, Number 184 (Thursday, September 21, 2000)]
[Rules and Regulations]
[Pages 57088-57092]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-24200]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 385

[Docket No. RM00-12-000; Order No. 619]


Electronic Filing of Documents

Issued September 14, 2000.
AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Federal Energy Regulatory Commission (Commission) is 
amending its rules of practice and procedure (18 CFR part 385) to 
permit the electronic filing of limited categories of documents in 
proceedings before the Commission on a voluntary basis. This measure is 
necessary to further the Commission's goal of reducing the amount of 
paper that participants in Commission proceedings must file. Increased 
use of electronic filing will reduce the burden and expense associated 
with paper filings, and help to make information available to the 
public in a faster and more efficient manner.

EFFECTIVE DATE: This final rule is effective on November 1, 2000.

FOR FURTHER INFORMATION CONTACT: Brooks Carter, Office of the Chief 
Information Officer, Federal Energy Regulatory Commission, 888 First 
Street, NE., Washington, DC 20426, (202) 501-8145.
    Wilbur Miller, Office of the General Counsel, 888 First Street, 
NE., Washington, DC 20426, (202) 208-0953.

SUPPLEMENTARY INFORMATION:

I. Introduction

    The Federal Energy Regulatory Commission (Commission) is amending 
18 CFR part 385 to allow for electronic filing of documents in certain 
circumstances. This measure is necessary to further the Commission's 
goal of reducing the amount of paper that participants in Commission 
proceedings must file. Increased use of electronic filing will reduce 
the burden and expense associated with paper filings, and help to make 
information available to the public in a faster and more efficient 
manner.

II. Background

    In order to increase the efficiency with which it carries out its 
program responsibilities, the Commission is implementing measures to 
use information technology to reduce the amount of paperwork required 
in proceedings before the Commission. This rulemaking is a step in the 
process of replacing paper with electronic filings by allowing 
participants in Commission proceedings to submit certain types of 
documents electronically, on a voluntary basis, without also filing 
paper copies.
    Both the legislative and executive branches of the Federal 
government have set as goals the substitution of electronic means of 
communication and information storage for paper means. For example, the 
Government Paperwork Elimination Act directs agencies to provide for 
the optional use and acceptance of electronic documents and signatures, 
and electronic record-keeping, where practical, by October 2003.\1\ 
Similarly, Office of Management and Budget Circular A-130 requires 
agencies to employ electronic information collection techniques where 
such means will reduce the burden on the public, increase efficiency, 
reduce costs, and help provide better service.\2\
---------------------------------------------------------------------------

    \1\ Pub. L. 105-277, sections 1702-1704.
    \2\ Circular A-130, Para. 8.a.1(k).
---------------------------------------------------------------------------

    On October 1, 1999, the Commission commenced a pilot project in 
which participants who volunteered to do so submitted specified 
categories of documents electronically in addition to paper copies. 
Commission staff worked closely with participants in the pilot to 
address technical and technological issues that arose during the pilot. 
The Commission's experience with the pilot has shown that the best 
course of action is, with respect to limited types of documents, to 
begin now accepting electronic submissions in lieu of paper on a 
voluntary basis. Over time, the

[[Page 57089]]

Commission expects to expand the types of documents it accepts 
electronically.

III. Discussion

    Currently, the Commission's rules require the submission of the 
original and fourteen copies of submissions under 18 CFR part 385 \3\ 
or, in hydropower cases, eight copies.\4\ This rulemaking will, for 
limited categories of documents, allow participants to submit documents 
via the Internet in lieu of all paper copies. The choice whether to 
make an electronic submission belongs to the participant making the 
submission; paper copies will still be accepted. Participants choosing 
to submit electronic documents will not have to comply with 
requirements for submitting paper copies.
---------------------------------------------------------------------------

