[Federal Register Volume 66, Number 249 (Friday, December 28, 2001)]
[Rules and Regulations]
[Pages 67076-67078]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-32006]


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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Parts 141 and 385

[Docket No. RM00-1-000; Order No. 622]


Electronic Filing of FERC Form No. 423

December 20, 2001.
AGENCY: Federal Energy Regulatory Commission.

ACTION: Final rule.

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

SUMMARY: The Federal Energy Regulatory Commission (Commission) is 
amending its regulations under the Federal Power Act (FPA) to provide 
for the electronic filing of its Form No. 423 (Form 423). Commencing 
with the January 2002 filing, due March 15, 2002, only electronic 
filings will be accepted; the paper filing requirement will be 
eliminated. The Commission has developed the capacity to accept such 
filings electronically and has extensively tested the software and 
related elements of the electronic filing mechanism. This automation of 
the Form 423 yields significant benefits to respondents, the Commission 
and to the electric industry as a whole. These benefits include more 
timely analysis and publication of the data, increased data analysis 
capability, reduced cost of data entry and retrieval and an overall 
reduction in filing burden.

EFFECTIVE DATE: This final rule is effective January 28, 2002.

FOR FURTHER INFORMATION CONTACT:
Patricia W. Morris (Technical Information), Office of Markets, Tariffs 
and Rates, FERC, 888 First Street, NE., Washington, DC 20426, (202) 
208-6990, [email protected]
Bolton Pierce (Electronic System), Office of Information Technology, 
FERC, 888 First Street, NE., Washington, DC 20426, (202) 208-1803, 
[email protected]
S.L. Higginbottom (Legal Information), Office of General Counsel, FERC, 
888 First Street, NE., Washington, DC 20426, (202) 208-2168, 
[email protected]

SUPPLEMENTARY INFORMATION:

Federal Energy Regulatory Commission

Before Commissioners: Pat Wood, III, Chairman; William L. Massey, Linda 
Breathitt, and Nora Mead Brownell.

[Docket No. RM00-1-000]

Electronic Filing of FERC Form No. 423, Order No. 622; Final Rule

I. Introduction

    This Final Rule revises parts 141 and 385 of the Commission's 
regulations to require the electronic filing of its FERC Form No. 423 
``Monthly Report of Cost and Quality of Fuels for Electric Plants'' 
(Form 423).\1\ The electronic data to be filed, commencing with reports 
for the month of January 2002, due no later than March 19, 2002, will 
replace the nearly 1000 pages of Form 423 information presently filed 
with the Commission in hard copy every month. There will be no further 
requirement for a hard copy Form 423 filing. The Commission has 
throughly tested the software and related elements of the electronic 
filing mechanism and finds that the methodology and mechanics of the 
system are ready for industry-wide electronic filing of Form 423.
---------------------------------------------------------------------------

    \1\ The Commission's original Notice of Proposed Rulemaking 
(NOPR), proposed to make three FERC data collections, Forms 423, 714 
and 715, electronic. This Final Rule will require electronic filing 
of the Form 423, but not yet change the collection of the Forms 714 
and 715. Comments received in response to the NOPR indicated that 
further consideration was warranted before electronic filing of the 
Forms 714 and 715 is ordered.
---------------------------------------------------------------------------

II. Background

    Form 423 information is collected pursuant to sections 205 and 206 
of the Federal Power Act (FPA), as amended by section 208 of the Public 
Utility Regulatory Policies Act of 1978 (PURPA). The Commission 
collects basic cost and quality of fuels data at electric generating 
plants on the Form 423 and has used such data to conduct fuel reviews, 
rate investigations and to track market changes and trends. The 
Commission's Form 423 filing requirements are found at 18 CFR 141.61
    The Form 423 is a monthly submission from approximately 200 
electric utilities who sell electric power under traditionally-
regulated, cost-based rates from approximately 500 power plants.

