151 FERC ¶ 61,221

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

18 CFR Part 385

[Docket No. RM15-5-000]; Order No. 811

Revised Exhibit Submission Requirements for Commission Hearings

(Issued June 18, 2015)

AGENCY: Federal Energy Regulatory Commission.

ACTION: Final rule.

SUMMARY: In this Final Rule, the Federal Energy Regulatory Commission 

(Commission) is amending Rule 508 of the Commission’s Rules of Practice and 

Procedure to eliminate the requirement that participants in Commission trial-type 

evidentiary hearings must provide paper copies of all exhibits introduced as evidence. 

The Final Rule will facilitate a shift toward electronic hearing procedures which should 

improve the efficiency and administrative convenience of the Commission hearing 

process, reduce the burden and expense associated with paper exhibits, and facilitate the 

compilation and transmittal of the hearing record to the Commission in electronic format.

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

publication in the FEDERAL REGISTER].

FOR FURTHER INFORMATION CONTACT:
Docket No. RM15

-5-000 - 2 -

Karin Herzfeld

Office of the General Counsel

Federal Energy Regulatory Commission

888 First Street, NE 

Washington, DC 20426

Telephone: (202) 502-8459

SUPPLEMENTARY INFORMATION: 
151 FERC ¶ 61,221

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Revised Exhibit Submission Requirements for 

Commission Hearings

Docket No. RM15-5-000

ORDER NO. 811

FINAL RULE

TABLE OF CONTENTS

Paragraph Numbers

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

II. Discussion..............................................................................................................................4.

III. Information Collection Statement ........................................................................................7.

IV. Environmental Analysis.......................................................................................................8.

V. Regulatory Flexibility Act ...................................................................................................9.

VI. Document Availability .........................................................................................................11.

VII. Effective Date and Congressional Notification ..................................................................14.
151 FERC ¶ 61,221

UNITED STATES OF AMERICA

FEDERAL ENERGY REGULATORY COMMISSION

Before Commissioners: Norman C. Bay, Chairman;

 Philip D. Moeller, Cheryl A. LaFleur,

Tony Clark, and Colette D. Honorable.

Revised Exhibit Submission Requirements for 

Commission Hearings

Docket No. RM15-5-000

ORDER NO. 811

FINAL RULE

(Issued June 18, 2015)

1. In this Final Rule, the Federal Energy Regulatory Commission (Commission) is 

amending Rule 508 of the Commission’s Rules of Practice and Procedure1 to eliminate 

the requirement that participants in Commission trial-type evidentiary hearings must 

provide paper copies of all exhibits introduced as evidence. The Commission is 

amending section 385.508 of the Commission’s regulations by removing paragraph (a)(2) 

and redesignating paragraph (a)(3) as paragraph (a)(2). While still retaining the option to 

provide exhibits in paper form, the Final Rule will facilitate a shift toward electronic 

hearing procedures which should improve the efficiency and administrative convenience 

of the Commission hearing process, reduce the burden and expense associated with paper 

 1 18 CFR 385.508.
Docket No. RM15-5-000 - 2 -

exhibits, and facilitate the compilation and transmittal of the hearing record to the 

Commission in electronic format.

I. Background

2. The Federal government has set a goal to substitute electronic means of 

communication and information storage for paper. For example, the Government 

Paperwork Elimination Act directed agencies to provide for the optional use and 

acceptance of electronic documents and signatures, and electronic record-keeping, where 

practical.2

 Similarly, the Office of Management and Budget (OMB) Circular A-130 

required agencies to use electronic information collection techniques, where such means 

will reduce the burden on the public, increase efficiency, reduce costs, and help provide 

better service.

3. On September 21, 2000, the Commission issued Order No. 619, which 

implemented the use of the Internet for submission of certain documents to the 

Commission for filing.

3

 The eFiling system plays an important role in the Commission's 

efforts to comply with the Government Paperwork Elimination Act’s requirement that

agencies provide the option to submit information electronically, when practicable, as a 

substitute for paper.4 Filing via the Internet is optional for eligible documents.

