147 FERC ¶ 61,115

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Parts 35, 154, 341, 385

[Docket No. RM01-5-001; Order No. 714-A]

Electronic Tariff Filings

(Issued May 15, 2014)

AGENCY: Federal Energy Regulatory Commission.

ACTION: Final Rule.

SUMMARY: The Commission is clarifying its regulations to make explicit that, 

consistent with Order No. 714 (73 FR 57515) and its subsequent orders, statutory tariff 

and rate filings must be made electronically, according to the Commission’s posted 

requirements for eTariff filings. Filings not made in proper electronic format will not 

become effective under the applicable statutes if the Commission fails to act by the 

proposed effective dates in the applicants’ pleadings.

EFFECTIVE DATE: This rule will become effective [Insert_Date 30 days after 

publication in the FEDERAL REGISTER].

FOR FURTHER INFORMATION CONTACT:

Michael Goldenberg (Legal Information)

Office of the General Counsel

888 First Street, NE

Washington, DC 20426

202-502-8685

michael.goldenberg@ferc.gov

(Legal Issues)
Docket No. RM01

-5-001- 2 -

H. Keith Pierce (Technical Information)

Office of Energy Market Regulation

888 First Street, NE

Washington, DC 20426

202-502-8525

keith.pierce@ferc.gov

SUPPLEMENTARY INFORMATION

:
147 FERC ¶ 61,115

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Before Commissioners: Cheryl A. LaFleur, Acting Chairman;

 Philip D. Moeller, John R. Norris,

and Tony Clark.

Electronic Tariff Filings Docket No. RM01-5-001

ORDER NO. 714-A

FINAL RULE

(Issued May 15, 2014)

1. By this instant Final Rule, the Commission is clarifying its regulations1 to make 

explicit that, in order for filings to have a statutory action date, the filings must be made 

electronically as tariff filings in accordance with the Commission’s posted requirements

and formats (commonly known as “eTariff”). Filings not made in proper format 

consistent with the Commission’s eTariff requirements will not become effective by 

operation of law under the statutes administered by the Commission, if the Commission 

fails to act on the filings within the timeframes in the statutes.

2 These revisions clarify 

 1 18 CFR 35.7, 154.4, 341.1, and 385.205.

2 These statutes include the Natural Gas Act (NGA), the Federal Power Act (FPA), 

and the Interstate Commerce Act (ICA).
Docket No. RM01-5-001 - 2 -

the regulations so they reflect the Commission’s Order No. 714,

3 adopting regulations 

requiring electronic filing of tariffs and tariff-related materials.

I. Discussion

2. Section 4 of the Natural Gas Act (NGA),

4 section 205 of the Federal Power Act 

(FPA), 5 and section 6 of the Interstate Commerce Act (ICA)6 provide that no change 

shall be made in rates, charges, classifications, or services except after prior notice 

provided to the Commission. The statutes further provide that if the Commission fails to 

act on such a filing within the statutorily prescribed notice period, the changes in the 

filing will become effective by operation of law.

3. These statutory provisions (section 4(c) of the NGA, section 205(c) of the FPA 

and section 6(6) of the ICA) also provide that filings to revise rates, terms and conditions 

of service must be filed in the form the Commission designates. In Order No. 714, the 

Commission adopted regulations7 governing the filing of such changes to rates, terms and 

 3 Electronic Tariff Filings, Order No. 714, 73 FR 57515 (Oct. 3, 2008), FERC 

Stats. & Regs., Regulations Preambles 2008-2013 ¶ 31,276 (2008).

4 15 U.S.C. 717c.

5 16 U.S.C. 824d.

6 49 App. U.S.C. 6 (1988).

7 18 CFR 35.7, 154.4, 157.217, 284.123, 284.224, 300.10, 341.1.
Docket No. RM01-5-001 - 3 -

conditions of service and of other materials related to such changes,

8 for natural gas 

pipelines, public utilities, and oil pipelines governed by these statutes. These regulations 

require that all tariff and tariff-related filings must be made electronically according to 

the requirements and formats for such electronic filing listed in the instructions for such 

electronic filing.

9 The Commission stated that the formats and data elements in these 

requirements “are required to properly identify the nature of the tariff filing ....” 10 In a 

subsequent order, the Commission further amplified the procedures for identifying 

whether tariff filings are statutory, explaining that only eTariff filings using the proper 

filing codes would establish the applicable filing and notice requirements under the NGA, 

FPA, and ICA.

11 In this regard, the Commission stated that the filer’s choice of 

electronic filing codes determines whether a filing has a statutory action date, and not 

statements in transmittal letters or other documents.

