UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

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

341, 342, 344, 346, 347, 348, 375 and 385 

Docket No. RM01-5-000 

Electronic Tariff Filings 

(July 8, 2004) 

AGENCY: Federal Energy Regulatory Commission. 

ACTION: Notice of Proposed Rulemaking, Prototype Testing, and Technical 

Conference 

SUMMARY: The Federal Energy Regulatory Commission is proposing 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 electronically via software provided by 

the Commission. Upon the effective date of a final rule in this proceeding, the 

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

is intended to improve the administrative convenience for the regulated entities, facilitate 

public access to the tariffs, improve the overall tariff management processes, and 

facilitate the Commission’s and the public’s analysis of proposed tariff changes and tariff 

filings. 

The Commission will make the proposed tariff filing software available on its website 

(http://www.ferc.gov) shortly after this Notice of Proposed Rulemaking (NOPR) is issued 

and is seeking participation from the industry in testing the software as well as comments 

on its operation. Commission staff will hold a technical conference with the industry and 

the public to assess the results of the testing. 

DATES: Comments are due October 4, 2004. 
Docket No. RM01-5-000 - 2 - 

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

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

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

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

20426. Refer to the Comment Procedures section of the preamble for additional 

information on how to file comments. 

FOR FURTHER INFORMATION CONTACT: 

H. Keith Pierce (Technical Information) 

Office of Markets, Tariffs, and Rates 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8525 

Keith.Pierce@ferc.gov 

Jamie Chabinsky (Legal Information) 

Office of the General Counsel 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-6040 

Jamie.Chabinsky@ferc.gov 

Bolton Pierce (Software Information) 

Office of Markets, Tariffs, and Rates 

Federal Energy Regulatory Commission 

888 First Street, N.E. 

Washington, D.C. 20426 

(202) 502-8803 

Bolton.Pierce@ferc.gov 

SUPPLEMENTARY INFORMATION:
UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

 

Electronic Tariff Filings Docket No. RM01-5-000 

NOTICE OF PROPOSED RULEMAKING 

ISSUED: July 8, 2004 
Docket No. RM01-5-000 ii 

TABLE OF CONTENTS

 Paragraph Number 

I. BACKGROUND..................................................................................................................3.

II. DISCUSSION...................................................................................................................11.

A. Scope.............................................................................................................................14.

B. Tariff Sections...............................................................................................................16.

C. Description of the Proposed Tariff Software................................................................32.

1. Tariff Creation and Submission.................................................................................33.

2. Tariff Text..................................................................................................................34.

3. Meta Data ..................................................................................................................39.

4. Tariff Filing ...............................................................................................................41.

5. Confidential Information ...........................................................................................47.

6. Public Access to the Tariffs and Tariff Filings .........................................................48.

D. Proposed Transition Procedures ...................................................................................51.

E. Proposed Changes to the Commission Regulations......................................................59.

1. Notices of Cancellation, Termination, or Succession ...............................................62.

2. Withdrawal of Pending Tariff Filings and Amendments to Tariff Filings ...............65.

III. PROTOTYPE TESTING ................................................................................................71.

IV. COMMENT PROCEDURES .........................................................................................74.

V. INFORMATION COLLECTION STATEMENT ...........................................................77.

VI. ENVIRONMENTAL ANALYSIS .................................................................................80.

VII. REGULATORY FLEXIBILITY ACT CERTIFICATION...........................................81.

VIII. DOCUMENT AVAILABILITY ..................................................................................82.
UNITED STATES OF AMERICA 

FEDERAL ENERGY REGULATORY COMMISSION 

Electronic Tariff Filings Docket No. RM01-5-000 

NOTICE OF PROPOSED RULEMAKING 

(July 8, 2004) 

1. The Federal Energy Regulatory Commission (Commission) is proposing to amend 

its regulations to mandate that utilities make their tariff and rate case filings electronically 

with the Commission, over the Internet, via computer software provided by the 

Commission. Electronically filed tariffs and tariff changes should improve the efficiency 

and administrative convenience of the tariff and tariff change filing process, reduce the 

burden and expense associated with paper tariffs and paper tariff changes, facilitate 

public access to tariff information, improve the overall management of the tariff and tariff 

change processes, and facilitate the analysis of proposed tariff changes. In addition, 

electronically filed tariffs should improve access and research capabilities within and 

among applicants’ tariffs. This feature should help facilitate the Commission’s 

monitoring of energy markets, to the benefit of the customers and all involved. It also 

should enhance competition within industries by providing the customers and all 

involved with an electronic means of comparing the rates, terms and conditions, and 

other provisions applicable to the regulated entities. 

2. After the issuance of this Notice of Proposed Rulemaking (NOPR), the 

Commission will be posting on its website instructions for downloading the proposed 

software that the utilities will use to make their tariff and rate case filings. The 

Commission encourages utilities to download the proposed software to see how the 

system will operate and to participate in the Commission’s program for testing the 

software. 

I. BACKGROUND

3. 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 
Docket No. RM01-5-000 - 2 - 

practical.1

 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.2 This requirement applies to all filings, including tariff filings. 

4. As part of its statutory responsibilities, the Commission requires regulated entities 

to file tariffs which include, among other things, their respective rates, and terms and 

conditions of service.3

 In addition, the Commission regulations require regulated entities 

that are amending tariffs to file material accompanying the proposed tariff changes. This 

material can range from a filing including a letter of transmittal, an explanation of the 

basis of the filing, and a form of notice to a full rate case filing, including required 

schedules detailing the derivation of the rates. 

5. Currently, gas and electric tariffs are filed at the Commission in the form of 

numbered tariff sheets. When changes to the tariffs are necessary, the companies file 

substitute or revised tariff sheets, which supersede the effective tariff sheets on file.4

 The 

use of tariff sheets as the base unit for the tariff allows for changes to be submitted to the 

Commission without the necessity of refiling the entire tariff. 

 1 See 44 U.S.C. § 3504 (a)(1)(B)(vi); 44 U.S.C. § 3504 note, Pub. L. No. 105-277, 

§ 1704 (October 21, 1998). 

2

 Circular A-130, Para. 8.a.1(k). 

3

 A tariff is the compilation of any rates, schedules, rate schedules, contracts, 

application, rule, or similar matter that clearly and specifically set forth all rates and 

charges for any services subject to the jurisdiction of this Commission, the classifications, 

practices, rules and regulations affecting such rates and charges and all contracts which in 

any manner affect or relate to such rates, charges, classifications, services, rules, 

regulations or practices. 

4

 Such tariff pages are frequently identified using the following nomenclature, as 

an example, Third Revised Sheet No. 100, superseding Second Revised Sheet No. 100. 
Docket No. RM01-5-000 - 3 - 

6. Oil pipeline tariffs do not use the tariff sheet format. The oil pipeline tariff format 

consists of parts identified by item numbers. Changes are filed either as complete tariffs5

or tariff supplements.6

 The changes being made by the new filing are identified by the 

item number, and can be revisions, insertions, and cancellations. 

7. The Commission has previously undertaken changes to provide for electronic 

submission of tariff filings and other material. In 1988, the Commission required natural 

gas pipelines to file formatted electronic versions of certain tariffs on diskette in addition 

to filing paper copies. These requirements retained the tariff page concept. Each pipeline 

files electronically only the tariff page or pages that are being revised. In Order No. 888, 

the Commission required that public utilities submit a complete electronic version of all 

open access transmission tariffs and service agreements in a word processor format, with 

the diskette labeled as to the format (including version) used, initially and each time 

changes are filed. The electronic filing requirements do not extend to oil pipelines, 

which, to this date, are required to file only paper copies of their tariffs. 

8. With respect to electric filings, the Commission, in Order No. 614, stated that it 

was initiating a process “necessary to accommodate the movement toward an integrated 

energy industry and to facilitate the development of common standards for the electronic 

filing of all rate schedule sheets."7

 Order No. 614 required public utilities to refile their 

tariffs to comply with new formatting requirements, including removing superceded tariff 

language, extraneous provisions, and items that were not subject to Commission 

jurisdiction.8

 These refilings were to aid public utilities in preparing their tariffs for 

conversion to an electronic format. As another step in moving towards electronic filing, 

the Commission, in Order No. 2001,9

 eliminated the requirement to file paper copies of 

conforming service agreements, but required the filing of an electronic report that 

summarized the contractual terms and conditions in the service agreements. 

 5

 For example, to indicate that a new tariff had been filed to supersede an existing 

tariff, the tariff would state: FERC No. 46 cancels FERC No. 45. 

6

 For example, a supplement filed to amend a tariff could be identified as: 

Supplement No. 1 to FERC No. 46. 

7

 Designation of Electric Rate Schedule Sheets, Order No. 614, 65 FR 18221, 

FERC Stats. & Regs., ¶ 31,096 at 31,501 (2000). 

8 E.g., Boston Edison Company, 98 FERC ¶ 61,292 (2002). 

9

 Revised Public Utility Filing Requirements, Order No. 2001, 67 FR 31043, 

(May 8, 2002), FERC Stats. & Regs., ¶ 31,127 (2002). 
Docket No. RM01-5-000 - 4 - 

9. At the same time, the Commission has been expanding the scope of electronic 

filing with respect to material filed with the Commission.10 These regulations permit 

electronic filing of interventions, protests, rehearings, and other material. But, to date, 

they do not include materials filed to revise tariffs, and except as discussed above, have 

not provided for electronic filing of tariffs. 

