Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 57515 

(ii) For violations committed between 

October 23, 2000 and October 22, 2004, 

not more than $575,000 for each such 

violation; 

(iii) For violations committed between 

October 23, 2004 and October 22, 2008, 

not more than $625,000 for each such 

violation; and 

(iv) For violations committed on or 

after October 23, 2008, not more than 

the greater of $675,000 or triple the 

monetary gain to such person for each 

such violation, provided that— 

(v) In any case of manipulation or 

attempted manipulation in violation of 

Section 6(c), 6(d), or 9(a)(2) of the Act 

committed on or after May 22, 2008, not 

more than the greater of $1,000,000 or 

triple the monetary gain each such 

violation. 

* * * * * 

Issued in Washington, DC, on September 

30, 2008 by the Commission. 

David A. Stawick, 

Secretary of the Commission. 

[FR Doc. E8–23417 Filed 10–2–08; 8:45 am] 

BILLING CODE 6351–01–P 

DEPARTMENT OF ENERGY 

Federal Energy Regulatory 

Commission 

18 CFR Parts 35, 131, 154, 157, 250, 

281, 284, 300, 341, 344, 346, 347, 348, 

375 and 385 

[Docket No. RM01–5–000; Order No. 714] 

Electronic Tariff Filings 

Issued September 19, 2008. 

AGENCY: Federal Energy Regulatory 

Commission, DOE. 

ACTION: Final rule. 

SUMMARY: The Federal Energy 

Regulatory Commission is revising its 

regulations to require that all tariffs and 

tariff revisions and rate change 

applications for the public utilities, 

natural gas pipelines, oil pipelines and 

power administrations be filed 

electronically according to a set of 

standards developed in conjunction 

with the North American Energy 

Standards Board. This rule is part of the 

Commission’s efforts to comply with the 

Paperwork Reduction Act, the 

Government Paperwork Elimination Act 

(GPEA), and the E–Government Act of 

2002 by developing the capability to file 

electronically with the Commission via 

the Internet. Electronic filing reduces 

physical storage space needs and 

document processing time, provides for 

easier tracking of document filing 

activity; potentially reduces mailing and 

courier fees; allows concurrent access to 

the tariff filing by multiple parties as 

well as the ability to download and 

print tariff filings; and provides 

automatic e-mail notification to an 

applicant of receipt of the filing and 

whether or not it has been accepted. 

Upon implementation of this rule, the 

Commission will no longer accept tariff 

filings submitted in paper format. 

DATES: Effective Dates: This rule will 

become effective November 3, 2008. 

Implementation will begin April 1, 2010 

pursuant to a six month staggered 

schedule. 

FOR FURTHER INFORMATION CONTACT: 

H. Keith Pierce (Technical Information), 

Office of Energy Market Regulation, 

Federal Energy Regulatory 

Commission, 888 First Street, NE., 

Washington, DC 20426, (202) 502– 

8525, Keith.Pierce@ferc.gov. 

Anthony Barracchini (IT Information), 

Office of the Executive Director, 

Federal Energy Regulatory 

Commission, 888 First Street, NE., 

Washington, DC 20426, (202) 502– 

8940, Anthony.Barracchini@ferc.gov. 

Andre Goodson (Legal Information), 

Office of the General Counsel, Federal 

Energy Regulatory Commission, 888 

First Street, NE., Washington, DC 

20426, (202) 502–8560, 

Andre.Goodson@ferc.gov. 

SUPPLEMENTARY INFORMATION: 

TABLE OF CONTENTS

Paragraph 

number 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3. Implementation Date for eTariff .......................................................................................................................................... 102. 

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

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


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57516 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

1Electronic Tariff Filings, Notice of Proposed 

Rulemaking 69 FR 43,929 (July 23, 2004) FERC 

Stats. & Regs., Proposed Regulations 2004–2007 

¶ 32,575 (2004) (2004 NOPR), Notice of Additional 

Proposals and Procedures, 70 FR 40941 (July 15, 

2005), FERC Stats. & Regs. ¶ 35,551 (2005) (2005 

Notice). The 2004 NOPR was the result of an earlier 

Notice of Inquiry and Informal Conference in this 

same proceeding (Electronic Tariff Filings, 66 FR 

15673 (March 20, 2001), FERC Stats. & Regs. 

¶ 35,538, at 35,789–91 (2001)). 

2As used in this Final Rule, the ‘‘NAESB 

standards’’ or ‘‘standards’’ refer to a set of data 

elements and requirements that are posted on the 

Commission Web site. Instruction Manual for 

Electronic Filing of Parts 35, 154, 300, 341 and 284 

Tariff Filings. (http://elibrary.ferc.gov/idmws/ 

common/OpenNat.asp?fileID=11683627) 

3Appendix A lists the commenters and the 

abbreviations used for each. 

4Smith v. Lachter (In re Smith), 352 B.R. 702 

(B.A.P. 9th Cir. 2006) (‘‘This matter is reminiscent 

TABLE OF CONTENTS—Continued 

Paragraph 

number 

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

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

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

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

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

Regulatory Text.

Appendix.

Before Commissioners: Joseph T. Kelliher, 

Chairman; Suedeen G. Kelly, Marc Spitzer, 

Philip D. Moeller, and Jon Wellinghoff. 

1. The Commission in the last several 

years has expanded its capability to 

accept electronic filings. As part of this 

process, the Commission has sought to 

develop a means by which publicly 

regulated utilities could file tariffs, rate 

schedules, and other jurisdictional 

contracts and agreements electronically 

in a fashion that would permit the 

Commission to assemble and organize 

the disparate pieces of these agreements 

for display and for use by the 

Commission and the public. 

Commission staff in collaboration with 

the wholesale electric and gas quadrants 

of the North American Energy Standards 

Board (NAESB), and representatives 

from the Association of Oil Pipelines 

(AOPL) developed a set of standards to 

be used by companies in making tariff 

and tariff related filings at the 

Commission. The Commission is 

adopting these standards as the 

requirement for making tariff and tariff 

related filings. 

I. Background 

2. The development of these 

standards began in 2004 with a Notice 

of Proposed Rulemaking 1 in which the 

Commission proposed to require public 

utilities, power administrations, 

interstate and intrastate gas pipelines, 

and oil pipelines to file tariff and tariff 

related material electronically. The 

Commission proposed to develop an 

electronic tariff database to store tariff 

and tariff related information for 

retrieval by Commission staff and the 

public. In order to implement a tariff 

database system that would permit such 

functionality, Commission staff 

developed a software system for tariff 

filings similar to that used in filing 

forms with the Commission. 

