124 FERC ¶ 61,270 

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; Order No. 714] 

Electronic Tariff Filings 

(Issued September 19, 2008) 

AGENCY: Federal Energy Regulatory Commission. 

ACTION: Final Rule. 

SUMMARY: The Federal Energy Regulatory Commission is revising its regulations to 

require that all tariffs and tariff revisions and rate change applications for the public 

utilities, natural gas pipelines, oil pipelines and power administrations be filed 

electronically according to a set of standards developed in conjunction with the North 

American Energy Standards Board. This rule is part of the Commission’s efforts to 

comply with the Paperwork Reduction Act, the Government Paperwork Elimination Act 

(GPEA), and the E-Government Act of 2002 by developing the capability to file 

electronically with the Commission via the Internet. Electronic filing reduces physical 

storage space needs and document processing time, provides for easier tracking of 

document filing activity; potentially reduces mailing and courier fees; allows concurrent 

access to the tariff filing by multiple parties as well as the ability to download and print 

tariff filings; and provides automatic e-mail notification to an applicant of receipt of the 
Docket No. RM01-5-000 - 2 - 

filing and whether or not it has been accepted. Upon implementation of this rule, the 

Commission will no longer accept tariff filings submitted in paper format. 

EFFECTIVE DATES: This rule will become effective [Insert_Date days after 

publication in the FEDERAL REGISTER]. Implementation will begin April 1, 2010 

pursuant to a six month staggered schedule. 

FOR FURTHER INFORMATION CONTACT: 

H. Keith Pierce (Technical Information) 

Office of Energy Market Regulation 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8525 

Keith.Pierce@ferc.gov 

Anthony Barracchini (IT Information) 

Office of the Executive Director 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8940 

Anthony.Barracchini@ferc.gov 

Andre Goodson (Legal Information) 

Office of the General Counsel 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8560 

Andre.Goodson@ferc.gov 

SUPPLEMENTARY INFORMATION:
124 FERC ¶ 61,270 

UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

Electronic Tariff Filings Docket No. RM01-5-000 

ORDER NO. 714 

FINAL RULE 

TABLE OF CONTENTS

Paragraph Numbers

I. Background .................................................................................................................... 2.

II. Discussion..................................................................................................................... 9.

A. Electronic Filing Requirements.............................................................................. 15.

1. Companies Required to File Tariffs Electronically............................................ 15.

2. Procedures for Making Tariff Filings................................................................. 16.

3. XML Schema and Tariff Database..................................................................... 23.

B. Tariff Filing Requirements..................................................................................... 33.

1. Sheets or Section Filing Requirements............................................................... 35.

2. Gas and Electric Open Access Transmission Tariffs ......................................... 40.

3. Versioning........................................................................................................... 46.

4. Marked Tariff Changes....................................................................................... 52.

5. Clean Tariff Sheets Filed as Attachments .......................................................... 58.

6. Joint, Shared, and Section 206 Filings .............................................................. 60.

a. Joint Tariff Filings.......................................................................................... 61.

b. Shared Tariffs................................................................................................. 65.

c. Section 206 Filings Related to ISOs/RTOs.................................................... 74.

C. Other Business Practice Changes........................................................................... 77.

1. Electronic Service............................................................................................... 77.

2. Attachment Documents ...................................................................................... 79.

3. Withdrawal of Pending Tariff Filings and Amendments to Tariff Filings......... 80.

4. Motions............................................................................................................... 83.

5. Rate Sheets for Tariff Filings by Intrastate and Hinshaw Pipelines................... 84.

D. Regulatory Text...................................................................................................... 86.

E. Transition Procedures ............................................................................................. 87.

1. Testing of Software............................................................................................. 87.

2. Baseline Tariff Filings ........................................................................................ 92.

3. Implementation Date for eTariff....................................................................... 102.
Docket No. RM01-5-000 ii 

III. Information Collection Statement ........................................................................... 105.

A. Comments on the NOPR’s Burden Estimates...................................................... 107.

B. Burden Estimates.................................................................................................. 113.

IV. Environmental Analysis .......................................................................................... 119.

V. Regulatory Flexibility Act ........................................................................................ 120.

VI. Document Availability ............................................................................................ 122.

VII. Effective Date and Congressional Notification ..................................................... 125.

Regulatory Tex 

Appendix 
UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

Before Commissioners: Joseph T. Kelliher, Chairman; 

 Suedeen G. Kelly, Marc Spitzer, 

 Philip D. Moeller, and Jon Wellinghoff. 

Electronic Tariff Filings Docket No. RM01-5-000 

ORDER NO. 714 

FINAL RULE 

(Issued September 19, 2008) 

1. The Commission in the last several years has expanded its capability to accept 

electronic filings. As part of this process, the Commission has sought to develop a means 

by which publicly regulated utilities could file tariffs, rate schedules, and other 

jurisdictional contracts and agreements electronically in a fashion that would permit the 

Commission to assemble and organize the disparate pieces of these agreements for 

display and for use by the Commission and the public. Commission staff in collaboration 

with the wholesale electric and gas quadrants of the North American Energy Standards 

Board (NAESB), and representatives from the Association of Oil Pipelines (AOPL) 

developed a set of standards to be used by companies in making tariff and tariff related 

filings at the Commission. The Commission is adopting these standards as the 

requirement for making tariff and tariff related filings. 
Docket No. RM01-5-000 - 2 - 

I. Background

2. The development of these standards began in 2004 with a Notice of Proposed 

Rulemaking1

 in which the Commission proposed to require public utilities, power 

administrations, interstate and intrastate gas pipelines, and oil pipelines to file tariff and 

tariff related material electronically. The Commission proposed to develop an electronic 

tariff database to store tariff and tariff related information for retrieval by Commission 

staff and the public. In order to implement a tariff database system that would permit 

such functionality, Commission staff developed a software system for tariff filings 

similar to that used in filing forms with the Commission. Commission staff worked with 

many industry representatives and experts to test this software and held public meetings 

to demonstrate and receive comment on the software. 

3. While some commenters supported using the Commission-provided software as an 

acceptable solution, others were concerned that this software might not work well for 

making tariff filings. Some also were concerned that the Commission software would not 

integrate well with their existing tariff management systems and that formatting tariffs to 

fit the parameters of the software could be difficult or time consuming. 

 1 Electronic Tariff Filings, Notice of Proposed Rulemaking 69 FR 43,929 (July 23, 

2004) FERC Stats. & Regs., Proposed Regulations 2004-2007 ¶ 32,575 (2004) (2004 

NOPR), Notice of Additional Proposals and Procedures, 70 FR 40941 (July 15, 2005), 

FERC Stats. & Regs. ¶ 35,551 (2005) (2005 Notice). The 2004 NOPR was the result of 

an earlier Notice of Inquiry and Informal Conference in this same proceeding (Electronic 

Tariff Filings, 66 FR 15673 (March 20, 2001), FERC Stats. & Regs. ¶ 35,538, at 35,789-

91 (2001)). 
Docket No. RM01-5-000 - 3 - 

4. As a result of the review of the comments, on February 1, 2007, a public meeting 

was held with NAESB to discuss NAESB’s assistance in the process of developing the 

protocols, standards, and data formats needed to provide tariff and related data to enable 

the Commission to develop a database to track electronic tariff and rate schedules filings. 

At the meeting, NAESB agreed to develop these standards and report back to the 

Commission. 

5. NAESB established two committees, a business eTariff Subcommittee and an 

eTariff Technical Task Force. These committees included representatives from the 

wholesale natural gas industry, wholesale electric industry, oil pipelines, intrastate natural 

gas pipelines, and third party software developers who worked along with Commission 

staff to develop the applicable standards. Between February 1, 2007 and January 23, 

2008, these committees held a total of 16 meetings in various cities over 24 days. Total 

attendance in all the meetings was 991 participants either in person or by electronic 

conferencing, with an average attendance of 62 people for each meeting. 

6. The committees determined not to use the Commission developed software, but 

instead to develop standards that would enable individual companies to develop or 

procure software for making tariff filings that would best meet the needs of each 

company’s business requirements. The Executive Committees for both the Wholesale 

Gas and Wholesale Electric Quadrants of NAESB approved the standards on March 4, 

2008, and the NAESB membership ratified the standards on April 4, 2008. 
Docket No. RM01-5-000 - 4 - 

7. On April 15, 2008, NAESB filed the standards with the Commission along with a 

record of the NAESB proceedings. This material included questions about the policies to 

be followed in using the standards to make tariff filings. NAESB also provided a 

copyright waiver stating: “While the eTariff standards are copyrighted by NAESB, a 

limited waiver is granted to the FERC to modify and post any excerpts of the eTariff 

standards and eTariff work products that they deem appropriate. These excerpts will be 

available for companies to reproduce only for their own internal use.” 

8. On April 17, 2008, the Commission issued a Supplemental Notice of Proposed 

Rulemaking (NOPR) proposing to use the NAESB developed standards as the means to 

effectuate electronic tariff filing.2

 The NOPR also proposed solutions to several issues 

raised during the NAESB process, such as the filing process for shared and joint tariffs. 

Twenty comments were filed, with most generally favoring the use of the NAESB 

standards.3

II. Discussion

9. As the background indicated, this proceeding has followed a long and winding 

road, with a number of detours and U-turns, but we have reached the end of the road and 

 2

 As used in this Final Rule, the “NAESB standards” or “standards” refer to a set 

of data elements and requirements that are posted on the Commission website. 

Instruction Manual for Electronic Filing of Parts 35, 154, 300, 341 and 284 Tariff Filings. 

(http://elibrary.ferc.gov/idmws/common/OpenNat.asp?fileID=11683627) 

3

 Appendix A lists the commenters and the abbreviations used for each. 
Docket No. RM01-5-000 - 5 - 

 

are adopting a final set of standards for electronic tariff filings.4

 We again want to thank 

NAESB, its Board of Directors, and the numerous volunteers from across the spectrum of 

the gas, electric, and oil industries who were able to meet with staff and develop a set of 

standards and protocols that will achieve the Commission’s goal of establishing a robust 

electronic filing environment for tariffs and tariff related material and will make it 

possible for the Commission staff and the public to retrieve this material from a database. 

We will adopt the standards and protocols developed through the NAESB collaborative 

process in place of providing Commission-created software. Adoption of these standards 

and protocols will provide each company with enhanced flexibility to develop software to 

better integrate tariff filings with their individual tariff maintenance and business needs. 

These standards and protocols also will provide an open platform permitting third-party 

software developers to create more efficient tariff filing and maintenance applications, 

which will spread the development costs over larger numbers of companies. 

10. Over the last few years, the Commission has greatly expanded its ability to accept 

electronically filed material, including interventions, protests, rehearings, complaints, and 

4 Smith v. Lachter (In re Smith), 352 B.R. 702 (B.A.P. 9th Cir. 2006) (“This 

matter is reminiscent of that old Beatles' standard, ‘The Long and Winding Road,’ a 

brooding song about a road that never ends. One can only hope that, with this opinion, 

the end of the road is indeed in sight”). 
Docket No. RM01-5-000 - 6 - 

 

applications for certificates and licenses.5

 We now are expanding these filings to include 

tariffs and tariff-related material, which comprise a large portion of the Commission’s 

workload. But tariff filings raise special challenges that our current filing systems do not 

address. eLibrary is designed and works extremely well as a repository that stores, and 

permits retrieval of, all documents filed in individual docketed proceedings. But while an 

individual tariff filing is made in an individual docket, the tariff itself is an organically 

changing document that is comprised of individual filings made in many different 

dockets over time. In order for the Commission and the public to obtain a complete 

picture of a company’s tariff, these various provisions need to be integrated into a single 

system that will provide information as to the status of tariff provisions, permit the 

assembly of a complete tariff, and permit tariff related research. Indeed, for tariffs filed 

on paper, the Commission has managed these tariffs as a database by keeping tariff 

books, open to the public at our headquarters, in which new pages are inserted to replace 

old pages to reflect revisions, and such changes are recorded in “numbering” sheets to 

5 See Electronic Registration, Order No. 891, 67 FR 52,406 (Aug. 12, 2002), 

FERC Stats. & Regs. ¶ 31,132 (2002); Electronic Filing of FERC Form 1, and 

Elimination of Certain Designated Schedules in Form Nos. 1 and 1F, Order No. 626, 

67 FR 36,093 (May 23, 2002), FERC Stats. & Regs. ¶ 31,130 (2002); Electronic Service 

of Documents, 66 FR 50,591 (Oct. 4, 2001), FERC Stats. & Regs. ¶ 35,539 (2001); 

Revised Public Utility Filing Requirements, Order No. 2001, 67 FR 31,043 (May 8, 

2002), FERC Stats. & Regs. ¶ 31,127 (2002); Electronic Filing of Documents, Order No. 

619, 65 FR 57,088 (Sept. 21, 2000), FERC Stats. & Regs. ¶ 31,107 (2000); Electronic 

Notification of Commission Issuances, Notice of Proposed Rulemaking, FERC Stats. & 

Regs. ¶ 32,574 (2004); Filing Via the Internet, Order No. 703, 72 FR 65,659 (Nov. 23, 

2007), FERC Stats. & Regs. ¶ 31,259, P 33 (2007) (Order No. 703). 
Docket No. RM01-5-000 - 7 - 

 

ensure that the tariff reflects the currently effective tariff.6

 The standards we are adopting 

in this Final Rule merely replace this paper system with a very similar electronic database 

that will similarly track the tariff submissions and tariff history, but in a form that will 

make tariff information more widely available over the Internet. 

11. The database will provide easier access to tariffs and allow the viewing of 

proposed tariff sections in context. One of the principal benefits of such a database is the 

ability to do historical research into tariffs. For example, proceedings such as complaints 

may involve past tariff provisions that have already been revised by the utility by the time 

the complaint is considered by the Commission. In order to expeditiously process such 

filings, the Commission, the parties, and the public need to be able to obtain the tariff 

provision that applies to the time period under review, rather than the currently effective 

tariff provision. In fact, the effectiveness of tariff provisions arises in a number of 

contexts, particularly in complaint cases, in which the Commission and the participants 

need to know the effective tariff at a particular point in time.7

6

 In fact, companies often arrange to view their own tariffs to try and recreate 

either effective tariffs or the tariff in effect during the time period of a particular 

proceeding. 

7 See FPL Energy Marcus Hook, L.P. v. PJM Interconnection, LLC, 123 FERC 

¶ 61,289, at P 39 n.77, 77-80 (2008) (in a complaint case, the complainant and all other 

parties relied on the current version of a tariff provision rather than the provision in effect 

at the time). 
Docket No. RM01-5-000 - 8 - 

 

12. The set of NAESB standards provides a foundation for building such a database. 

The standards define an extensible markup language (XML) schema8

 that will permit 

filers to assemble an XML filing package that includes the tariff changes, the 

accompanying tariff-related documents, such as the transmittal letter, rate schedules, and 

spreadsheets that are required to accompany various tariff filings, and other required 

information such as the proposed effective date of the filing. Upon the receipt of the 

filing electronically, the XML schema will enable the Commission to parse9

 (divide) the 

filed package into its component parts, place the filed documents into its eLibrary system 

and provide the metadata10 that will permit automated organization of the tariff and 

permit the Commission and the public to search that database. As an example of the 

8

 XML schemas facilitate the sharing of data across different information systems, 

particularly via the Internet, by structuring the data using tags to identify particular data 

elements. For example, each filed tariff change will include tags for the relevant 

information, such as the utility name, the tariff section being changed, the name for that 

section, the proposed effective date, and certain sections of tariff text. The tagged 

information can be extracted and separately searched. 

9

 Parse means to capture the hierarchy of the text in the XML file and transform it 

into a form suitable for further processing. 

10 The term metadata is based on the Greek word “meta” meaning after or beyond 

and in epistemology means “about.” Thus, metadata is data or information beyond or 

about other data. Digital Libraries, by William Arms (M.I.T. Press 2000), 

http://www.cs.cornell.edu/wya/DigLib/MS1999/Chapter1.html (visited April 11, 2008); 

The University of Queensland, http://www.library.uq.edu.au/iad/ctmeta4.html (visited 

April 11, 2008); The Linux Information Project, http://www.linfo.org/metadata.html

(visited April 11, 2008). For example, in the XML schema, one required element is a 

proposed effective date and another element is the text of the tariff provision. The 

proposed effective date would be considered metadata relative to the tariff text. 
Docket No. RM01-5-000 - 9 - 

 

expanded public access to tariffs, the Commission currently provides electronic access to 

approximately 150 NGA interstate pipeline tariffs utilizing the FASTR standards. That 

access under the NAESB standards should expand to at least 1600 companies’ tariffs. 

The NAESB standards also will provide flexibility to companies making tariff filings by 

enabling each regulated company to design or purchase software for creating tariff filings 

that will best accommodate its filing patterns and needs. 

13. Some of the principal requirements of the standards and regulations being adopted 

here are: 

• Tariffs11 may be filed either using the current sheet based nomenclature or 

using section-based numbering at the choice of the filer.12

• Tariffs may be filed as entire documents in either of two electronic formats, 

RTF13 or PDF,14 except with respect to open access transmission tariffs for 

electric utilities and interstate natural gas companies which would have to be 

filed as individual sheets or as sections in RTF format as defined in the 

regulations. 

• Tariff filings can be served electronically using the same approach used for 

electronic service of other Commission filings. 

11 The term tariff is used herein to refer to tariffs, rate schedules, jurisdictional 

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

Commission. 

12 Section-based filings will not have to include the sheet based nomenclature as a 

header or footer on the tariff page. 

13 RTF refers to Rich Text Format which is a standardized textual format that can 

be produced by a number of word processors. 

14 PDF refers to Portable Document Format which is a format used for 

representing documents that closely resembles the original formatting of the document. 
Docket No. RM01-5-000 - 10 - 

 

• Filings of joint tariffs (tariffs covering two regulated entities) may be made 

with a single tariff filing by the entity designated to make the filing. 