10. On March 14, 2001, the Commission issued a Notice of Inquiry and Informational 

Conference (NOI) in this proceeding. The NOI requested comments, from the electric, 

gas, oil, and other regulated industries that file tariffs, on several specific and general 

issues.11 The NOI further provided for the establishment of a staff informational 

conference to discuss the electronic tariff filing initiative. The NOI requested comments 

on whether to move to a section-based tariff, whether to standardize tariffs, and the 

electronic format to be used in filing tariffs. The conference was held on April 24, 2001, 

with interested members of the public and industry in attendance.12 Comments on the 

NOI were filed by the sixteen parties listed in Appendix A. Most of the commenters 

responded to the issues in general, with the majority opposing any effort to standardize 

tariffs out of concern about unintended tariff changes that could result and the possibility 

that such reorganization could spawn burdensome proceedings to check and resolve 

potential discrepancies. 

 10 See Electronic Registration, Order No. 891, 67 FR 52406 (Aug. 12, 2002), 

FERC Stats. & Regs. ¶ 31,132 (2002); Electronic Filing of FERC Form 1, Order No. 626, 

67 FR 36093 (May 23, 2002), FERC Stats. & Regs. ¶ 31,130 (2002); Electronic Service 

of Documents, 66 FR 50591 (Oct. 4, 2001), FERC Stats. & Regs. ¶ 35,539 (2001); 

Revised Public Utility Filing Requirements, Order No. 2001, 67 FR 31043 (May 8, 

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

619, 65 FR 57088 (Sept. 21, 2000), FERC Stats. & Regs. ¶ 31,107 (2000); Electronic 

Notification of Commission Issuances, Notice of Proposed Rulemaking, 107 FERC 

¶ 61,311 (2004). 

11 Electronic Tariff Filings, 66 FR 15673 (March 20, 2001), FERC Stats. & Regs. 

¶35,538 at 35,789-91 (2001). 

12 Notice of the conference was published in the Federal Register, 66 FR 17130 

(March 29, 2001). 
Docket No. RM01-5-000 - 5 - 

II. DISCUSSION

11. This NOPR represents a continuation of the Commission’s efforts to meet its 

responsibilities in implementing the goals of the legislative and executive branches of the 

federal government with respect to substituting electronic means of communication and 

information storage for paper means. The benefits of this endeavor for all involved, 

including the regulated industries, the customers, state commissions, parties to the 

proceedings, the Commission and its staff, other persons impacted by the tariffs and tariff 

filings, and the general public, are extensive. Thus, the primary justifications for this 

NOPR are to reap the benefits of electronic filing and access and to implement the goals 

of the legislative and executive branches of the federal government with respect to 

moving towards the electronic filing of documents. 

12. The Commission is proposing in this rule to require regulated entities filing under 

Parts 35, 154, 284, 300 and 34113 to make all tariff and rate filings, as well as other 

material involved in these proceedings, electronically.14 Requiring the provision of all 

tariff and related material electronically will provide easier access, including search and 

copy and paste functionality, to all such material. The Commission is developing its own 

software to accommodate the tariff filings. This software will be distributed via the 

Commission’s web site to all utilities needing to make the filings. In order to make their 

initial tariff compliance filing, regulated entities will have to electronically cut and paste 

their existing tariffs into the software in order to submit the material using the Internet. 

As discussed below, the Commission proposes some changes from current practice to 

 13 At this time, the Commission is not proposing to include pro forma tariffs filed 

in certificate proceedings under § 7, or import/export permission under § 3, of the Natural 

Gas Act, although such filings could be included at a later date. Compliance tariff filings 

pursuant to findings made by the Commission pursuant to §§ 3 and 7 of the NGA are 

proposed to be subject to the electronic tariff requirements. 

14 These filings include, but are not limited to, tariffs, rate schedules, and 

contracts, or parts thereof, and material related thereto, cancellation, termination or 

adoption of tariffs, statements, workpapers, responses to data requests, compliance 

filings, and rehearings. 
Docket No. RM01-5-000 - 6 - 

facilitate electronic filing. The Commission is proposing to change from the tariff-sheet 

format to a section-based format, which is better suited to electronic filing.15 Also, the 

Commission proposes to standardize the process for withdrawals of tariff filings and 

amendments to tariff filings. 

13. The Commission will discuss below in greater detail the mechanism it is 

proposing. 

A. Scope

14. The companies or entities covered by this NOPR 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), and any other relevant statutes. Included among the companies or 

entities proposed to be covered by requirement are: regional transmission organizations 

(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.

15. Further, to the extent that the Commission has granted waivers to regulated 

entities with respect to the requirements that they file tariffs, rates, rate schedules, and/or 

contracts in the format required by our regulations, the Commission is proposing to 

rescind such waivers with the effectiveness of a final rule in this proceeding. Those 

entities would therefore be required to refile their tariffs, rates, rate schedules, and/or 

contracts consistent with the electronic formatting requirements proposed in this NOPR. 

This includes, for example, Part 284 negotiated rate contracts that have been filed in lieu 

of a tariff sheet under the Commission’s negotiated rate policy,16 and pipelines serving 

 15 Commenters to the NOI objected to requiring a reorganization of the tariff 

structure and the Commission is not proposing any reorganization in this NOPR. 

16 See Natural Gas Pipeline Negotiated Rate Policies and Practices, 104 FERC 

¶ 61,134 at P 31-34 (2003); East Tennessee Natural Gas Company, 107 FERC ¶ 61, 197 

(2004). Service agreements, such as those discussed in ANR Pipeline Company, 

106 FERC ¶ 61,313 (2004), Columbia Gulf Transmission Company, 96 FERC ¶ 61,242 

and 61,243 (2001) will be required to be filed as part of the electronic tariff. 
Docket No. RM01-5-000 - 7 - 

industrial customers that filed transportation contracts.17 The Commission’s objective is 

to have all tariffs for all companies and industries in the same format and available from 

the same location without the need to go to different places depending on the industry or 

company at issue.

B. Tariff Sections

16. In order to make the process of referencing and searching tariffs easier, the 

Commission is proposing to replace the traditional use of tariff sheets with tariff sections 

as the basis for making tariff revisions. Using the Commission’s software, companies 

will be able to file tariff revisions by filing to revise specific tariff sections, or by adding 

or removing tariff sections. As a result companies will no longer file tariff supplements 

to reflect tariff revisions,18 but instead will directly change the tariff sections. 

17. The concept of the tariff sheet is a hold-over from a paper filing world in which 

revised tariff sheets were filed so that they could replace individual pages in a tariff book. 

In an electronic world, there is no longer a need to physically replace pages in a tariff 

book. Instead, electronic filing is much more conducive to replacing only the specific 

tariff section involved in the revision. 

18. The use of tariff sheet filing has, in the past, caused certain difficulties in finding 

tariff provisions. Under the tariff sheet method, there are two references to each relevant 

tariff provision, the sheet number (which is the official reference) and the internal section 

number. In pleadings before the Commission, parties frequently refer only to the section 

that is being changed rather than to the official tariff sheet. For example, reference is 

frequently made to General Terms and Conditions, section 12.1, rather than to the 

particular tariff sheet on which this section is located. Under a tariff sheet method, it can 

be difficult to determine which tariff sheet is being referenced, which in turn makes tariff 

research more difficult. 

 17 E.g., B-R Pipeline Co., 89 FERC ¶ 61,312 at 61,955-957 (1999); Valero Natural 

Gas Pipeline Co., 82 FERC ¶ 61,280 at 62,094 (1998).

18 A tariff supplement is similar to an appendix or codicil that reflects revisions to 

be made to the tariff. Tariff supplements are used frequently in oil company tariff filings, 

and the Commission staff will work with individual oil companies to determine the 

easiest and most efficient means of transitioning from the use of supplements to the new 

electronic filing method. 
Docket No. RM01-5-000 - 8 - 

19. Another problem with the current system is that a company may make multiple 

filings to change different parts of its tariff language or rates on the same tariff page. 

While these proposed changes are pending Commission action, the tariff includes 

multiple versions of the same tariff page, some of which may be effective and others 

suspended and not yet effective. A further problem is that when a paragraph of text is 

added or deleted from one page of the tariff, there can be a domino effect on many of the 

subsequent pages. Unchanged tariff provisions are pushed forward or backward on the 

subsequent tariff pages. Thus, the company has to file changes to many subsequent tariff 

pages because their appearance changes even though there are no substantive changes on 

those sheets. This also makes it hard to do historical tariff research. 

20. The current tariffs generally include a designation for each tariff sheet denoting 

where that sheet falls in the range of sheets that have been filed, e.g., Second Revised 

Sheet No. 100 indicates that two other sheet 100s were filed before that one. The 

Commission is proposing to replace this numbering scheme by simply dating each tariff 

section as it is filed, and identifying which sections are effective, proposed, and 

suspended. Commenters should address whether using such date stamps will be 

sufficient to identify historic tariff provisions. 

21. Tariffs of gas pipelines and public utilities currently employ an organizational 

structure, with a form of outline or section numbering, to a single tariff. This structure 

can be maintained in filing section based tariffs, although, as discussed below, the 

Commission requests comment on whether a uniform numbering system should be 

employed across all tariffs or tariffs within an industry. Oil pipelines currently file 

individual tariffs relating to a specific movement of oil between specified points, or to a 

series of related movements. The Commission here is proposing that these individual 

tariffs be structured as a single tariff, with sections that refer to the individual or related 

movements. 

22. In comments on the NOI, the Interstate Natural Gas Association of America , Gulf 

South Pipeline Company, LP, Enron Interstate Pipelines and the William Companies, Inc. 