    \3\ 18 CFR 385.2004.
    \4\ 18 CFR 4.34.
---------------------------------------------------------------------------

    This rule provides that the Secretary shall issue instructions 
indicating the categories of documents that may be filed via the 
Internet. Initially, these instructions will allow electronic 
submission only of protests under Secs. 343.3 and 385.211 of the 
Commission's regulations, and of comments on certain filings made with 
the Commission. Although the term ``comments'' is not precisely defined 
in the Commission's regulations, in practice the Commission receives a 
variety of submissions denoted as ``comments.'' These include, for 
example, comments on applications or filings, technical conferences, 
environmental documents, and settlements. At this time, the Secretary's 
instructions will permit filing via the Internet of comments other than 
those on rulemakings and settlements, and those submitted in connection 
with matters set for hearing. The Commission expects gradually to 
expand the categories of submissions that it will accept in electronic 
form. The Secretary is authorized by this rule to add new categories of 
documents in situations where no new requirements will be imposed upon 
the electronic filer. Electronic filings that involve placing 
additional or changed requirements upon submitters, such as enhanced 
security requirements, will be the subject of future rulemakings.
    It is important to note that participants will not be able to 
submit via the Internet filings that contain both a document that is 
permitted to be filed electronically and one that is not. The 
Commission at times receives documents that contain, for example, both 
a notice of intervention and comments or a protest. Because the 
Secretary's initial instructions under this rulemaking will not include 
notices of intervention, such a combined filing could not be made via 
the Internet. The protest or comments would have to be submitted 
separately to employ Internet filing.
    Although the Commission will not at this time be accepting 
electronic submission of comments on rulemakings in lieu of paper 
copies, it encourages rulemaking commenters to submit electronic 
versions of their comments to [email protected]. Paper copies of 
rulemaking comments must still be submitted.
    This final rule does not supersede any pre-existing filing 
requirements. The procedures for electronic submissions contained in 18 
CFR 385.2011 remain unaffected and paper copies required under those 
procedures will still be required. This final rule also does not alter 
the Commission's policy against submissions via facsimile transmission.
    In order to ease the burden on participants wishing to submit 
electronic documents, the Commission will accept such submissions in a 
variety of formats, which will be listed in instructions issued by the 
Secretary. Participants may submit documents in Portable Document 
Format (PDF), but are not required to do so. The Commission, upon 
receiving an electronic document, will convert it to PDF and then to 
Tagged Image File Format (TIFF). Both the PDF and TIFF images will be 
made available to the public through the Commission's Records and 
Information Management System (RIMS). Because the Commission is not 
requiring documents to be submitted in PDF, different users, when they 
view or print out a document, will find different page breaks. For this 
reason, it will be necessary for participants in Commission 
proceedings, when citing to a document that was submitted 
electronically, to cite to pages contained in the PDF image found on 
RIMS. If a submitter files both a paper copy of a document and an 
electronic version that complies with the provisions of this rule, the 
PDF image of the electronic version contained on RIMS, rather than the 
paper version, will be the one to which participants should refer for 
citation purposes.
    The Secretary will issue detailed instructions for electronic 
submissions. In summary, participants wishing to submit documents 
electronically will be able to do so through the Commission's web site, 
using a user ID and password. Users will be able to create their own 
IDs and passwords. Information that users submit to obtain a password 
will be used only to authenticate the identity of the filer, and not 
for any other purpose. The user then can submit the document by 
following the on-screen instructions. Submission of a document 
electronically will produce three acknowledgments, all of which the 
user will receive by e-mail. The first will be a simple acknowledgment 
of receipt that the user will receive immediately. The second, which 
also will be received after a minimal delay, will contain a link to the 
PDF image that either will have been filed by the submitter or created 
automatically by the Commission's computer system. The user will be 
able to access this image to verify that the Commission has received 
the submitted document. The third acknowledgment, which the user will 
receive after a short delay, will indicate whether the Secretary has 
approved the document for electronic filing and will contain a link to 
the TIFF image. At the same time this third acknowledgment is sent, the 
document will be sent to RIMS for posting in both PDF and TIFF forms. 
There will be a short delay, after the third acknowledgment, before the 
document is available on RIMS.
    In order to determine the level of signature technology necessary 
for adequate security, Commission staff has conducted an assessment of 
the risks involved with electronic submission of the documents covered 
in the instructions to be issued by the Secretary at this time.\5\ The 
electronic submissions allowed by this rulemaking present a very low 
security risk. The submission of comments does not involve transfers of 
funds. There is no financial or legal liability involved, although one 
may result from actions taken or required by the Commission in response 
to a filed document. A few filings may contain privileged or 
confidential information, but the Commission will not at this time 
accept electronic submissions that contain information for which the 
submitter requests confidential treatment. Electronically filed 
comments will be made available via the Commission's Internet site. 
Since the filings are public, there is minimal risk of dispute over the 
content of the filing at a later date. There also would be little 
reason for an intruder to alter or falsify a filing, because the 
intrusion would be easily identified and remedied. Because of the low 
level of risk associated with this

