112 FERC ¶ 61,043 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

18 CFR Parts 35, 131, 154, 157, 250, 281, 284, 300, 341, 

344, 346, 347, 348, 375, and 385 

Docket No. RM01-5-000 

Electronic Tariff Filings 

(July 6, 2005) 

AGENCY: Federal Energy Regulatory Commission 

ACTION: Notice of Additional Proposals and Procedures 

SUMMARY: The Federal Energy Regulatory Commission is making additional 

proposals, requesting comments, and establishing procedures related to its July 8, 2004 

Notice of Proposed Rulemaking (69 Fed. Reg. 43,929) (NOPR). The Commission is 

proposing to revise its prior proposal that natural gas companies and public utilities file 

pre-existing agreements electronically. The Commission is proposing that only current 

tariffs and future agreements, and not pre-existing non-conforming rate schedules and 

agreements, be filed electronically. The Commission is proposing to permit electronic 

service of all initial and subsequent tariff filings upon the implementation of electronic 

tariff filing. The Commission is seeking comment on whether oil pipelines should utilize 

an approach to tariff filing that differs from the approach to be utilized in the gas pipeline 

and electric industries. In addition, Commission staff will be establishing a second 

technical conference in the next few months once the changes to the Commission’s 

software that have been identified are completed. Comments on the non-regulatory text 
Docket No. RM01-5-000 - 2 -

portion of the proposal are anticipated to be due within 60 days after the conference. 

A future notice will be issued announcing a date for a second technical conference to 

discuss the electronic tariff filing software to be used in compliance with the NOPR. 

DATES: August 1, 2005 for comments on the proposed regulatory text, electronic 

service, and any changes to the method of filing for oil pipelines. 

ADDRESSES: Comments may be filed electronically via the eFiling link on the 

Commission's web site at http://www.ferc.gov. Commenters unable to file comments 

electronically must send an original and 14 copies of their comments to: Federal Energy 

Regulatory Commission, Office of the Secretary, 888 First Street N.E., Washington, DC, 

20426. Refer to the Comment Procedures section of the preamble of the Notice of 

Proposed Rulemaking for additional information on how to file comments. 

FOR FURTHER INFORMATION CONTACT: 

H. Keith Pierce (Technical Information) 

Office of Markets, Tariffs, and Rates 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8525 

Keith.Pierce@ferc.gov 

Jamie Chabinsky (Legal Information) 

Office of the General Counsel 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-6040 

Jamie.Chabinsky@ferc.gov 
Docket No. RM01-5-000 - 3 -

Bolton Pierce (Software Information) 

Office of Markets, Tariffs, and Rates 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8803 

Bolton.Pierce@ferc.gov 

SUPPLEMENTARY INFORMATION:
 

112 FERC ¶ 61,043 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

Electronic Tariff Filings Docket No. RM01-5-000 

NOTICE OF ADDITIONAL PROPOSALS AND PROCEDURES 

(July 6, 2005) 

1. In a Notice of Proposed Rulemaking (NOPR) issued on July 8, 2004, the 

Commission proposed to require public utilities, gas and oil pipelines to file tariff and 

tariff related material electronically.1

 Since the issuance of the NOPR, Commission staff 

has been working with industry to develop electronic tariff (eTariff) filing software that 

will meet the needs of industry, the Commission, and the public alike. In recognition of 

the complex nature of creating electronic tariff and rate case filing software, the 

Commission staff hosted a technical conference on June 1, 2005 to discuss the software 

that has been developed thus far. 

2. Based on the results of these efforts, the Commission is proposing two changes to 

the NOPR intended to ease utilities’ burdens in complying and to expand the efficiency 

of the electronic filing process. The Commission is proposing to exempt old, paper 

versions of agreements and tariffs that are not being revised frequently from the 

1 Electronic Tariff Filings, Notice of Proposed Rulemaking, 69 Fed. Reg. 43,929 

(July 23, 2004) FERC Stats. & Regs., Proposed Regulations ¶ 32,575 (July 8, 2004) 

(July 8 NOPR). 
Docket No. RM01-5-000 - 2 - 

electronic filing requirement. The Commission also is proposing to allow participants to 

electronically serve tariff and tariff related material once electronic tariff filing is 

implemented. Additionally, the Commission is seeking comments on whether oil 

pipelines should utilize an approach to tariff filing that differs from the approach to be 

utilized in the gas pipeline and electric industries. 