• Tariff filings for tariffs shared among companies (such as regional 

transmission organization (RTO) tariffs) can be made individually by any of 

the companies with rights to file tariff changes. 

• During initial baseline implementation of electronic tariff filing, only open 

access transmission tariffs (OATTs) and agreements need to be filed. 

• After implementation of electronic tariff filing, all new tariffs and agreements 

must be filed using the standards. Existing agreements need to be filed 

electronically only when they are revised. 

14. Although the comments generally supported the adoption of the NAESB 

standards, some commenters suggested the adoption of alternative approaches. As the 

Commission has previously stated: “Standardization, by definition, requires 

accommodation of varying interests and needs, and rarely can there be a perfect standard 

satisfactory to all.”15 We find that the NAESB standards best accommodate the needs of 

regulated utilities in making filings electronically and the needs of the Commission and 

the public for an electronic system that will enable efficient, user-friendly retrieval of 

tariffs. We will discuss below the technical requirements applicable to electronic tariff 

filing and the comments received on various aspects of the standards. 

15 Standards For Business Practices Of Interstate Natural Gas Pipelines, Order 

No. 587, 61 FR 39,053, 39,057 (July 26, 1996), FERC Stats. & Regs. ¶ 31,038, at 30,059 

(1996). 
Docket No. RM01-5-000 - 11 - 

A. Electronic Filing Requirements

1. Companies Required to File Tariffs Electronically

15. The companies or entities covered by this Final Rule are those that submit tariffs, 

rates, or contracts with the Commission pursuant to the Natural Gas Act (NGA), the 

Natural Gas Policy Act of 1978 (NGPA), the Federal Power Act (FPA), the Interstate 

Commerce Act (ICA), the Flood Control Act, the Bonneville Power Act, the Northwest 

Power Planning Act, and other relevant statutes. Included among the companies or 

entities covered by the requirements are: RTOs and independent system operators 

(ISOs); power authorities and federal power marketing administrations which file rates, 

contracts, or tariffs at the Commission; intrastate natural gas pipelines that file rates and 

operating conditions pursuant to the NGPA; interstate natural gas pipelines subject to the 

NGA which serve only an industrial customer; and companies or entities that may make 

voluntary tariff filings, such as reciprocity filings pursuant to Order No. 888. 

2. Procedures for Making Tariff Filings

16. Using the new XML schema, companies, and all those authorized to make filings 

on behalf of the company, such as outside counsel, will make tariff related filings using 

the existing eFiling portal. As described below, the filing process will be modified 

slightly from the current eFiling process, in particular to include a company registration 

that will provide increased security for the filing, as well as additional e-mail 

notifications of potential problems with the filing. 
Docket No. RM01-5-000 - 12 - 

17. The person making a tariff filing must have previously registered in eFiling 

(Filer). Upon successfully logging into the FERC eFiling portal, the Filer will be 

presented with the introductory screen indicating success in accessing the site, and 

presented with a link to the filing creation part of the site, which will include an option to 

make a Tariff filing (eTariff portal). 

18. The eTariff portal will prompt the Filer to enter the company identification 

number assigned during the company registration process and an associated password. 

After successfully passing this step, the Filer will upload an eTariff XML filing package 

that conforms to the XML schema. Once the filing is uploaded, the eFiling web page will 

indicate the filing has been submitted. 

19. After the filing has been submitted, a Confirmation of Receipt will be e-mailed to 

both the e-mail address of the Filer and to the e-mail address on file with FERC for the 

company identification number. This e-mail only acknowledges the receipt of the filing 

through the eFiling portal, provides a timestamp, and indicates that the filing is placed in 

the queue to be processed. 

20. The XML filing package will be validated programmatically by an eTariff 

verification process. Depending upon the success of the verification process, a number of 

e-mails will be sent. 

• If the verification is completed successfully, an e-mail will be sent to the 

validation e-mail address provided in the XML package and to the e-mail address 
Docket No. RM01-5-000 - 13 - 

 

associated with the company whose tariff is being revised.16 This e-mail means 

only that the filing has passed the validation, not that it has been officially 

accepted by the Secretary of the Commission. 

• If the XML filing package can be parsed (and the validation e-mail address can be 

obtained), but the package does not otherwise pass verification, an e-mail will be 

sent to the validation e-mail address provided in the XML filing package. This email will provide information about the problems encountered during the 

verification process. 

• If the XML filing package cannot be parsed at all (is unreadable), an e-mail will be 

sent to the Filer and to the e-mail address associated with the company 

identification number indicating a problem has been encountered with the filing. 

21. Once passed validation, the standard eFiling e-mail will be sent to indicate 

whether the Secretary of the Commission has accepted and docketed the filing or rejected 

it. As occurs with all filings, the docketing e-mail does not guarantee that other filing 

deficiencies will not result in rejection or other action pertaining to the filing later in the 

review processes within the Commission. After this step, the filing is passed on to 

eLibrary, the tariff database and other Commission systems. 

22. INGAA requests that the Commission establish a procedure for submission of 

tariff filings in the event of an electronic failure of the Commission’s eFiling and eTariff 

system. Such a request is beyond the scope of this rulemaking. In Order No. 703, the 

Commission delegated to the Secretary of the Commission the authority to develop 

procedures for electronic filing, including procedures to be followed in case of an 

16 This may not be the same company making the filing; for example, in the case 

of a shared tariff, one notification will go to the company making the filing and the other 

will go to the ISO or RTO whose tariff is being revised. 
Docket No. RM01-5-000 - 14 - 

electronic failure of the eFiling system.17 Since the tariff filing component will be a part 

of the eFiling system, the same procedures followed by the Secretary for electronic 

failure will apply to eTariff as well. 

3. XML Schema and Tariff Database

23. Under the standards, the tariff filing must be made in conformance with the XML 

schema. The schema essentially is a method by which the filing entities can 

communicate information to the Commission. The schema proscribes the metadata 

elements and the textual information that must be included in the filing package. The 

data elements included in the XML package are required to properly identify the nature 

of the tariff filing, organize the tariff database, and maintain the proper relationship of 

tariff provisions in relation to other provisions. For example, these elements will identify 

which tariff provision is being revised so that the revised tariff provision can be placed 

electronically in the proper location within the tariff hierarchy. The filing package itself 

will include the text of tariff changes as well as all filing attachments, such as transmittal 

letters.18 The XML schema will be maintained on the Commission website along with 

the required codes, descriptions, and other requirements, as well as information that may 

 17 Filing Via the Internet, Order No. 703, 72 FR 65659, FERC Stats. & Regs. 

¶ 31,259, at P 33 (2007). 

18 The XML package must be filed as a zip (compressed) file. 
Docket No. RM01-5-000 - 15 - 

 

be useful to those developing filing software.19 Contemporaneously with the issuance of 

this Final Rule, we are posting on the website the XML schema along with the 

descriptions of the fields used in the schema, the instruction manual and codes to be used 

with the XML schema. 

24. Although we do not envision that the schema and related code values will need to 

be changed frequently, the Secretary of the Commission, under Order No. 703, has 

delegated authority to make modifications to them if necessary.20 Before any such 

changes are made, a notice of the proposed change will be issued sufficiently in advance 

to permit companies to revise their software. 

25. A few commenters object to the use of the XML schema for electronic filing and 

argue that the Commission should simply rely on filings in eLibrary.21 They argue that 

documents are maintained in standard word processing formats and that filing such tariffs 

through eLibrary would be easier on the filer. They assert that any tracking of such 

filings could be accomplished by assigning a docket number. Nevada Power, for 

example, argues that managing tariffs is a document management, rather than a database 

function. It maintains that the ability to access prior tariffs can be solved by retaining all 

previous effective versions of the tariff. 

19 Currently located at www.ferc.gov under the tab Documents and Filings, 

eTariff. 

20 18 CFR 375.302(z). 

21 Duke Energy, EEI, Nevada Power, Southern California Edison, and PSEG. 
Docket No. RM01-5-000 - 16 - 

26. As explained above, eLibrary is principally a system that manages and tracks filed 

documents based on individual proceedings (dockets). It was neither designed, nor will it 

function well, to retrieve individual sections or pages of tariffs that are filed in different 

dockets over the course of many years. The tariff database, on the other hand, will enable 

the Commission staff, as well as the public, to access all or portions of a company’s 

tariffs and rate schedules compiled using date, text, and status criteria. 

27. The use of a database to track individual pages or sections of tariffs is not 

inappropriate to the task of managing tariffs, as the comments suggest. The Commission 

has for over twenty years maintained the FASTR database for gas tariff filings and has 

made the results of that database available to the public. The XML schema on which the 

industry agreed, will update the FASTR methodology to provide an even more effective 

database for managing tariffs and conducting tariff searches. 

28. Some commenters suggest assigning a docket or other unique number to each 

tariff or rate schedule, and Nevada Power suggests that instead of an electronic database, 

each utility could file an updated history of changes to its tariff so that customers can 

determine where to find specific sheets in which they are interested. Nevada Power 

attached, as an example of its proposal, a history for its OATT that is only six pages long 

covering a relatively small number of tariff filings. 

29. These solutions would require users to search through reams of filing materials to 

obtain the particular section or page of the tariff that they need. Such solutions are not a 

reasonable substitute for a database, given the large number of gas, oil, and electric 
Docket No. RM01-5-000 - 17 - 

 

companies, some of whom may make hundreds of tariff filings a year, with a list of 

changes that would eventually grow to hundreds of pages using the Nevada Power 

approach. PJM Interconnection, LLC for example made over 130 tariff related filings in 

a one year period. Trying to keeping track of, and find, particular tariff provisions in this 

massive amount of data using only a docket or other numeric identifier and a spreadsheet 

would be a monumental task.22 But the tariff database, using the metadata supplied with 

each filing, will be able to store and retrieve this information. 

30. Those arguing for an eLibrary approach envision that tariff documents would not 

be filed in individual sections, but as entire documents. But not all industry members 

supported this entire document approach. The gas pipelines, for example, supported the 

continued use of sheet based filings in which utilities file only the specific tariff sheet that 

is being revised.23 Other tariffs are so large that filing them as a single document would 

be unwieldy.24 The flexibility to file tariffs using different approaches was key to 

22 Nevada Power’s listing is similar to the Commission’s current numbering sheets 

used in its paper tariff database. These numbering sheets run to 70 linear feet for all 

utilities. Using such a system to research extensively revised tariffs is difficult, time 

consuming, and prone to error. 

23 Minutes of February 1, 2007 eTariff Meeting, (“Ms. Nagle [Tennessee Gas 

Pipeline] asked whether FERC Staff supported using a section-based tariff system (in lieu 

of a sheet based system) and if so does everyone need to move to the section-based 

system”), http://www.naesb.org/pdf2/etariff020107fm.doc. 

24 For example, PJM’s posted tariff is over 8 megabytes. 

http://www.pjm.com/documents/agreements.html, and the California ISO’s tariff is over 

4 megabytes. ISO New England (http://www.iso-ne.com/regulatory/tariff/index.html) 

(continued) 
Docket No. RM01-5-000 - 18 - 

n 

es 

g different 

spreadsheets. After examining a variety of alternative approaches over 24 days of 

 

developing the NAESB standards, and the industry consensus supporting those 

standards.25 The approach suggested by the commenters would not provide the 

flexibility the industry sought. The use of a database utilizing the NAESB standards 

provides that flexibility and is the most efficient method of processing such filings in a 

way that will permit the easy and efficient integration of such individual filings into an 

entire tariff. 

31. As we have discussed above, the development of standards requires cooperatio

and accommodation between companies with different needs and requirements. The 

NAESB process provided a means by which various members of the affected industri

and customers, including those from the oil pipeline industry, could develop a set of 

standards that reasonably meet the needs of a large range of different types of tariff filers, 

large and small companies, frequent and infrequent tariff filers, companies usin

methods of storing tariffs, including databases, word processing software, and 

and the New York ISO (http://www.nyiso.com/public/documents/tariffs/oatt.jsp) post 

tariffs that already are divided into sections. 

25 Minutes of July 27, 2008 eTariff Meeting, at P 5 (“flexibility is present to 

support whole document filings, sheet based filings and section based filings. This 

flexibility is provided for individual companies and for the industries themselves, as a 

given company may choose to use any of the three choices depending on the filing to be 

made. This flexibility is a key underlining assumption from which all the work papers 

were developed and as such, was reflected in the vote just taken”), 

http://www.naesb.org/pdf3/etariff072707fm.doc. 
Docket No. RM01-5-000 - 19 - 

 

meetings, a consensus of the gas and electric industry26 agreed upon the use of the data 

elements and XML schema as the most efficient means for electronically filing tariffs.27 

We therefore will adopt the database approach and standards as approved through the 

NAESB process. 

32. CAISO asks that the RTOs not be required to provide all the metadata required by 

the standards or, if it is not possible to eliminate the metadata, that such metadata be kept 

to a minimum. The technical meetings with NAESB were designed to develop the 

minimum required metadata that would be necessary to feed and operate the database. 

The CAISO has not indicated specific metadata elements that can safely be eliminated 

and still maintain the integrity of the database. 

26 Although the oil pipelines and their customers did not have an official vote 

during the NAESB process, they participated in formulating the requirements and have 

supported the data elements and XML schema in their comments in this rulemaking. 

27 APS, an active participant in the beta testing of the Commission’s original 

software, as well as a participant in the NAESB process, recognizes that the standards 

provide “a useable platform for industry compliance with the new standardized 

requirements for electronic filing of tariff, as well as a convenient tool for market 

participants and FERC staff to access and review tariffs and agreements ... [and this 

methodology] to be the superior choice to implement this Commission requirement.” 

APS Comment, at 2. AOPL similarly recognizes that compromises were necessary to 

meet the needs of all the industries, stating the standards “reflect significant 

improvements to the proposed electronic filing regulations, in light of the particular 

circumstances and needs of the oil pipeline industry.” AOPL Comment, at 1. 
Docket No. RM01-5-000 - 20 - 

B. Tariff Filing Requirements

33. The Commission’s current regulations require companies to file tariff sheets that 

include specifically defined nomenclature to identify each sheet of the tariff.28 A 

company is required to file only the tariff sheets containing the tariff revisions or 

changes. 

34. Based on the NAESB meetings and the comments submitted, we will allow far 

more flexibility in the structure and identification of tariffs. Companies may determine to 

structure their tariffs either using the existing tariff sheet format or as sections. 

Companies will also be given more flexibility to file tariffs either by dividing the tariff 

into sheets or sections and filing only the revised sheet or section, or for a wide range of 

tariff documents, by filing the entire tariff document that is revised. In order to ensure 

that the Commission and the public have the ability to identify specific tariff provisions, 

versioning information is required to be included as part of the XML package. But, this 

information has been simplified and will no longer need to be included as text on 

individual sheets or sections, with the exception of certain documents filed as PDFs. 

1. Sheet or Section Filing Requirements

35. In order to compile the tariff database, the standards require companies to file 

tariff text as a specific data element. Companies, however, will be permitted to choose 

whether to continue to number tariff provisions as individual tariff sheets (e.g., Sheet 

 28 18 CFR 35.9; 154.102(e). 
Docket No. RM01-5-000 - 21 - 

No. 1) or sections (e.g., Section 1.1.1). Except as discussed in the following section with 

respect to open access tariffs, companies will be allowed to determine based on the nature 

of the tariff and frequency of filing whether to file tariffs by breaking the tariff into sheets 

or sections or by filing the tariff as an entire document. Companies that initially file 

using the entire document option will be allowed later to divide the tariff document into 

sections or sheets. However, a company that has already broken its tariff into sections or 

sheets, will not be able to recompile those sheets or sections and use the entire document 

option unless a company files a request for waiver. 

36. The NAESB standards provide that tariff text must be filed either using the RTF 

file format or the PDF file format.29 Tariffs filed under the entire document option may 

be filed either in RTF or PDF. Tariffs filed as sections or sheets must be filed in RTF, 

due to limitations on the ability to process and assemble PDF files.30

 29 The requirements adopted by the Commission in Order No. 703 will apply to 

PDF formatted documents filed as tariff text. Tariffs filed in PDF format must use the 

print-to-pdf feature as opposed to an unsearchable scanned format, except that tariff 

documents existing only on paper may be scanned into PDF. Order No. 703, FERC 

Stats. & Regs. ¶ 31,259 at P 23. We, however, encourage filers that scan old paper tariff 

documents to use an optical character recognition program to convert the scanned file to 

text prior to filing, so that copy and paste and search functions may be used. 

30 RTF is a text format that will enable the Commission’s software to assemble 

quickly the sheets or sections into a complete tariff document. In contrast, PDF is not a 

textual format, and does not permit such processing. 
Docket No. RM01-5-000 - 22 - 

 

37. The comments support the flexibility to use sheet, section, and entire document 

options using PDF format.31 AOPL for example “strenuously supports this aspect of the 

rule which provides benefits to both shippers and pipelines.”32

38. TransCanada asks that the Commission clarify whether and under what conditions 

companies that initially file using the sheet-based option may be allowed to later re-file 

using the section-based option, and vice-versa. For both the shipper and Commission 

staff benefit, we certainly would not encourage utilities to switch back and forth 

frequently between a sheet and a section-based system, because such a change will make 

the ability to research past provisions more difficult.33 But because both the sheet and 

section approaches provide equivalent granularity and flexibility for users, utilities can 

make such a change without obtaining special permission. The only time special 

permission is required is if a utility wants to covert from a sheet or section based 

approach to entire document, because such a change does reduce usability. 

39. AGA requests that tariffs be fully text searchable. As described above, all tariffs, 

including those filed using PDF, must be filed in text searchable format. 