12

 8 Order No. 714 used the term “tariff” to refer to tariffs, rates schedules, 

jurisdictional contracts, and other jurisdictional agreements that are required to be on file 

with the Commission. See Order No. 714, FERC Stats. & Regs. ¶ 31,276 at P 13 n.11.

9 The Commission indicated that grandfathered agreements did not need to be 

refiled as part of the initial baseline filing to place jurisdictional agreements in eTariff. 

Order No. 714, FERC Stats. & Regs., Regulations Preambles 2008-2013 ¶ 31,276,

at P 92 (2008). Such agreements, therefore, may be cancelled under section 35.17 of the 

regulations without the submission of an eTariff statutory filing.

10 Id. P 23.

11 Electronic Tariff Filings, 130 FERC ¶ 61,047 (2010).

12 Id. P 4.
Docket No. RM01-5-001 - 4 -

4. Despite the passage of three years since the implementation of electronic tariff 

filing, many filers still are incorrectly filing what purport to be statutory filings, either by 

not making the filings through eTariff or by not using the proper filing codes for statutory 

filings.13 We are therefore revising sections 35.7, 154.4, and 341.1 of the Commission’s 

regulations to reflect the Commission’s required procedures and practices to better ensure 

accurate filing. The regulations now will provide explicitly that only tariff filings 

properly filed as and designated as statutory filings according to the Commission’s 

eTariff requirements will be considered to have statutory action dates, and that tariff 

filings not properly filed and designated as statutory filings will not become effective in 

the absence of Commission action. We also are similarly amending section 385.205 to 

provide explicitly that a tariff filing must be made electronically, according to the 

requirements and formats for electronic filing posted by the Secretary.14

5. To help filers verify the nature of their filing, the Commission enables filers to 

verify whether their electronic filings match their intent. Filers making electronic tariff 

filings are notified of the “type of filing” code used in the responsive emails by the 

 13 As the Commission indicated in Electronic Tariff Filings, Commission staff 

would endeavor to call (and, in fact, have frequently called) filers to identify filings with 

transmittal letters that purport to be making statutory filings but that were not properly 

filed electronically as statutory filings. Id. P 5.

14 As we provided in Order No. 714, the Secretary of the Commission has 

delegated authority to make revisions to these instructions, including “type of filing”

codes. 18 CFR 375.302(z). These instructions are available at

http://www.ferc.gov/docs-filing/etariff.asp. 
Docket No. RM01-5-001 - 5 -

Secretary to their electronic filing, and the Commission’s eLibrary filing description 

includes the “type of filing” code.

15

II. Information Collection Statement

6. Office of Management and Budget (OMB) regulations require OMB to approve 

certain information collection requirements imposed by agency rule.

16 However, this 

instant Final Rule does not contain or modify any information collection requirements.

III. Environmental Analysis

7. 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.17 Part 380 of the Commission’s regulations lists exemptions 

to the requirement to draft an Environmental Analysis or Environmental Impact 

Statement, and this rulemaking qualifies under the exemption for procedural, ministerial 

or internal administrative actions. 18

 15 Federal Energy Regulatory Commission, eTariff, eTariff Email Templates, 

(http://www.ferc.gov/docs-filing/etariff.asp), http://www.ferc.gov/docsfiling/etariff/etariff-temp.pdf.

The statutory filing codes are listed in the “Type of Filing” Rules Table posted on 

the Commission’s eTariff website, http://www.ferc.gov/docs-filing/etariff/types-filingrules-table.pdf (Statutory Filings are those denominated under the heading “Filing 

Category” as “Normal”, “Cancellation”, and “Baseline New”).

16 5 CFR 1320.12.

17 Regulations Implementing the National Environmental Policy Act of 1969, 

Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. ¶ 30,783 (1987).

18 18 CFR 380.4(a)(1).
Docket No. RM01-5-001 - 6 -

IV. Regulatory Flexibility Act

8. The Regulatory Flexibility Act of 1980 (RFA)19 generally requires a description 

and analysis of final rules that will have significant economic impact on a substantial

number of small entities. This instant Final Rule concerns agency procedures. The 

Commission certifies that it will not have a significant economic impact upon participants 

in Commission proceedings. An analysis under the RFA is thus not required.

V. Document Availability

9. 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 the Commission’s Home Page 

(http://www.ferc.gov) and in the Commission’s Public Reference Room during normal 

business hours (8:30 a.m. to 5:00 p.m. Eastern time) at 888 First Street, NE, Room 2A, 

Washington, DC 20426.

10. From the Commission’s Home Page on the Internet, this information is available 

on eLibrary. The full text of this document is available on eLibrary in PDF and 

Microsoft Word format for viewing, printing, and/or downloading. To access this 

document in eLibrary, type the docket number excluding the last three digits of this 

document in the docket number field.