3. Further, the Commission is instructing staff to establish a procedural schedule with 

respect to completion of the electronic tariff software. The electronic tariff software is 

being revised to incorporate, where practically feasible, functions requested by 

conference participants. Staff will hold a second technical conference once the eTariff 

filing software incorporates these changes, so that the industries can see a demonstration 

of the functional software. Comments on the software will likely be due 60 days after the 

second technical conference. The technical conference and comment dates will be 

announced in a subsequent notice. 

Proposed Changes To The NOPR

Reduction in Compliance Obligations

4. The Commission’s July 8 NOPR proposed that regulated entities convert old or 

non-conforming paper rate schedules and agreements, for which an electronic version 

does not exist, into electronic word searchable sections. In light of the technical 

conference discussion, the Commission proposes to ease the burden of compliance by not 

requiring regulated entities to convert these materials into electronic format. However, if 
Docket No. RM01-5-000 - 3 - 

 

the materials are amended or changed and refiled, the Commission will require that 

regulated entities convert the materials into electronic format and file them utilizing the 

eTariff process. The Commission further proposes that these revised materials will not 

be required to be fully word searchable since scanning of paper agreements into a graphic 

is less burdensome than conversion to electronic text documents. Thus, with respect to 

old contracts that are lengthy, a utility can file in graphic format portions of unchanged 

text, while filing in electronic, word searchable format, those sections that are, or are 

likely to be revised. Pipelines and public utilities also would be required to file an index 

of those tariffs and agreements that are not being filed as part of their initial baseline 

compliance tariffs, and would continue to abide by their obligations to make these tariffs 

and agreements available, upon request.2

 As a company complies by making its 

electronic tariff filing with the index of tariffs and agreements not included in the 

electronic filing, the Commission will no longer update or maintain the company’s paper 

tariff. 

5. As applied to filings by electric utilities, all generally applicable tariffs, which 

includes the open access transmission tariffs (OATTs), power sales tariffs, and marketbased rate tariffs, as well as new agreements will still need to be filed utilizing the 

2

 Section 4(c) of the Natural Gas Act, 15 U.S.C. §717c(c); § 205 (c) of the Federal 

Power Act, 16 U.S.C. § 824d(c), and § 6 of the Interstate Commerce Act, 49 App. U.S.C. 

§ 1(6). 
Docket No. RM01-5-000 - 4 - 

Commission’s eTariff software, as the July 8 NOPR proposed. However, old or nonconforming rate schedules and agreements will not need to be converted unless they are 

revised. When such agreements and rate schedules are revised, electric public utilities 

must file the entire agreement utilizing the eTariff software and conform to the 

requirement in Order No. 614 that a utility filing a service agreement must file a complete 

agreement with appropriate designation.3

6. As applied to gas pipelines, pipelines would have to convert and file their Volume 

No. 1 tariffs, which reflect generally available services, but would not have to file special 

rate schedules or special operating arrangements included in Volume No. 2 tariffs nor any 

existing negotiated rate or non-conforming service agreements that are not in an 

electronic format unless they are revised. 

Electronic Service

7. The Commission’s intention is to permit utilities and pipelines to avail themselves 

of electronic service (eService) of tariff and related filings upon the implementation of 

electronic tariff filing. Order Nos. 653 and 653-A4

 amended the Commission’s 

regulations to provide for eService of Commission issuances and to enhance the use of 

 3 Designation of Electric Rate Schedule Sheets, Order No. 614, 65 Fed. Reg. 

18221, 18224 (April 7, 2000), FERC Stats. & Regs. ¶ 31,096, at 31,504 (2000). 

4 Electronic Notification of Commission Issuances, Order No. 653, 70 Fed. Reg. 

8720 (February 23, 2005), FERC Stats. & Regs. ¶ 31,176 (2005), order on reh’g, Order 

No. 653-A, 111 FERC ¶ 61,021 (2005). 
Docket No. RM01-5-000 - 5 - 

electronic service between parties to Commission proceedings. But these orders did not 

apply to all tariff related filings. The Commission proposes to conform the service 

requirements in Parts 35, 154, 300, 341, and 385 to allow for eService of electronically 

filed tariffs. This would include first time tariff filings where no official service list has 

been established. Specifically, § 385.2010 would need to be revised to reflect this. The 

Commission previously established August 1, 2005 as the comment date for comments 

related to the regulatory text of the July 8 NOPR. We invite commenters to alert us to 

any specific parts of the Commission’s regulations, for which revisions were not 

proposed in the NOPR, that will require revision to reflect that eService will be 

permitted.5

 Comments related to eService regulatory text changes should be included in 

comments related to the regulatory text of the July 8 NOPR which are due August 1, 

2005. 