31 Midwest ISO, INGAA, and AOPL. 

32 AOPL Comment, at 4. 

33 The database will store each sheet or section so that a user wishing to examine a 

past sheet or section can do so. If the utility decides to change between sheets and 

sections, the prior history of a particular provision may be more difficult to access. For 

example, in a sheet to section change, the past sheet (record) will still appear in the 

database, but it will not be linked to the section (record) that will replace it. 
Docket No. RM01-5-000 - 23 - 

2. Gas and Electric Open Access Transmission Tariffs

40. Tariffs for interstate natural gas pipelines and electric utilities must be filed by 

breaking the document into sheets or sections. Unlike individual service agreements or 

contracts that affect only the signatories to the agreements, the open access transmission 

tariffs affect a wide variety of customers and are the most frequently revised. Moreover, 

because of the breadth of these tariffs, and the need to review and research portions of 

these tariffs, it would not be efficient for staff or for the public to have these documents 

refiled in their entirety every time a company proposes to revise an individual tariff 

section or page. 

41. We are revising §§ 35.9 and 154.102 to require that open access transmission 

tariffs, which will include other open access documents and documents of general 

applicability, such as ISO/RTO operating agreements and market rules, must be filed as 

sheets or sections. Because the electric OATTs are based on the Commission’s pro 

forma OATT, we have specified the minimum required divisions for such filings. For 

non-ISO/RTO OATTs, the OATT must be divided at least at the section 1.0 level, with 

individual sections for each schedule or attachment. Because ISO/RTO OATTs are much 

more complex, ISO/RTOs will be required to divide their OATTs at the 1.1 level at a 

minimum. Filers are encouraged to use even smaller divisions that are appropriate to 

their individual tariffs and filing patterns. In addition, to aid electric utilities in filing 

their OATTs, we are posting on our website a pro forma OATT divided into the largest 
Docket No. RM01-5-000 - 24 - 

 

allowable sections, as well as information that will help companies develop Microsoft®

Word macros to electronically divide tariffs at this level. 

42. Because we have not specified a pro forma interstate natural gas transportation 

tariff, the regulation we adopt requires that the interstate natural gas pipeline open access 

tariffs filed as sections be divided so that each section includes only related subject matter 

and is of reasonable length.34 Negotiated rate agreements and other non-conforming 

service agreements need not be divided, but can be filed as entire documents. 

43. EEI requests that non-RTOs be allowed to file their OATTs as single documents, 

maintaining that these are relatively static documents and that allowing the filing of an 

entire document will reduce the time and expense necessary to break such tariffs into 

sections and may simplify the filing software that such companies need to build or 

acquire. 

44. We will not relax the requirement to at least divide the pro forma OATTs at the 

1.0 level. As described above, OATTs can be large and unwieldy documents and run to 

over 160 pages; dividing the document at the 1.0 level will ensure that Commission staff 

and the public can review and search for tariff provisions relating to the same subject 

matter. Dividing the OATT at the 1.0 level will result in only 57 sections, each 

addressing a different topic, and such division will only have to be done once. Moreover, 

EEI maintains that most OATTs are maintained as Microsoft Word documents. 

34 18 CFR 154.102. 
Docket No. RM01-5-000 - 25 - 

Commission staff has developed and will post a macro that in many cases will divide the 

OATT at the appropriate level. Commission staff also has posted a pro format OATT 

divided into the requisite sections that can be used as a reference. Creating the 

sectionalized pro forma OATT manually only took one hour. In balancing the burden of 

a one-time conversion of an OATT into individual sections against the benefits of being 

able to easily locate and search for specific OATT sections, we find that the benefits of 

requiring that OATTs be broken into sections outweigh the costs. 

45. AGA argues that the Commission should set a minimum requirement for gas 

pipelines similar to that set for electric utilities and suggests that the minimum should at 

least match the table of contents and include as a separate section each topic listed under 

General Terms and Conditions of Service. We find that this suggestion does provide 

useful guidance as to the minimum sections required and therefore revise the regulation 

in §154.102 accordingly. 

3. Versioning

46. The Commission currently requires each tariff page to include a version number 

that can be used to identify the particular revision of that page (e.g., First Revised Sheet 

No. 1 would replace Original Sheet No. 1). Because tariff provisions change, often 

frequently, this convention is useful over time for identifying and referring to particular 

tariff provisions in orders. With the adoption of the NAESB standards, the versioning 

requirement will be modified and made less complicated. 
Docket No. RM01-5-000 - 26 - 

 

47. The NAESB standards require that each sheet, section, or entire tariff document be 

identified with a version number in an x.y.z format.35 The x.y.z format will 

accommodate the same level of identification as our existing nomenclature, including 

items such as squeezed and retroactive sheets. As long as each tariff section, sheet, or 

entire document is identified uniquely, companies can choose how complex to make their 

identification. Some companies may want to continue this detailed approach to better 

identify the placement and relative position of tariff sheets and sections, and the x.y.z 

format will accommodate such identification. Other companies may not choose to 

include such a detailed hierarchy of changes. Companies, for example, may choose 

simply to numerically number each section, sheet, or entire tariff document as they file it, 

using just the x field. 

48. As proposed in the NOPR, and adopted in this Final Rule, identification of 

versioning need not be included in the text of the individual tariff revisions that are filed 

with the exception of tariffs filed in PDF format. Companies however may choose to 

include such identification in the tariff text if they desire. The XML schema requires that 

the requisite versioning information be included as metadata, and versioning information 

35 The x.y.z format is a representation of the version (designation) of a tariff filing 

where “x” represents revision number for the given tariff provision (tariff record), “y” 

delineates that it is a substitute for a previously filed tariff provision, and “z” indicates 

that it is a “squeeze” tariff provision. A "squeeze" tariff provision occurs when a tariff 

provision needs to be made effective on a date which occurs between the effective dates 

of two tariff provisions that already are filed with the Commission. 
Docket No. RM01-5-000 - 27 - 

will be made available to staff and the public in the tariff database. Moreover, to ensure 

that the versioning information is available to the public on eLibrary, the Commission 

will use the metadata provided in the XML package to generate a document on eLibrary 

that contains the appropriate versioning information. Because we are creating this 

document by electronically combining information from the XML package, the 

formatting of the versions and tariff text may not appear identical to the filing made by 

the company. 

49. The only exception to this rule is for tariff documents filed using PDF. Because 

PDF is not a textual format and does not permit easy electronic manipulation, we cannot 

generate a document for eLibrary that contains the correct versioning information. For 

these documents, therefore, the Instruction Guide requires that the first page of the tariff 

document include the required information: company name, tariff title (if applicable), 

and the appropriate version number. 

50. INGAA suggests that for gas tariffs, the regulations should continue to require that 

the first section or sheet of the tariff include: The FERC Gas Tariff Volume Number, the 

name of the natural gas company, as well as the name, title, address, telephone number, 

e-mail address and facsimile number of a person to whom communications concerning 

the tariff should be sent. We will modify the regulation to continue this requirement. 
Docket No. RM01-5-000 - 28 - 

51. EEI recommends that the Commission eliminate various formatting requirements 

required under Order No. 614.36 As we have discussed above, we are eliminating a 

variety of the required formatting requirements because they are included in the XML 

metadata and the other formatting requirements are included in the standards. As a result, 

the formatting and filing requirements of Order No. 614 have been supplanted by the 

regulations and requirements addressed in this rulemaking.37

4. Marked Tariff Changes

52. The Commission’s current interstate natural gas pipeline (§ 154.201) and electric 

utility regulations (§ 35.10), require companies to provide a marked version of the tariff 

text in the tariff filing indicating the changes and deletions made to the existing tariff text. 

The oil pipeline regulations (§ 341.3) provide for the use of special symbols to denote 

changes. 

53. We are continuing the requirement for filing marked versions of tariffs. We also 

are modifying the symbols used by the oil pipelines using the symbols proposed by 

 36 Designation of Electric Rate Schedule Sheets, Order No. 614, 65 FR 18,221 

(Apr. 7, 2000), FERC Stats. & Regs. ¶ 31,096 (2000). 

37 The provisions of §35.5 regarding rejection of material (adopted in Order No. 

614) are being retained. In filing pre-existing contracts and rate schedules, electric 

utilities are still required to eliminate the use of supplements and include in their filings 

only effective provisions. See 18 CFR 35.1 (revised to remove the use of supplements); 

Boston Edison Company, 98 FERC ¶ 61,292 (2002) (utilities must file effective tariff 

provisions); Vermont Yankee Nuclear Power Corporation, 98 FERC ¶ 61,122, at 61,366 

(2002) (utility required to remove tariff language that was no longer effective from its 

rate schedule). 
Docket No. RM01-5-000 - 29 - 

AOPL so that the symbols can be entered into a find or search message box using 

keystrokes available on a keyboard. In contrast to past practice in which tariff changes 

were filed only as individual sheets or supplements, the standards permit tariff documents 

to be filed as large sections or as entire documents. Although we are confident that filing 

companies will not intentionally make unmarked changes to tariff text, we want to ensure 

that both staff and the public are not put in the position of having to read the entire tariff 

text of large sections or an entire document to ensure that unmarked changes were not 

made. As a precaution, therefore, we are revising our regulations to make clear that only 

the sections of the tariff document appropriately identified in the filing will be considered 

part of the filing and any acceptance of a filing by the Commission will not constitute 

acceptance of an unmarked tariff change. 

54. INGAA supports the regulation, but requests that the Commission modify it to 

state that “interested parties may comment only on those revisions appropriately 

designated and marked to constitute the filing; provided, however, comments on 

unmarked and undesignated language will be permitted when such comments provide 

useful information to the Commission for the resolution of issues directly related to the 

filing.” We will not adopt the proposed language as part of the regulation because, as 

INGAA itself recognizes, determinations as to the appropriateness of such comments 

need to be made on a case by case basis. The Commission must in individual cases 

determine if the protest or comment on the unchanged tariff text bears upon the justness 
Docket No. RM01-5-000 - 30 - 

 

and reasonableness of the proposed tariff change or is a request for the Commission to 

take action under section 5 of the Natural Gas Act to revise the unchanged provision. 

55. AOPL argues that the Commission should remove the proposed language in 

§ 341.3 of the regulations arguing that a filed tariff change should be deemed effective 

even if a symbol is misplaced or incorrect. AOPL states that under long-standing ICA 

precedent the omission of a symbol in a tariff denoting a change in rate does not affect 

the validity or applicability of the tariff item. 

56. We never meant for this provision of the regulations to constitute a trap that would 

penalize an oil pipeline if it simply used the wrong symbol or failed to include a symbol 

in the tariff as long as its overall filing was sufficient to provide notice of the proposed 

change. We therefore have revised the regulation from that proposed in the NOPR to 

make clear the regulation does not apply to an improper or omitted symbol so long as the 

change is identified in the tariff filing.38 The purpose of this regulation is to ensure that 

shippers and the Commission receive the required notice of proposed changes by the 

pipeline and that shippers are not penalized by the failure of the pipeline to provide the 

requisite notice. As part of the NAESB process, agreement was reached on allowing oil 

pipelines to file entire tariffs as PDF files. Because of the nature of PDF files, however, 

38 The NOPR used the phrase “revisions that are marked appropriately,” which in 

the context of the oil pipeline regulations might be read to connote marked with the 

correct symbol. We are revising the regulation to read “revisions to tariffs identified in 

the filing” which will cover revisions that are explained in the transmittal letter even if 

the symbol is incorrect or omitted in the tariff. 
Docket No. RM01-5-000 - 31 - 

it will be difficult for the Commission staff or the pipeline’s customers to create a 

document comparison of a PDF document. Thus, the oil pipeline would be in the best 

position to create a document comparison, and we find the burden of ensuring proper 

notice legitimately should fall on the oil pipeline making the filing. The oil pipeline 

could for example satisfy this requirement by indicating its changes in the transmittal 

letter or attaching to the transmittal letter a redline-strikeout version of the tariff being 

revised. 

57. Section 6(3) of the Interstate Commerce Act (ICA) recognizes that it is the 

responsibility of an oil pipeline in making a filing to change its tariff to “plainly state the 

changes proposed to be made in the schedule then in force.” ICC v. American Trucking 

Association,

39 cited by AOPL, does not establish the invalidity of the Commission’s 

regulation. In American Trucking, the Interstate Commerce Commission (ICC) sought to 

reject tariff rates based on violations of rate bureau agreements. While the Court found 

that the ICC was without statutory authority retroactively to reject a tariff in violation of 

the rate bureau agreement after the tariff has taken effect, the Court found that the ICC 

did have authority to condition tariff approval in a manner reasonably tied to statutory 

objectives. In this regulation, we are not retroactively rejecting a tariff we have 

previously accepted; rather we are imposing a regulatory condition governing the filing 

prior to acceptance that will ensure that customers are protected in the event that the oil 

 39 467 U.S. 354 (1984) (American Trucking). 
Docket No. RM01-5-000 - 32 - 

pipeline fails to provide sufficient notice of a tariff change. Moreover, the regulation 

does not determine the regulatory outcome of any challenge to the unidentified rate. We 

recognize the regulatory differences between the ICA and the FPA and NGA,40 and that 

interpretations of the ICA have provided that, in some circumstances, the failure to 

identify a rate change could be deemed a technical defect that would not necessarily void 

an unidentified rate, but could subject the pipeline to damages or other remedies as 

provided in the ICA.41

5. Clean Tariff Sheets Filed as Attachments

58. As discussed above, the tariff text for use by the database will be filed as a 

separate data element, and the Commission may not be able to generate a formatted 

version of that tariff text acceptable to the filer for inclusion in eLibrary. For this reason, 

the standards provide that companies will also include as an attachment to their filing a 

clean copy of the relevant tariff sheets, sections, or entire document formatted as the filer 

 40 The ICA for example provides a two-year period for reparations, which is not 

part of the NGA or FPA. 49 App. U.S.C. §16(3)(b) (1988). 

41 See Genstar v. ICC, 665 F.2d 1304, 1308 (D.C. Cir. 1981) (for rates with 

procedural irregularities, the remedy is correction of the “harm if any caused by 

unlawfulness or irregularity”). For example, a shipper that does not have effective notice, 

may not be able to protest the filed rate and may only be aware of, and challenge, a rate 

after it has received a bill. After such a challenge is filed, the Commission could review 

the rate to determine if it is just and reasonable. If the Commission were to determine 

that the filed rate is not just and reasonable, but that a different rate is justified, the 

damages could be computed based on the difference between what the pipeline charged 

and the just and reasonable rate ultimately determined by the Commission. 
Docket No. RM01-5-000 - 33 - 

prefers.42 The clean version of the tariff text may be filed using any electronic file format 

currently approved by the Secretary of the Commission for eFiling. 

59. AOPL requests clarification as to which of the tariff documents included in the 

XML package, including the marked version made by the utility, constitutes the official 

version of the tariff filing. As stated above, no substantive differences should exist 

between the tariff provisions filed as part of the XML data and the tariff provisions filed 

as attachments. To the extent that such differences exist, and they are significant, they 

will need to be addressed on a case-by-case basis by the Commission. 

6. Joint, Shared, and Section 206 Filings 

60. All utilities, but principally the electric industry, may make joint and shared tariff 

filings. Joint filings refer to tariffs applicable to more than one company. Shared tariffs 

refer to a tariff that can be revised by one or more parties. Shared tariffs principally refer 

to ISO or RTO tariffs, sections of which can be revised by the ISO and RTO as well as by 

individual transmission owners. Section 206 tariff filings again relate principally to ISOs 

and RTOs, which may not have the ability to make tariff filings under section 205 of the 

FPA, but have the right under their operating agreements to make tariff filings under 

 42 The text of the tariff provisions (including the entire tariff document if that 

option is chosen) to be included in the database must, of course, match exactly the text of 

the clean copy of the tariff provisions filed as an attachment. The standards also will 

require the company to include a non-formatted plain text copy of the tariff provisions for 

search purposes. 
Docket No. RM01-5-000 - 34 - 

section 206 of the FPA. The following approaches should ensure that parties with filing 

rights can make appropriate filings without undue burden. 

a. Joint Tariff Filings

61. Section 35.1(a) of the Commission’s regulations establishes two methods by 

which public utilities that are parties to the same rate schedule may file the rate schedule 

with the Commission: (1) each public utility can file the rate schedule itself, or (2) “the 

rate schedule may be filed by one such public utility and all other parties having an 

obligation to file may post and file a certificate of concurrence.”43 Prior to Order No. 

614, when filers made a single filing, Commission staff would copy the rate schedule or 

tariff for the number of joint filers, place the appropriate designations on the documents, 

and put them in the tariff books. In Order No. 614, the Commission stated in the 

preamble that “on joint services, each utility offering a service must file its own tariff 

sheets.”44 Currently, we therefore receive a single filing usually from a designated filer 

with identical tariff sheets for each joint filing utility, except that each utility’s tariff 

contains the appropriate sheet designation for that utility. 

62. In the Commission’s current state of software development, we are not in a 

position to permit a single designated filer to submit tariff provisions on behalf of 

multiple entities as part of a single filing. We, however, recognize the inefficiency and 

 43 18 CFR 35.1(a). 

44 Order No. 614, FERC Stats. & Regs. ¶ 31,096 at 31,503. 
Docket No. RM01-5-000 - 35 - 

confusion for the filer, the staff, and the public in having multiple identical filings made 

on behalf of different companies. To deal with this issue, the following approach will 

minimize the burden on the filer and also provide ready access to the tariff. 

63. We will no longer require utilities to follow the Order No. 614 preamble 

instructions to file multiple copies of a tariff. Instead, the joint filers will be permitted to 

designate one filer to submit a single tariff filing for inclusion in its database that reflects 

the joint tariff, along with the requisite certificates of concurrence. The non-designated 

joint filers would include in their tariff database a tariff section consisting of a single 

page or section that would provide the appropriate name of the tariff and the identity of 

the utility designated as the filer for the joint tariff. In this way, the staff or the public 

will be able to find quickly the appropriate tariff in the database, without the need for 

multiple filings by each of the filers. 