[[Page 57090]]

rulemaking, the Commission concludes that a user name/password system 
is an appropriate level of authentication for these filings.
---------------------------------------------------------------------------

    \5\ The Office of Management and Budget has directed agencies to 
assess the risks involved in determining the appropriate level of 
security for electronic filing. See 65 FR 25508, Section 2 (May 2, 
2000).
---------------------------------------------------------------------------

    With respect to time of receipt, this rule provides that a document 
is received when the Commission receives the last byte of information. 
An electronic submission governed by a due date must be received by the 
time at which a paper document would have to be received, generally 
close of business on the due date.\6\ Documents received after close of 
business will be considered to have been received on the following 
business day. The Commission is aware of the difficulties that go hand-
in-hand with technological improvements. The Secretary has sufficient 
authority under 18 CFR 375.302 to grant extensions of time for good 
cause shown.
---------------------------------------------------------------------------

    \6\ See 18 CFR 375.101, 375.105.
---------------------------------------------------------------------------

    The Commission is issuing this rulemaking as a final rule, without 
a period for public comment. Under 5 USC 553(b), notice and comment 
procedures are unnecessary for rulemakings that concern only matters of 
agency practice and procedure. This rulemaking fits that description. 
In addition, the rulemaking is limited in scope because of the limited 
categories of submissions to which it applies, and it is entirely 
voluntary, imposing no requirements on any participant.

IV. Regulatory Flexibility Act Certification

    The Regulatory Flexibility Act (RFA) requires agencies to prepare 
certain statements, descriptions and analyses of rules that will have a 
significant 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.
---------------------------------------------------------------------------

    \7\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    The Commission certifies that this rule will not have such an 
impact on small entities. Most companies regulated by the Commission do 
not fall within the RFA's definition of small entity.\8\ Further, the 
filing requirements of small entities are not significantly impacted by 
this rule, and the rule in any event is voluntary and imposes no 
requirements upon any entities.
---------------------------------------------------------------------------

    \8\ 5 U.S.C. 601(3) provides the definition of small business 
concern.
---------------------------------------------------------------------------

V. 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.\9\ 
The Commission has categorically excluded certain actions from this 
requirement as not having a significant effect on the human 
environment. Among these are rules that are clarifying, corrective, or 
procedural, or that do not substantively change the effect of the 
regulations being amended.\10\ This rule is procedural in nature and 
therefore falls under this exception; consequently, no environmental 
consideration is necessary.
---------------------------------------------------------------------------

    \9\ Order No. 486, Regulations Implementing National 
Environmental Policy Act, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & 
Regs., Regulations Preambles 1986-1990 para. 30,783 (1987).
    \10\ 18 CFR 380.4(a)(2)(ii).
---------------------------------------------------------------------------

VI. Information Collection Statement

    The Office of Management and Budget's (OMB) regulations require OMB 
to approve certain information collection requirements imposed by 
agency rule.\11\ Respondents subject to the filing requirements of this 
Rule will not be penalized for failing to respond to these collections 
of information unless the collections of information display a valid 
OMB control number. This final rule does not contain a new or amended 
information collection(s) subject to the Paperwork Reduction Act of 
1995.\12\ The modifications contained in this rule do not impose any 
additional compliance burden on persons dealing with the Commission. 
All parties will still be permitted to file comments on paper, exactly 
as they do today. Accordingly, pursuant to OMB regulations, the 
Commission is providing notice of this amendment to its procedures to 
OMB.
---------------------------------------------------------------------------

    \11\ 5 CFR 1320.12.
    \12\ 44 U.S.C. 3501 et seq.
---------------------------------------------------------------------------