Commission staff worked with many 

industry representatives and experts to 

test this software and held public 

meetings to demonstrate and receive 

comment on the software. 

3. While some commenters supported 

using the Commission-provided 

software as an acceptable solution, 

others were concerned that this software 

might not work well for making tariff 

filings. Some also were concerned that 

the Commission software would not 

integrate well with their existing tariff 

management systems and that 

formatting tariffs to fit the parameters of 

the software could be difficult or time 

consuming. 

4. As a result of the review of the 

comments, on February 1, 2007, a 

public meeting was held with NAESB to 

discuss NAESB’s assistance in the 

process of developing the protocols, 

standards, and data formats needed to 

provide tariff and related data to enable 

the Commission to develop a database 

to track electronic tariff and rate 

schedules filings. At the meeting, 

NAESB agreed to develop these 

standards and report back to the 

Commission. 

5. NAESB established two 

committees, a business eTariff 

Subcommittee and an eTariff Technical 

Task Force. These committees included 

representatives from the wholesale 

natural gas industry, wholesale electric 

industry, oil pipelines, intrastate natural 

gas pipelines, and third party software 

developers who worked along with 

Commission staff to develop the 

applicable standards. Between February 

1, 2007 and January 23, 2008, these 

committees held a total of 16 meetings 

in various cities over 24 days. Total 

attendance in all the meetings was 991 

participants either in person or by 

electronic conferencing, with an average 

attendance of 62 people for each 

meeting. 

6. The committees determined not to 

use the Commission developed 

software, but instead to develop 

standards that would enable individual 

companies to develop or procure 

software for making tariff filings that 

would best meet the needs of each 

company’s business requirements. The 

Executive Committees for both the 

Wholesale Gas and Wholesale Electric 

Quadrants of NAESB approved the 

standards on March 4, 2008, and the 

NAESB membership ratified the 

standards on April 4, 2008. 

7. On April 15, 2008, NAESB filed the 

standards with the Commission along 

with a record of the NAESB 

proceedings. This material included 

questions about the policies to be 

followed in using the standards to make 

tariff filings. NAESB also provided a 

copyright waiver stating: ‘‘While the 

eTariff standards are copyrighted by 

NAESB, a limited waiver is granted to 

the FERC to modify and post any 

excerpts of the eTariff standards and 

eTariff work products that they deem 

appropriate. These excerpts will be 

available for companies to reproduce 

only for their own internal use.’’ 

8. On April 17, 2008, the Commission 

issued a Supplemental Notice of 

Proposed Rulemaking (NOPR) 

proposing to use the NAESB developed 

standards as the means to effectuate 

electronic tariff filing.2 The NOPR also 

proposed solutions to several issues 

raised during the NAESB process, such 

as the filing process for shared and joint 

tariffs. Twenty comments were filed, 

with most generally favoring the use of 

the NAESB standards.3

II. Discussion 

9. As the background indicated, this 

proceeding has followed a long and 

winding road, with a number of detours 

and U-turns, but we have reached the 

end of the road and are adopting a final 

set of standards for electronic tariff 

filings.4 We again want to thank 


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of that old Beatles’ standard, ‘The Long and 

Winding Road,’ a brooding song about a road that 

never ends. One can only hope that, with this 

opinion, the end of the road is indeed in sight’’). 

5See Electronic Registration, Order No. 891, 67 

FR 52,406 (Aug. 12, 2002), FERC Stats. & Regs. 

¶ 31,132 (2002); Electronic Filing of FERC Form 1, 

and Elimination of Certain Designated Schedules in 

Form Nos. 1 and 1F, Order No. 626, 67 FR 36,093 

(May 23, 2002), FERC Stats. & Regs. ¶ 31,130 (2002); 

Electronic Service of Documents, 66 FR 50,591 (Oct. 

4, 2001), FERC Stats. & Regs. ¶ 35,539 (2001); 

Revised Public Utility Filing Requirements, Order 

No. 2001, 67 FR 31,043 (May 8, 2002), FERC Stats. 

& Regs. ¶ 31,127 (2002); Electronic Filing of 

Documents, Order No. 619, 65 FR 57,088 (Sept. 21, 

2000), FERC Stats. & Regs. ¶ 31,107 (2000); 

Electronic Notification of Commission Issuances, 

Notice of Proposed Rulemaking, FERC Stats. & Regs. 

¶ 32,574 (2004); Filing Via the Internet, Order No. 

703, 72 FR 65,659 (Nov. 23, 2007), FERC Stats. & 

Regs. ¶ 31,259, P 33 (2007) (Order No. 703). 

6 In fact, companies often arrange to view their 

own tariffs to try and recreate either effective tariffs 

or the tariff in effect during the time period of a 

particular proceeding. 

7See FPL Energy Marcus Hook, L.P. v. PJM 

Interconnection, LLC, 123 FERC ¶ 61,289, at P 39 

n.77, 77–80 (2008) (in a complaint case, the 

complainant and all other parties relied on the 

current version of a tariff provision rather than the 

provision in effect at the time). 

8 XML schemas facilitate the sharing of data 

across different information systems, particularly 

via the Internet, by structuring the data using tags 

to identify particular data elements. For example, 

each filed tariff change will include tags for the 

relevant information, such as the utility name, the 

tariff section being changed, the name for that 

section, the proposed effective date, and certain 

sections of tariff text. The tagged information can 

be extracted and separately searched. 

9Parse means to capture the hierarchy of the text 

in the XML file and transform it into a form suitable 

for further processing. 

10The term metadata is based on the Greek word 

‘‘meta’’ meaning after or beyond and in 

epistemology means ‘‘about.’’ Thus, metadata is 

data or information beyond or about other data. 

Digital Libraries, by William Arms (M.I.T. Press 

2000), http://www.cs.cornell.edu/wya/DigLib/ 

MS1999/Chapter1.html (visited April 11, 2008); 

The University of Queensland, http:// 

www.library.uq.edu.au/iad/ctmeta4.html (visited 

April 11, 2008); The Linux Information Project, 

http://www.linfo.org/metadata.html (visited April 

11, 2008). For example, in the XML schema, one 

required element is a proposed effective date and 

another element is the text of the tariff provision. 

The proposed effective date would be considered 

metadata relative to the tariff text. 

11The term tariff is used herein to refer to tariffs, 

rate schedules, jurisdictional contracts, and other 

jurisdictional agreements that are required to be on 

file with the Commission. 

12Section-based filings will not have to include 

the sheet based nomenclature as a header or footer 

on the tariff page. 

13RTF refers to Rich Text Format which is a 

standardized textual format that can be produced by 

a number of word processors. 