64. EEI maintains that parties with joint tariffs should have flexibility to make 

modifications to these tariffs, but it does not object to the procedure outlined above. We, 

therefore, will adopt this approach to joint tariffs. 

b. Shared Tariffs

65. Shared tariffs refer principally to ISO and RTO tariffs, portions of which may be 

revised by FPA section 205 filings by the ISO/RTO or other transmission owners. 

Depending on the tariff section involved, one party may have exclusive rights to modify 

the section or multiple parties may have rights to modify the section. The structure of all 

the ISO and RTO tariffs as well as their filings rights are different. 
Docket No. RM01-5-000 - 36 - 

 

66. In order to file revisions to shared tariffs today, parties with shared filing rights 

have to share information about the tariff, such as the current section numbering and 

sheet designations as well as the text of the provisions. Some ISOs and RTOs provide in 

their tariffs that the ISO/RTO is responsible for administering the tariff.45

67. The use of electronic filing will provide parties with shared tariffs with greater 

opportunities to develop electronic filing methods that fit their respective tariff structure, 

filing rights, and business processes. First, parties in organized markets can develop or 

obtain filing software to be shared among those with filing rights that imposes restrictions 

on filing rights as applicable under the individual ISO or RTO tariff. Second, ISOs and 

RTOs can agree to make all filings on behalf of the members in order to maintain 

administrative control over the tariff. Third, each of the respective parties with filing 

rights can continue to make individual filings as they do today by sharing certain relevant 

tariff and metadata among the parties with shared rights. 

68. With respect to the third option, individual filings by each company, we have 

developed a method for making such filings. The party initiating the filing (Company A) 

would need to have an eRegistered party (Filer) log-on to make the filing. The Filer 

would have to know Company A’s company identification number and password. In 

45 Midwest ISO Transmission Tariff, Appendix K, § F. 

http://mktweb.midwestiso.org/publish/Document/469a41_10a26fa6c1e_-

6d790a48324a/TOA%20(As%20Accepted%20on%2012-03-07%20EC07-

89).pdf?action=download&_property=Attachment. 
Docket No. RM01-5-000 - 37 - 

order to make such a filing, the ISO and RTO would have to share with Company A its 

company identification number (but not its password) and tariff identifier used in the 

XML schema for the ISO or RTO’s tariff along with other required metadata for making 

the filing. 

69. Currently, for some ISOs and RTOs, when a transmission owner makes a section 

205 filing to revise an ISO or RTO tariff, the ISO or RTO is notified only through 

service. In order to provide greater security and more immediate notification to the ISO 

or RTO, we will provide an e-mail notification to the ISO or RTO when the XML filing 

passes verification checks. This notification will ensure that the ISO or RTO can detect 

immediately any potential unauthorized filing. Moreover, because the person making the 

filing will be eRegistered and will be using the company identification number of the filer 

(Company A), we will be able to easily identify who made the filing in case any 

questions are raised. 

70. New England PTOs support the Commission’s approach to shared document 

filings, but request that the Commission provide additional time for possible needed 

revisions to the OATT of ISO New England. As discussed later, the Commission will be 

providing sufficient time to develop software and implement the electronic filing 

requirements. Such time should be sufficient to make whatever tariff or other changes 

may be needed to accommodate shared document filings. If ISO New England can show 

that additional time is required, it may file for an extension of time. 
Docket No. RM01-5-000 - 38 - 

 

71. While generally supporting the Commission’s approach, ISO New England 

suggests that the Commission should provide additional security for shared tariff filers by 

developing and administering a database that would permit a tariff owner to control the 

parties authorized to file tariff changes to its tariff.46 We have closely examined the 

potential security risks to the eTariff system and find that at this point the benefits of ISO 

New England’s proposal for increased security do not justify the enhanced costs for the 

Commission to build and support an administrative website and database necessary to 

implement ISO New England’s proposal. 

72. The eTariff system will be more secure than the current paper filing system and 

the current eFiling system, and we have not experienced unauthorized filings to date 

through either our paper or eFiling system. In the current eFiling system, a filer need 

only be eRegistered.47 The eTariff system, however, will provide additional security 

because in addition to eRegistration, the filer must possess both a company registration 

number and a password. These forms of identification will be limited to regulated 

utilities. The RTO’s or ISO’s password will be unique to each company and need not be 

shared with another utility having shared filing rights, thereby providing enhanced 

46 For example, the website would permit ISO New England to select those 

transmission owners with the authority to make filings to amend the ISO New England’s 

OATT. 

47 Paper filings are delivered by courier or mail with no way for the Commission 

to verify that the filing is authorized by the purported filer. 
Docket No. RM01-5-000 - 39 - 

security. Further, any filing made using the RTO’s or ISO’s company registration 

number will generate an e-mail to the RTO or ISO, so that it can monitor actively any 

potential unauthorized filings. 

73. After comparing the potential benefits of ISO New England’s approach against the 

costs of implementation, we have decided not to try to implement the authorized filer 

proposal. If we find after implementation that additional security is necessary, we will 

reconsider this option at that time.48

c. Section 206 Filings Related to ISOs/RTOs

74. ISOs and RTOs sometimes have tariff or operating agreement provisions that 

require a certain percentage of stakeholder support for making FPA section 205 filings. 

As a result, if the requisite stakeholder approval is not obtained, ISOs and RTOs have 

retained rights to make filings pursuant to section 206 of the FPA, and may make a single 

filing under both section 205 and section 206.49 In addition, transmission owners that are 

 48 First Energy raises a question about filings by outside counsel, and similarly 

suggests a system of having administrators provide passwords with respect to filings by 

outside counsel. As discussed above, outside counsel will be able to submit filings as 

long as they adhere to the standards, and the company provides them with the appropriate 

filing identifiers, passwords, and other information. Just as companies have to protect 

their internal use of passwords, they will need to protect against the use of passwords by 

outside counsel or others making filings on their behalf. Companies of course can design 

their own software to provide administrative password rights, but for the reasons 

discussed above, we do not find it necessary for the Commission to provide such 

administrative control. 

49 See, e.g., PJM Interconnection, LLC, 115 FERC ¶ 61,079 (2006). 
Docket No. RM01-5-000 - 40 - 

 

part of the RTO also may file complaints under FPA section 206 contending that the ISO 

or RTO tariff is unjust and unreasonable. 

75. For ISO or RTO transmission owners filing a complaint against the ISO or RTO, 

the complaint must be filed pursuant to the standard complaint mechanism. While these 

transmission owners may have legal rights to make section 205 filings to change certain 

aspects of the ISO or RTO tariff, they do not have any different rights than any other 

party to file complaints under section 206. If the Commission agrees with the 

complainant, the ISO or RTO would then be directed to submit a compliance filing 

through the eTariff portal to make the required tariff changes. 

76. However, the RTO or ISO making a filing to revise its own tariff pursuant to 

section 206 should make such a filing through the eTariff portal with the appropriate 

tariff revisions using the NAESB standards. Because such a filing relates to the ISO’s or 

RTO’s own tariff, and the ISO or RTO has a reserved right to make such a section 206 

filing, such a filing is more similar to a standard tariff filing by a utility as opposed to a 

complaint filing. In addition, since RTOs or ISOs may make a single filing in one 

proceeding under both sections 205 and 206, it seems appropriate to have such a filing 

made using the standard eTariff mechanism.50

50 No comments were filed on this approach. 
Docket No. RM01-5-000 - 41 - 

C. Other Business Practice Changes

1. Electronic Service

77. In the NOPR, the Commission proposed to permit electronic service for initial 

filings.51 We are revising our regulations to permit electronic service according to the 

same procedures and protocols used for other forms of service under the Commission’s 

regulations.52 Customers and state agencies wishing to receive service will be required to 

provide the company with an applicable e-mail address (since a service list will not exist 

at the time of an initial filing). Any customer believing it is unable to receive electronic 

service will need to request a waiver of electronic service as provided in the regulations.53

78. EEI asks for further clarification of how electronic service should be made, 

including questions about the provision of e-mail addresses, suggestions related to the use 

of generic service e-mail addresses and the ability to serve after a filing has been posted. 

In this rulemaking, we have expanded the scope of electronic service to include initial 

filings. We have expressly provided in the regulations that customers must provide an email address for initial service to the utility unless they obtain a waiver of electronic 

service under Part 390 of our regulations. Other than establishing a procedure for 

obtaining customer e-mail address, all other aspects of electronic service for initial filings 

 51 Notice of Additional Proposals and Procedures, FERC Stats. & Regs. ¶ 35,551 

at P 7. 

52 18 CFR 385.2010. 

53 18 CFR 390.3. 
Docket No. RM01-5-000 - 42 - 

will be the same as those for service in a proceeding with a service list, including the email addresses to be used for service, and the use of a link to the filing in eLibrary as the 

means of providing service.54

2. Attachment Documents

79. Under the standards, all attachments to a filing, such as the transmittal letter, 

testimony, and cost-of-service statements, will be included as part of the XML package. 

The attachments must meet the formatting requirements for any other eFiled document, 

as set forth by the Secretary of the Commission. AOPL suggests deleting the 

requirement to file a proposed form of protective agreement in the existing (and 

proposed) § 348.2. AOPL does not explain its suggestion, and we do not find that the 

adoption of electronic filing requirements for tariffs necessitates removal of the 

requirement to file proposed forms of protective agreements. Under the NAESB 

standards, proposed forms of protective agreements must be filed as attachment 

documents. 

3. Withdrawal of Pending Tariff Filings and Amendments to Tariff 

Filings

80. As discussed in the 2004 NOPR, the electric, gas, and oil industries have different 

procedures for withdrawing and amending a tariff filing. For example, the regulations 

governing oil pipelines permit withdrawal of proposed tariff filings before the tariff filing 

 54 See 18 CFR 385.2010(f)(3). 
Docket No. RM01-5-000 - 43 - 

 

is effective,55 while the regulations for electric and gas companies do not address 

withdrawal of tariff filings prior to suspension.56 Because tariff withdrawal and 

amendment filings affect the status of tariff proposals, standardization of these 

procedures is needed in order to effectuate an electronic tariff system. We are therefore 

revising our regulations to permit a company to withdraw in its entirety a tariff filing, 

which has not become effective, and upon which no Commission or delegated order has 

been issued, by filing a withdrawal motion with the Commission. The withdrawal will 

become effective, and the filing deemed withdrawn, at the end of 15 days, so long as no 

answer in opposition to the withdrawal motion is filed within that period and the 

Commission has not acted to deny the withdrawal motion. If such an answer in 

opposition is made, the withdrawal is not effective until a Commission or delegated order 

accepting the withdrawal is issued. In order to ensure that the tariff database remains 

accurate, such withdrawal filings will need to be made through the eTariff portal using 

the XML filing requirement so that the appropriate data elements can be revised. 

81. Electric utilities and interstate pipelines file amendments or modifications to tariff 

provisions to make substantive changes to their filings as well as to correct minor errors. 

Because such modifications can have substantive effect, we are revising § 35.17 and § 

154.205 to make clear that the filing of an amendment or modification to a tariff 

55 18 CFR 341.13. 

56 18 CFR 35.17; 154.205. 
Docket No. RM01-5-000 - 44 - 

provision will toll the period for action on the prior filing and establish a new period for 

action. 

82. In the 2004 NOPR, we recognized that in the past, we have sought to process 

minor changes filed in NGA cases within the 30-day statutory period, and we will 

continue to try to do so for those amendments that are not significant or do not create a 

major substantive difference in the tariff proposal. INGAA filed a comment asking to 

include the following in the regulatory text: “For tariff filings containing minor changes 

in the tariff proposal, the Commission will seek to process minor changes filed in NGA 

cases, within the 30-day statutory notice period for the original filing.” While we intend 

to try to abide by our past practice, we find this language inappropriate for inclusion in 

our regulations, because it only reflects a goal or aim, and is not sufficiently precise to be 

included as a regulation. 

4. Motions

83. Several types of motions may be made by regulated entities that do not include 

tariff sheets, but that affect the status of a tariff filing. For example, interstate natural gas 

pipelines may file motions to move suspended tariff sheets into effect, and other 

regulated companies may file motions to change the effective dates of tariff filings or to 

withdraw tariff filings. Because such filings affect the metadata associated with the tariff 

filing, such motions must be filed through the eTariff portal using the XML filing 

package. 
Docket No. RM01-5-000 - 45 - 

5. Rate Sheets for Tariff Filings by Intrastate and Hinshaw 

Pipelines

84. Under the Commission’s current regulations in section 284, subparts C and G, an 

intrastate or Hinshaw pipeline must provide the Commission with an election of how it 

will determine its interstate service rates. An intrastate or Hinshaw pipeline also is 

required to file with the Commission, within 30 days of the commencement of service, a 

statement of operating conditions, which includes the rate election it has made, but which 

currently does not require a statement of the interstate rates to be charged. The interstate 

rates are included only as part of the overall filing. 

85. In implementing the proposal for electronic tariff filing, the statement of operating 

conditions will be placed in the tariff database. To facilitate easier access by the 

Commission and the public to the interstate service rates of intrastate and Hinshaw 

pipelines, we are revising § 284.123 of the regulations to require intrastate and Hinshaw 

pipelines to include a statement of their interstate service rates as part of the statement of 

operating conditions that will appear in the tariff database. Including a statement of 

interstate service rates in the statement of operating conditions will ensure that all 

relevant information related to interstate service will be accessible in the tariff database. 

D. Regulatory Text

86. Many commenters submitted detailed proposals to revise regulatory text in a 

number of areas. We very much appreciate the interest that has been paid to trying to 

ensure that the regulatory text is as accurate as possible. We have carefully reviewed 
Docket No. RM01-5-000 - 46 - 

those suggestions, included the ones we find appropriate, and discussed above the 

substantive revisions we determined not to make. The suggestions we did not adopt were 

stylistic, linguistic, or syntactical revisions that, in some cases, did not conform to the 

requirements of the Federal Register, or that we did not find superior to the regulatory 

text we are adopting. We will not discuss each of these proposed revisions individually. 

E. Transition Procedures

1. Testing of Software

87. We recognize that after the Final Rule, companies and third-party vendors 

developing tariff filing software will need time for development as well as a mechanism 

for testing their software to make sure that their filings will be accepted by the 

Commission. We will therefore provide a testing site where companies can make test 

electronic filings to determine whether their XML packages can be received and can be 

parsed in order to determine if the XML package can be opened and broken into its 

constituent parts, and to verify whether the metadata supplied meets the requirements of 

the XML schema. 

88. Further, as the development process continues, we think it will be useful to 

continue the dialog among FERC staff and the industries involved to help the industries 

better understand the use of the code values as well as to discuss issues that may arise 

regarding methods of implementing the standards. Commission staff will therefore hold 

technical conferences as needed during this process. 
Docket No. RM01-5-000 - 47 - 

89. UNICON argues that the Commission’s testing site should be permanent in the 

event the standards are revised. It also argues that the testing site should fully simulate 

FERC’s live eTariff environment. It maintains that regulated companies could use this 

testing site to verify that the XML packages being submitted are valid and can be parsed 

by FERC’s software and validate that the filing contents within the XML packages will 

be processed appropriately. 

90. We are committed to providing as robust an electronic testing site as we are able, 

within resource and budgetary constraints. When, and if, the standards are revised we 

recognize that we may need to provide some additional testing, and depending on 

budgetary constraints we will try to maintain the electronic testing platform even after the 

implementation date as companies may need to experiment with different types of filings. 

Because much of the processing of tariff filings received by the Commission will not be 

automatic, but dependant on the human interaction with software on our end, we cannot 

commit to providing companies with a complete review of all test filings, including how 

these will be displayed on our web viewer. Our staff is, and has been, committed to 

making this program a success. As discussed above, staff will conduct, perhaps with 

NAESB, conferences on implementation issues and staff will continue to provide as 

much information on particular eTariff filing issues as their time permits. 

91. EEI requests that the Commission post on its website all the required information 

necessary to implement the eTariff approach and place all information, including code 

values, into a single document. As discussed earlier, we will provide on our web site all 
Docket No. RM01-5-000 - 48 - 

the information needed to implement eTariff in as user friendly a means as possible. 

Because the industries during the NAESB process requested it, we have posted code 

values separately so that companies can download that information more efficiently. 

These technical issues can be discussed at the technical conferences, and we will continue 

to try to post information in the manner that will be most useful to industry. 

2. Baseline Tariff Filings

92. Each regulated entity will be required to make a filing to establish its baseline 

tariffs. In the NOPR, we proposed to reduce the burden in making the baseline filing and 

limit such filings to tariffs of general applicability. As applied to filings by electric 

utilities, the baseline filing will include open access transmission tariffs (OATTs), power 

sales tariffs available to any customer, and market-based rate tariffs. Individually 

negotiated rate schedules and agreements will not have to be included as part of the 

baseline filing. Interstate natural gas pipelines will have to file their existing Volume No. 

1 tariffs, but will not have to file special rate schedules included in Volume No. 2 tariffs, 

or any existing negotiated rate or non-conforming service agreements. Intrastate and 

Hinshaw pipelines will have to file their statement of operating conditions including their 

interstate service rates. Oil pipelines will need to file their tariff publications. Other preexisting effective tariffs, rate schedules, and agreements do not need to be included in the 

baseline filing, although companies are free to include these agreements in their baseline 

filings, and we would encourage them to do so. 
Docket No. RM01-5-000 - 49 - 

 

93. After implementation, all new tariffs and rates schedules would have to be filed 

using the NAESB standards. Existing tariffs and rate schedules not included as part of 

the baseline filing are required to be filed electronically only when they are revised or 

amended. 