(collectively, INGAA) oppose a section-based electronic tariff. INGAA contends that the 

existing page-based system is easy to reference and print. It argues sections could easily 

span multiple printed pages, which is inefficient, and the printed tariff would no longer 

have a common format. INGAA states an electronic section-based system will not 

improve the overall process of referencing tariff sections, because paper copies of the 

tariff will still be necessary to maintain and reference, and number of pages in those 

paper versions will increase due to inefficient use of space. Further, INGAA maintains 

tariff sections do not eliminate the issue of redesignating sections to reflect the addition 

of new sections. Thus, it argues a section-based tariff offers no improvement in historical 

research, and concludes that the costs of converting to a section-based system outweigh 

the limited benefits. The Association of Oil Pipelines and Buckeye Pipe Line Company 
Docket No. RM01-5-000 - 9 - 

(collectively, AOPL) support a section-based tariff for the oil program. Given the current 

format of oil tariffs, AOPL believes a section-based system is appropriate. 

23. While reformatting tariffs in a section-based format will cause some additional 

effort in the initial filing stage, the Commission believes that such a change is warranted 

for the reasons discussed above. Continuing with a system of dual referencing to tariff 

provisions causes confusion and makes tariff research more difficult. In fact, pipeline 

companies, when establishing internal tariff cross-references, use tariff sections as the 

cross reference and not tariff sheet numbers. 

24. INGAA contends that printing sections will be more difficult than printing tariff 

sheets, because a section may require multiple pages to print. But this same problem can 

occur with tariff sheets, since in most instances, those using tariffs print the tariff section 

in which they are interested, even if that section covers numerous tariff sheets. As to the 

ability to print a large number of sections with a minimum of unused space, that is simply 

an issue of software design which is being examined. 

25. INGAA maintains that moving to a section-based tariff will not change the 

problem of having to redesignate sections as new sections are added. As discussed 

below, the Commission is requesting comment on whether under a section-based system, 

utilities should not be permitted to change the initial section numbering of the tariff 

sheets in order to improve the ability to do tariff research. 

26. The Commission requests specific comment on a number of issues raised by 

different section numbering methods. 

27. First, tariffs filed with the Commission currently use different section numbering 

or outlining schemes. Public utility tariffs generally number sections using a numeric 

numbering approach, e.g., 1.1.2.3. In contrast the gas pipelines often use a Roman 

outlining approach for each portion of the tariff. For example, the General Terms and 

Conditions (GT&C) portion of the tariff would use (a)(2)(i) to identify various tariff 

provisions within the GT&C. The oil pipelines' tariffs frequently utilize only paragraph 

numbering. 

28. The tariff filing software the Commission is developing can handle any document 

numbering scheme. However, the Commission requests comment on whether to adopt a 

standardized numbering or outlining scheme for tariff filings across industries, to adopt a 

standardized scheme within each industry, or to permit each filer to choose its own 

numbering scheme. The use of a numeric scheme, such as 1.1.2, appears more consistent 

with electronic filing, because it can easily accommodate the filing of new tariff sections 
Docket No. RM01-5-000 - 10 - 

between other sections. For example, if there are two sections, 1.1 and 1.2, and a section 

needs to be inserted between those, it can simply be labeled 1.1.1.19 On the other hand, 

the Commission recognizes that changing numbering schemes could require the utility to 

go through its tariff to identify all cross-references that need to be changed. The 

Commission requests comment from users of tariffs as to whether a uniform numbering 

and citation scheme would be of sufficient use as to warrant the effort involved in 

changing numbering schemes. 

29. Second, the Commission requests comment on whether utilities should not (except 

in extreme cases) change the initial numbering of tariff provisions. For instance, in 

adding a tariff section in between existing sections, 3.1 and 3.2, the utility should not 

renumber the pre-existing sections, but instead should add a subsection, 3.1.1, or a new 

section, 3.3. Keeping section numbers stable would make historical tariff research easier, 

since a reference in a two-year old order to a particular tariff section will still refer to the 

same section at a later point in time, and permit the user to see how the section read at the 

time of the order. 

30. Third, commenters should address the size of the individual sections to be 

included in the tariff. In other words, should the utilities in making their initial filing be 

required to break their tariff into the same sections they currently use, or should they be 

able to file larger or smaller sections. For example, if a utility currently breaks its tariff 

into sections of three levels (1.1.1), should it be required to create its initial tariff with at 

least that many levels or should it be able to create larger sections, filing only sections of 

two levels. Decreasing the number of levels would make the creation of the initial tariff 

easier, but on the other hand would make each level less specific. This issue will also be 

examined during the testing of the prototype software. 

31. Fourth, commenters should address whether using date stamps to reference 

changes in tariff sections is sufficient or whether the existing practice of numbering 

revisions with designations like Second Revised Section 1.1.2 would provide for more 

accurate tracking and citation. 

C. Description of the Proposed Tariff Software

32. The Commission will describe in more detail below the way in which the tariff 

software and filing system will operate. 

 19 Indeed, whatever choice is made, the proposed tariff software will be using such 

a numbering scheme internally to keep track of the relationship between labeled sections. 
Docket No. RM01-5-000 - 11 - 

1. Tariff Creation and Submission

33. The tariff creation and submission modules will be available from the 

Commission’s website and downloadable to anyone, free of charge. These modules will 

install on most personal computers that have a Microsoft Windows operating system, 

such as Windows 2000 or XP. The Commission expects that, at a minimum, every 

regulated entity, agent or person that submits tariff filings will have to install this 

software after the rule becomes effective. These parties, for the purposes of this 

discussion, will be referred to as the “client.” The tariff creation and submission software 

consists of several components. The principal components are the actual tariff text; and 

the data that provide information about the tariff section (in this NOPR referred to as 

“metadata”). 

2. Tariff Text

34. Tariffs consist largely of text. However, either as required by Commission 

regulation or company option, some type of graphic may be required, such as a map 

showing zone boundaries.20 Some tariff content is best formatted in programs other than 

a text program, such as a table or columns created by a spreadsheet program for tariff 

sections that identify rates or rate tables. The software which the Commission provides 

to the client will be capable of accommodating at least these standard electronic formats. 

Utilities will be expected to make all rate case filings using the Commission software. 

35. The software the Commission provides to clients will permit the regulated entities 

to create their tariffs in several electronic formats, provided such format meets certain 

criteria. First, the electronic tariff text must be in a format that can be cut and pasted into 

the Commission’s software. This requirement permits the use of virtually every 

Windows text software including Word, WordPerfect, AmiPro, Adobe and dozens of 

other text programs, spreadsheet programs such as Excel and Quattro, presentation 

software, and many other software programs. Material generated on other operating 

systems, such as Apple’s or Linux’, in programs with cut and paste capabilities also can 

serve as sources for tariff material. These programs permit the tariff creator to create 

many different text formats. While there is never a guarantee that material cut and pasted 

from one software product into another will retain its formatting, most of the formatting 

should transfer. The Commission’s tariff creation software will have limited text editing 

capabilities to correct minor problems that may occur. 

 20 See 18 CFR 154.106. 
Docket No. RM01-5-000 - 12 - 

36. The electronic tariff may not include embedded objects. Embedded objects 

require additional software to access and read that the Commission or the public may not 

have. Further, embedded objects are difficult to manage and extract information 

necessary for other required functions, such as word searches of tariffs. 

37. The tariff may include graphics. However, the Commission proposes that 

graphics cannot include any text that cannot be found utilizing standard search software. 

38. The formatting requirements for gas pipeline rate case filings established in 

Order No. 582 will continue to apply. In this proceeding, the Commission is not 

proposing similar requirements for the other regulated entities; although such changes in 

filing requirements may be proposed in the future in other proceedings. Public utilities 

and oil pipelines can make their rate case filings in any format accepted by the 

Commission’s software. 

3. Meta Data

39. Each tariff section has a large amount of data that is associated with it that provide 

information as to whose tariff it is, what its origins are, and what its status is. These data 

will be available for viewing along with the tariff sections as an information resource to 

improve understanding about the tariff and tariff sections. Some of these data change 

over time, such as status of the tariff section (e.g., proposed, accepted, accepted and 

suspended, rejected) and effective date. The Commission’s tariff filing requirements 

define what data is required for a regulated entity to submit a complete tariff filing, such 

as the proposed effective date. 

40. In a paper environment, some data are required to be placed on the same sheet as 

the tariff text, such as the company name and tariff name. Other data are maintained 

elsewhere, such as the date of filing or docket number. The Commission proposes to 

maintain an electronic tariff data base that has each of these metadata elements associated 

with every section of the tariff. The software will populate certain metadata with default 

required values (such as company name and filer’s name), and require the company to 

populate other required fields, such as the proposed effective date. 

4. Tariff Filing

41. Once a regulated entity completes its creation of the tariff filing and the supporting 

documentation, the tariff filing must be assembled prior to submission to the 

Commission’s Secretary. The Commission’s software will provide industry specific 

tariff filing menus for electric, gas or oil filings. The software will permit the required 

and additional supporting documents to be attached as part of the tariff filing. 
Docket No. RM01-5-000 - 13 - 

42. The Commission is not proposing any additional formatting requirements for the 

electronic files, such as spreadsheets or other types of documents that contain large 

amounts of data. Existing formatting requirements will continue, such as those 

established for natural gas rate case filings in Order No. 582.21 The Commission’s 

experience with gas rate case filings shows that in many cases, raw data provided in 

spreadsheets is easier to manipulate than data which is formatted for viewing or printing, 

but may not be as legible and easy to read. The Commission invites comments on 

whether to impose requirements with respect to formatting or legibility. 

43. There are some types of files that the Commission currently cannot manage as part 

of a tariff filing. These include video and audio files. The Commission will post on its 

website the file types it cannot accept as part of a tariff filing. The software will check 

file extensions and provide a warning to the client. 