NAESB, its Board of Directors, and the 

numerous volunteers from across the 

spectrum of the gas, electric, and oil 

industries who were able to meet with 

staff and develop a set of standards and 

protocols that will achieve the 

Commission’s goal of establishing a 

robust electronic filing environment for 

tariffs and tariff related material and 

will make it possible for the 

Commission staff and the public to 

retrieve this material from a database. 

We will adopt the standards and 

protocols developed through the NAESB 

collaborative process in place of 

providing Commission-created software. 

Adoption of these standards and 

protocols will provide each company 

with enhanced flexibility to develop 

software to better integrate tariff filings 

with their individual tariff maintenance 

and business needs. These standards 

and protocols also will provide an open 

platform permitting third-party software 

developers to create more efficient tariff 

filing and maintenance applications, 

which will spread the development 

costs over larger numbers of companies. 

10. Over the last few years, the 

Commission has greatly expanded its 

ability to accept electronically filed 

material, including interventions, 

protests, rehearings, complaints, and 

applications for certificates and 

licenses.5 We now are expanding these 

filings to include tariffs and tariffrelated material, which comprise a large 

portion of the Commission’s workload. 

But tariff filings raise special challenges 

that our current filing systems do not 

address. eLibrary is designed and works 

extremely well as a repository that 

stores, and permits retrieval of, all 

documents filed in individual docketed 

proceedings. But while an individual 

tariff filing is made in an individual 

docket, the tariff itself is an organically 

changing document that is comprised of 

individual filings made in many 

different dockets over time. In order for 

the Commission and the public to 

obtain a complete picture of a 

company’s tariff, these various 

provisions need to be integrated into a 

single system that will provide 

information as to the status of tariff 

provisions, permit the assembly of a 

complete tariff, and permit tariff related 

research. Indeed, for tariffs filed on 

paper, the Commission has managed 

these tariffs as a database by keeping 

tariff books, open to the public at our 

headquarters, in which new pages are 

inserted to replace old pages to reflect 

revisions, and such changes are 

recorded in ‘‘numbering’’ sheets to 

ensure that the tariff reflects the 

currently effective tariff.6 The standards 

we are adopting in this Final Rule 

merely replace this paper system with a 

very similar electronic database that 

will similarly track the tariff 

submissions and tariff history, but in a 

form that will make tariff information 

more widely available over the Internet. 

11. The database will provide easier 

access to tariffs and allow the viewing 

of proposed tariff sections in context. 

One of the principal benefits of such a 

database is the ability to do historical 

research into tariffs. For example, 

proceedings such as complaints may 

involve past tariff provisions that have 

already been revised by the utility by 

the time the complaint is considered by 

the Commission. In order to 

expeditiously process such filings, the 

Commission, the parties, and the public 

need to be able to obtain the tariff 

provision that applies to the time period 

under review, rather than the currently 

effective tariff provision. In fact, the 

effectiveness of tariff provisions arises 

in a number of contexts, particularly in 

complaint cases, in which the 

Commission and the participants need 

to know the effective tariff at a 

particular point in time.7

12. The set of NAESB standards 

provides a foundation for building such 

a database. The standards define an 

extensible markup language (XML) 

schema 8 that will permit filers to 

assemble an XML filing package that 

includes the tariff changes, the 

accompanying tariff-related documents, 

such as the transmittal letter, rate 

schedules, and spreadsheets that are 

required to accompany various tariff 

filings, and other required information 

such as the proposed effective date of 

the filing. Upon the receipt of the filing 

electronically, the XML schema will 

enable the Commission to parse 9

(divide) the filed package into its 

component parts, place the filed 

documents into its eLibrary system and 

provide the metadata 10 that will permit 

automated organization of the tariff and 

permit the Commission and the public 

to search that database. As an example 

of the expanded public access to tariffs, 

the Commission currently provides 

electronic access to approximately 150 

NGA interstate pipeline tariffs utilizing 

the FASTR standards. That access under 

the NAESB standards should expand to 

at least 1600 companies’ tariffs. The 

NAESB standards also will provide 

flexibility to companies making tariff 

filings by enabling each regulated 

company to design or purchase software 

for creating tariff filings that will best 

accommodate its filing patterns and 

needs. 

13. Some of the principal 

requirements of the standards and 

regulations being adopted here are: 

• Tariffs 11 may be filed either using the 

current sheet based nomenclature or using 

section-based numbering at the choice of the 

filer.12

• Tariffs may be filed as entire documents 

in either of two electronic formats, RTF 13 or 


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57518 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

14PDF refers to Portable Document Format which 

is a format used for representing documents that 

closely resembles the original formatting of the 

document. 

15Standards For Business Practices Of Interstate 

Natural Gas Pipelines, Order No. 587, 61 FR 39,053, 

39,057 (July 26, 1996), FERC Stats. & Regs. ¶ 31,038, 

at 30,059 (1996). 

16This may not be the same company making the 

filing; for example, in the case of a shared tariff, one 

notification will go to the company making the 

filing and the other will go to the ISO or RTO whose 

tariff is being revised. 

17 Filing Via the Internet, Order No. 703, 72 FR 

65659, FERC Stats. & Regs. ¶ 31,259, at P 33 (2007). 

PDF,14 except with respect to open access 

transmission tariffs for electric utilities and 

interstate natural gas companies which 

would have to be filed as individual sheets 

or as sections in RTF format as defined in the 

regulations. 

• Tariff filings can be served electronically 

using the same approach used for electronic 

service of other Commission filings. 

• Filings of joint tariffs (tariffs covering 

two regulated entities) may be made with a 

single tariff filing by the entity designated to 

make the filing. 

• Tariff filings for tariffs shared among 

companies (such as regional transmission 

organization (RTO) tariffs) can be made 

individually by any of the companies with 

rights to file tariff changes. 

• During initial baseline implementation 

of electronic tariff filing, only open access 

transmission tariffs (OATTs) and agreements 

need to be filed. 

• After implementation of electronic tariff 

filing, all new tariffs and agreements must be 

filed using the standards. Existing 

agreements need to be filed electronically 

only when they are revised. 

14. Although the comments generally 

supported the adoption of the NAESB 

standards, some commenters suggested 

the adoption of alternative approaches. 

As the Commission has previously 

stated: ‘‘Standardization, by definition, 

requires accommodation of varying 

interests and needs, and rarely can there 

be a perfect standard satisfactory to 

all.’’ 15 We find that the NAESB 

standards best accommodate the needs 

of regulated utilities in making filings 

electronically and the needs of the 

Commission and the public for an 

electronic system that will enable 

efficient, user-friendly retrieval of 

tariffs. We will discuss below the 

technical requirements applicable to 

electronic tariff filing and the comments 

received on various aspects of the 

standards. 