    Public Reporting Burden: Because of the voluntary nature of this 
rule, it is difficult at this time to determine how many will 
participate in submitting documents via the Internet as opposed to 
paper. Commission Staff has estimated that the Commission receives over 
20,000 filings per year concerning comments, protests and motions to 
intervene. However, as noted earlier, motions to intervene are not the 
subject of this rule. We anticipate that in the first year, 25% of the 
filings will be submitted electronically, 50% in the second year and 
80% in the third year. However, because many of the filings are by one-
time filers, the likelihood of exceeding 80% may not be achieved.
    The implementation of this option will make it easier for the 
public to participate in the Commission's proceedings and is an 
important step in the Commission's efforts to streamline and improve 
the Commission's decision-making process. The electronic submission of 
comments will reduce expenses involved with paper filings and service, 
such as copying, mailing and messenger costs. Furthermore, this 
procedure will allow for the on-line review of comments filed with the 
Commission by the staff and by the public. In addition, the Commission 
is implementing the requirements of the Government Paperwork 
Elimination Act. Participants who file electronically will no longer 
have to file an original and, in most cases, fourteen copies for these 
categories of documents.
    For information on this amendment to the Commission's rules, or 
suggestions on efforts to alleviate the burden through the use of 
electronic filing, please send your comments to the Federal Energy 
Regulatory Commission, 888 First Street, NE., Washington, DC 20426 
(Attention: Michael Miller, Office of the Chief Information Officer, 
(202) 208-1415, or [email protected]) or send comments to the 
Office of Management and Budget (Attention: Desk Officer for the 
Federal Energy Regulatory Commission (202) 395-3087, fax: 395-7285). In 
addition, comments on reducing the burden and/or improving the 
collections of information should also be submitted to the Office of 
Management and Budget, Office of Information and Regulatory Affairs, 
Attention: Desk Officer for the Federal Energy Regulatory Commission, 
725 17th Street, NW., Washington, DC 20503.

VII. Document Availability

    In addition to publishing the full text of this document in the 
Federal Register, the Commission provides all interested persons an 
opportunity to view and/or print the contents of this document via the 
Internet through FERC's Home Page (http://www.ferc.fed.us) and in 
FERC's Public Reference Room during normal business hours (8:30 a.m. to 
5 p.m. Eastern time) at 888 First Street, NE., Room 2A, Washington, DC 
20426.
    From FERC's Home Page on the Internet, this information is 
available in both the Commission Issuance Posting System (CIPS) and the 
Records and Information Management System (RIMS).
     CIPS provides access to the texts of formal documents 
issued by the Commission since November 14, 1994.
     CIPS can be accessed using the CIPS link or the Energy 
Information Online icon. The full text of this document is available on 
CIPS in ASCII and WordPerfect 8.0 format for viewing, printing, and/or 
downloading.

[[Page 57091]]

     RIMS contains images 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 from FERC's Home Page using 
the RIMS link or the Energy Information Online icon. Descriptions of 
documents back to November 16, 1981, are also available from RIMS-on-
the-Web; requests for copies of these and other older documents should 
be submitted to the Public Reference Room.
    User assistance is available for RIMS, CIPS, and the Website during 
normal business hours from our Help line at (202) 208-2222 (E-Mail to 
[email protected]) or the Public Reference at (202) 208-1371 (E-
Mail to [email protected]).
    During normal business hours, documents can also be viewed and/or 
printed in FERC's Public Reference Room, where RIMS, CIPS, and the FERC 
Website are available. User assistance is also available.

VIII. Effective Date and Congressional Notification

    This regulation becomes effective on November 1, 2000. The 
Commission has concluded that this rule is not a ``major rule'' as 
defined in section 251 of the Small Business Regulatory Enforcement 
Fairness Act of 1996. The provisions of 5 U.S.C. 801, regarding 
Congressional review of rulemakings, do not apply to this rulemaking 
because it concerns agency procedure and practice and will not 
substantially affect the rights and obligations of non-agency parties. 
5 U.S.C. 804(3)(C).

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 revises part 385, 
subpart T, 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. Section 385.2001 is revised to read as follows:


Sec. 385.2001  Filings (Rule 2001).

    (a) Filings with the Commission. (1) Except as otherwise provided 
in this chapter, any document required to be filed with the Commission 
must comply with Rules 2001 to 2005 and must be submitted to the 
Secretary by:
    (i) Mailing the document to the Secretary, Federal Energy 
Regulatory Commission, 888 First Street, NE., Washington, DC 20426;
    (ii) Hand delivering the document to Room 1A, 888 First Street, 
NE., Washington, DC; or
    (iii) In the case of qualified documents as defined in Rule 
2003(c)(2), by filing via the Internet pursuant to Rule 2003(c) at the 
following URL: www.ferc.fed.us.

    Note: Help for filing via the Internet is available by phone at 
202-208-0258 or e-mail at [email protected].