44. Natural gas pipelines and public utilities will still be required to file a marked 

version of the tariff. Although the tariff creation software the Commission provides will 

have the capability to generate marked versions of the tariff, the Commission believes 

that applicants should be responsible for identifying those changes for which they are 

requesting Commission action. 

45. Currently, oil pipelines are required to indicate changes in tariff language through 

the use of symbols. These symbols are part of the effective tariff and show where 

changes occurred from the superceded tariff. These symbols may be considered graphics 

in the Commission’s software, which could lead to unpredictable results in generating a 

redlined/strikeout version of the tariff. The Commission proposes to require oil pipelines 

to mark tariff changes in the same manner as the electric and gas programs. 

46. The Commission’s Secretary will receive electronic tariff and tariff filings. If the 

Secretary deems the filing to have satisfied the minimal elements for submitting a filing 

to the Commission, the Secretary will assign a docket number and an eLibrary accession 

number to the filing.22 The Secretary will then e-mail a response to the filing party with 

that information. 

 21 Filing and Reporting Requirements for Interstate Natural Gas Company Rate 

Schedules and Tariffs, Order No. 582, 60 FR 52960 (Oct. 11, 1995), FERC Stats. & 

Regs. Regulations Preambles [Jan. 1991- June 1996] ¶ 31,025 at 31,434-35 (Sept. 28, 

1995). 

22 eLibrary is the Commission’s electronic document management system. 
Docket No. RM01-5-000 - 14 - 

5. Confidential Information

47. Although most tariff filings do not contain confidential information, in some cases 

such information, including maps or other critical energy infrastructure information, may 

be included. The Commission’s tariff filing software will contain options for the 

applicants to identify various levels of security as provided by the Commission’s 

regulations. Further, the tariff filing submission process will abide with all applicable 

federal laws with regard to filing sensitive material with a government agency over the 

Internet. In cases in which confidential information is included, the filer will have to file 

the confidential information and a redacted version of the document. In addition, in cases 

where the confidential information is germane to the filing, the filer should have a 

protective order prepared that will permit parties to the case to review such information 

so they can knowledgeably participate in the proceeding.23

6. Public Access to the Tariffs and Tariff Filings

48. Access to tariffs and tariff filings is necessary for the public to ascertain a 

regulated entity’s effective rates, terms and conditions, and whether they have an interest 

in a pending proceeding. Experience with the electronic gas tariff database also has 

shown the value of providing access to a historical record of past tariff sections, and the 

ability to search using a variety of criteria both within a tariff, among tariffs, and within 

an industry’s tariffs. 

49. Currently, the Commission provides the gas program’s electronic tariffs in two 

formats from the Commission’s website. One format, FASTR, is the Commission’s tariff 

software and the other format is HTML, which can be accessed using a standard web 

browser such as Netscape or Internet Explorer. The FASTR format provides the public 

and natural gas pipelines the same functionality that is available to the Commission and 

access to the same metadata not otherwise shown on the tariff sheets. However, this level 

of access requires downloading the FASTR software and a tariff data base. The 

Commission’s posted HTML version only reflects the currently effective tariff, without 

search capability and additional metadata information. 

50. The Commission proposes to make the electronic tariff data base accessible to the 

public in a similar manner through its web site at http://www.ferc.gov. 

 23 See 18 CFR 385.214 (5)(i). 
Docket No. RM01-5-000 - 15 - 

D. Proposed Transition Procedures

51. The Commission is aiming for a March 1, 2005 effective date for the proposed 

regulations, along with a staggered implementation period as described below. Regulated 

entities, therefore, should take this date and the transition process into account in their inhouse planning process. Since the Commission is making the software for this effort 

available soon after the issuance of this NOPR, the regulated entities will have more than 

half a year to become familiar with the software. 

52. The Commission proposes to implement the electronic tariff filing in a staggered 

six month transition process. During this period all entities with tariffs on file at the 

Commission will have to refile their existing and effective tariffs in electronic format 

utilizing the Commission’s software. This initial filing will be referred to as the baseline 

tariff filing. The baseline tariff filing is to have no other proposed changes included in it. 

Rather, the baseline tariff filing will strictly be used for the purpose of putting the 

existing effective tariff into an electronic format using the Commission’s software. Any 

other changes to the tariff, which are not specifically mandated by the Commission’s 

software, will be rejected. 24 

53. The baseline tariff filings will be subject to notice and comment to permit 

customers to ensure that the proposed baseline tariff is an accurate duplication of the 

effective tariff. Protests in the baseline tariff proceedings, therefore, will only be 

considered if they involve the issue of whether the baseline tariff reflects an accurate 

duplication of the existing effective tariff. No protests involving other issues, such as the 

merits of various sections of the tariff, will be considered. Rather, they will be rejected 

as being outside the scope of the baseline tariff filing proceedings. 

54. 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 will not have to file these pending or 

suspended tariff sections as part of the baseline tariff filing. However, the regulated 

entity will be required to identify the proceedings where such tariff changes exist. As the 

Commission acts on pending or suspended tariffs sections, the Commission will require 

the regulated entities to file the accepted tariffs in the new electronic format. 

55. The Commission proposes to implement the proposed electronic tariff regulations 

as follows. All new regulated entities filing tariffs for the first time from the effective 

date of the final rule must file complete electronic tariffs under the proposed regulations. 

 24 For example, since the software will be section-based, as opposed to 

page-based, changes necessary to implement this change will be acceptable. 
Docket No. RM01-5-000 - 16 - 

Any regulated entity that wishes to file its baseline tariff in accordance with the new 

regulations after the effective date of the final rule, but before the required transition date, 

is free to do so. 

56. The Commission proposes to require the majority of the regulated entities to 

transition to the new electronic format over a six month period, with natural gas pipelines 

filing in the first eight week period, followed by oil pipelines over an eight week period, 

and public utilities, including RTOs and ISOs, as well as Power Authorities and Power 

Marketing Administrations, over a 14 week period. The Commission proposes that the 

gas pipelines proceed first, as their tariffs are largely already in an electronic format and 

they are accustomed to filing tariffs with the Commission in an electronic format. The 

Commission proposes that the oil pipelines follow, as their tariffs are comparatively 

small, but are not currently maintained in an electronic format. The Commission 

proposes that the electric entities file after the oil filing period ends. With the exception 

of the OATTs, electric tariffs are not maintained in an electronic format. Further, the 

Commission is aware that many public utilities have not made full use of their 

opportunities provided by Order Nos. 614 and 2001. These orders provide utilities with 

an opportunity to purge their tariffs of outdated, superceded, unnecessary and no longer 

required tariff text, and to reorganize their tariffs. These changes can reduce the volume 

of tariff sections requiring conversion and resubmission as part of the baseline tariff. 

Placing the electric industry last in the conversion process will give them additional time 

to bring their tariffs up to current standards. 

57. The Commission is proposing a compliance period of one year for the following: 

(1) pipelines which are subject to the NGPA and Part 284 of the Commission’s 

regulations; (2) Part 153 natural gas pipelines (i.e., natural gas pipelines constructed for 

import or export purposes); (3) industrial natural gas pipelines subject to the NGA that 

filed transportation contracts with the Commission but received waiver of having to file 

these tariffs consistent with Part 154 of the Commission’s regulations; and (4) all other 

regulated entities that are required to file tariffs, rates, or contracts. 

58. All regulated entities with tariffs, including those that previously received a waiver 

of the requirements to file tariffs in the formats previously required by the Commission’s 

regulations, will be required to file their baseline tariff in electronic format, in accordance 

with the requirements described in this NOPR, but as may be changed in the Final Rule. 

E. Proposed Changes to the Commission Regulations

59. The basic changes to the Commission regulations will occur in § 35.7 for public 

utilities, § 154.4 for natural gas pipelines, § 284.123 for NGPA § 311 pipelines, and 

§ 341.2 for oil pipelines. These regulations would require regulated entities to file tariffs 

and other materials electronically using the software provided by the Commission. Once 
Docket No. RM01-5-000 - 17 - 

this rule is implemented, utilities will no longer be required to file rate cases on paper. In 

filing documents requiring signatures as well as those requiring sworn declarations or 

verifications, the filings will have to comply with the electronic signature requirements as 

the Commission adopts them in Docket No. RM04-9-000.25 Under these procedures, 

sworn declarations and oaths would have to comply with 28 U.S.C. § 1746, which 

requires that all such documents include the following language: “I declare (or certify, 

verify, or state) under penalty of perjury that the foregoing is true and correct. Executed 

on (date). (Signature).”26

60. The Commission also is proposing to clean up other regulations that are 

inconsistent with the electronic filing regulations, such as language changes to reflect the 

change from tariff sheets to tariff sections and the elimination of paper formatting 

requirements. In addition, miscellaneous changes are being proposed to update outdated 

references and dates (e.g., updating the references from the Offices of Pipeline and 

Electric Power Regulation to Office of Markets, Tariffs, and Rates and correcting 

regulation citations). The Commission has made an effort to identify all parts of its tariff 

filing regulations that must be modified to reflect the new electronic tariff filing and tariff 

formatting requirements. The Commission requests that parties identifying other sections 

of the regulations which potentially require change bring such potential changes to the 

attention of the Commission in comments submitted regarding this rulemaking, so that 

such changes, if necessary, can be reflected in the Final Rule. 

61. Further, the Commission is proposing changes to the regulations regarding notices 

of cancellation, termination, or succession and withdrawal of tariff filings in order to 

ensure uniform procedures for all regulated entities and to better fit with the electronic 

software the Commission will be providing. 