94. We recognize that some of the pre-existing tariffs and rates schedules, such as 

older rate schedules and contracts, may not exist in electronic form. Companies having 

or electing to file such agreements do not need to retype the entire agreement. They may 

scan these agreements into PDF or another image format and file them in that fashion as 

an entire document.57 Although not required, companies are encouraged to run an optical 

character recognition program (OCR) to convert these scanned documents into a textual 

format so that the text of the tariff can be searched and copied.58

95. The baseline tariff filing is not a substantive tariff revision. The baseline filing, 

therefore, should reflect the existing accepted tariff provisions, with no proposed 

substantive changes or revisions. The baseline tariff filings will be subject to notice and 

comment solely to permit customers to ensure that the proposed baseline tariff is an 

57 As is the current practice, utilities filing scanned documents can comply with 

the requirement to show only the effective tariff provisions by making handwritten edits 

or cutting and pasting provisions. 

58 We recognize that OCR may not work well on some older documents. But even 

if the OCR version is not sufficiently legible to be filed as the tariff text, a filer could 

include the OCR version in the plain text field of the XML schema, so that it can be used 

for search purposes. 
Docket No. RM01-5-000 - 50 - 

accurate reflection of the effective tariff. No protests involving other issues, such as the 

merits of various sections of the tariff, will be considered. We also are providing a onetime delegation of authority to the Director of OEMR to rule on protests. 

96. If a regulated entity has a pending or suspended tariff change filing at the time of 

the filing of the baseline tariff, the regulated entity should not file these pending or 

suspended tariff sections as part of the baseline tariff filing. When the Commission acts 

on pending or suspended tariffs provisions, the companies will file the tariff provisions as 

a compliance filing through the eTariff portal for inclusion in the database. 

97. As discussed above, in filing joint tariffs, utilities have the option of designating 

one utility as the designated filer, as opposed to each utility filing the identical tariff. For 

companies adopting the designated filer option, the designated filer will file the baseline 

tariff; the non-designated utility will need to include in its baseline filing a tariff section 

that provides the appropriate name of the tariff and identifies the utility that is the 

designated filer for the joint tariff. 

98. EEI requests clarification whether a baseline filing or tariff filings by electric 

utilities would be limited to OATTs. First Energy requests that prior versions of the 

baseline tariffs will not need to be filed. As stated above, electric utilities need to include 

as part of their baseline tariff filings the following three types of documents: OATTs, 

power sales tariffs available to any customer, and market-based rate tariffs. Only the 

currently accepted versions of the baseline tariffs need to be filed; historic copies should 

not be filed. 
Docket No. RM01-5-000 - 51 - 

99. EEI, Duke, and the CAISO request that companies be allowed to include pending 

compliance filings (which have not yet been accepted) in their baseline filings. They 

maintain that the tariff text in compliance filings reflects Commission directives that the 

utilities are implementing and that if compliance filings are not included in the baseline 

filings, the baseline tariff as displayed by the Commission could be inaccurate. 

100. Because eTariff is a database system with no existing records, the baseline tariff 

needs to reflect the tariff as accepted by the Commission. Any subsequent tariff changes, 

including previously filed compliance filings, need to be filed separately so that the 

system can appropriately record the status of such filings. To reduce the burden on 

parties making baseline filings, we are limiting the baseline filing obligation only to the 

accepted tariff provisions. Pending tariff provisions in compliance filings will be added 

seriatim to the database as the Commission acts on a company’s compliance filings. This 

will reduce the number of baseline filings companies are required to make. 

101. However, we will permit companies wishing to place pending compliance filings 

into the database during the baseline filing process to do so. But we emphasize that 

baseline filings of compliance provisions are not required; this is only an option available 

to those companies wishing to avail themselves of it. The details of including 

compliance provisions as part of the baseline filing process can be discussed with staff 

during the technical conferences. 
Docket No. RM01-5-000 - 52 - 

3. Implementation Date for eTariff

102. While we think the entire industry, both filers and customers alike, will benefit 

from quick implementation of eTariff, we recognize that we need to provide sufficient 

time for software development and testing to ensure that the filing of tariffs electronically 

has as few bugs as possible. In the NOPR, we generally proposed that compliance would 

begin within six months to one year after the Final Rule is issued. 

103. Many of the commenters thought that six months was too short and requested 

implementation periods of one year or longer.59 INGAA and AOPL urge the 

Commission not to set a firm implementation date, but rather focus on successful 

implementation. 

104. In order to provide companies with sufficient time to develop and test software, 

we will provide 18 months for implementation, until April 1, 2010, with a staggered 

implementation schedule for companies over the next six months. Staff and industry 

should work out the schedule for staggered implementation during the technical 

conferences. 

III. Information Collection Statement

105. The Office of Management and Budget (OMB) regulations require that OMB 

approve certain reporting, recordkeeping, and public disclosure (information collections) 

 59 EEI, Duke, Nevada Power (proposes two years); ISO New England and 

TransCanada (proposes at least one year); UNICON (proposes 18 months); FirstEnergy 

(proposes 18-24 months). 
Docket No. RM01-5-000 - 53 - 

imposed by an agency. Pursuant to OMB regulations, the Commission is providing 

notice of its information collections to OMB for review under section 3507(d) of the 

Paperwork Reduction Act of 1995. 

106. The Commission identifies the information provided under Part 35 as contained in 

FERC-516 “Electric Rate Schedules and Tariff Filings; Part 154 as contained in FERC545Gas Pipeline Rates: Rate Change (Non-Formal); Part 284 as contained in FERC-549 

Gas Pipeline Rates: NGPA Title III Transactions and Parts 341 and 344 as contained in 

FERC-550 “Oil Pipeline Rates: Tariff Filings.” The Commission solicited comments on 

the need for this information, whether the information will have practical utility, ways to 

enhance the quality, utility, and clarity of the information to be collected, and any 

suggested methods for minimizing respondents’ burden, including the use of information 

technology. The Commission received specific comments regarding its burden estimates. 

A. Comments on the NOPR’s Burden Estimates

107. INGAA, EEI, TransCanada, and Southern California Edison contend that the 

burden estimates used by the Commission in the NOPR are understated. As part of the 

NAESB process, a consensus of all the industries chose the flexibility provided by using 

the NAESB standards, and the use of XML protocols for business communication, in 
Docket No. RM01-5-000 - 54 - 

 

place of using filing software furnished by the Commission.60 The industries recognized 

that adopting such standards would entail the building or purchasing of software 

compatible with the XML protocols. By adopting these standards, companies opted for 

the enhanced flexibility to obtain software, or modify existing tariff maintenance 

software, in order to better integrate tariff filings with their individual tariff maintenance 

and business needs. The use of the NAESB standards, as opposed to the Commission 

distributed software, also provides an open framework for third-party software 

developers to develop filing and tariff maintenance applications or processes, which, by 

managing tariffs for multiple parties, will enable development costs to be spread over a 

large number of users. The industry consensus was that the flexibility offered by the 

standards outweighed the added costs of developing or purchasing software to implement 

the standards. 

108. But this flexibility, and the likelihood that third-party providers will reduce the 

costs of constructing systems, makes computing burden estimates difficult, particularly 

given the difficulty in separating the costs of compliance from the other business 

functions provided by various software systems. INGAA contends that the costs for a 

60 The President’s Management Agenda (PMA) encourages the development of 

protocols that enable digital communication using XML protocols as the language of 

ebusiness. E-Government Strategy, at 8 (Executive Office of the President, April 2003) 

(minimization of burden on business by ... using XML or other open standards to receive 

transmissions), http://www.whitehouse.gov/omb/egov/2003egov_strat.pdf. 
Docket No. RM01-5-000 - 55 - 

 

tariff filing system should be in the range of $20,000 per tariff, but TransCanada argues 

the costs for its system suggest a $10,000 cost estimate. 

109. We developed the burden estimates in the NOPR based only on the necessary 

costs of developing a bare-bones filing system that would enable a company to make a 

filing in compliance with the standards.61 But we fully recognize that, while not strictly 

required by this Final Rule, companies making larger numbers of tariff filings will want 

to obtain a more robust software package that will provide various forms of tariff 

management and storage in addition to simply facilitating a tariff filing. Accordingly, we 

have determined to revise our burden estimates to include the greater cost of obtaining 

more robust software. 

110. EEI maintains that companies will have multiple tariffs that need to be filed as 

baseline tariffs. But in this Final Rule, at EEI’s request, we limited the baseline filing for 

electric companies to OATTs, power sales tariffs available to any customer, and marketbased rate tariffs. 

111. EEI maintains we have underestimated the time for legal review of certain data 

fields. We have included in these revised estimates additional time for legal review of 

61 The elements for such a system include a database program; an internet browser; 

an XML form generator, a Base64 converter; and a ZIP file converter, many of which can 

be obtained for free or at low cost. See http://www.download.com/Base64-DeEncoder/3000-2248_4-10571789.html?tag=lst-1 (freeware Base 64 converter); 

http://www.altova.com/products/databasespy/database_tool.html (XML form generator); 

https://shopm.winzip.com/cgi-bin/wzct1.cgi (ZIP file generator). We also included time 

and cost for hiring a computer programmer. 
Docket No. RM01-5-000 - 56 - 

the baseline tariff filings. Since the baseline filings consist only of already accepted tariff 

sheets, such legal review should not be significant. For ongoing tariff filings, this 

rulemaking does not entail additional legal review, since attorneys generally already 

review the substantive tariff and attachment data contained in such filings, and the 

metadata fields are not substantive. 

112. EEI suggests that the estimates leave out one-time costs for evaluating software, 

and training on new systems. We recognize that we did overlook such costs, and we have 

added additional hours for evaluation and training of relevant personnel. 

B. Burden Estimates

113. The following burden estimates reflect the cost to an individual company of 

obtaining software sufficient to meet the requirements of the regulation, as well as the 

cost of making the required baseline filing. Investment in electronic filing will reduce 

filing costs over time. Therefore, we include an estimate of the cost savings per year due 

to the savings in mail, messenger delivery, and copying. The public reporting and 

records retention burdens for the reporting requirements and the records retention 

requirement are as follows.62

 62 These burden estimates apply only to this Final Rule and do not reflect upon all 

of FERC-516, FERC-545, FERC-539 or FERC-550. 
Docket No. RM01-5-000 - 57 - 

Baseline Tariff – Hours 

Data 

Collection 

Number of 

Respondents 

Hours 

Per 

Tariff 

Total 

Hours 

Installation 

Hours 

Total 

Install 

Hours 

Total 

Hours 

FERC-516 

 Utilities 152 9 1368 20 3040 4408

 Marketers 984 5 4920 20 9840 14760

RTOs/ISOs 6 362 2172 28 168 2340

FERC -545 

 Small 

Pipelines 

106 7 742 20 2120 2862

 Large 

Pipelines 

62 18 1116 20 1240 2356

 NGPA 200 6 1200 20 4000 5200

FERC -550 

Oil 

200 9 1800 20 4000 5800

Totals 13318 24408 37726

Total Annual Hours for Collections: 37,726. 

Baseline Tariff – Costs 

Data Collection Number of 

Respondents

Cost 

Per 

Tariff 

Total 

Filing 

Cost 

Software 

Purchase & 

Installation 

Total Cost 

Purchase & 

Installation 

FERC-516 

 Utilities 152 $211 $32,072 $10,000 $1,520,000

 Marketers63 984 $109 $107,256 $1,035 $1,018,440

RTOs/ISOs 6 $8,345 $50,070 $10,000 $60,000

FERC -545 

 Small Pipelines 106 $171 $18,126 $2,070 $219,420

 63 The costs for marketers assume that affiliated marketers will share a single 

installation. 
Docket No. RM01-5-000 - 58 - 

Data Collection Number of 

Respondents

Cost 

Per 

Tariff 

Total 

Filing 

Cost 

Software 

Purchase & 

Installation 

Total Cost 

Purchase & 

Installation 

 Large Pipelines 62 $423 $26,226 $10,000 $620,000

 NGPA 200 $132 $26,400 $2,070 $414,000

FERC -550 Oil 200 $206 $41,200 $10,000 $2,000,000

Totals $301,350 $5,851,860

Combined Total $6,153,210

Going Forward Cost Savings Per Annum 

Total Number 

of Filings 

Cost Per 

Filing 

Total Cost 

Oil 689 $110 $75,790

Electric 4,445 $406 $1,804,670

Gas 2,548 $406 $1,034,488

Total $2,914,948

114. OMB’s regulations require it to approve certain information collection 

requirements imposed by an agency rule. The Commission is submitting notification of 

this Final Rule to OMB. 

Title: FERC-516, Electric Rate Schedules and Tariff Filings; FERC-545, Gas Pipeline 

Rates: Rate Change (Non Formal); FERC-549 Gas Pipeline Rates: NGPA Title III 

Transactions; and FERC-550 Oil Pipeline Rates: Tariff Filings. 

Action: Proposed Collections 

OMB Control Nos. 1902-0096, 1902-0154, 1902-0086 and 1902-0089 

Respondents: Business or other for profit; Federal Government 

Frequency of responses: On occasion. 
Docket No. RM01-5-000 - 59 - 

115. Necessity of the Information: The Federal Energy Regulatory Commission is 

amending its regulations to require that all tariffs and tariff revisions and rate change 

applications for the public utility, natural gas pipeline, and oil pipeline industries be filed 

with the Commission in lieu of paper. Electronically filed paper tariffs and rate case 

filings should improve the efficiency of the administrative process for tariff and rate case 

filings, by providing time and resource savings for all stakeholders. Specifically, 

electronic filing reduces physical storage space needs and document processing time, 

provides for easier tracking of document filing activity; potentially reduces mailing and 

courier fees; allows concurrent access to the tariff filing by multiple parties as well as the 

ability to download and print tariff filings; and provides automatic e-mail notification to 

an applicant of receipt of the filing and whether or not it has been accepted. The 

Commission’s staff will be able to retrieve and analyze information contained in these 

filings more readily than under the current system; mandated electronic filing of these 

documents should facilitate the staff’s retrieval and review of a particular document. 

These capabilities will be extremely beneficial as many tariff filings involve statutory 

processing deadlines. 

116. The Final Rule will assist the Commission’ efforts to comply with the Paperwork 

Reduction Act64, the Government Paperwork Elimination Act (GPEA)65 and E-

 64 Pub. L. 104-13, 109 Stat. 163, (Oct. 1, 1995). 

65 Title XVII, Pub. L. 105-277, 112 Stat. 2681 (Oct. 21, 1998). 
Docket No. RM01-5-000 - 60 - 

Government Act of 200266 by developing the capability to file electronically with the 

Commission via the Internet with uniform formats using software that is readily available 

and easy to use. Expanding Electronic Government is one of the five key elements of the 

President’s Management Agenda (PMA). The PMA proposed 24 “E-Government” 

initiatives including Government to Business (G2B). The goals of the G2B portfolio are 

to reduce burdens on business, provide one-stop access to information and enable digital 

communication using the language of e-business (XML). G2B also directs agencies to 

take advantage of commercial electronic transaction protocols. 

117. The standards being adopted here were developed in conjunction with NAESB, an 

ANSI accredited standards developer, and employs XML protocols, as suggested in G2B. 

The deployment of more effective technology will help to streamline the many reporting 

requirements as well as facilitate a more efficient means for businesses to interact with 

the government. 

118. Interested persons may obtain information on the reporting requirements by 

contacting the following: Federal Energy Regulatory Commission, 888 First Street, N.E., 

Washington, D.C. 20426, [Attention: Michael Miller, Office of the Executive Director, 

Phone: (202)502-8415, fax: (202)273-0873, e-mail: michael.miller@ferc.gov.] Please 

send comments concerning the collections of information and the associated burden 

estimate(s) to the contact listed above and to the Office of Information and Regulatory 

 66 Pub. L. 107-347, 116 Stat. 2899 (Dec. 17, 2002) 
Docket No. RM01-5-000 - 61 - 

Affairs, Office of Management and Budget, 725 17th Street, N.W., Washington, D.C. 

20503 [Attention: Desk Officer for the Federal Energy Regulatory Commission, phone 

(202)395-7345, fax: (202)395-7285. Due to security concerns, comments should be sent 

electronically to the following e-mail address: oira_submission@omb.eop.gov. Please 

reference the docket number of this rulemaking in your submission.

IV. Environmental Analysis

119. 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.67 The Commission concludes that neither an Environmental 

Assessment nor an Environmental Impact Statement is required for this Final Rule under 

Section 380.4(a) of the Commission’s regulations. Section 380.4(a)(15) provides for a 

categorical exemption for approval of actions taken under Sections 205 and 206 of the 

FPA relating to the filing of schedules containing all rates and charges for the 

transmission or sale subject to the Commission’s jurisdiction, plus the classification, 

practices, contracts and regulations that affect rates charges, classifications and services. 

Section 380.4(a) (25) provides a categorical exemption for review of natural gas filings. 

Section 38.4(26) provides an exclusion for review of oil pipeline filings. In addition, 

section 380.4 (a) provides an exemption for rules that are clarifying corrective, or 

 67 Regulations Implementing the National Environmental Policy Act, Order No. 

486, 52 FR 47,897 (Dec. 17, 1987), FERC Stats. & Regs., Regulations Preambles 1986-

1990 ¶ 30,783 (1987). 
Docket No. RM01-5-000 - 62 - 

procedural and that provide for information gathering, analysis, and dissemination. 

Because this Final Rule only involves these matters, no environmental consideration is 

necessary. 

V. Regulatory Flexibility Act

120. The Regulatory Flexibility Act of 1980 (RFA)68 generally requires a description 

and analysis of whether the Final Rule will have a significant economic impact on a 

substantial number of small entities or a certification that the Final Rule will not have a 

significant economic impact on such entities. In the NOPR, we stated that the proposed 

rule would be applicable to all entities regulated by the Commission, a small number of 

which may be small entities. However, the Commission did not believe the rule would 

have a significant impact on these small businesses because the software necessary to 

create the XML software is commercially available from several Internet websites as 

shareware or subject to low-cost licensing options. From the Commission staff’s own 

experience, relatively inexpensive XML software can be obtained that can adequately 

provide the basic tariff filing. 