A. Electronic Filing Requirements 

1. Companies Required To File Tariffs 

Electronically 

15. The companies or entities covered 

by this Final Rule are those that submit 

tariffs, rates, or contracts with the 

Commission pursuant to the Natural Gas 

Act (NGA), the Natural Gas Policy Act 

of 1978 (NGPA), the Federal Power Act 

(FPA), the Interstate Commerce Act 

(ICA), the Flood Control Act, the 

Bonneville Power Act, the Northwest 

Power Planning Act, and other relevant 

statutes. Included among the companies 

or entities covered by the requirements 

are: RTOs and independent system 

operators (ISOs); power authorities and 

federal power marketing 

administrations which file rates, 

contracts, or tariffs at the Commission; 

intrastate natural gas pipelines that file 

rates and operating conditions pursuant 

to the NGPA; interstate natural gas 

pipelines subject to the NGA which 

serve only an industrial customer; and 

companies or entities that may make 

voluntary tariff filings, such as 

reciprocity filings pursuant to Order No. 

888. 

2. Procedures for Making Tariff Filings 

16. Using the new XML schema, 

companies, and all those authorized to 

make filings on behalf of the company, 

such as outside counsel, will make tariff 

related filings using the existing eFiling 

portal. As described below, the filing 

process will be modified slightly from 

the current eFiling process, in particular 

to include a company registration that 

will provide increased security for the 

filing, as well as additional e-mail 

notifications of potential problems with 

the filing. 

17. The person making a tariff filing 

must have previously registered in 

eFiling (Filer). Upon successfully 

logging into the FERC eFiling portal, the 

Filer will be presented with the 

introductory screen indicating success 

in accessing the site, and presented with 

a link to the filing creation part of the 

site, which will include an option to 

make a Tariff filing (eTariff portal). 

18. The eTariff portal will prompt the 

Filer to enter the company identification 

number assigned during the company 

registration process and an associated 

password. After successfully passing 

this step, the Filer will upload an eTariff 

XML filing package that conforms to the 

XML schema. Once the filing is 

uploaded, the eFiling web page will 

indicate the filing has been submitted. 

19. After the filing has been 

submitted, a Confirmation of Receipt 

will be e-mailed to both the e-mail 

address of the Filer and to the e-mail 

address on file with FERC for the 

company identification number. This email only acknowledges the receipt of 

the filing through the eFiling portal, 

provides a timestamp, and indicates that 

the filing is placed in the queue to be 

processed. 

20. The XML filing package will be 

validated programmatically by an 

eTariff verification process. Depending 

upon the success of the verification 

process, a number of e-mails will be 

sent. 

• If the verification is completed 

successfully, an e-mail will be sent to the 

validation e-mail address provided in the 

XML package and to the e-mail address 

associated with the company whose tariff is 

being revised.16 This e-mail means only that 

the filing has passed the validation, not that 

it has been officially accepted by the 

Secretary of the Commission. 

• If the XML filing package can be parsed 

(and the validation e-mail address can be 

obtained), but the package does not otherwise 

pass verification, an e-mail will be sent to the 

validation e-mail address provided in the 

XML filing package. This e-mail will provide 

information about the problems encountered 

during the verification process. 

• If the XML filing package cannot be 

parsed at all (is unreadable), an e-mail will 

be sent to the Filer and to the e-mail address 

associated with the company identification 

number indicating a problem has been 

encountered with the filing. 

21. Once passed validation, the 

standard eFiling e-mail will be sent to 

indicate whether the Secretary of the 

Commission has accepted and docketed 

the filing or rejected it. As occurs with 

all filings, the docketing e-mail does not 

guarantee that other filing deficiencies 

will not result in rejection or other 

action pertaining to the filing later in 

the review processes within the 

Commission. After this step, the filing is 

passed on to eLibrary, the tariff database 

and other Commission systems. 

22. INGAA requests that the 

Commission establish a procedure for 

submission of tariff filings in the event 

of an electronic failure of the 

Commission’s eFiling and eTariff 

system. Such a request is beyond the 

scope of this rulemaking. In Order No. 

703, the Commission delegated to the 

Secretary of the Commission the 

authority to develop procedures for 

electronic filing, including procedures 

to be followed in case of an electronic 

failure of the eFiling system.17 Since the 

tariff filing component will be a part of 

the eFiling system, the same procedures 

followed by the Secretary for electronic 

failure will apply to eTariff as well. 

3. XML Schema and Tariff Database 

23. Under the standards, the tariff 

filing must be made in conformance 

with the XML schema. The schema 

essentially is a method by which the 

filing entities can communicate 

information to the Commission. The 

schema proscribes the metadata 

elements and the textual information 

that must be included in the filing 


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Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 57519 

18The XML package must be filed as a zip 

(compressed) file. 

19Currently located at http://www.ferc.gov under 

the tab Documents and Filings, eTariff. 

20 18 CFR 375.302(z). 

21 Duke Energy, EEI, Nevada Power, Southern 

California Edison, and PSEG. 

22Nevada Power’s listing is similar to the 

Commission’s current numbering sheets used in its 

paper tariff database. These numbering sheets run 

to 70 linear feet for all utilities. Using such a system 

to research extensively revised tariffs is difficult, 

time consuming, and prone to error. 

23Minutes of February 1, 2007 eTariff Meeting, 

(‘‘Ms. Nagle [Tennessee Gas Pipeline] asked 

whether FERC Staff supported using a section-based 

tariff system (in lieu of a sheet based system) and 

if so does everyone need to move to the sectionbased system’’), http://www.naesb.org/pdf2/ 

etariff020107fm.doc. 

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

megabytes. http://www.pjm.com/documents/ 

agreements.html, and the California ISO’s tariff is 

over 4 megabytes. ISO New England (http:// 

www.iso-ne.com/regulatory/tariff/index.html) and 

the New York ISO (http://www.nyiso.com/public/ 

documents/tariffs/oatt.jsp) post tariffs that already 

are divided into sections. 

25Minutes of July 27, 2008 eTariff Meeting, at P 

5 (‘‘flexibility is present to support whole document 

filings, sheet based filings and section based filings. 

This flexibility is provided for individual 

companies and for the industries themselves, as a 

given company may choose to use any of the three 

choices depending on the filing to be made. This 

flexibility is a key underlining assumption from 

which all the work papers were developed and as 

such, was reflected in the vote just taken’’), 

http://www.naesb.org/pdf3/etariff072707fm.doc. 