 19 5 U.S.C. 601-12.
Docket No. RM01-5-001 - 7 -

11. User assistance is available for eLibrary and the Commission’s website during 

normal business hours from FERC Online Support at 202-502-6652 (toll free at 1-866-

208-3676) or email at ferconlinesupport@ferc.gov, or the Public Reference Room at 

(202) 502-8371, TTY (202)502-8659. E-mail the Public Reference Room 

at public.referenceroom@ferc.gov.

VI. Effective Date and Congressional Notification

12. The Commission is issuing this rule as an instant Final Rule without a period 

for public comment. Under 5 U.S.C. 553(b), notice and comment procedures are 

unnecessary where a rulemaking concerns only agency procedure or practice, or where 

the agency finds that notice and comment is unnecessary. This rule concerns only 

matters of agency procedure, and will not significantly affect regulated entities or the 

general public.

List of subjects

18 CFR Part 35

Electric power rates, Electric utilities, Reporting and recordkeeping requirements, 

Electricity, Incorporation by reference.

18 CFR Part 154

Natural gas, Pipelines, Reporting and recordkeeping requirements, Natural gas 

companies, Rate schedules and tariffs.

18 CFR Part 341

Maritime carriers, Pipelines, Reporting and recordkeeping requirements.
Docket No. RM01-5-001 - 8 -

18 CFR Part 385

Administrative practice and procedure, Electric power, Penalties, Pipelines,

Reporting and recordkeeping requirements.

By the Commission.

( S E A L )

Nathaniel J. Davis, Sr.,

Deputy Secretary.
Docket No. RM01-5-001 9

In consideration of the foregoing, the Commission amends Parts 35, 154, 341, 

and 385, Chapter I, Title 18, Code of Federal Regulations, as follows:

PART 35 – FILING OF RATE SCHEDULES AND TARIFFS

1. The authority citation for Part 35 continues to read as follows:

Authority: 16 U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-

7352.

2. Section 35.7 is amended by re-titling the section, and adding paragraph (d) to read 

as follows:

§ 35.7 Electronic filing of tariffs and related materials.

* * * * *

(d) Only filings filed and designated as filings with statutory action dates in 

accordance with these electronic filing requirements and formats will be considered to 

have statutory action dates. Filings not properly filed and designated as having statutory 

action dates will not become effective, pursuant to the Federal Power Act, should the 

Commission not act by the requested action date.

PART 154 – RATE SCHEDULES AND TARIFFS

3. The authority citation for Part 154 continues to read as follows:

Authority: 15 U.S.C. 717-717w; 31 U.S.C. 9701; 42 U.S.C. 7102-7352.

4. Section 154.4 is amended by adding paragraph (d) to read as follows:

§ 154.4 Electronic filing of tariffs and related materials.

* * * * *

(d) Only filings filed and designated as filings with statutory action dates in 

accordance with these electronic filing requirements and formats will be considered to 

have statutory action dates. Filings not properly filed and designated as having statutory 

action dates will not become effective, pursuant to the Natural Gas Act, should the 

Commission not act by the requested action date.
Docket No. RM01-5-001 10

PART 341 – OIL PIPELINE TARIFFS: OIL PIPELINE COMPANIES SUBJECT 

TO SECTION 6 OF THE INTERSTATE COMMERCE ACT

5. The authority citation for Part 341 continues to read as follows:

Authority: 42 U.S.C. 7101–7352; 49 U.S.C. 1–27.

6. Section 341.1 is amended by adding paragraph (d) to read as follows:

§ 341.1 Electronic filing of tariffs and related materials.

* * * * *

(d) Only filings filed and designated as filings with statutory action dates in 

accordance with these electronic filing requirements and formats will be considered to 

have statutory action dates. Filings not properly filed and designated as having statutory 

action dates will not become effective, pursuant to the Interstate Commerce Act, should 

the Commission not act by the requested action date.

PART 385 – RULES OF PRACTICE AND PROCEDURE

7. 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-825v, 

2601-2645; 28 U.S.C. 2461; 31 U.S.C. 3701, 9701; 42 U.S.C. 7101-7352, 16441, 16451-

16463; 49 U.S.C. 60502; 49 App. U.S.C. 1-85 (1988).

8. Section 385.205 is revised to read as follows:

§ 385.205 Tariff or rate filings (Rule 205).

(a) A person must make a tariff or rate filing in order to establish or change any 

specific rate, rate schedule, tariff, tariff schedule, fare, charge, or term or condition of 

service, or any classification, contract, practice, or any related regulation established by 

and for the applicant.

(b) A tariff or rate filing must be made electronically in accordance with the 

requirements and formats for electronic filing listed in the instructions for electronic 

filings. A tariff or rate filing not made in accordance with these requirements and 

formats will not have a statutory action date and will not become effective should the 

Commission not act by the requested action date.