    (2) Any document is considered filed, if in paper form, on the date 
stamped by the Secretary or, in the case of a document filed via the 
Internet, on the date indicated in the acknowledgment that will be sent 
immediately upon the Commission's receipt of a submission, unless the 
document is subsequently rejected. Any document received after regular 
business hours is considered filed on the next regular business day.
    (b) Rejection. (1) If any filing does not comply with any 
applicable statute, rule, or order, the filing may be rejected, unless 
the filing is accompanied by a motion requesting a waiver of the 
applicable requirement of a rule or order and the motion is granted.
    (2) If any filing is rejected, the document is deemed not to have 
been filed with the Commission.
    (3) Where a document is rejected under paragraph (b)(1) of this 
section, the Secretary, or the office director to whom the filing has 
been referred, will notify the submitter and indicate the deficiencies 
in the filing and the reason for the rejection.
    (4) If a filing does not comply with any applicable requirement, 
all or part of the filing may be stricken. Any failure to reject a 
filing which is not in compliance with an applicable statute, rule, or 
order does not waive any obligation to comply with the requirements of 
this chapter.


    3. Section 385.2003 is revised to read as follows:


Sec. 385.2003  Specifications (Rule 2003).

    (a) All filings. Any filing with the Commission must be:
    (1) Typewritten, printed, reproduced, or prepared using a computer 
or other word or data processing equipment;
    (2) Have double-spaced lines with left margins not less than 1\1/2\ 
inch wide, except that any tariff or rate filing may be single-spaced;
    (3) Have indented and single-spaced any quotation that exceeds 50 
words; and
    (4) Use not less than 10 point font.
    (b) Filing by paper.
    (1) Any filing with the Commission made in paper form must be:
    (i) Printed or reproduced, with each copy clearly legible;
    (ii) On letter-size unglazed paper that is 8 to 8\1/2\ inches wide 
and 10\1/2\ to 11 inches long; and
    (iii) Bound or stapled at the left side only, if the filing exceeds 
one page.
    (2) Any log, graph, map, drawing, or chart submitted as part of a 
filing will be accepted on paper larger than provided in paragraph 
(b)(1) of this section, if it cannot be provided legibly on letter-size 
paper.
    (c) Filing via the Internet.
    (1) A document filed with the Commission via the Internet must:
    (i) Be a qualified document;
    (ii) Be filed in accordance with instructions issued by the 
Secretary and made available on the Commission's web site at 
www.ferc.fed.us/efi/doorbell.htm. 
    (2) For purposes of Internet filings, qualified documents shall be 
those categories of documents listed in instructions to be issued by 
the Secretary. The Secretary is authorized to issue and amend a list of 
qualified documents only to the extent that no additional requirements 
are placed upon submitters of electronic documents beyond those 
contained in the Commission's regulations.
    (3) Documents requiring privileged or protected treatment by the 
Commission may not be filed via the Internet.
    (4) Qualified documents may not be combined with other documents in 
an electronic filing. (Example: A protest that is a qualified document 
and a notice of intervention that is not may not be filed 
electronically as one document. The protest must be filed 
electronically as a separate document.)
    (5) For purposes of statutes or regulations governing timeliness, a 
document filed via the Internet will be deemed to have been received by 
the Commission at the time the last byte of the document is received by 
the Commission.
    (d) Citation form. Any filing with the Commission should comply 
with the rules of citation, except Rule 1.1, set forth in the most 
current edition of A Uniform System of Citation, published by The 
Harvard Law Review Association. Citations to specific pages

[[Page 57092]]

of documents filed via the Internet should use the page numbers 
appearing in the PDF (Portable Document Format) version of the document 
available on the Commission's web site.

    4. Section 385.2004 is revised to read as follows:


Sec. 385.2004  Original and copies of filings (Rule 2004).

    Any person filing under this chapter must provide an original of 
the filing and fourteen exact copies, unless otherwise required by 
statute, rule, or order. The provisions of this section and of 
Sec. 4.34(h) of this Chapter do not apply in the case of a document 
properly filed via the Internet under Rule 2003(c).

    5. Section 385.2005 is revised by adding paragraph (c) as follows:


Sec. 385.2005  Subscription and verification (Rule 2005).

* * * * *
    (c) Electronic signature. In the case of a document filed via the 
Internet pursuant to Rule 2003(c), the typed characters representing 
the name of a person shall be sufficient to show that such person has 
signed the document for purposes of this section.

[FR Doc. 00-24200 Filed 9-20-00; 8:45 am]
BILLING CODE 6717-01-P