26Although the oil pipelines and their customers 

did not have an official vote during the NAESB 

process, they participated in formulating the 

requirements and have supported the data elements 

and XML schema in their comments in this 

rulemaking. 

package. The data elements included in 

the XML package are required to 

properly identify the nature of the tariff 

filing, organize the tariff database, and 

maintain the proper relationship of tariff 

provisions in relation to other 

provisions. For example, these elements 

will identify which tariff provision is 

being revised so that the revised tariff 

provision can be placed electronically 

in the proper location within the tariff 

hierarchy. The filing package itself will 

include the text of tariff changes as well 

as all filing attachments, such as 

transmittal letters.18 The XML schema 

will be maintained on the Commission 

Web site along with the required codes, 

descriptions, and other requirements, as 

well as information that may be useful 

to those developing filing software.19

Contemporaneously with the issuance 

of this Final Rule, we are posting on the 

Web site the XML schema along with 

the descriptions of the fields used in the 

schema, the instruction manual and 

codes to be used with the XML schema. 

24. Although we do not envision that 

the schema and related code values will 

need to be changed frequently, the 

Secretary of the Commission, under 

Order No. 703, has delegated authority 

to make modifications to them if 

necessary.20 Before any such changes 

are made, a notice of the proposed 

change will be issued sufficiently in 

advance to permit companies to revise 

their software. 

25. A few commenters object to the 

use of the XML schema for electronic 

filing and argue that the Commission 

should simply rely on filings in 

eLibrary.21 They argue that documents 

are maintained in standard word 

processing formats and that filing such 

tariffs through eLibrary would be easier 

on the filer. They assert that any 

tracking of such filings could be 

accomplished by assigning a docket 

number. Nevada Power, for example, 

argues that managing tariffs is a 

document management, rather than a 

database function. It maintains that the 

ability to access prior tariffs can be 

solved by retaining all previous effective 

versions of the tariff. 

26. As explained above, eLibrary is 

principally a system that manages and 

tracks filed documents based on 

individual proceedings (dockets). It was 

neither designed, nor will it function 

well, to retrieve individual sections or 

pages of tariffs that are filed in different 

dockets over the course of many years. 

The tariff database, on the other hand, 

will enable the Commission staff, as 

well as the public, to access all or 

portions of a company’s tariffs and rate 

schedules compiled using date, text, 

and status criteria. 

27. The use of a database to track 

individual pages or sections of tariffs is 

not inappropriate to the task of 

managing tariffs, as the comments 

suggest. The Commission has for over 

twenty years maintained the FASTR 

database for gas tariff filings and has 

made the results of that database 

available to the public. The XML 

schema on which the industry agreed 

will update the FASTR methodology to 

provide an even more effective database 

for managing tariffs and conducting 

tariff searches. 

28. Some commenters suggest 

assigning a docket or other unique 

number to each tariff or rate schedule, 

and Nevada Power suggests that instead 

of an electronic database, each utility 

could file an updated history of changes 

to its tariff so that customers can 

determine where to find specific sheets 

in which they are interested. Nevada 

Power attached, as an example of its 

proposal, a history for its OATT that is 

only six pages long covering a relatively 

small number of tariff filings. 

29. These solutions would require 

users to search through reams of filing 

materials to obtain the particular section 

or page of the tariff that they need. Such 

solutions are not a reasonable substitute 

for a database, given the large number 

of gas, oil, and electric companies, some 

of whom may make hundreds of tariff 

filings a year, with a list of changes that 

would eventually grow to hundreds of 

pages using the Nevada Power 

approach. PJM Interconnection, LLC for 

example made over 130 tariff related 

filings in a one year period. Trying to 

keep track of, and find, particular tariff 

provisions in this massive amount of 

data using only a docket or other 

numeric identifier and a spreadsheet 

would be a monumental task.22 But the 

tariff database, using the metadata 

supplied with each filing, will be able 

to store and retrieve this information. 

30. Those arguing for an eLibrary 

approach envision that tariff documents 

would not be filed in individual 

sections, but as entire documents. But 

not all industry members supported this 

entire document approach. The gas 

pipelines, for example, supported the 

continued use of sheet-based filings in 

which utilities file only the specific 

tariff sheet that is being revised.23 Other 

tariffs are so large that filing them as a 

single document would be unwieldy.24

The flexibility to file tariffs using 

different approaches was key to 

developing the NAESB standards, and 

the industry consensus supporting those 

standards.25 The approach suggested by 

the commenters would not provide the 

flexibility the industry sought. The use 

of a database utilizing the NAESB 

standards provides that flexibility and is 

the most efficient method of processing 

such filings in a way that will permit 

the easy and efficient integration of such 

individual filings into an entire tariff. 

31. As we have discussed above, the 

development of standards requires 

cooperation and accommodation 

between companies with different needs 

and requirements. The NAESB process 

provided a means by which various 

members of the affected industries and 

customers, including those from the oil 

pipeline industry, could develop a set of 

standards that reasonably meet the 

needs of a large range of different types 

of tariff filers, large and small 

companies, frequent and infrequent 

tariff filers, companies using different 

methods of storing tariffs, including 

databases, word processing software, 

and spreadsheets. After examining a 

variety of alternative approaches over 24 

days of meetings, a consensus of the gas 

and electric industry 26 agreed upon the 

use of the data elements and XML 

schema as the most efficient means for 


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57520 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

27APS, an active participant in the beta testing of 

the Commission’s original software, as well as a 

participant in the NAESB process, recognizes that 

the standards provide ‘‘a useable platform for 

industry compliance with the new standardized 

requirements for electronic filing of tariff, as well 

as a convenient tool for market participants and 

FERC staff to access and review tariffs and 

agreements * * * [and this methodology] to be the 

superior choice to implement this Commission 

requirement.’’ APS Comment, at 2. AOPL similarly 

recognizes that compromises were necessary to 

meet the needs of all the industries, stating the 

standards ‘‘reflect significant improvements to the 

proposed electronic filing regulations, in light of the 

particular circumstances and needs of the oil 

pipeline industry.’’ AOPL Comment, at 1. 28 18 CFR 35.9; 154.102(e). 

29The requirements adopted by the Commission 

in Order No. 703 will apply to PDF formatted 

documents filed as tariff text. Tariffs filed in PDF 

format must use the print-to-pdf feature as opposed 

to an unsearchable scanned format, except that 

tariff documents existing only on paper may be 

scanned into PDF. Order No. 703, FERC Stats. & 

Regs. ¶ 31,259 at P 23. We, however, encourage 

filers that scan old paper tariff documents to use an 

optical character recognition program to convert the 

scanned file to text prior to filing, so that copy and 

paste and search functions may be used. 

30RTF is a text format that will enable the 

Commission’s software to assemble quickly the 

sheets or sections into a complete tariff document. 