5

 Since 

 2 44 U.S.C. 3504.

3 Electronic Filing of Documents, Order No. 619, 65 FR 57088 (Sept. 21, 2000), 

FERC Stats. & Regs. ¶ 31,107 (2000).

4 44 U.S.C. 3504.
Docket No. RM15-5-000 - 3 -

issuing Order No. 619, the Commission has greatly expanded its ability to accept 

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

applications for certificates and licenses.

6

 In 2008, the Commission further implemented 

a system for electronic tariff filing.

7

 Consistent with these prior efforts to provide 

electronic filing options, on March 19, 2015, the Commission issued a Notice of 

Proposed Rulemaking proposing to eliminate the requirement that all exhibits introduced 

at Commission hearings must be provided in paper form. In response to the NOPR, the 

Commission received comments from the New York Transmission Owners,

8 stating that 

they support the Commission’s proposed elimination of the requirement to provide paper 

copies of exhibits introduced during evidentiary hearings, and that they agree with the 

Commission that this would improve the efficiency and administrative convenience of 

 5 18 CFR 385.2001(a).

6 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); Filing Via the Internet, Order No. 703, 

72 FR 65,659 (Nov. 23, 2007), FERC Stats. & Regs. ¶ 31,259 (2007).

7 Electronic Tariff Filings, Order No. 714, FERC Stats. & Regs. ¶ 31,276 (2008).

8 The New York Transmission Owners consist of Central Hudson Gas & Electric 

Corporation, Consolidated Edison Company of New York, Inc., New York Power 

Authority, New York State Electric & Gas Corporation, Niagara Mohawk Power 

Corporation d/b/a National Grid, Orange and Rockland Utilities, Inc., Power Supply 

Long Island, and Rochester Gas and Electric Corporation.
Docket No. RM15-5-000 - 4 -

the Commission hearing process as well as reduce the substantial burden and expense 

associated with providing paper copies of exhibits.

II. Discussion

4. Section 385.508 of the Commission’s regulations currently requires that “[a]ny 

participant who seeks to have an exhibit admitted into evidence must provide one copy of 

the exhibit to the presiding officer and two copies to the reporter, not later than the time 

that the exhibit is marked for identification.”9

 Under current practice, the court reporter 

assigns Exhibit Numbers to the paper copies and provides the paper copies to the 

Commission’s Docket Branch to be scanned into the Commission’s eLibrary system. 

Copies of all exhibits and motions that are not pre-filed must also be provided to all 

participants at the hearing.

10

5. The administrative law judges recently adopted a revised practice for handling 

exhibits and creating the Exhibit List that removes the need for providing paper copies at 

the hearing. Under this policy, within seven days of the end of the hearing, participants 

must file (via eFiling) a “Joint Exhibit List” and each sponsoring party must file (via 

eFiling) the "Official Copies" of each exhibit that was offered into evidence and admitted 

or rejected.11 Thus, it is no longer necessary or efficient to require all participants to 

 9 18 CFR 385.508(2).

10 18 CFR 385.510(d).

11 See Notice to the Public, Procedures for Handling Exhibits and Developing the 

Electronic Hearing Record (issued December 12, 2014), 

http://www.ferc.gov/media/headlines/2014/2014-4/12-12-14-notice.pdf. 

(continued ...)
Docket No. RM15-5-000 - 5 -

provide the presiding judge and court reporter with paper copies of each exhibit 

introduced at the hearing.

6. In this Final Rule, the Commission is therefore eliminating the requirement that 

participants provide one paper copy of each exhibit to the presiding officer and two paper 

copies to the court reporter.

12 This Final Rule represents a continuation of the 

Commission’s efforts to implement the goal of substituting electronic means of 

communication and information storage for paper means. The Final Rule should save 

resources because participants will no longer be required to make multiple paper copies 

of all exhibits that they intend to submit into evidence. The Final Rule also will facilitate 

the presiding judge’s compilation and transmittal of the hearing record to the 

Commission in electronic format. 