121. This Final Rule applies to public utilities that own, control or operate interstate 

transmission facilities, natural gas companies and oil pipeline companies, the majority of 

 68 5 U.S.C. 601-612. 
Docket No. RM01-5-000 - 63 - 

which are not small businesses.69 The Commission has identified that less than 2% of 

these entities qualify as small entities. Moreover, by eliminating the requirement to file 

numerous paper copies of tariffs and documents associated with rate filings, these 

regulations are designed to reduce the filing burden on all companies, including small 

businesses. Accordingly, the Commission finds that these regulations will not impose a 

significant economic impact on small businesses and no regulatory flexibility analysis is 

required pursuant to §605(b) of the RFA. 

VI. Document Availability

122. 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 during normal business 

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

Washington D.C. 20426. 

 69 See 5 U.S.C. § 601(3), citing Section 3 of the Small Business Act, 15 U.S.C. 

§ 623. Section 3 of the SBA defines a “small business concern” as a business which is 

independently owned and operated and which is not dominant in its field of operation. 

The Small Business Size Standards component of the North American Industry 

Classification System defines a small utility as a company including its affiliates that is 

primarily engaged in the generation, transmission, and/or distribution of electric energy 

for sale and whose total electric output for the preceding fiscal year did not exceed 4 

million megawatt hours. A small natural gas company is defined as a company that 

transports natural gas and whose annual receipts (total income plus cost of good sold) did 

not exceed $6.5 million for the previous year. A small oil pipeline company is defined a 

company with 1,500 or less employees for the year. 
Docket No. RM01-5-000 - 64 - 

123. From FERC'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. 

124. User assistance is available for eLibrary and the FERC’s website during normal 

business hours from FERC Online Support at 202-502-6652 (toll free at 1-866-208-3676) 

or e-mail 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. 

VII. Effective Date and Congressional Notification

125. These regulations are effective [Insert_Date 30 days after publication in the 

FEDERAL REGISTER]. The Commission has determined, with the concurrence of the 

Administrator of the Office of Information and Regulatory Affairs of OMB, that this rule 

is not a “major rule” as defined in section 351 of the Small Business Regulatory 

Enforcement Fairness Act of 1996. 

List of subjects

18 CFR Part 35

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

Electricity, Incorporation by reference. 
Docket No. RM01-5-000 - 65 - 

18 CFR Part 131

Electric power. 

18 CFR Part 154

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

companies, Rate schedules and tariffs. 

18 CFR Part 157

 Administrative practice and procedure, Natural gas, Reporting and recordkeeping 

requirements. 

18 CFR Part 250

Natural gas, Reporting and recordkeeping requirements. 

18 CFR Part 281

 Natural gas, Reporting and recordkeeping requirements. 

18 CFR Part 284

 Continental Shelf, Natural gas, Reporting and recordkeeping requirements, 

Incorporation by reference. 

18 CFR Part 300

 Administrative practice and procedure, Electric power rates, Reporting and 

recordkeeping requirements, Electricity. 

18 CFR Part 341

 Maritime carriers, Pipelines, Reporting and recordkeeping requirements. 

18 CFR Part 344

 Pipelines, Reporting and recordkeeping requirements. 
Docket No. RM01-5-000 - 66 - 

18 CFR Part 346

 Pipelines, Reporting and recordkeeping requirements. 

18 CFR Part 347

 Pipelines, Reporting and recordkeeping requirements. 

18 CFR Part 348

 Pipelines, Reporting and recordkeeping requirements. 

18 CFR Part 375

 Authority delegations (Government agencies), Seals and insignia, Sunshine Act, 

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

18 CFR Part 385

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

Reporting and recordkeeping requirements. 

By the Commission. 

( S E A L ) 

 Kimberly D. Bose, 

 Secretary. 
Docket No. RM01-5-000 - 67 - 

 In consideration of the foregoing, the Commission amends Parts 35, 131, 154, 

157, 250, 281, 284, 300, 341, 344, 346, 347, 348, 375 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. 

§ 35.1 [Amended] 

2. Section 35.1 is amended as follows: 

 a. The section title is revised; 

 b. In paragraph (a), the first sentence is revised; 

 c. In paragraph (a), the phrase “or tariff” is inserted after the phrase “rate 

schedule”; 

 d. In paragraphs (b) and (c), remove all references to “supplement”; 

 e. In paragraphs (b) and (c), the phrase “or tariff” is removed and the phase “, 

tariff, or service agreement” is added in its place; 

 f. In paragraph (c), the phrase “Notices of Cancellation or Termination” is 

removed, and the phrase “cancellation or termination” is added in its place; 

 g. In paragraph (d), the phrase “, tariffs or service agreements” is added after the 

phrase “rate schedules”; 

 
Docket No. RM01-5-000 - 68 - 

 h. In paragraph (g), the phrase “service” is added before the phrase “agreement”; 

to read as follows: 

§ 35.1 Application; obligation to file rate schedules, tariffs and certain service 

agreements.

 (a) Every public utility shall file with the Commission and post, in conformity 

with the requirements of this part, full and complete rate schedules and tariffs and those 

service agreements not meeting the requirements of § 35.1(g), clearly and specifically 

setting forth all rates and charges for any transmission or sale of electric energy subject to 

the jurisdiction of this Commission, the classifications, practices, rules and regulations 

affecting such rates, charges, classifications, services, rules, regulations or practices, as 

required by section 205(c) of the Federal Power Act (49 Stat. 851; 16 U.S.C. 824d(c)). *

 * * 

 * * * * * 

3. Section 35.2 is amended as follows: 

 a. Paragraph (b) is revised; 

 b. Paragraphs (c), (d), and (e) are redesignated as paragraphs (d), (e), and (f) 

respectively; 

 c. In redesignated paragraphs (d) and (f), the phrase “rate schedule” is removed 

and the phrase “rate schedule, tariff or service agreement” is added in its place; and 

 d. Paragraph (c) is added, and redesignated paragraph (e) is revised to read as 

follows: 
Docket No. RM01-5-000 - 69 - 

§ 35.2 Definitions. 

* * * * * 

 (b) Rate schedule. The term rate schedule as used herein shall mean a 

statement of (1) electric service as defined in paragraph (a) of this section, (2) rates and 

charges for or in connection with that service, and (3) all classifications, practices, rules, 

or regulations which in any manner affect or relate to the aforementioned service, rates, 

and charges. This statement shall be in writing and may take the physical form of a 

contract, purchase or sale or other agreement, lease of facilities, or other writing. Any 

oral agreement or understanding forming a part of such statement shall be reduced to 

writing and made a part thereof. A rate schedule is designated with a Rate Schedule 

number. 

 (c)(1) Tariff. The term tariff as used herein shall mean a statement of (1) electric 

service as defined in paragraph (a) of this section offered on a generally applicable basis, 

(2) rates and charges for or in connection with that service, and (3) all classifications, 

practices, rules, or regulations which in any manner affect or relate to the aforementioned 

service, rates, and charges. This statement shall be in writing. Any oral agreement or 

understanding forming a part of such statement shall be reduced to writing and made a 

part thereof. A tariff is designated with a Tariff Volume number. 

 (2) Service agreement. The term service agreement as used herein shall mean 

an agreement that authorizes a customer to take electric service under the terms of a 

tariff. A service agreement shall be in writing. Any oral agreement or understanding 
Docket No. RM01-5-000 - 70 - 

forming a part of such statement shall be reduced to writing and made a part thereof. A 

service agreement is designated with a Service Agreement number. 

 * * * * * 

 (e) Posting

(1) The term posting as used in this part shall mean: 

 (i) Keeping a copy of every rate schedule, service agreement, or tariff of a 

public utility as currently on file, or as tendered for filing, with the Commission open and 

available during regular business hours for public inspection in a convenient form and 

place at the public utility's principal and district or division offices in the territory served, 

and/or accessible in electronic format, and 

 (ii) Serving each purchaser under a rate schedule, service agreement, or tariff 

either electronically or by mail in accordance with the service regulations in Part 385 of 

this chapter with a copy of the rate schedule, service agreement, or tariff. Posting shall 

include, in the event of the filing of increased rates or charges, serving either 

electronically or by mail in accordance with the service regulations in Part 385 of this 

chapter each purchaser under a rate schedule, service agreement or tariff proposed to be 

changed and to each State Commission within whose jurisdiction such purchaser or 

purchasers distribute and sell electric energy at retail, a copy of the rate schedule, service 

agreement or tariff showing such increased rates or charges, comparative billing data as 

required under this part, and, if requested by a purchaser or State Commission, a copy of 

the supporting data required to be submitted to this Commission under this part. Upon 
Docket No. RM01-5-000 - 71 - 

direction of the Secretary, the public utility shall serve copies of rate schedules, service 

agreements, or tariffs, and supplementary data, upon designated parties other than those 

specified herein. 

 (2) Unless it seeks a waiver of electronic service, each customer, State 

Commission, or other party entitled to service under this paragraph (e) must notify the 

public utility of the e-mail address to which service should be directed. A customer, 

State Commission, or other party may seek a waiver of electronic service by filing a 

waiver request under Part 390 of this chapter providing good cause for its inability to 

accept electronic service. 

 * * * * * 

4. Section 35.3 is amended as follows: 

 a. In paragraph (b), first sentence, the phrase “, tariffs or service agreements” 

is added after the phrase “Rate schedules”. 

 b. In paragraph (b), second sentence, the phrase “or service agreement” is 

added after the phrase “rate schedule”. 

c. Paragraph (a) is revised to read as follows 

§ 35.3 Notice requirements. 

 (a)(1) Rate schedules or tariffs. All rate schedules or tariffs or any part thereof 

shall be tendered for filing with the Commission and posted not less than sixty days nor 

more than one hundred-twenty days prior to the date on which the electric service is to 

commence and become effective under an initial rate schedule or tariff or the date on 
Docket No. RM01-5-000 - 72 - 

which the filing party proposes to make any change in electric service and/or rate, charge, 

classification, practice, rule, regulation, or contract effective as a change in rate schedule 

or tariff, except as provided in paragraph (b) of this section, or unless a different period of 

time is permitted by the Commission. Nothing herein shall be construed as in any way 

precluding a public utility from entering into agreements which, under this section, may 

not be filed at the time of execution thereof by reason of the aforementioned sixty to one 

hundred-twenty day prior filing requirements. The proposed effective date of any rate 

schedule or tariff filing having a filing date in accordance with § 35.2(d) may be deferred 

by the public utility making a filing requesting deferral prior to the rate schedule or 

tariff’s acceptance by the Commission. 

 (2) Service agreements. Service agreements that are required to be filed and 

posted authorizing a customer to take electric service under the terms of a tariff, or any 

part thereof, shall be tendered for filing with the Commission and posted not more than 

30 days after electric service has commenced or such other date as may be specified by 

the Commission. 

* * * * * 

5. In § 35.4, the phrase “, tariff or service agreement” is added following the phrase 

“rate schedule”. 

6. In § 35.6, the phrase “, tariff or service agreement” is added following the phrase 

“rate schedule”. 

7. Section 35.7 is revised to read as follows: 
Docket No. RM01-5-000 - 73 - 

§ 35.7 Electronic filing requirements. 

 (a) General rule. All filings made in proceedings initiated under this part must 

be made electronically, including tariffs, rate schedules and service agreements, or parts 

thereof, and material that relates to or bears upon such documents, such as cancellations, 

amendments, withdrawals, termination, or adoption of tariffs. 

 (b) Requirement for signature. All filings must be signed in compliance with 

the following: 

 (1) The signature on a filing constitutes a certification that: the contents are 

true and correct to the best knowledge and belief of the signer; and that the signer 

possesses full power and authority to sign the filing. 

 (2) A filing must be signed by one of the following: 

 (i) The person on behalf of whom the filing is made; 

 (ii) An officer, agent, or employee of the company, governmental authority, 

agency, or instrumentality on behalf of which the filing is made; or, 

 (iii) A representative qualified to practice before the Commission under 

§ 385.2101 of this chapter who possesses authority to sign. 

 (3) All signatures on the filing or any document included in the filing must 

comply, where applicable, with the requirements in Part 385 of this chapter with respect 

to sworn declarations or statements and electronic signatures. 

 (c) Format requirements for electronic filing. The requirements and formats 

for electronic filing are listed in instructions for electronic filing and for each form. 
Docket No. RM01-5-000 - 74 - 

These formats are available on the Internet at http://www.ferc.gov and can be obtained at 

the Federal Energy Regulatory Commission, Public Reference Room, 888 First Street, 

N.E., Washington, D.C. 20426. 

8. In § 35.8, the section heading is revised as set forth below, paragraph (b) is 

removed, the designation ”(a)” is removed from paragraph (a), and the paragraph (a) 

heading, “Protests or interventions” is removed. 

 “§ 35.8 Protests and interventions by interested parties.” 

 * * * * * 

9. Section 35.9 is revised to read as follows: 

§ 35.9 Requirements for filing rate schedules, tariffs or service agreements.

 (a) Rate schedules, tariffs, and service agreements may be filed either by 

dividing the rate schedule, tariff, or service agreements into individual sheets or sections, 

or as an entire document except as provided in paragraphs (b) and (c) of this section. 

 (b) Open Access Transmission Tariffs (OATT) filed by utilities that are not 

Independent System Operators or Regional Transmission Organizations must be filed 

either as individual sheets or sections. If filed as sections, the sections must be no larger 

than the 1.0 level, although each schedule or attachment may be a single section. 

Individual service agreements that are entered into pursuant to the OATT may be filed as 

entire documents. 

 (c) OATT and other open access documents filed by Independent System 

Operators or Regional Transmission Organizations must be filed either as individual 
Docket No. RM01-5-000 - 75 - 

sheets or sections. If filed as sections, the sections must be no larger than the 1.1 level, 

including schedules or attachments. Individual service agreements that are part entered 

into pursuant to the OATT may be filed as entire documents. 

10. Section 35.10 is amended as follows: 

a. The section heading is revised as set forth below; 

b. In paragraph (a), the phrase “, tariff or service agreement” is added after the 

phrase “rate schedule” anywhere it appears in the paragraph; and 

c. Paragraphs (b) and (c) are revised to read as follows: 

§ 35.10 Form and style of rate schedules, tariffs and service agreements. 

 * * * * * 

 (b) At the time a public utility files with the Commission and posts under this 

part to supersede or change the provisions of a rate schedule, tariff, or service agreement 

previously filed with the Commission under this part, in addition to the other 

requirements of this part, it must list in the transmittal letter the sheets or sections revised, 

and file a marked version of the rate schedule, tariff or service agreement sheets or 

sections showing additions and deletions. New language must be marked by either 

highlighting, background shading, bold text, or underlined text. Deleted language must 

be marked by strike-through. 

 (c) In any filing to supersede or change the provisions of a rate schedule, tariff, 

or service agreement previously filed with the Commission under this part, only those 

revisions appropriately designated and marked under paragraph (b) of this section 
Docket No. RM01-5-000 - 76 - 

constitute the filing. Revisions to unmarked portions of the rate schedule, tariff or service 

agreement are not considered part of the filing nor will any acceptance of the filing by the 

Commission constitute acceptance of such unmarked changes. 

§35.10a [Amended] 

11. In § 35.10a(b), the phrase “in the same format” is removed and the phrase “filed 

electronically as” is added in its place, and the phrase “§ 35.10(b)” is removed, and the 

phrase “§ 35.7” is added in its place. 

§ 35.11 [Amended] 

12. In § 35.11, the phrase “, tariff or service agreement” is added after the phrase “rate 

schedule”. 

13. Section 35.12 is amended as follows: 

a. the section heading is revised to read as follows; 

b. in paragraphs (a), (b)(2)(i), (b)(4), and (b)(5)(ii), the phrase “schedule” is 

removed, and the phrase “rate schedule or tariff” is added in its place; and 

c. in paragraph (b)(2)(ii), the phrase “or she” is added after the phrase “he”. 

§ 35.12 Filing of initial rate schedules and tariffs.

 * * * * * 

14. Section 35.13 is amended as follows: 

 a. In paragraph (a)(1), the phrase “, tariff, or service agreement” is added 

following the phrase “rate schedule”. 

 b. In paragraph (a)(2)(iii), the phrase “, tariff, or service agreement” is added after 
Docket No. RM01-5-000 - 77 - 

the phrase “rate schedule”, and the phrase “schedule or tariff” is removed in the first 

sentence. 

c. In paragraphs (a)(2)(iv), (a)(2)(iv)(A) and (a)(2)(iv)(B), the phrase “schedule” 

is removed after the word “rate” in all places where it appears. 

 d. In paragraph (b)(1), the phrase “schedule ” is removed. 

e. In paragraph (b)(2), the phrase “schedule” is removed. 

f. In paragraph (b)(3), the phrase “schedule” is removed, and the phrase “mailed 

or e-mailed” is removed, and the phrase “posted” is added in its place. 

g. In paragraphs (b)(4), (b)(5), (b)(6), the phrase “schedule” is removed. 

h. Paragraph (b)(8) is removed. 

i. In paragraph (c)(1), introductory text, remove the reference to “or 

supplemented”. 

j. In paragraph (c), the section heading is revised to remove the word “schedule”. 

k. In paragraph (c)(1), introductory text, remove the reference to “or 

supplemented”, 

l. In paragraph (c)(1), the phrase “, tariff, or service agreement” is added after the 

first phrase “rate schedule,” and the second phrase “schedule or tariff” is removed 

after the phrase “rate”. 

m. In paragraphs (c)(1)(i), (c)(1)(ii)(A), (c)(1)(ii)(B), (c)(2), (c)(3), the phrase 

“schedule” is removed following the word “rate”. 

n. In paragraphs (d)(1)(ii), (d)(3)(i), (d)(3)(ii)(A), and (d)(3)(ii)(B), the phrase 

“schedule” is removed following the word “rate”. 

o. In paragraph (d)(5), the phrase “cut or folded to letter size,” is removed and the 

phrase “provided in electronic format, shall be legible,” is added in its place. 

p. In paragraph (e)(1)(i), the phrase “schedule” is removed after the phrase “rate”. 
Docket No. RM01-5-000 - 78 - 

q. In paragraph (f), the phrase “schedule” is removed after the phrase “rate” 

anywhere it appears in the paragraph. 

 r. The section heading and paragraph (a) are revised to read as follows: 

§ 35.13 Filing of changes in rate schedules, tariffs or service agreements. 