In contrast, PDF is not a textual format, and does 

not permit such processing. 

31Midwest ISO, INGAA, and AOPL. 

32AOPL Comment, at 4. 

33The database will store each sheet or section so 

that a user wishing to examine a past sheet or 

section can do so. If the utility decides to change 

between sheets and sections, the prior history of a 

particular provision may be more difficult to access. 

For example, in a sheet to section change, the past 

sheet (record) will still appear in the database, but 

it will not be linked to the section (record) that will 

replace it. 

electronically filing tariffs.27 We 

therefore will adopt the database 

approach and standards as approved 

through the NAESB process. 

32. CAISO asks that the RTOs not be 

required to provide all the metadata 

required by the standards or, if it is not 

possible to eliminate the metadata, that 

such metadata be kept to a minimum. 

The technical meetings with NAESB 

were designed to develop the minimum 

required metadata that would be 

necessary to feed and operate the 

database. The CAISO has not indicated 

specific metadata elements that can 

safely be eliminated and still maintain 

the integrity of the database. 

B. Tariff Filing Requirements 

33. The Commission’s current 

regulations require companies to file 

tariff sheets that include specifically 

defined nomenclature to identify each 

sheet of the tariff.28 A company is 

required to file only the tariff sheets 

containing the tariff revisions or 

changes. 

34. Based on the NAESB meetings and 

the comments submitted, we will allow 

far more flexibility in the structure and 

identification of tariffs. Companies may 

determine to structure their tariffs either 

using the existing tariff sheet format or 

as sections. Companies will also be 

given more flexibility to file tariffs 

either by dividing the tariff into sheets 

or sections and filing only the revised 

sheet or section, or for a wide range of 

tariff documents, by filing the entire 

tariff document that is revised. In order 

to ensure that the Commission and the 

public have the ability to identify 

specific tariff provisions, versioning 

information is required to be included 

as part of the XML package. But, this 

information has been simplified and 

will no longer need to be included as 

text on individual sheets or sections, 

with the exception of certain documents 

filed as PDFs. 

1. Sheet or Section Filing Requirements 

35. In order to compile the tariff 

database, the standards require 

companies to file tariff text as a specific 

data element. Companies, however, will 

be permitted to choose whether to 

continue to number tariff provisions as 

individual tariff sheets (e.g., Sheet No. 

1) or sections (e.g., Section 1.1.1). 

Except as discussed in the following 

section with respect to open access 

tariffs, companies will be allowed to 

determine based on the nature of the 

tariff and frequency of filing whether to 

file tariffs by breaking the tariff into 

sheets or sections or by filing the tariff 

as an entire document. Companies that 

initially file using the entire document 

option will be allowed later to divide 

the tariff document into sections or 

sheets. However, a company that has 

already broken its tariff into sections or 

sheets, will not be able to recompile 

those sheets or sections and use the 

entire document option unless a 

company files a request for waiver. 

36. The NAESB standards provide 

that tariff text must be filed either using 

the RTF file format or the PDF file 

format.29 Tariffs filed under the entire 

document option may be filed either in 

RTF or PDF. Tariffs filed as sections or 

sheets must be filed in RTF, due to 

limitations on the ability to process and 

assemble PDF files.30

37. The comments support the 

flexibility to use sheet, section, and 

entire document options using PDF 

format.31 AOPL for example 

‘‘strenuously supports this aspect of the 

rule which provides benefits to both 

shippers and pipelines.’’ 32

38. TransCanada asks that the 

Commission clarify whether and under 

what conditions companies that initially 

file using the sheet-based option may be 

allowed to later re-file using the sectionbased option, and vice-versa. For both 

the shipper and Commission staff 

benefit, we certainly would not 

encourage utilities to switch back and 

forth frequently between a sheet and a 

section-based system, because such a 

change will make the ability to research 

past provisions more difficult.33 But 

because both the sheet and section 

approaches provide equivalent 

granularity and flexibility for users, 

utilities can make such a change 

without obtaining special permission. 

The only time special permission is 

required is if a utility wants to covert 

from a sheet or section based approach 

to entire document, because such a 

change does reduce usability. 

39. AGA requests that tariffs be fully 

text searchable. As described above, all 

tariffs, including those filed using PDF, 

must be filed in text searchable format. 

2. Gas and Electric Open Access 

Transmission Tariffs 

40. Tariffs for interstate natural gas 

pipelines and electric utilities must be 

filed by breaking the document into 

sheets or sections. Unlike individual 

service agreements or contracts that 

affect only the signatories to the 

agreements, the open access 

transmission tariffs affect a wide variety 

of customers and are the most 

frequently revised. Moreover, because of 

the breadth of these tariffs, and the need 

to review and research portions of these 

tariffs, it would not be efficient for staff 

or for the public to have these 

documents refiled in their entirety every 

time a company proposes to revise an 

individual tariff section or page. 

41. We are revising §§ 35.9 and 

154.102 to require that open access 

transmission tariffs, which will include 

other open access documents and 

documents of general applicability, such 

as ISO/RTO operating agreements and 

market rules, must be filed as sheets or 

sections. Because the electric OATTs are 

based on the Commission’s pro forma 

OATT, we have specified the minimum 

required divisions for such filings. For 

non-ISO/RTO OATTs, the OATT must 

be divided at least at the section 1.0 

level, with individual sections for each 

schedule or attachment. Because ISO/ 

RTO OATTs are much more complex, 

ISO/RTOs will be required to divide 

their OATTs at the 1.1 level at a 

minimum. Filers are encouraged to use 

even smaller divisions that are 

appropriate to their individual tariffs 

and filing patterns. In addition, to aid 

electric utilities in filing their OATTs, 

we are posting on our Web site a pro 

forma OATT divided into the largest 


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Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 57521 

34 18 CFR 154.102. 

35The x.y.z format is a representation of the 

version (designation) of a tariff filing where ‘‘x’’ 

represents revision number for the given tariff 

provision (tariff record), ‘‘y’’ delineates that it is a 

substitute for a previously filed tariff provision, and 

‘‘z’’ indicates that it is a ‘‘squeeze’’ tariff provision. 

A ‘‘squeeze’’ tariff provision occurs when a tariff 

provision needs to be made effective on a date 

which occurs between the effective dates of two 

tariff provisions that already are filed with the 

Commission. 

36 Designation of Electric Rate Schedule Sheets, 

Order No. 614, 65 FR 18,221 (Apr. 7, 2000), FERC 

Stats. & Regs. ¶ 31,096 (2000). 