1. Notices of Cancellation, Termination, or Succession

62. Parts 35, 154, and 341 specify different processes for canceling, terminating, 

succeeding, or adopting tariff provisions. Section 154.603 provides for a pipeline to 

provide a notice of succession, and then file a tariff within 90 days of the notice. Section 

341.6 has a slightly more formal procedure in that it requires a tariff supplement to the 

adopted tariff, followed by a formal tariff filing within 30 days. Section 35.16 simply 

provides for a notice of succession, but there is no requirement to actually file the 

 25 Electronic Notification of Commission Issuances, Notice of Proposed 

Rulemaking, 107 FERC ¶ 61,311 (2004). 

26 18 U.S.C. § 1746. 
Docket No. RM01-5-000 - 18 - 

succeeded tariff in the public utility’s own name. This requirement is inconsistent with 

§ 35.9, which requires every tariff and tariff sheet to be properly associated with the 

public utility providing the service. Sections 154.602 and 341.5 require tariff filings to 

cancel tariffs. However, §§ 35.9 and 35.15 have inconsistent requirements. Section 35.9 

requires a tariff filing that contains a cancellation tariff sheet. Section 35.15 only requires 

notice of cancellation. 

63. The Commission proposes to standardize these filing requirements. The 

Commission proposes to require regulated entities that propose to cancel, terminate, 

succeed or adopt tariff changes to make a tariff filing which would accompany the 

proposed tariff change. This standardized requirement will render the various notices of 

adoption, succession or termination superfluous. 

64. The Commission proposes to eliminate the grace period contained in §§ 154.603 

and 341.6. Both currently require a filing from which the grace period starts. With the 

Commission’s proposed electronic tariff, regulated entities will be able to quickly file 

termination and succession tariffs by downloading complete tariffs, loading them into a 

tariff filing that reflects their new data, and creating cancellation tariff text for the 

superceded tariff. Thus, the Commission concludes that the current grace period is no 

longer necessary. 

2. Withdrawal of Pending Tariff Filings and Amendments to Tariff 

Filings

65. Currently the electric, gas, and oil programs at the Commission have different 

procedures for withdrawing a tariff filing. For a public utility to withdraw a proposed 

tariff change, the utility must make a new tariff filing that amends the underlying tariff 

filing. This withdrawal filing stops the statutory notice period by which the Commission 

must act on the underlying tariff filing and initiates a new statutory action date based on 

the date of the withdrawal filing, and requires a Commission order to effectuate the 

withdrawal of the filing.27 Filings by gas pipelines to withdraw tariff filings are treated as 

motions to withdraw pleadings pursuant to § 385.216. This rule provides that, if the 

motion has not been protested or the Commission does not act to deny the motion within 

15 days, then the motion is deemed granted. Section 341.13 provides that oil pipelines 

may withdraw any tariff filing that has not gone into effect and filings that are subject to 

 27 See Canal Electric Co., 29 FERC ¶ 61,330 (1984). 
Docket No. RM01-5-000 - 19 - 

investigation upon notice to the Commission’s Secretary and the parties to the 

proceeding. The Commission’s electric and gas regulations do not address amendments 

to tariff filings prior to suspension,28 in particular, whether such amendments toll the 

statutory notice dates on which the Commission must act before the initial filing becomes 

effective. 

66. Tariff withdrawal and amendment filings affect the status of tariff proposals, 

which is information that will be included in the tariff filing software. The principal 

differences exist in the approaches taken with respect to electric and gas filings. In order 

to create greater standardization of this process, the Commission proposes to revise the 

process of withdrawing and amending gas and electric tariff filings. Such standardization 

should streamline the withdrawal process, to the extent possible, so as to reduce the 

administrative burden for both the regulated entities, the public which uses the tariffs, and 

the Commission. 

67. The Commission does not see the need for public utilities or natural gas pipelines 

to make new tariff filings to effectuate withdrawal or a formal Commission order as is 

now required. The Commission therefore is proposing to make withdrawal of public 

utility tariff filings more similar to the approach used for oil and gas pipelines. 

68. The Commission proposes to allow a gas pipeline or public utility to withdraw in 

its entirety a rate schedule or tariff filing 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. Upon the filing of the withdrawal motion, the notice 

periods of the FPA and NGA will be tolled, so that the tariff filing cannot become 

effective in the absence of Commission action. The Commission is also proposing to 

delegate to the Director of the Office of Markets, Tariffs and Rates the authority to take 

appropriate action on contested and uncontested motions to withdraw tariff filings filed 

under Parts 35 and 154. 

 28 Sections 35.17 and 154.205 address amendments made after suspensions. 
Docket No. RM01-5-000 - 20 - 

69. All motions to withdraw pending filings would be filed utilizing the Commission’s 

tariff filing software. Filings made utilizing this mechanism will ensure that withdrawals 

become automatically effective absent answers in opposition or Commission action 

denying the motion. Also, the software will assist in the creation of the necessary data to 

effect the withdrawal in the tariff data base, and create a historical record for that tariff 

section. 

70. Amendments or modifications to tariff provisions can correct minor technical 

errors in a filing or may have a substantive effect on the filing. Because such 

modifications may have a substantive effect, the Commission is proposing that the filing 

of an amendment or modification to a tariff section will toll the period for action on the 

prior filing and establish a new period for action. The Commission, however, will 

continue its past practice of trying to process gas amendment filings within the initial 

30-day notice period, as long as the amendment is not significant or does not create a 

major substantive difference in the tariff proposal. 

III. PROTOTYPE TESTING

71. After the issuance of this NOPR, the Commission will post on its website the 

prototype tariff and tariff filing software. Commission staff will work with various 

regulated entities and associations representing the natural gas, electric, and oil industries 

to test and improve the software prototype. The testing will involve each of the 

software’s modules, including the installation of the software on clients’ machines, tariff 

recreation and modification, tariff filings, tariff data base maintenance and verification 

that the Commission’s tariff filing and tariff regulations are accurately implemented. 

While the software will be posted and available to clients, the Commission will not 

accept tariffs or tariff filings utilizing this software at this time. Nor will the Commission 

support the prototype software for parties who are not part of the testing team. 

72. When the Commission staff determines that the software is ready for regulated 

entities to use for beginning the process to create a baseline electronic tariff, the Office of 

the Secretary will provide a notice that the tariff software is ready for experimental use, 

and draft instructions will be posted on the Commission’s website. 

73. Commission staff will hold a technical conference to address issues that have 

arisen during the testing, and any related software and electronic format issues. The 

technical conference should be held prior to the date comments are due on this NOPR. 

IV. COMMENT PROCEDURES

74. The Commission invites interested persons to submit comments on the matters and 

issues proposed in this notice to be adopted, including any related matters or alternative 

proposals that commenters may wish to discuss. Comments are due October 4, 2004. 
Docket No. RM01-5-000 - 21 - 

Comments must refer to Docket No. RM01-5-000, and must include the commenter's 

name, the organization they represent, if applicable, and their address in their comments. 

Comments may be filed either in electronic or paper format. 

75. Comments may be filed electronically via the eFiling link on the Commission's 

web site at http://www.ferc.gov. The Commission accepts most standard word 

processing formats and commenters may attach additional files with supporting 

information in certain other file formats. Commenters filing electronically do not need to 

make a paper filing. Commenters that are not able to file comments electronically must 

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

Commission, Office of the Secretary, 888 First Street N.E., Washington, D.C., 20426. 

76. All comments will be placed in the Commission's public files and may be viewed, 

printed, or downloaded remotely as described in the Document Availability section 

below. Commenters on this proposal are not required to serve copies of their comments 

on other commenters. 

V. INFORMATION COLLECTION STATEMENT

77. The following collections of information contained in this proposed rule have been 

submitted to the Office of Management and Budget (OMB) for review under § 3507(d) of 

the Paperwork Reduction Act of 1995, 44 U.S.C. § 3507(d). Comments are solicited on 

the Commission’s need for this information, whether the information will have practical 

utility, the accuracy of the provided burden estimates, ways to enhance the quality, utility 

and clarity of the information to be collected and any suggested methods for minimizing 

the respondent’s burden, including the use of automated information techniques. 

78. OMB regulations29 require OMB to approve certain information collection 

requirements imposed by agency rule. The information collection requirements in this 

NOPR will be submitted to OMB for review. 

Title: FERC-516, Electric Rate Schedule Filings; FERC-545, Gas Pipeline Rates: Rate 

Change(Non-Formal); FERC-549 Gas Pipeline Rates: NGPA Title III and NGA Blanket 

Certificate Transactions; FERC-550 Oil Pipeline Rates: Tariff Filings. 

Action: Proposed Collections. 

OMB Control Nos.: 1902-0096, 1902-0154, 1902-0086, 1902-0089. 

 29 5 C.F.R. § 1320.11. 
Docket No. RM01-5-000 - 22 - 

Respondents: Business or other for profit, (public utilities, natural gas pipelines and oil 

pipelines). 

Frequency of respondents: Most tariff filings are made at the discretion of the applicant 

and are a function of their business judgment. 

Necessity of Information: This proposed rule, if implemented would require that all 

tariffs be filed electronically in lieu of paper. Electronically filed 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. Respondents should 

see savings by reducing the number of personnel required to assemble and submit paper 

filings, and a reduction in duplication and mailing expenses. Users of the information 

will be able to access the data at lower costs due to efficiencies provided by electronic 

filing and retrieval. Data filed electronically can be processed faster than paper filings. 

This is due in part because procedural steps related to verifying the applicant, receiving 

the tariff filing, routing the tariff filing, entering the tariff filing into FERC’s official 

record, public tariff maintenance, public access to the tariff and tariff filing, and 

confirming receipt of the tariff filing largely can be automated. Also the speed at which 

tariff filings can be processed electronically can increase the integrity of the data by 

speeding the process by which the applicants and public can view the filings and identify 

errors, and facilitating rapid filing of corrections. This capability is beneficial as many 

tariff filings involve statutory processing deadlines. 