III. Discussion

    On October 28, 1999, the Commission issued a Notice of Proposed 
Rulemaking (NOPR) in Docket RM00-1-000, proposing that the Form 423 be 
filed electronically.\2\ Respondents to the NOPR commended the efforts 
of the Commission in reducing the burden by providing for electronic 
submissions of the Form 423. Any concerns voiced by respondents to the 
NOPR now have been addressed and resolved.
---------------------------------------------------------------------------

    \2\ Electronic Filing of FERC Form Nos. 423, 714 and 715, Notice 
of Proposed Rulemaking, 64 FR 60140 (Nov. 4, 1999), FERC Stats. & 
Regs. para. 32,546 (1999).
---------------------------------------------------------------------------

    The Edison Electric Institute (EEI) was ``concerned that the hasty 
implementation of electronic filing may not provide all the expected 
benefits and may impose greater transition costs than are necessary.'' 
EEI, and also Southern Companies, thus encouraged the Commission to 
carefully test all software for a minimum of one year with a group of 
volunteer reporting companies before electronic filing was made 
compulsory, and to allow electronic filing via the Internet. The 
Commission has, in fact, done such testing. Testing began with just a 
few filers over a year ago. Gradually more and more filers were added 
and the Commission is now receiving over 25% of each month's Form 423 
filings electronically; many of those filing are EEI members who 
volunteered to help develop the system. (Each month respondents update 
their previous month's data to reflect the current reporting month; 
only changes to the prior month's data need be made.) In an

[[Page 67077]]

effort to assist each filer in entering and submitting the most 
accurate data, numerous checks and balances have been incorporated into 
the system. Moreover, filings are being transmitted to the Commission 
via the Internet.

IV. 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.\3\ 
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,\4\ and also for information gathering, analysis, and 
dissemination.\5\ This Final Rule does not substantially change the 
effect of the regulation being amended. In addition, the Final Rule 
involves information gathering, analysis and dissemination. Therefore, 
this Final Rule falls within categorical exemptions provided in the 
Commission's regulations. Consequently, neither an environmental impact 
statement nor an environmental assessment is required.
---------------------------------------------------------------------------

    \3\ Regulations Implementing National Environmental Policy Act, 
52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. para. 30,783 
(1987).
    \4\ 18 CFR 380.4(a)(2)(ii).
    \5\ 18 CFR 380.4(a)(5).
---------------------------------------------------------------------------

V. Regulatory Flexibility Act

    In Mid-Tex Elect. Coop. v. FERC, 773 F. 2d 327 (D. C. Cir. 1985), 
the court found that Congress, in passing the Regulatory Flexibility 
Act (RFA),\6\ intended agencies to limit their consideration ``to small 
entities that would be directly regulated'' by proposed rules. Id. at 
342. The court further concluded that ``the relevant `economic impact' 
was the impact of compliance with the proposed rule on regulated small 
entities.'' Id.
---------------------------------------------------------------------------

    \6\ 5 U.S.C. 601-612.
---------------------------------------------------------------------------

    This Final Rule will reduce the reporting burden and promote 
consistent reporting practices for all reporting companies. The 
Commission received no comments regarding its certification in the NOPR 
that the Final Rule would not have a significant economic impact on a 
substantial number of small entities. Moreover, the Commission again 
finds that most filing entities regulated by the Commission do not fall 
within the RFA's definition of a small entity \7\ and that this Final 
Rule will not have a significant economic impact on a substantial 
number of small entities.
---------------------------------------------------------------------------

    \7\ 5 U.S.C. 601(3), citing to section 3 of the Small Business 
Act, 15 U.S.C. 632. Section 3 of the Small Business Act defines a 
``small-business concern'' as a business which is independently 
owned and operated and which is not dominant in its field of 
operation.
---------------------------------------------------------------------------