37The provisions of § 35.5 regarding rejection of 

material (adopted in Order No. 614) are being 

retained. In filing pre-existing contracts and rate 

schedules, electric utilities are still required to 

eliminate the use of supplements and include in 

their filings only effective provisions. See 18 CFR 

35.1 (revised to remove the use of supplements); 

Boston Edison Company, 98 FERC ¶ 61,292 (2002) 

(utilities must file effective tariff provisions); 

Vermont Yankee Nuclear Power Corporation, 98 

FERC ¶ 61,122, at 61,366 (2002) (utility required to 

remove tariff language that was no longer effective 

from its rate schedule). 

allowable sections, as well as 

information that will help companies 

develop Microsoft Word macros to 

electronically divide tariffs at this level. 

42. Because we have not specified a 

pro forma interstate natural gas 

transportation tariff, the regulation we 

adopt requires that the interstate natural 

gas pipeline open access tariffs filed as 

sections be divided so that each section 

includes only related subject matter and 

is of reasonable length.34 Negotiated rate 

agreements and other non-conforming 

service agreements need not be divided, 

but can be filed as entire documents. 

43. EEI requests that non-RTOs be 

allowed to file their OATTs as single 

documents, maintaining that these are 

relatively static documents and that 

allowing the filing of an entire 

document will reduce the time and 

expense necessary to break such tariffs 

into sections and may simplify the filing 

software that such companies need to 

build or acquire. 

44. We will not relax the requirement 

to at least divide the pro forma OATTs 

at the 1.0 level. As described above, 

OATTs can be large and unwieldy 

documents and run to over 160 pages; 

dividing the document at the 1.0 level 

will ensure that Commission staff and 

the public can review and search for 

tariff provisions relating to the same 

subject matter. Dividing the OATT at 

the 1.0 level will result in only 57 

sections, each addressing a different 

topic, and such division will only have 

to be done once. Moreover, EEI 

maintains that most OATTs are 

maintained as Microsoft Word 

documents. Commission staff has 

developed and will post a macro that in 

many cases will divide the OATT at the 

appropriate level. Commission staff also 

has posted a pro forma OATT divided 

into the requisite sections that can be 

used as a reference. Creating the 

sectionalized pro forma OATT manually 

only took one hour. In balancing the 

burden of a one-time conversion of an 

OATT into individual sections against 

the benefits of being able to easily locate 

and search for specific OATT sections, 

we find that the benefits of requiring 

that OATTs be broken into sections 

outweigh the costs. 

45. AGA argues that the Commission 

should set a minimum requirement for 

gas pipelines similar to that set for 

electric utilities and suggests that the 

minimum should at least match the 

table of contents and include as a 

separate section each topic listed under 

General Terms and Conditions of 

Service. We find that this suggestion 

does provide useful guidance as to the 

minimum sections required and 

therefore revise the regulation in 

§ 154.102 accordingly. 

3. Versioning 

46. The Commission currently 

requires each tariff page to include a 

version number that can be used to 

identify the particular revision of that 

page (e.g., First Revised Sheet No. 1 

would replace Original Sheet No. 1). 

Because tariff provisions change, often 

frequently, this convention is useful 

over time for identifying and referring to 

particular tariff provisions in orders. 

With the adoption of the NAESB 

standards, the versioning requirement 

will be modified and made less 

complicated. 

47. The NAESB standards require that 

each sheet, section, or entire tariff 

document be identified with a version 

number in an x.y.z format.35 The x.y.z 

format will accommodate the same level 

of identification as our existing 

nomenclature, including items such as 

squeezed and retroactive sheets. As long 

as each tariff section, sheet, or entire 

document is identified uniquely, 

companies can choose how complex to 

make their identification. Some 

companies may want to continue this 

detailed approach to better identify the 

placement and relative position of tariff 

sheets and sections, and the x.y.z format 

will accommodate such identification. 

Other companies may not choose to 

include such a detailed hierarchy of 

changes. Companies, for example, may 

choose simply to numerically number 

each section, sheet, or entire tariff 

document as they file it, using just the 

x field. 

48. As proposed in the NOPR, and 

adopted in this Final Rule, 

identification of versioning need not be 

included in the text of the individual 

tariff revisions that are filed with the 

exception of tariffs filed in PDF format. 

Companies however may choose to 

include such identification in the tariff 

text if they desire. The XML schema 

requires that the requisite versioning 

information be included as metadata, 

and versioning information will be 

made available to staff and the public in 

the tariff database. Moreover, to ensure 

that the versioning information is 

available to the public on eLibrary, the 

Commission will use the metadata 

provided in the XML package to 

generate a document on eLibrary that 

contains the appropriate versioning 

information. Because we are creating 

this document by electronically 

combining information from the XML 

package, the formatting of the versions 

and tariff text may not appear identical 

to the filing made by the company. 

49. The only exception to this rule is 

for tariff documents filed using PDF. 

Because PDF is not a textual format and 

does not permit easy electronic 

manipulation, we cannot generate a 

document for eLibrary that contains the 

correct versioning information. For 

these documents, therefore, the 

Instruction Guide requires that the first 

page of the tariff document include the 

required information: Company name, 

tariff title (if applicable), and the 

appropriate version number. 

50. INGAA suggests that for gas tariffs, 

the regulations should continue to 

require that the first section or sheet of 

the tariff include: The FERC Gas Tariff 

Volume Number, the name of the 

natural gas company, as well as the 

name, title, address, telephone number, 

e-mail address and facsimile number of 

a person to whom communications 

concerning the tariff should be sent. We 

will modify the regulation to continue 

this requirement. 

51. EEI recommends that the 

Commission eliminate various 

formatting requirements required under 

Order No. 614.36 As we have discussed 

above, we are eliminating a variety of 

the required formatting requirements 

because they are included in the XML 

metadata and the other formatting 

requirements are included in the 

standards. As a result, the formatting 

and filing requirements of Order No. 

614 have been supplanted by the 

regulations and requirements addressed 

in this rulemaking.37

4. Marked Tariff Changes 

52. The Commission’s current 

interstate natural gas pipeline 

(§ 154.201) and electric utility 

regulations (§ 35.10), require companies 


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57522 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

38The NOPR used the phrase ‘‘revisions that are 

marked appropriately,’’ which in the context of the 

oil pipeline regulations might be read to connote 

marked with the correct symbol. We are revising the 

regulation to read ‘‘revisions to tariffs identified in 

the filing’’ which will cover revisions that are 

explained in the transmittal letter even if the 

symbol is incorrect or omitted in the tariff. 

39 467 U.S. 354 (1984) (American Trucking). 

40The ICA for example provides a two-year 

period for reparations, which is not part of the NGA 

or FPA. 49 App. U.S.C. 16(3)(b) (1988). 

41See Genstar v. ICC, 665 F.2d 1304, 1308 (D.C. 