This proposed rule will assist the Commission in its efforts to comply with the 

Government Paperwork Elimination Act (GPEA) 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 and also achieve the President’s Management 

Agenda initiatives of expanding electronic government. 

Estimated Annual Burden: The public reporting burden for these information collections 

has two components. The first impact will be the requirement for all regulated entities to 

refile their complete tariffs in the new electronic format. This is a one-time cost that will 

not recur. The Commission’s estimate cost for this one-time requirement for all three 

industries is approximately $350,000. This estimate is for installing the Commission’s 

software and converting existing tariffs into the new electronic format. The 

Commission’s estimates for various classes of filer are shown the in following table. 
Docket No. RM01-5-000 - 23 - 

Baseline Tariff Filing Costs 

 

Data Collection Number of 

Respondents 

Cost Per Tariff Total 

Cost 

FERC-516 

 Utilities 152 $288 $43,836 

 Marketers 984 $139 $136,415 

RTOs/ISOs 5 $2,057 $10,283 

FERC -545 

 Small Pipelines 96 $482 $46,245 

 Large Pipelines 60 $579 $34,740 

 NGPA 200 $168 $33,539 

FERC -550 Oil 200 $216 $43,225 

 

Total $348,283 

The second component of the cost estimate is the impact on regulated entities after 

the proposed regulations go into effect. The Commission estimates that the cost savings 

to the industries of no longer having to print, assemble and mail tariff filings to the 

Commission will be approximately $1.4 million per year. This estimate does not include 

additional cost savings that may result should the Commission grant requests of regulated 

entities to electronically provide service of their filings. 

Going Forward Cost Savings Per Year 

 

Total 

Number of 

Filings 

Cost Per 

Filing 

Total Cost 

Savings 

Oil 689 $55 $37,895 

Electric 4,445 $203 $902,335 

Gas 2,548 $203 $517,244 

 

Total $1,457,474 

Internal Review: The Commission has conducted an internal review of the public 

reporting burden associated with this collection of information and assured itself, by 

means of internal review, that there is specific, objective support for this information 

burden estimate. Moreover, the Commission has reviewed the collections of information 

proposed by this NOPR and has determined that these collections of information are 
Docket No. RM01-5-000 - 24 - 

necessary and conform to the Commission’s plans, as described in this order, for the 

collection, efficient management, and use of the required information.30 

79. 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.] 

VI. ENVIRONMENTAL ANALYSIS

80. 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.31 The Commission has categorically excluded certain actions 

from these requirements as not having a significant effect on the human environment. 

The actions proposed here fall within categorical exclusions in the Commission's 

regulations for rules that are clarifying, corrective, or procedural, for information 

gathering, analysis, and dissemination, and for sales, exchange, and transportation of 

natural gas that requires no construction of facilities. Therefore, an environmental 

assessment is unnecessary and has not been prepared in this NOPR. 

VII. REGULATORY FLEXIBILITY ACT CERTIFICATION

81. The Regulatory Flexibility Act of 1980 (RFA)32 generally requires a description 

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

number of small entities. The proposed rule will be applicable to all entities regulated by 

the Commission, a small number of which may be small businesses. The Commission 

finds that the regulations proposed here should not have a significant impact on these few 

small businesses. The regulations only require that a small business have a computer, 

which the vast majority already have. The software to file tariffs will be provided for 

free by the Commission. Indeed, 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. 

 30 See 44 U.S.C. § 3506(c). 

31 Regulations Implementing the National Environmental Policy Act, Order No. 

486, 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. ¶ 30,783 (1987). 

32 5 U.S.C. §§ 601-612. 
Docket No. RM01-5-000 - 25 - 

Accordingly, the Commission certifies that these regulations will not impose a significant 

economic impact on small businesses and no regulatory flexibility analysis is required 

pursuant to section 603 of the RFA. 

VIII. DOCUMENT AVAILABILITY

82. 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 at 

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, N.E., Room 2A, 

Washington D.C. 20426. 

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

in the Commission’s document management system, 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. 

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

normal business hours by contacting FERC Online Support at 

FERCOnlineSupport@ferc.gov or toll-free at 1-866-208-3676 or the Public Reference 

Room at (202) 502-8371, TTY (202)502-8659 (or e-mail the Public Reference Room at 

public.referenceroom@ferc.gov). 

List of subjects in 18 CFR Part 35

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

Electricity, Incorporation by reference. 

List of subjects in 18 CFR Part 131

Electric power. 

List of subjects in 18 CFR Part 154

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

companies, Rate schedules and tariffs. 
Docket No. RM01-5-000 - 26 - 

List of subjects in 18 CFR Part 157

 Administrative practice and procedure, Natural gas, Reporting and recordkeeping 

requirements. 

List of subjects in 18 CFR Part 250

Natural gas, Reporting and recordkeeping requirements. 

List of subjects in 18 CFR Part 281

 Natural gas, Reporting and recordkeeping requirements. 

List of subjects in 18 CFR Part 284

 Continental Shelf, Natural gas, Reporting and recordkeeping requirements, 

Incorporation by reference. 

List of subjects in 18 CFR Part 300

 Administrative practice and procedure, Electric power rates, Reporting and 

recordkeeping requirements, Electricity. 

List of subjects in 18 CFR Part 341

 Maritime carriers, Pipelines, Reporting and recordkeeping requirements. 

List of subjects in 18 CFR Part 344

 Pipelines, Reporting and recordkeeping requirements. 

List of subjects in 18 CFR Part 346

 Pipelines, Reporting and recordkeeping requirements. 

List of subjects in 18 CFR Part 347

 Pipelines, Reporting and recordkeeping requirements. 
Docket No. RM01-5-000 - 27 - 

List of subjects in 18 CFR Part 348

 Pipelines, Reporting and recordkeeping requirements. 

List of subjects in 18 CFR Part 375

 Authority delegations (Government agencies), Seals and insignia, Sunshine Act, 

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

List of subjects in 18 CFR Part 385

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

Reporting and recordkeeping requirements. 

By direction of the Commission. 

 Magalie R. Salas, 

 Secretary 

 In consideration of the foregoing, the Commission proposes to amend Parts 35, 

131, 153, 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. 

2. Section 35.1 is amended as follows: 

 a. In paragraphs (b) and (c) remove all references to “supplement”. 

 b. In paragraph (c), the reference to “Notices of Cancellation or Termination” is 

revised to read “cancellation or termination”. 

 c. Paragraph (a) is revised to read as follows: 

§ 35.1 Application; obligation to file rate schedules and tariffs. 
Docket No. RM01-5-000 - 28 - 

 (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, as defined 

in section 35.2(b) and (f), 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 and charges and all 

contracts that in any manner affect or relate to 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. 824 d(c)). Where two or more public utilities are 

parties to the same rate schedule, each public utility transmitting or selling electric energy 

subject to the jurisdiction of this Commission shall post and file such rate schedule, or the 

rate schedule may be filed by one such public utility on behalf of all other parties having 

an obligation to file; the concurrence of other parties must also be filed. 

* * * * * 

3. Section 35.2 is amended as follows: 

 a. In paragraph (b), remove footnote 1. 

 b. In paragraph (d), remove the phrase “or schedules”. 

 c. Add paragraph (f) to read as follows: 

§ 35.2 Definitions.

* * * * * 

 (f) Tariff. A “tariff” is the compilation of any rates, schedules, rate schedules, 

contracts, applications, rules, or similar matters clearly and specifically setting forth all 

rates, charges, and terms and conditions 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, and terms and conditions, and all contracts that 

in any manner affect or relate to such rates, charges, terms and conditions, classifications, 

services, rules, regulations or practices. 

4. Section 35.7 is revised to read as follows: 

§ 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 contracts, or parts thereof, and 
Docket No. RM01-5-000 - 29 - 

material related thereto, cancellation, termination or adoption of tariffs, statements, 

workpapers, responses to data requests, compliance filings, and rehearings. Paper 

submittals are not required to be filed. 

 (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 § 385.2005 of this chapter with 

respect to sworn declarations or statements and electronic signatures. 

 (d) 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 Information and Reference Branch, 

888 First Street, N.E., Washington, D.C. 20426. 

5. Section 35.9 is removed and reserved. 

6. Section 35.10 is revised to read as follows: 

§ 35.10 Filing a marked version of rate schedule or tariff changes. 

 At the time a public utility files with the Commission and posts under this part to 

supersede or otherwise change the provisions of a rate schedule or tariff previously filed 

with the Commission under this part, in addition to the other requirements of this part, it 

must file and post a marked version of the tariff sections to be changed showing additions 
Docket No. RM01-5-000 - 30 - 

and deletions. The new language must be marked by highlight, background shading, bold 

text, or underlined text. Deleted language must be marked by strike-through. 

7. In § 35.10a(b), the reference to “§ 35.10(b)” is revised to read “§ 35.7”. 

8. In § 35.11, the reference to “purchasers under other rate schedules” is revised to 

read “purchasers under other rate schedules or tariff provisions”. 

9. In § 35.12, the section heading and the last sentence of paragraph (a) are revised to 

read as follows: 

§ 35.12 Filing of rate schedules and tariffs.

 (a) * * * In the case of coordination and interchange arrangements 

in the nature of power pooling transactions, all supporting data required to be submitted 

in support of a rate schedule filing shall also be submitted by all parties to the 

arrangement, or a representative to file supporting data on behalf of all parties may be 

designated as provided in § 35.1. 