 * * * * * 

 (a) General rule. Every public utility shall file the information required by this 

section, as applicable, at the time it files with the Commission under § 35.1 all or part of 

a rate schedule, tariff or service agreement to supersede or otherwise change the 

provisions of a rate schedule, tariff or service agreement filed with the Commission under 

§ 35.1. Any petition filed under § 385.207 of this chapter for waiver of any provision of 

this section shall specifically identify the requirement that the applicant wishes the 

Commission to waive. 

 * * * * * 

15. Section 35.14 is amended as follows: 

 a. In paragraph (a), introductory text, the phrase “(fuel clause)” is added after 

phrase “Fuel adjustment clause”, and the phrase “, tariffs or service agreements” is added 

after the phrase “rate schedules” anywhere it appears in the paragraph’s introductory text. 

 b. In paragraph (a)(7), the phrase “schedule” is removed in the second to last 

sentence. 

16. In § 35.15, paragraph (a) is revised, to read as follows: 
Docket No. RM01-5-000 - 79 - 

§ 35.15 Notices of cancellation or termination.

 (a) General rule. When a rate schedule, tariff or service agreement or part 

thereof required to be on file with the Commission is proposed to be cancelled or is to 

terminate by its own terms and no new rate schedule, tariff or service agreement or part 

thereof is to be filed in its place, a filing must be made to cancel such rate schedule, tariff 

or service agreement or part thereof at least sixty days but not more than one hundredtwenty days prior to the date such cancellation or termination is proposed to take effect. 

A copy of such notice to the Commission shall be duly posted. With such notice, each 

filing party shall submit a statement giving the reasons for the proposed cancellation or 

termination, and a list of the affected purchasers to whom the notice has been provided. 

For good cause shown, the Commission may by order provide that the notice of 

cancellation or termination shall be effective as of a date prior to the date of filing or 

prior to the date the filing would become effective in accordance with these rules. 

 * * * * * 

§ 35.16 [Amended] 

17. In § 35.16, the phrase “on the form indicated in § 131.51 of this chapter” is 

removed and the phrase “with a tariff consistent with the electronic filing requirements in 

§ 35.7 of this part” is added in its place. 

18. Section 35.17 is amended as follows: 

a. Paragraphs (a), (b), and (c) are redesignated as paragraphs (c), (d), and (e), 

respectively. 
Docket No. RM01-5-000 - 80 - 

b. The section heading is revised, and new paragraphs (a) and (b) are added 

 c. In redesignated paragraphs (c), (d), and (e), the phrase “tariff” is removed 

and the phrase “, tariffs or service agreements” is added in its place. 

§ 35.17 Withdrawals and amendments of rate schedules, tariff or service agreement

filings.

 (a) Withdrawals of rate schedule, tariff or service agreement filings prior to 

Commission action.

 (1) A public utility may withdraw in its entirety a rate schedule, tariff or 

service agreement filing that has not become effective and upon which no Commission or 

delegated order has been issued by filing a withdrawal motion with the Commission. 

Upon the filing of such motion, the proposed rate schedule, tariff or service agreement 

sections will not become effective under section 205(d) of the Federal Power Act in the 

absence of Commission action making the rate schedule, tariff or service agreement filing 

effective. 

 (2) The withdrawal motion will become effective, and the rate schedule, tariff 

or service agreement filing will be deemed withdrawn, at the end of 15 days from the 

date of filing of the withdrawal motion, if no answer in opposition to the withdrawal 

motion is filed within that period and if no order disallowing the withdrawal is issued 

within that period. If an answer in opposition is filed within the 15 day period, the 

withdrawal is not effective until an order accepting the withdrawal is issued. 

 (b) Amendments or modifications to rate schedule, tariff or service agreement
Docket No. RM01-5-000 - 81 - 

sections prior to Commission action on the filing. A public utility may file to amend or 

modify, and may file a settlement that would amend or modify, a rate schedule, tariff or 

service agreement section contained in a rate schedule, tariff or service agreement filing 

that has not become effective and upon which no Commission or delegated order has yet 

been issued. Such filing will toll the notice period in section 205(d) of the Federal Power 

Act for the original filing, and establish a new date on which the entire filing will become 

effective, in the absence of Commission action, no earlier than 61 days from the date of 

the filing of the amendment or modification. 

* * * * * 

19. In § 35.18, paragraph (a), first sentence, the phrase “, tariff or service agreement” 

is added after the phrase “rate schedule”. 

§ 35.21 [Amended] 

20. In § 35.21, footnote 5, the words “footnote 1 to” are removed. 

21. In § 35.22, in the section heading, paragraph (a), paragraph (f) heading, and 

paragraph (f)(1), the phrase “, tariffs or service agreements” is added after the phrase 

“rate schedules” 

§ 35.23 [Amended] 

22. In § 35.23, paragraph (b)(1)(ii) is revised to read as follows: 

§ 35.23 General provisions.

 (b) * * * 

 (ii) Submit the revisions in accordance with § 35.7; and 
Docket No. RM01-5-000 - 82 - 

* * * * * 

§§ 35.1, 35.4, 35.5, 35.6, 35.11, 35.12, 35.13, and 35.17 [Amended]

23. In addition to the amendments set forth above, in 18 CFR Part 35, the following 

nomenclature changes are made to the sections indicated: 

 a. In §§ 35.1(b) and (c), 35.4, 35.6, 35.11, 35.12(a), 35.13(a), 35.13(a)(1), 

35.13(a)(2)(iii), 35.13(b)(1), 35.13(c)(1), 35.17(c), 35.17(d), and 35.17(e), all references 

to “rate schedule” are removed and “rate schedule or tariff” is added in their place. 

 b. In the headings of §§ 35.17(c), 35.17(d), and 35.17(e), all references to 

“rate schedules” are removed and “rate schedules or tariffs” is added in their place. 

PART 131 – FORMS

24. The authority citation for part 131 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. 

§§ 131.51 and 131.53 [Removed and Reserved] 

25. Sections 131.51 and 131.53 are removed and reserved. 

§ 131.52 [Amended] 

26. In § 131.52, the words “(An original and one conformed copy to be submitted)” 

are removed. 

PART 154 – RATE SCHEDULES AND TARIFFS

27. The authority citation for part 154 continues to read as follows: 
Docket No. RM01-5-000 - 83 - 

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

28. In § 154.2, paragraph (b) is revised by removing the words “either in book form 

or”, and paragraph (d) is revised to read as follows: 

§ 154.2 Definitions. 

* * * * * 

 (d) Post means: to make a copy of a natural gas company's tariff and contracts 

available during regular business hours for public inspection in a convenient form and 

place at the natural gas company's offices where business is conducted with affected 

customers; and, to serve each affected customer and interested state Commission in 

accordance with §154.208 of this Part. 

* * * * * 

29. Section 154.4 is revised to read as follows: 

§ 154.4 Electronic filing of tariffs and related materials. 

(a) General rule. All filings made in proceedings initiated under this part must 

be made electronically, including tariffs, rate schedules, service agreements, and 

contracts, or parts thereof, and material that relates to or bears upon such documents, 

such as cancellations, amendments, withdrawals, termination, or adoption of tariffs, and 

motions relating to suspension. 

(b) Requirement for signature. All filings must be signed in compliance with 

the following: 

(1) The signature on a filing constitutes a certification that the contents are true 
Docket No. RM01-5-000 - 84 - 

to the best knowledge and belief of the signer, and that the signer possesses full power 

and authority to sign the filing. 

(2) A filing must be signed by one of the following: 

(i) The person on behalf of whom the filing is made; 

(ii) An officer, agent, or employee of the company, governmental authority, 

agency, or instrumentality on behalf of which the filing is made; or, 

(iii) A representative qualified to practice before the Commission under 

§ 385.2101 of this chapter who possesses authority to sign. 

(3) All signatures on the filing or any document included in the filing must 

comply, where applicable, with the requirements in § 385.2005 of this chapter with 

respect to sworn declarations or statements and electronic signatures. 

(c) Format requirements for electronic filing. The requirements and formats 

for electronic filing are listed in instructions for electronic filing and for each form. 

These formats are available on the Internet at http://www.ferc.gov and can be obtained at 

the Federal Energy Regulatory Commission, Public Reference Room, 888 First Street, 

N.E., Washington, D.C. 20426. 

§ 154.5 [Amended] 

30. In § 154.5, the words “375.307(b)(2)” are removed and the words “Part 375” are 

added in their place. 

31. In §154.7, paragraph (b) is revised to read as follows: 

§ 154.7 General requirements for the submission of a tariff filing or executed
Docket No. RM01-5-000 - 85 - 

 service agreement. 

* * * * * 

(b) A certification of service to all customers and state commissions pursuant to 

§154.2(d). 

§ 154.101 [Removed and Reserved] 

32. Section 154.101 is removed and reserved. 

33. Section 154.102 is revised to read as follows: 

§ 154.102 Requirements for filing rate schedules and tariffs.

 (a) All rates schedules, tariffs, and service agreements may be filed either by 

dividing the rate schedule, tariff, or agreement into individual tariff sheets, or tariff 

sections, or as an entire document except as provided in paragraph (b) of this section. 

 (b) Open access transportation tariffs must be filed either as individual sheets 

or sections. If filed as sections, each section must include only material of related subject 

matter and must be of reasonable length and must include at a minimum a section for 

each item listed in the table of contents under §154.103 of this section and each topic 

listed under General Terms and Conditions of Service. 

 (c) Individual negotiated rate agreements, non-conforming service agreements, 

or other agreements that are included in the tariff may be filed as entire documents. 

 (d) The first section or sheet of the tariff must include: 

 (1) The FERC Gas Tariff Volume Number and Name of the Natural Gas 

Company, for example 
Docket No. RM01-5-000 - 86 - 

 FERC Gas Tariff Volume No. [ ] of [Name of Natural Gas Company] 

 (2) The name, title, address, telephone number, email address and facsimile 

number of a person to whom communications concerning the tariff should be sent. 

34. Section 154.104 is revised to read as follows: 

§ 154.104 Table of contents. 

 The table of contents must contain a list of the rate schedules, sections of the 

general terms and conditions, and other sections in the order in which they appear, 

showing the sheet number of the first page of each section or the section number. The list 

of rate schedules must consist of: The alphanumeric designation of each rate schedule, a 

very brief description of the service, and the sheet number of the first page of each rate 

schedule or the section number. 

§ 154.106 [Amended] 

35. In § 154.106, paragraph (b) is removed and reserved. 

36. In § 154.112, sentences 4 through 6 of paragraph (a) and sentence 2 of paragraph 

(b) are revised to read as follows: 

 a. * * *. Modifications must be made by inserting revised sheets, 

sections or the entire document as appropriate. Special rate schedules must be included 

in a separate volume of the tariff. Each such separate volume must contain a table of 

contents which is incorporated as a sheet or section in the open access transmission 

tariff. 
Docket No. RM01-5-000 - 87 - 

b. * * * Such non-conforming agreements must be referenced in the 

open access transmission tariff. 

§ 154.107 [Amended] 

37. Section 154.107 is amended as follows: 

a. In paragraphs (d) and (e) all references to “sheet” are removed and “sheet or 

section” is added in their place. 

b. In paragraph (e) the reference to “or Gas Research Institute” is removed. 

38. Section 154.201 (a) is revised to read as follows: 

§ 154.201 Filing requirements. 

* * * * * 

 (a) A list in the transmittal letter of the tariff sheets or sections being revised 

and a marked version of the sheets or sections to be changed or superseded showing 

additions and deletions. New numbers and text must be marked by either highlight, 

background shading, bold, or underline. Deleted text and numbers must be indicated by 

strike-through. Only those revisions appropriately designated and marked constitute the 

filing. Revisions to unmarked portions of the rate schedule or tariff are not considered 

part of the filing nor will any acceptance of the filing by the Commission constitute 

acceptance of such unmarked changes. 

* * * * * 

39. Section 154.205 is amended as follows: 

a. Paragraphs (a), (b), and (c) are redesignated as paragraphs (c),(d), and 
Docket No. RM01-5-000 - 88 - 

(e), respectively. 

b. The section heading is revised, and paragraphs (a) and (b) are added to read 

as follows: 

§ 154.205 Withdrawals and amendments of tariff filings and executed service 

agreements. 

 (a) Withdrawals of tariff filings or service agreements prior to Commission 

action. (1) A natural gas company may withdraw in its entirety a tariff filing or executed 

service agreement that has not become effective and upon which no Commission or 

delegated order has been issued by filing a withdrawal motion with the Commission. 

Upon the filing of such motion, the proposed tariff sheets, sections or service agreements 

will not become effective under section 4(d) of the Natural Gas Act in the absence of 

Commission action making the rate schedule or tariff filing effective. 

 (2) The withdrawal motion will become effective, and the rate schedule or 

tariff filing will be deemed withdrawn, at the end of 15 days from the date of filing of the 

withdrawal motion, if no answer in opposition to the withdrawal motion is filed within 

that period and if no order disallowing the withdrawal is issued within that period. If an 

answer in opposition is filed within the 15 day period, the withdrawal is not effective 

until an order accepting the withdrawal is issued. 

 (b) Amendments or modifications to tariff sheets, sections or service 

agreements prior to Commission action on a tariff filing. A natural gas company may file 

to amend or modify a tariff or service agreement contained in a tariff filing upon which 
Docket No. RM01-5-000 - 89 - 

no Commission or delegated order has yet been issued. Such filing will toll the notice 

period in section 4(d) of the Natural Gas Act for the original filing, and establish a new 

date on which the entire filing will become effective, in the absence of Commission 

action, no earlier than 31 days from the date of the filing of the amendment or 

modification. 

* * * * * 

40. In § 154.208, the section heading is revised, paragraph (d) is revised and 

paragraphs (e) and (f) are added to read as follows: 

§ 154.208 Service of tariff filings on customers and other parties. 

* * * * * 

 (d) A customer or other party may designate a recipient of service. The filing 

company must serve the designated recipient, in accordance with this section, instead of 

the customer or other party. For the purposes of this section, service upon the designated 

recipient will be deemed service upon the customer or other party. 

(e) The company may choose to effect service either electronically or by paper. 

Such service must be made in accordance with the requirements of Part 385 of this 

chapter. 

(f) Unless it seeks a waiver of electronic service, each customer or party 

entitled to service of initial tariff filings under this section must notify the company of the 

e-mail address to which service should be directed. A customer or party may seek a 

waiver of electronic service by filing a waiver request under Part 390 of this chapter, 
Docket No. RM01-5-000 - 90 - 

providing good cause for its inability to accept electronic service. 

§ 154.209 [Removed and Reserved] 

41. Section 154.209 is removed and reserved. 

§ 154.402 [Amended] 

42. In § 154.402, paragraph (b)(1), the word “schedules” is removed and the words 

“rate schedules” are added in its place. 

§ 154.602 [Amended] 

43. Section 154.602 is amended by removing the phrase “on the form indicated in 

§ 250.2 or § 250.3 of this chapter, whichever is applicable” and adding in its place the 

phrase “tariff filing in the electronic format required by § 154.4”. 

44. Section 154.603 is revised as follows: 

§ 154.603 Adoption of the tariff by a successor. 

 Whenever the tariff or contracts of a natural gas company on file with the 

Commission is to be adopted by another company or person as a result of an acquisition, 

or merger, authorized by a certificate of public convenience and necessity, or for any 

other reason, the succeeding company must file with the Commission, and post within 

30 days after such succession, a tariff filing in the electronic format required by § 154.4 

bearing the name of the successor company. 

§§ 154.7, 154.111, 154.202, 154.206, 154.208, 154.402, and 154.403 [Amended] 

45. In addition to the amendments set forth above, in 18 CFR Part 154, the following 

nomenclature changes are made to the sections as amended: 
Docket No. RM01-5-000 - 91 - 

 a. In §§ 154.7(a)(5), 154.111(c), 154.202 (b), 154.206(a), 154.208(a), all 

references to “sheets” are removed and “sheets or sections” is added in their place. 

 b. In §§ , 154.402(b) introductory text, 154.402(b)(3), 154.403(b), all 

references to “sheet” are removed and “sheet or section” is added in their place. 

PART 157- APPLICATIONS FOR CERTIFICATES OF PUBLIC 

CONVENIENCE AND NECESSITY AND FOR ORDERS PERMITTING AND 

APPROVING ABANDONMNENT UNDER SECTION 7 OF THE NATURAL GAS 

ACT 

46. The authority citation for part 157 continues to read as follows: 

 Authority: 15 U.S.C. 717-717w. 

47. Amend § 157.217 by adding a sentence to the end of paragraph (a)(4) to read as 

follows: 

§ 157.217 Changes in rate schedules. 

(a) * * * 

 (4) * * * This tariff filing must be filed in the electronic format 

required by § 154.4 of this chapter. 

* * * * * 

PART 250 – FORMS

48. The authority citation for part 250 continues to read as follows: 

 Authority: 15 U.S.C. 717-717w, 3301-3432; 42 U.S.C. 7101-7352. 