VI. Information Collection Statement

    The Office of Management and Budget (OMB) regulations require that 
OMB approve certain reporting and record keeping (collections of 
information) imposed by an agency. The information collection 
requirements in this Final Rule are contained in Form 423, ``Monthly 
Report of Cost and Quality of Fuels for Electric Plants'' (OMB approval 
No. 1902-0024). Form 423 most recently received OMB approval on January 
23, 2001 for the period through January 2003. As part of the renewal 
process, OMB was notified that the Commission was developing and 
testing a system for electronic submission of the data. This electronic 
filing initiative is part of the Commission's ongoing program to reduce 
reporting requirements. As explained below, the shift to electronic 
filing of the Form 423 will reduce, by about one-third, the burden on 
regulated companies for maintaining and reporting information under the 
Commission's Form 423 regulations.
    Interested persons may obtain information on the reporting 
requirements by contacting 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 from the 
Office of Management and Budget, Room 10202 NEOB, Washington, DC 20503 
(Attention: Desk Officer for the Federal Energy Regulatory Commission, 
(202) 395-3087, fax: (202) 395-7285).
    The regulated entity shall not be penalized for failure to respond 
to this collection of information unless the collection of information 
displays a valid OMB control number.
    Title: FERC Form No. 423, ``Monthly Report of Cost and Quality of 
Fuels for Electric Plants.''
    Action: Revision of a Currently Approved Collection.
    OMB Control No.: 1902-0024.
    Respondents: Every electric power producer having electric 
generating plants with a rated steam-electric generating capacity of 50 
megawatts or greater during the reporting month.
    Frequency of Responses: Monthly.
    Reporting Burden: At the time of OMB renewal in January 2001, there 
were monthly filings for approximately 636 electric plants. With an 
average overall response rate of 1.5 hours per monthly report, the 
total respondent burden was 11,448 hours (636 x 1.5 x 12). Currently 
there are 584 monthly filings, a reduction of 52 filings due largely to 
waivers since granted by the Commission to those utilities operating 
solely under market-based rates, with a total annual respondent burden 
of 10,512 hours (584 x 1.5 x 12). These 584 monthly filings will now be 
submitted electronically, reducing the average burden to 1.0 hour per 
monthly report, for a total respondent burden of 7,008 hours (584 x 1.0 
x 12). This is a reduction of 3,504 respondent burden hours (10,512 
hours--7,008 hours), or a reduction of roughly one third.
    The burden reduction realized by the Federal government is just as 
dramatic. Previously the estimated annualized Form 423 cost to the 
Federal government was stated as $190,000 (approximately 1.6 FTE), 
however with electronic filing the annual cost is only $29,260 
(approximately 0.25 FTE).
    The Commission has assured itself, by means of its internal review, 
that there is specific, objective support for the burden estimates 
associated with the information requirements. These new electronic 
filing requirements conform to the Commission's plan for efficient 
information collection, communication and management within the 
electric power industry. The changes will contribute to well-informed 
decision-making and streamlined workload processing.
    Interested persons may obtain information on the reporting 
requirements by contacting the following: Federal Energy Regulatory 
Commission, 888 First Street, NE, Washington, DC 20426, Attention: 
Michael Miller, Office of the Chief Information Officer, Phone: (202) 
208-1415, fax: (202) 273-0873, e-mail: [email protected].
    For the submission of comments concerning the collection of 
information and the associated burden estimates, please send your 
comments to the contact listed above or 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).

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.gov) and in FERC's 
Public Reference Room

[[Page 67078]]

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.
    --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 web site 
during normal business hours from our Help line at (202) 208-2222 (e-
mail to [email protected]) or the Public Reference Room 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 
web site are available. User assistance is also available.

VIII. Effective Date and Congressional Notification

    This Final Rule will take effect January 28, 2002. The Commission 
has determined, with the concurrence of the Administrator of the Office 
of Information and Regulatory Affairs of the Office of Management and 
Budget, that this rule is not a ``major rule'' within the meaning of 
section 251 of the Small Business Regulatory Enforcement Fairness Act 
of 1996.\8\ The Commission will submit the Final Rule to both Houses of 
Congress and the General Accounting Office.\9\
---------------------------------------------------------------------------

    \8\ 5 U.S.C. 804(2).
    \9\ 5 U.S.C. 801(a)(1)(A).
---------------------------------------------------------------------------

List of Subjects

18 CFR Part 141

    Electric power, Reporting and recordkeeping requirements.

18 CFR Part 385

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

    By the Commission.
Linwood A. Watson, Jr.,
Acting Secretary.

    In consideration of the foregoing, the Commission amends 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 141.61 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 stream-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 this form.
    (b) When to file and what to file. This report must be filed on or 
before the 45th day after the end of each reporting month. This report 
must be filed with the Federal Energy Regulatory Commission as 
prescribed in Sec. 385.2011 of this chapter and as indicated in the 
General Instructions set out in this 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 month of January 
2002.

PART 385--RULES OF PRACTICE AND PROCEDURE

    3. 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 (1988).

    4. Section 385.2011 is amended by adding paragraph (a)(8), to read 
as follows:


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

    (a) * * *
    (8) FERC Form No. 423, Monthly Report of Cost and Quality of Fuels 
for Electric Plants.
* * * * *
[FR Doc. 01-32006 Filed 12-27-01; 8:45 am]
BILLING CODE 6717-01-P