Comments On Filing Of Oil Pipeline Tariffs

8. The Commission is inviting comments on whether a different approach is 

warranted to reduce the filing burden on oil pipelines as a result of the differences in the 

structure and use of oil pipeline tariffs. Oil pipeline tariffs are often less lengthy than gas 

and electric tariffs, focusing on specific movements between locations. The number of 

oil pipeline tariff filings is far less than gas and electric filings and far fewer protests are 

 5 See, e.g., 18 CFR 154.2 (defining posting of a tariff as requiring the pipeline to 

“mail to each affected customer and interested state commission a copy of the tariff, or 

part thereof”). 
Docket No. RM01-5-000 - 6 - 

 

filed. The current format for identifying changes in oil pipeline tariffs is different, 

utilizing symbols within the tariff itself to identify changed provisions. The potential 

audience for using these tariffs also may be more limited. As a result, there may be less 

need for storing oil pipeline tariffs in a format that permits broad ranging text searches 

across a tariff and easy assembly of individual tariff provisions. 

9. Specifically, the Commission is seeking comments on whether oil pipelines should 

continue to file paper tariffs or whether there are different filing options that oil pipelines 

could use. Because oil pipeline tariffs are generally short, the Commission requests 

comment on an alternative filing approach under which oil pipelines could be permitted 

to file Adobe Acrobat (PDF) versions of their tariffs as attachments using the 

Commission’s software.6

 An oil pipeline adopting this option would file its entire tariff 

(which authorizes a specific movement or movements, or rules and regulations governing 

crude or refined products) each time it revises or updates that tariff. The filer would 

continue to use the existing symbol nomenclature to identify changes in that tariff. It also 

would file an updated table of contents in text format cross referencing the subject matter 

(movements or rules and regulations) encompassed by each of its tariffs. 

10. Adoption of such an approach, however, would mean that search capability across 

all a company’s tariffs would be limited and users would have to download a copy of the 

6

 Due to the length of gas tariffs and electric OATTs, this approach would not be 

feasible for such filings. 
Docket No. RM01-5-000 - 7 - 

 

Adobe file and use the Adobe Reader7

, or other PDF reader, to view and work with the 

tariff. 

11. The Commission seeks specific comment on the following issues: 

(a) Should oil pipelines be allowed to continue to file in paper format? Does this 

determination need to be uniform for the oil industry or would it be feasible to 

provide this as an option to those oil pipelines that choose not to use the 

Commission’s filing software? What impact would filing tariffs by different 

methods have on public access and research? 

(b) Would the proposed PDF alternative filing method reduce the difficulties oil 

pipelines have found using the Commission’s filing software and would it 

provide sufficient information to state regulators, oil pipeline customers, and 

other users of oil pipeline tariffs? Specifically, commenters should address: 

(i) How important is it to be able to do electronic tariff research on oil pipeline 

rates and rules and regulations. In particular, how important is it to be able 

to do text searches across all the individual tariffs filed by an oil company? 

(ii) Should oil pipelines adopting this option also be required to maintain their 

complete tariffs on their respective websites for the benefit of their 

customers? How much information, in addition to effective tariffs, should 

7

 The Commission currently posts filings in Adobe Acrobat on its e-Library 

website. Users can obtain an Adobe reader without charge. 

http://www.adobe.com/support/downloads/main.html. 
Docket No. RM01-5-000 - 8 - 

the websites include, such as filed but not yet effective tariffs, cancelled, 

suspended or withdrawn tariffs? Should these websites be required to show 

the dates of status changes, FERC docket numbers and FERC order 

information? 

12. Comments related to the oil pipeline tariff filing approach should be included in 

comments related to the regulatory text of the July 8 NOPR which are due August 1, 

2005. 

Procedural Schedule 

13. Staff presented at the June 1, 2005 Technical Conference an incomplete electronic 

tariff data base and tariff filing system. The software is being improved to incorporate, 

where practicable, items and features identified at the conference. Staff will continue to 

develop the software using the “spiral development” methodology and consult with 

volunteer test companies. Staff will also continue to be available for additional software 

discussions or meetings with the industry. Once the changes to the Commission’s 

software have been completed, a second technical conference will be held within a few 

months. Comments on the non-regulatory text portion of the proposal are anticipated to 

be due within 60 days after the conference. A notice will be issued announcing a date for 

the second technical conference and establishing a comment date. 

 Magalie R. Salas, 

 Secretary.