* * * * * 

10. Amend § 35.13 as follows: 

 a. In paragraph (a) introductory text, remove the reference to “supplement,”. 

 b. In paragraph (c)(1) introductory text, remove the reference to “or 

supplemented”. 

 c. In paragraph (f), the reference to “each party filing a certificate of concurrence” 

is revised to read “each concurring party”. 

 d. Revise the section heading, and add a sentence to the end of paragraphs 

(a)(2)(i)(F) and paragraph (a)(3) to read as follows: 

§ 35.13 Filing of changes in rate schedules and tariffs.

 (a) * * * 

 (2) * * * 

 (i) * * * 

 (F) * * * These filings must be made electronically in conformance 

with the electronic filing instructions. 
Docket No. RM01-5-000 - 31 - 

* * * * * 

 (3) * * * These filings must be made electronically in conformance 

with the electronic filing instructions. 

* * * * * 

11. In § 35.15, the first sentence of paragraph (a) is revised to read as follows: 

§ 35.15 Notices of cancellation or termination.

 (a) General rule. When a rate schedule or tariff 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 or tariff or part thereof is to be filed in its place, each party 

required to file the rate schedule or tariff shall notify the Commission of the proposed 

cancellation or termination by filing a cancellation tariff section at least sixty days but not 

more than one hundred-twenty days prior to the date such cancellation or termination is 

proposed to take effect. * * * 

* * * * * 

12. In § 35.16, the reference to “on the form indicated in § 131.51 of this chapter” is 

revised to read “with a tariff consistent with the electronic filing requirements in § 35.7”. 

13. Section 35.17 is amended as follows: 

a. Paragraphs (a), (b), and (c) are redesignated (c), (d), and (e), respectively. 

b. The section heading is revised and paragraphs (a) and (b) are added to read as 

follows: 

§ 35.17 Withdrawals and amendments of rate schedules or tariff filings.

 (a) Withdrawals of rate schedule or tariff filings prior to Commission action. 

(1) A public utility may withdraw in its entirety a rate schedule or tariff filing 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 or tariff 

sections will not become effective under section 205(d) of the Federal Power Act in the 

absence of Commission action making the rate schedule or tariff filing effective. 
Docket No. RM01-5-000 - 32 - 

 (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 rates or tariff sections prior to Commission 

action on the filing. A public utility may file to amend or modify a rate or tariff section 

contained in a rate schedule or tariff filing 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. 

* * * * * 

14. In § 35.21, in footnote 5, remove the reference to “footnote 1 to”. 

15. In § 35.28, a last sentence is added to paragraph (e)(1) to read as follows: 

§ 35.28 Non-discriminatory open access transmission tariff. 

* * * * * 

 (e) * * * 

 (1) * * * These tariff filings must be made in accordance with the 

requirements of § 35.7. 

* * * * * 

16. In § 35.30, a last sentence is added to paragraph (c) to read as follows: 

§ 35.30 General provisions.

* * * * * 

 (c) * * * These tariff filings must be made in accordance with the 

requirements of § 35.7. 
Docket No. RM01-5-000 - 33 - 

§§ 35.1, 35.2, 35.4, 35.6, 35.11, 35.12, 35.13, and 35.17 [Amended]

17. 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), 35.2 (c), (d) and (e), 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 revised to read “rate schedule or tariff”. 

 b. In the headings of §§ 35.17(c), 35.17(d), and 35.17(e), all references to “rate 

schedules” are revised to read “rate schedules or tariffs”. 

 c. In §§ 35.2(c), 35.13(a)(3), all references to “Director of the Office of Electric 

Power Regulation” are revised to read “ Director of the Office of Markets, Tariffs, and 

Rates”. 

PART 131 – FORMS

18. 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. 

19. Sections 131.51, 131.52, and 131.53 are removed. 

PART 154 – RATE SCHEDULES AND TARIFFS

20. The authority citation for part 154 continues to read as follows: 

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

21. In § 154.2, paragraph (b) is amended by removing the phrase “either in book form 

or”. 
Docket No. RM01-5-000 - 34 - 

22. 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, and contracts, or parts thereof, and 

material related thereto, cancellation, termination or adoption of tariffs, statements filed 

pursuant to subpart D of this part, workpapers, responses to data requests, compliance 

filings, and rehearings. Paper submittals are not required to be filed. 

(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: 

(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 Information and Reference Branch, 

888 First Street, N.E., Washington, D.C. 20426. 
Docket No. RM01-5-000 - 35 - 

23. Amend § 154.5 as follows: 

 a. Remove the words “Pipeline Regulation” and add in their place the words 

“Markets, Tariffs and Rates”. 

 b. The reference to “(b)(2)” is revised to read “(f)(2)”. 

24. Sections 154.101, 154.102, and 154.104 are removed and reserved. 

25. In § 154.106, paragraph (b) is removed and reserved. 

26. Amend § 154.112 as follows: 

 a. In paragraph (a) remove the word “page” and add in its place “section”. 

 b. In paragraph (a) remove the phrase “or insert sheets” and add in its place “tariff 

sections”. 

27. Amend § 154.201 as follows: 

 a. Amend paragraph (a) to remove the references to “pages” and add in its place 

“tariff sections”. 

 b. Amend paragraph (a) to remove the words “each copy of”. 

28. Section 154.205 is amended as follows: 

a. Paragraphs (a), (b), and (c) are redesignated (c),(d), and (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 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 
Docket No. RM01-5-000 - 36 - 

proposed tariff 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 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 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. 

* * * * * 

29. In § 154.402, paragraph (b)(1) is amended to replace the word “schedules” with 

the words “rate schedules”. 

30. 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 add in its place the phrase 

“tariff filing in the electronic format required by § 154.4”. 

31. 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, 154.402, 154.403, and 154.208 [Amended] 
Docket No. RM01-5-000 - 37 - 

32. In addition to the amendments set forth above, in 18 CFR part 154, the following 

nomenclature changes are made to the sections as amended: 

 a. In §§ 154.7(a)(5), 154.111(c), 154.202 (b), 154.206(a), 154.208(a), all 

references to “sheets” are revised to read “sections”. 

 b. In §§ 154.402(b), 154.402(b)(3), 154.403(b), all references to “sheet” are 

revised to read “section”. 

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 

33. The authority citation for part 157 continues to read as follows: 

 Authority: 15 U.S.C. 717-717w, 3301-3432; 42 U.S.C. 7101-7352. 

34. 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

35. 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. 

36. Sections 250.2, 250.3, and 250.4 are removed and reserved. 

PART 281 – NATURAL GAS CURTAILMENT UNDER THE NATURAL GAS 

POLICY ACT OF 1978
Docket No. RM01-5-000 - 38 - 

37. 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. 

38. 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] 

39. 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 revised to read as “sections”. 

 b. In § 281.212, the section heading is amended to remove the reference to 

“sheets” and add in its place “sections”. 

PART 284 – CERTAIN SALES AND TRANSPORTATION OF NATURAL GAS 

UNDER THE NATURAL GAS POLICY ACT OF 1978 AND RELATED 

AUTHORITIES 

40. The authority 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. 

41. In § 284.8, paragraph (i) is removed. 

42. In § 284.123, the heading of paragraph (e)(1), paragraph (e)(2), and paragraph (f) 

are added to read as follows: 
Docket No. RM01-5-000 - 39 - 

§ 284.123 Rates and charges. 

* * * * * 

 (e) Filing requirements. (1) Information to be filed. * * * 

 (2) Form of filing. The filed statement must contain rates and operating 

conditions for each rate schedule. Additional sections such as forms of service 

agreements may be added where applicable. Each rate schedule must be separately 

designated. Each rate scheduled and section of the operating conditions must be 

numbered for convenient reference. 

 (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. Paper submittals are not required to be filed. 

 (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. 
Docket No. RM01-5-000 - 40 - 

(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 Information and Reference Branch, 

888 First Street, N.E., Washington, D.C. 20426. 

PART 300 – CONFIRMATION AND APPROVAL OF THE RATES OF 

FEDERAL POWER MARKETING ADMINISTRATIONS

43. 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. 

44. Section 300.10 is amended as follows: 

 a. In paragraph (h)(2), the reference to “Electric Power Regulation” is revised to 

read “Markets, Tariffs and Rates”. 

 b. Add paragraph (a)(4) 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. Paper submittals are not required to be filed. 

* * * * * 

PART 341 – OIL PIPELINE TARIFFS: OIL PIPELINE COMPANIES SUBJECT 

TO SECTION 6 OF THE INTERSTATE COMMERCE ACT 

45. 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 - 41 - 

46. Amend § 341.0 as follows: 

 a. In paragraph (a)(11), remove the words “pages and supplements” and add in 

their place “sections”. 

 b. Paragraph (b)(3) is removed and reserved. 

47. Section 341.1 is revised to read as follows: 

§ 341.1 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, and contracts, or parts thereof, and 

material related thereto, cancellation, termination or adoption of tariffs, statements, 

workpapers, responses to data requests, compliance filings, and rehearings. Paper 

submittals are not required to be filed. 

 (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: 

(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. 
Docket No. RM01-5-000 - 42 - 

(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 Information and Reference Branch, 

888 First Street, N.E., Washington, D.C. 20426. 

48. Section 341.2 is amended as follows: 

a. In paragraph (c)(1) the phrase “tariffs or supplement numbers” is revised to 

read “tariff sections”. 

b. Paragraph (c)(3) is removed. 

c. Paragraph (a) is revised to read as follows: 

§ 341.2 Filing requirements.

 (a) Service of filings. Carriers must serve a copy of the tariff publication and any 

tariff justification to each shipper and subscriber consistent with §§ 385.2010 of this 

chapter. 