§§ 250.2, 250.3, and 250.4 [Removed and Reserved] 

49. Sections 250.2, 250.3, and 250.4 are removed and reserved. 
Docket No. RM01-5-000 - 92 - 

PART 281 – NATURAL GAS CURTAILMENT UNDER THE NATURAL GAS 

POLICY ACT OF 1978 

50. The authority citation for part 281 continues to read as follows: 

 Authority: 15 U.S.C. 717-717w, 3301-3432; 16 U.S.C. 2601-2645; 42 U.S.C. 

7101-7352. 

51. In § 281.204, the first sentence in paragraph (a) is revised to read as follows: 

§ 281.204 Tariff filing requirements. 

 (a) General Rule. Each interstate pipeline listed in § 281.202 shall file tariff 

sheets, in accordance with § 154.4 of this chapter, including an index of entitlements, 

which provides that if the interstate pipeline is in curtailment, natural gas will be 

delivered in accordance with the provisions of this subpart. * * * 

* * * * * 

§§ 281.204, 281.212, 281.213 [Amended] 

52. In addition to the amendments set forth above, in 18 CFR Part 281, the following 

nomenclature changes are made to the sections as amended: 

 a. In §§ 281.204 (a), 281.212 (a), 281.212 (b), 281.212 (c), 281.213 (b), 

281.213 (d), 281.213 (e), all references to “sheets” are removed and “sheets or sections” 

is added in their place. 

 b. In § 281.212, the section heading is amended to remove the reference to 

“sheets.” 

PART 284 – CERTAIN SALES AND TRANSPORTATION OF NATURAL GAS 

UNDER THE NATURAL GAS POLICY ACT OF 1978 AND RELATED 
Docket No. RM01-5-000 - 93 - 

AUTHORITIES 

53. The authority citation for part 284 continues to read as follows: 

 Authority: 15 U.S.C. 717-717w, 3301-3432; 42 U.S.C. 7101-7352; 43 U.S.C. 

1331-1356. 

54. In § 284.123, paragraph (e) is revised and paragraph (f) is added to read as 

follows: 

§ 284.123 Rates and charges. 

* * * * * 

 (e) Filing requirements. Within 30 days of commencement of new service, any 

intrastate pipeline that engages in transportation arrangements under this subpart must 

file with the Commission a statement that includes the pipeline’s interstate rates, the rate 

election made pursuant to paragraph (b) of this section, and a description of how the 

pipeline will engage in these transportation arrangements, including operating conditions, 

such as, quality standards and financial viability of the shipper. If the pipeline changes 

its operations, rates, or rate election under this subpart, it must amend the statement and 

file such amendments not later than 30 days after commencement of the change in 

operations or the change in rate election. 

 (f) Electronic filing of statements, and related materials. (1) General rule. All 

filings made in proceedings initiated under this part must be made electronically, 

including rates and charges, or parts thereof, and material related thereto, statements, and 

all workpapers. 
Docket No. RM01-5-000 - 94 - 

 (2) Requirements for signature. All filings must be signed in compliance with 

the following: 

(i) The signature on a filing constitutes a certification that the contents are true 

to the best knowledge and belief of the signer, and that the signer possesses full power 

and authority to sign the filing. 

(ii) A filing must be signed by one of the following: 

(A) The person on behalf of whom the filing is made; 

(B) An officer, agent, or employee of the company, governmental authority, 

agency, or instrumentality on behalf of which the filing is made; or, 

(C) A representative qualified to practice before the Commission under 

§ 385.2101 of this chapter who possesses authority to sign. 

(iii) All signatures on the filing or any document included in the filing must 

comply, where applicable, with the requirements in § 385.2005 of this chapter with 

respect to sworn declarations or statements and electronic signatures. 

(3) Format requirements for electronic filing. The requirements and formats 

for electronic filing are listed in instructions for electronic filing and for each form. 

These formats are available on the Internet at http://www.ferc.gov and can be obtained at 

the Federal Energy Regulatory Commission, Public Reference Room, 888 First Street, 

N.E., Washington, D.C. 20426. 

55. In § 284.224, paragraph (e)(5) is revised to read as follows: 

§ 284.224 Certain transportation and sales by local distribution companies. 
Docket No. RM01-5-000 - 95 - 

* * * * * 

(e) * * * 

(5) Filing Requirements. Filings under this section must comply with the 

requirements of §284.123 (f) of this part. The tariff filing requirements of Part 154 of 

this chapter shall not apply to transactions authorized by the blanket certificate. 

* * * * * 

PART 300 – CONFIRMATION AND APPROVAL OF THE RATES OF 

FEDERAL POWER MARKETING ADMINISTRATIONS 

56. The authority citation for part 300 continues to read as follows: 

 Authority: 16 U.S.C. 825s, 832-8321, 838-838k, 839-839h; 42 U.S.C. 7101-

7352; 43 U.S.C. 485-485k. 

57. In § 300.10, paragraph (a)(4) is added to read as follows: 

§ 300.10 Application for confirmation and approval.

 (a) * * * 

 (4) Electronic filing. All material must be filed electronically in accordance 

with the requirements of § 35.7 of this chapter. 

* * * * * 

PART 341 – OIL PIPELINE TARIFFS: OIL PIPELINE COMPANIES SUBJECT 

TO SECTION 6 OF THE INTERSTATE COMMERCE ACT 

58. The authority citation for part 341 continues to read as follows: 

 Authority: 42 U.S.C. 7101–7352; 49 U.S.C. 1–27. 
Docket No. RM01-5-000 - 96 - 

59. In § 341.0, paragraph (a)(11) is revised and paragraph (a)(13) is added to read as 

follows: 

§ 341.0 Definitions; application. 

 (a) * * * 

 (11) Tariff publication means all parts of a filed tariff, including revised pages, 

supplements and sections. 

* * * * * 

 (13) Section means an individual portion of a tariff that is tracked and accorded 

appropriate legal status (proposed, suspended, effective). A section is the smallest 

portion of a tariff that can be submitted as part of a tariff filing. 

* * * * * 

60. Section 341.1 is revised to read as follows: 

§ 341.1 Electronic filing of tariffs and related materials. 

 (a) General rule. Filings of tariff publications and related materials must be 

made electronically. 

 (b) Requirement for signature. All filings must be signed in compliance with 

the following: 

(1) The signature on a filing constitutes a certification that the contents are true 

to the best knowledge and belief of the signer, and that the signer possesses full power 

and authority to sign the filing. 

(2) A filing must be signed by one of the following: 
Docket No. RM01-5-000 - 97 - 

(i) The person on behalf of whom the filing is made; 

(ii) An officer, agent, or employee of the company, governmental authority, 

agency, or instrumentality on behalf of which the filing is made; or, 

(iii) A representative qualified to practice before the Commission under 

§ 385.2101 of this chapter who possesses authority to sign. 

(3) All signatures on the filing or any document included in the filing must 

comply, where applicable, with the requirements in § 385.2005 of this chapter with 

respect to sworn declarations or statements and electronic signatures. 

(c) Format requirements for electronic filing. The requirements and formats 

for electronic filing are listed in instructions for electronic filing and for each form. 

These formats are available on the Internet at http://www.ferc.gov and can be obtained at 

the Federal Energy Regulatory Commission, Public Reference Room, 888 First Street, 

N.E., Washington, D.C. 20426. 

61. Section 341.2 is amended as follows: 

a. Paragraph (c)(3) is removed. 

b. In paragraph (c)(1), the reference to “ or supplement numbers” is removed 

and “supplemental numbers, or tariff sections” is added in its place. 

c. Paragraphs (a) and (c)(2) are revised to read as follows: 

§ 341.2 Filing requirements.

(a) Service of filings. (1) Carriers must serve tariff publications and 

justifications to each shipper and subscriber. The company may choose to effect service 
Docket No. RM01-5-000 - 98 - 

either electronically or by paper. Such service shall be made in accordance with the 

requirements of Part 385 of this chapter. 

 (2) Unless it seeks a waiver of electronic service, each customer or party 

entitled to service under this paragraph (a) must notify the company of the e-mail address 

to which service should be directed. A customer or party may seek a waiver of electronic 

service by filing a waiver request under Part 390 of this chapter providing good cause for 

its inability to accept electronic service. 

* * * * * 

 (c) * * * 

 (2) Certification. Letters of transmittal must certify that the filing has been 

sent to each subscriber of the tariff publication pursuant to paragraph (a) of this section. 

For service made on paper, the letters of transmittal must certify that the filing has been 

sent to each customer or party by first class mail or other agreed-upon means. If there are 

no subscribers, letters of transmittal must so certify. 

* * * * * 

62. In § 341.3, paragraphs (a), (b)(6)(ii), and (b)(10)(i) are revised, and paragraph (b) 

(10) (vi) is added to read to read as follows. 

§ 341.3 Form of tariff.

 (a) Tariffs may be filed either by dividing the tariff into individual loose-leaf tariff 

sheets or tariff sections, or as an entire document. 

(b) * * * 
Docket No. RM01-5-000 - 99 - 

(6) * * * 

(ii) Each rule must be given a separate item number, (e.g., Item No. 1), and the 

title of each rule must be distinctive. 

* * * * * 

(10) * * * 

(i) All tariff publications must identify where changes have been made in 

existing rates or charges, rules, regulations or practices, or classifications. One of the 

following letter designations or uniform symbols may be used to indicate the change, and 

insertions, other than to tables and rates, must be indicated by either highlight, 

background shading, bold, or underline, with deleted text indicated by strike-through: 

Description Option 1 Option 2 

Increase > [I] 

Decrease < [D] 

Change in wording only ^ [W] 

Cancel / [C] 

Reissued Item ~ [R] 

Unchanged Rate = [U] 

New + [N] 

* * * * * 

(vi) Only revisions to tariff provisions identified in the filing constitute the tariff 

filing. Revisions to unidentified portions of the rate schedule or tariff are not considered 

part of the filing nor will any acceptance of the filing by the Commission constitute 

acceptance of such unmarked changes. 

* * * * * 
Docket No. RM01-5-000 - 100 - 

§ 341.4 [Amended] 

63. In § 341.4, paragraph (c) is removed and reserved. 

64. In § 341.13, paragraph (a) and paragraph (b) introductory text are revised to read 

as follows: 

§ 341.13 Withdrawal of proposed tariff publications. 

(a) Proposed tariff publications. A proposed tariff publication which is not yet 

effective may be withdrawn at any time by filing a notice with the Commission with a 

certification that all subscribers have been notified by copy of such withdrawal. 

 (b) Tariff publications that are subject to investigation. A tariff publication that 

has been permitted to become effective subject to investigation may be withdrawn at any 

time by filing a notice with the Commission, which includes a transmittal letter, a 

certification that all subscribers have been notified of the withdrawal, and the previous 

tariff provisions that are to be reinstated upon withdrawal of the tariff publication under 

investigation. Such withdrawal shall be effective immediately upon the submission of 

the notice, unless a specific effective date is set forth in the notice, and must have the 

following effects: 

* * * * * 

PART 344 – FILING QUOTATIONS FOR U.S. GOVERNMENT SHIPMENTS AT 

REDUCED RATES 

65. The authority citation for part 344 continues to read as follows: 

 Authority: 42 U.S. 7101–7352; 49 U.S.C. 1–27. 
Docket No. RM01-5-000 - 101 - 

66. Amend § 344.2 as follows: 

a. Remove and reserve paragraph (b). 

b. Revise paragraphs (a) and (c) to read as follows: 

§ 344.2 Manner of submitting quotations. 

 (a) The quotation or tender must be submitted to the Commission concurrently 

with the submittal of the quotation or tender to the Federal department or agency for 

whose account the quotation or tender is offered or the proposed services are to be 

rendered. 

 (b) [Reserved] 

 (c) Filing procedure. (1) The quotation must be filed with a letter of 

transmittal that prominently indicates that the filing is in accordance with section 22 of 

the Interstate Commerce Act. 

(2) All filings pursuant to this part must be filed electronically consistent with 

§§ 341.1 and 341.2 of this chapter. 

* * * * * 

PART 346 – OIL PIPELINE COST-OF-SERVICE FILING REQUIREMENTS 

67. The authority citation for part 346 continues to read as follows: 

 Authority: 42 U.S.C. 7101–7352; 49 U.S.C. 60502; 49 App. U.S.C. 1–85. 

68. In § 346.1, the introductory text is revised to read as follows: 

§ 346.1 Content of filing for cost-of-service rates. 

A carrier that seeks to establish rates pursuant to § 342.2(a) of this chapter, or a 
Docket No. RM01-5-000 - 102 - 

carrier that seeks to change rates pursuant to § 342.4(a) of this chapter, or a carrier 

described in § 342.0(b) of this chapter that seeks to establish or change rates by filing 

cost, revenue, and throughput data supporting such rates, other than pursuant to a 

Commission-approved settlement, must file, consistent with the requirements of §§ 341.1 

and 341.2 of this chapter: 

* * * * * 

PART 347 – OIL PIPELINE DEPRECIATION STUDIES 

69. The authority citation for part 347 continues to read as follows: 

 Authority: 42 U.S.C. 7101–7352; 49 U.S.C. 60502; 49 App. U.S.C. 1–85. 

70. In § 347.1, remove the second sentence of paragraph (a), remove the last two 

sentences of paragraph (c), and revise paragraph (b) to read as follows: 

§ 347.1 Material to support request for newly established or changed property

account depreciation studies. 

(a) * * * 

 (b) All filings under this Part must be made electronically pursuant to the 

requirements of §§ 341.1 and 341.2 of this chapter. 

* * * * * 

PART 348 – OIL PIPELINE APPLICATIONS FOR MARKET POWER 

DETERMINATIONS 

71. The authority citation for part 348 continues to read as follows: 
Docket No. RM01-5-000 - 103 - 

Authority: 42 U.S.C. 7101–7352; 49 U.S.C. 60502; 49 App. U.S.C. 1–85. 

72. In § 348.2, paragraphs (a) and (c) are revised to read as follows: 

§ 348.2 Procedures. 

 (a) All filings under this Part must be made electronically pursuant to the 

requirements of §§ 341.1 and 341.2 of this chapter. A carrier must submit with its 

application any request for privileged treatment of documents and information under 

§ 388.112 of this chapter and a proposed form of protective agreement. 

* * * * * 

 (c) A letter of transmittal must describe the market-based rate filing, including 

an identification of each rate that would be market-based, and the pertinent tariffs, state if 

a waiver is being requested and specify the statute, section, subsection, regulation, policy 

or order requested to be waived. Letters of transmittal must be certified pursuant to 

§ 341.1(b) of this chapter. 

* * * * * 

PART 375 – THE COMMISSION 

73. The authority citation for part 375 continues to read as follows: 

 Authority: 5 U.S.C. 551-557; 15 U.S.C. 717-717w, 3301-3432; 16 U.S.C. 791-

825r, 2601-2645; 42 U.S.C. 7101-7352. 

74. Amend § 375.307 as follows: 

 a. Paragraph (b)(1)(i) is amended by removing the word “and” from the end 

of the paragraph. 
Docket No. RM01-5-000 - 104 - 

 b. Paragraph (b)(1)(ii) is amended by removing the period at the end of the 

paragraph and adding “; and” in its place. 

 c. Paragraph (b)(1)(iii) is added to read as follows: 

§ 375.307 Delegations to the Director of the Office of Energy Market Regulation. 

* * * * * 

 (b) * * * 

 (1) * * * 

 (iii) Filings for administrative revisions to electronic filed tariffs. 

* * * * * 

PART 385--RULES OF PRACTICE AND PROCEDURE

75. 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. 791a825v, 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). 

§ 385.203 [Amended] 

76. In § 385.203, paragraph (a)(4), the reference to “sheets” is removed and “sheets or 

sections” is added in its place. 

77. In § 385.215, paragraph (a)(2) is revised to add a first sentence to read as follows: 

§ 385.215 Amendment of pleadings and tariff or rate filings (Rule 215).

(a) * * * 

(2) A tariff or rate filing may be amended or modified only as provided in the 
Docket No. RM01-5-000 - 105 - 

regulations under this chapter. * * * 

* * * * * 

78. In § 385.216, the heading and paragraph (a) are revised to read as follows: 

§ 385.216 Withdrawal of pleadings and tariff or rate filings (Rule 216).

 (a) Filing. Any participant, or any person who has filed a timely motion to 

intervene which has not been denied, may seek to withdraw a pleading by filing a notice 

of withdrawal. The procedures provided in this section do not apply to withdrawals of 

tariff or rate filings, which may be withdrawn only as provided in the regulations under 

this chapter. 

* * * * * 

§ 385.217 [Amended] 

79. In § 385.217, paragraph (d)(1)(iii), the reference to “sheets” is removed and 

“sheets or sections” is added in its place.

§ 385.2011 [Amended] 

80. In § 385.2011, paragraph (b)(1) is removed and reserved, and paragraphs (b)(4) 

and (b)(5) are removed. 
Appendix 

Commenters and Abbreviations 

American Gas Association (AGA) 

Arizona Public Service Company (APS) 

Association of Oil Pipe Lines (AOPL) 

Bonneville Power Administration (Bonneville) 

California Independent System Operator Corporation (CAISO) 

Duke Energy Corporation (Duke Energy) 

Edison Electric Institute (EEI) 

Entergy Services, Inc. (Entergy) 

FirstEnergy Service Company (FirstEnergy) 

Interstate Natural Gas Association of America (INGAA) 

ISO New England, Inc. (ISO New England) 

Midwest Independent Transmission System Operator, Inc. (Midwest ISO) 

Nevada Power Company and Sierra Pacific Power Company (Nevada Power) 

New England Participating Transmission Owners Administrative Committee (New 

England PTOs) 

Public Service Electric and Gas Company and PSEG Energy Resources & Trade LLC 

(PSEG) 

Southern California Edison Company (Southern California Edison) 

TransCanada Corporation (TransCanada) 

UNICON, Inc. (UNICON)