III. Information Collection Statement

7. Certain collections of information are subject to review by the Office of 

Management and Budget (OMB) under section 3507(d) of the Paperwork Reduction Act 

 

All electronically-filed exhibits must comply with eFiling file format 

requirements. See Filing Via the Internet, Order No. 703, FERC Stats. & Regs. ¶ 31,259

at P 33. 

For exhibits that have not previously been provided to the participants, such 

exhibits must still be provided to the participants at the hearing. See 18 CFR 385.510(d).

12 Most participants file pre-filed testimony and exhibits electronically via the 

eFiling system before the hearing. The presiding judge in each case will continue to 

determine how participants exchange exhibits brought to the hearing. See 18 CFR 

385.504(b)(1), (4).
Docket No. RM15-5-000 - 6 -

of 1995 (PRA).

13 OMB’s regulations require OMB to approve certain information 

collection requirements imposed by agency rule.14 This Final Rule does not contain any 

information collection requirements, as defined under section 3502(3) of the PRA, and 

compliance with the OMB regulations is thus not required.

IV. Environmental Analysis

8. 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.15 This action has been categorically excluded under 

section 380.4(a)(2)(ii), addressing procedural rules.16

V. Regulatory Flexibility Act 

9. The Regulatory Flexibility Act of 1980 (RFA)17 generally requires a description 

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

of small entities. This Final Rule concerns procedural matters and is expected to reduce 

the burden and expense associated with paper exhibits and improve the efficiency and 

administrative convenience of the Commission hearing process.

 13 44 U.S.C. 3507(d).

14 5 CFR 1320.12.

15 Regulations Implementing the National Environmental Policy Act of 1969, 

Order No. 486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. Preambles 1986-

1990 ¶ 30,783 (1987).

16 18 CFR 380.4(a)(2)(ii).

17 5 U.S.C. 601-12.
Docket No. RM15-5-000 - 7 -

10. Accordingly, the Commission certifies that this Final Rule will not have a 

significant economic impact on a substantial number of small entities. An analysis under 

the RFA is not required.

VI. Document Availability

11. In addition to publishing the full text of this document in the Federal Register, the 

Commission provides all interested persons an opportunity to view and/or print the 

contents of this document via the Internet through the Commission’s Home Page 

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

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

Washington, DC 20426.

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

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

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

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

document in the docket number field.

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

normal business hours from the Commission’s Online Support at (202) 502-6652 (toll 

free at 1-866-208-3676) or email at ferconlinesupport@ferc.gov, or the Public Reference 

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

at public.referenceroom@ferc.gov.
Docket No. RM15-5-000 - 8 -

VII. Effective Date and Congressional Notification

14. This Final Rule is 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 1996.18 This Final Rule is being submitted to the Senate, 

House, and Government Accountability Office.

List of Subjects in 18 CFR Part 385.508

Exhibits

By the Commission.

( S E A L )

Kimberly D. Bose,

Secretary.

 18 5 U.S.C. 804(2).
Docket No. RM15-5-000 - 9 -

In consideration of the foregoing, the Commission amends Part 385, 

Chapter I, Title 18, Code of Federal Regulations, as follows.

PART 385 – RULES OF PRACTICE AND PROCEDURE

1. The authority citation for Part 385 continues to read as follows:

Authority: 5 U.S.C. 551-557; 15 U.S.C. 717-717z, 3301-3432; 16 U.S.C. 792-

828c, 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).

2. Section 385.508 is amended by revising paragraph (a) to read as follows:

§ 385.508 Exhibits (Rule 508).

(a) General rules. (1) Except as provided in paragraphs (b) through (e) of this 

section, any material offered in evidence, other than oral testimony, must be offered in 

the form of an exhibit.

(2) The presiding officer will cause each exhibit offered by a participant to be 

marked for identification.

* * * * *