* * * * * 

49. Section 341.3 is amended as follows: 

a. Paragraphs (b)(2) and (c) are removed. 

b. Paragraphs (b)(3) through (b)(11) are redesignated paragraphs (b)(2) through 

(b)(10). 

c. Paragraphs (a), (b) introductory text, (b)(1), (b)(5)(ii), (b)(5)(iv), (b)(5)(v), 

(b)(9) and the section heading are revised to read as follows: 

§ 341.3 Format of tariff publication.

 (a) Structure of tariff. Each carrier’s tariff publication must be structured so that 

the rates for movements, rules and regulations, and other information are contained in 

sections of a single tariff addressing each of the carrier’s movements. 

(b) Contents of tariff. All major tariff sections must contain the following 

information: 
Docket No. RM01-5-000 - 43 - 

(1) General information. (i) The number designation of the section, numbered 

consecutively, and the number designation of the section that is canceled, if any, under it; 

(ii) The type of rates, e.g., local, joint, or proportional, and 

the commodity to which the tariff or section applies, e.g., crude, petroleum 

product, or jet fuel; 

(iii) Governing sections, e.g., separate “rules and regulations” 

tariffs or sections, if any; 

(iv) The specific Commission order pursuant to which the tariff or section is 

issued; 

(v) The issue date; 

(vi) The expiration date, if applicable; 

(vii) The name of the issuing officer or duly appointed official issuing the relevant 

section, the complete street and mailing address of the carrier, and the name and phone 

number of the individual responsible for compiling the tariff publication. 

* * * * * 

 (5) * * *

(ii) Each rule must be given a separate number, and the title of each rule must be 

shown in distinctive font. 

* * * * * 

(iv) Rules may be separately published in a general rules section when it is not 

desirable or practicable to include the governing rules in the rate section. Rate sections 

that do not contain rules must make specific reference to the governing general rules 

section. 

(v) When joint rate tariffs or sections refer to a separate governing rules section, 

such separate tariff must be concurred in by all joint carriers. 

* * * * * 
Docket No. RM01-5-000 - 44 - 

 (9) Changes to be indicated in tariff. (i) A marked version of the tariff sections 

to be changed or superseded showing additions and deletions. All new numbers and text 

must be marked by either highlight, background shading, bold, or underline. Deleted text 

and numbers must be indicated by a strike-through. A marked version of the tariff 

sections to be changed must be included in each copy of the filing required by these 

regulations. 

 (ii) When a tariff publication that cancels a previous tariff publication does not 

include points of origin or destination, or rates, rules, or routes that were contained in the 

prior tariff publication, the new tariff publication must indicate the cancellation. 

* * * * * 

50. Section 341.4 is revised to read as follows: 

§ 341.4 Postponing the effective date of a pending tariff. 

 Tariff filings postponing the effective date of pending tariffs must be filed prior to 

the proposed effective date of the filing. A postponement tariff filing may not postpone 

the effective date for more than 30 days. Postponements must be filed in conformance 

with § 341.1. 

51. Section 341.5 is revised to read as follows: 

§ 341.5 Cancellation of tariffs. 

Carriers must cancel prior tariffs when the tariffs are reissued. If the service in 

connection with the tariff is no longer in interstate commerce, the tariff publication must 

so state. Cancellation of tariffs must be filed in accordance with the requirements of 

§ 341.1. 

52. In § 341.6, paragraph (b) is amended to remove the last sentence, and paragraphs 

(c) and (d) are revised to read as follows: 

§ 341.6 Adoption rule. 

* * * * * 

 (c) Change of name. When a carrier changes its legal name, the carrier must file 

revised tariffs incorporating the name change. 
Docket No. RM01-5-000 - 45 - 

(d) Adoption. When the ownership of a carrier’s properties is transferred in whole 

or in part to another carrier, the adopting and former carrier must comply with the 

following: (1) The adopting carrier must file and post a revised tariff that reflects the 

transfer and indicates whether the rates remain unchanged after the transfer; and 

 (2) The former owner must immediately file revisions to its tariff or applicable 

sections covered by the adoption that states that the movement is transferred, names the 

adopting carrier, and specifies the tariff section where it can be found in the adopting 

carrier’s tariff. 

53. Section 341.7 is removed and reserved. 

54. In § 341.9, paragraph (f) is removed and paragraph (e) is revised to read as 

follows: 

§ 341.9 Index of tariffs.

* * * * * 

 (e) Updating. The index must be kept current by tariff section filings pursuant to 

§ 341.2. The index updates may be issued quarterly. At a minimum, the index must be 

reissued every four years. 

55. In § 341.11, paragraph (b) is removed and reserved. 

56. In § 341.13, paragraph (b) introductory text is revised to read as follows: 

§ 341.13 Withdrawal of proposed tariff publications. 

* * * * * 

 (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: 

* * * * * 
Docket No. RM01-5-000 - 46 - 

57. In § 341.14 (a) remove the phrase “on the Title Pages”. 

58. In § 341.15 (d), remove the reference to “the title page of”. 

PART 344 – FILING QUOTATIONS FOR U.S. GOVERNMENT SHIPMENTS AT 

REDUCED RATES 

59. The authority citation for part 344 continues to read as follows: 

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

60. 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. 

* * * * * 
Docket No. RM01-5-000 - 47 - 

PART 346 – OIL PIPELINE COST-OF-SERVICE FILING REQUIREMENTS 

61. 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. 

62. In § 346.1, paragraph (b) is revised to read as follows: 

§ 346.1 Content of filing for cost-of-service rates. 

* * * * * 

 (b) The proposed tariff filed consistent with the requirements of §§ 341.1 and 

341.2 of this chapter; and 

* * * * * 

PART 347 – OIL PIPELINE DEPRECIATION STUDIES 

63. 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. 

64. In § 347.1, remove and reserve paragraph (b), remove the last two sentences of 

paragraph (c), and paragraph (a) is revised to read as follows: 

§ 347.1 Material to support request for newly established or changed property 

account depreciation studies. 

(a) Means of filing. Filing of a request for new or changed property account 

depreciation rates must be made pursuant to part 347 and must be consistent with 

§§ 341.1 and 341.2 of this chapter. 

* * * * * 

PART 348 – OIL PIPELINE APPLICATIONS FOR MARKET POWER 

DETERMINATIONS 

65. The authority citation for part 348 continues to read as follows: 

Authority: 42 U.S.C. 7101–7352; 49 U.S.C. 60502; 49 App. U.S.C. 1–85. 
Docket No. RM01-5-000 - 48 - 

66. In § 348.2, paragraphs (a) and (c) are revised to read as follows: 

§ 348.2 Procedures. 

 (a) A carrier must file in the manner provided by §§ 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. In the event the carrier requests privileged treatment under 

§ 388.112 of this chapter, it must file in the manner provided by § 388.122(b)(2) of this 

chapter. 

* * * * * 

 (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). 

* * * * * 

PART 375 – THE COMMISSION 

67. 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. 

68. In § 375.307, paragraphs (i)(5), (n)(1), and (o) are removed and reserved, and 

paragraph (k)(5) is added to read as follows: 

§ 375.307 Delegations to the Director of the Office of Markets, Tariffs and Rates.

* * * * * 

 (k) * * * 

 (5) Take appropriate action on motions to withdraw tariff filings filed under 

parts 35 and 154 of this chapter. 
Docket No. RM01-5-000 - 49 - 

* * * * * 

PART 385--RULES OF PRACTICE AND PROCEDURE

69. The authority citation for part 385 continues to read as follows: 

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

16 U.S.C. 791a-825r, 2601-2645; 28 U.S.C. 2461; 31 U.S.C. 3701, 9701; 

42 U.S.C. 7101-7352; 49 U.S.C. 60502; 49 App. U.S.C. 1-85 (1988). 

70. Amend § 385.203 as follows: 

 

 a. In paragraph (a)(1), remove the reference to “symbols” and add in its place 

“information”. 

 

 b. In paragraph (a)(4) the reference to “sheets” is revised to read “sections”. 

71. In § 385.215, paragraph (a)(2) is amended 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 

regulations governing such filings. * * * 

* * * * * 

72. In § 385.216, paragraph (a) is redesignated as paragraph (a)(1) and paragraph 

(a)(2) is added to read as follows: 

§ 385.216 Withdrawal of pleadings and tariff or rate filings (Rule 216).

 (a) Filing. (1) * * * 

(2) A tariff or rate filing may be withdrawn only as provided in the regulations 

governing such filings. The procedures provided in this section do not apply to 

withdrawals of tariff or rate filings. 
Docket No. RM01-5-000 - 50 - 

* * * * * 

73. In § 385.217 (d)(1)(iii), the reference to “sheets” is revised to read “sections”. 

74. Section 385.2011 is amended as follows: 

a. Paragraphs (b)(4) and (b)(5) are removed. 

b. In paragraph (c)(1), the word “schedule” is revised to read “schedule, 

tariff”. 

c. Paragraphs (b)(1), (c)(3), and (d)(1) are revised to read as follows: 

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

* * * * * 

(b) * * * 

(1) All tariff and rate filings required by this chapter to be submitted 

electronically. 

* * * * * 

(c) * * * 

(3) With the exception of the Form Nos. 1, 2, 2–A and 6, and the tariff and rate 

filings required to be submitted electronically, the electronic filing must be accompanied 

by the traditional prescribed number of paper copies. 

* * * * * 

(d)(1) Where to file. The electronic media must be submitted according to the 

electronic filing instructions applicable to each filing. Electronic files submitted on 

media such as diskettes or CD Roms, as well as paper copies when applicable, and 

accompanying cover letter must be submitted to: Office of the Secretary, Federal Energy 

Regulatory Commission, 888 First Street, N.E., Washington, D.C. 20426. 

* * * * *