Cir. 1981) (for rates with procedural irregularities, 

the remedy is correction of the ‘‘harm if any caused 

by unlawfulness or irregularity’’). For example, a 

shipper that does not have effective notice, may not 

be able to protest the filed rate and may only be 

aware of, and challenge, a rate after it has received 

a bill. After such a challenge is filed, the 

Commission could review the rate to determine if 

it is just and reasonable. If the Commission were to 

determine that the filed rate is not just and 

reasonable, but that a different rate is justified, the 

damages could be computed based on the difference 

between what the pipeline charged and the just and 

reasonable rate ultimately determined by the 

Commission. 

42The text of the tariff provisions (including the 

entire tariff document if that option is chosen) to 

be included in the database must, of course, match 

exactly the text of the clean copy of the tariff 

provisions filed as an attachment. The standards 

also will require the company to include a nonformatted plain text copy of the tariff provisions for 

search purposes. 

to provide a marked version of the tariff 

text in the tariff filing indicating the 

changes and deletions made to the 

existing tariff text. The oil pipeline 

regulations (§ 341.3) provide for the use 

of special symbols to denote changes. 

53. We are continuing the 

requirement for filing marked versions 

of tariffs. We also are modifying the 

symbols used by the oil pipelines using 

the symbols proposed by AOPL so that 

the symbols can be entered into a find 

or search message box using keystrokes 

available on a keyboard. In contrast to 

past practice in which tariff changes 

were filed only as individual sheets or 

supplements, the standards permit tariff 

documents to be filed as large sections 

or as entire documents. Although we are 

confident that filing companies will not 

intentionally make unmarked changes 

to tariff text, we want to ensure that 

both staff and the public are not put in 

the position of having to read the entire 

tariff text of large sections or an entire 

document to ensure that unmarked 

changes were not made. As a 

precaution, therefore, we are revising 

our regulations to make clear that only 

the sections of the tariff document 

appropriately identified in the filing 

will be considered part of the filing and 

any acceptance of a filing by the 

Commission will not constitute 

acceptance of an unmarked tariff 

change. 

54. INGAA supports the regulation, 

but requests that the Commission 

modify it to state that ‘‘interested parties 

may comment only on those revisions 

appropriately designated and marked to 

constitute the filing; provided, however, 

comments on unmarked and 

undesignated language will be 

permitted when such comments provide 

useful information to the Commission 

for the resolution of issues directly 

related to the filing.’’ We will not adopt 

the proposed language as part of the 

regulation because, as INGAA itself 

recognizes, determinations as to the 

appropriateness of such comments need 

to be made on a case by case basis. The 

Commission must in individual cases 

determine if the protest or comment on 

the unchanged tariff text bears upon the 

justness and reasonableness of the 

proposed tariff change or is a request for 

the Commission to take action under 

section 5 of the Natural Gas Act to 

revise the unchanged provision. 

55. AOPL argues that the Commission 

should remove the proposed language in 

§ 341.3 of the regulations arguing that a 

filed tariff change should be deemed 

effective even if a symbol is misplaced 

or incorrect. AOPL states that under 

long-standing ICA precedent the 

omission of a symbol in a tariff denoting 

a change in rate does not affect the 

validity or applicability of the tariff 

item. 

56. We never meant for this provision 

of the regulations to constitute a trap 

that would penalize an oil pipeline if it 

simply used the wrong symbol or failed 

to include a symbol in the tariff as long 

as its overall filing was sufficient to 

provide notice of the proposed change. 

We therefore have revised the regulation 

from that proposed in the NOPR to 

make clear the regulation does not apply 

to an improper or omitted symbol so 

long as the change is identified in the 

tariff filing.38 The purpose of this 

regulation is to ensure that shippers and 

the Commission receive the required 

notice of proposed changes by the 

pipeline and that shippers are not 

penalized by the failure of the pipeline 

to provide the requisite notice. As part 

of the NAESB process, agreement was 

reached on allowing oil pipelines to file 

entire tariffs as PDF files. Because of the 

nature of PDF files, however, it will be 

difficult for the Commission staff or the 

pipeline’s customers to create a 

document comparison of a PDF 

document. Thus, the oil pipeline would 

be in the best position to create a 

document comparison, and we find the 

burden of ensuring proper notice 

legitimately should fall on the oil 

pipeline making the filing. The oil 

pipeline could for example satisfy this 

requirement by indicating its changes in 

the transmittal letter or attaching to the 

transmittal letter a redline-strikeout 

version of the tariff being revised. 

57. Section 6(3) of the Interstate 

Commerce Act (ICA) recognizes that it 

is the responsibility of an oil pipeline in 

making a filing to change its tariff to 

‘‘plainly state the changes proposed to 

be made in the schedule then in force.’’ 

ICC v. American Trucking 

Association,39 cited by AOPL, does not 

establish the invalidity of the 

Commission’s regulation. In American 

Trucking, the Interstate Commerce 

Commission (ICC) sought to reject tariff 

rates based on violations of rate bureau 

agreements. While the Court found that 

the ICC was without statutory authority 

retroactively to reject a tariff in violation 

of the rate bureau agreement after the 

tariff has taken effect, the Court found 

that the ICC did have authority to 

condition tariff approval in a manner 

reasonably tied to statutory objectives. 

In this regulation, we are not 

retroactively rejecting a tariff we have 

previously accepted; rather we are 

imposing a regulatory condition 

governing the filing prior to acceptance 

that will ensure that customers are 

protected in the event that the oil 

pipeline fails to provide sufficient 

notice of a tariff change. Moreover, the 

regulation does not determine the 

regulatory outcome of any challenge to 

the unidentified rate. We recognize the 

regulatory differences between the ICA 

and the FPA and NGA,40 and that 

interpretations of the ICA have provided 

that, in some circumstances, the failure 

to identify a rate change could be 

deemed a technical defect that would 

not necessarily void an unidentified 

rate, but could subject the pipeline to 

damages or other remedies as provided 

in the ICA.41

5. Clean Tariff Sheets Filed as 

Attachments 

58. As discussed above, the tariff text 

for use by the database will be filed as 

a separate data element, and the 

Commission may not be able to generate 

a formatted version of that tariff text 

acceptable to the filer for inclusion in 

eLibrary. For this reason, the standards 

provide that companies will also 

include as an attachment to their filing 

a clean copy of the relevant tariff sheets, 

sections, or entire document formatted 

as the filer prefers.42 The clean version 

of the tariff text may be filed using any 

electronic file format currently 

approved by the Secretary of the 

Commission for eFiling. 

59. AOPL requests clarification as to 

which of the tariff documents included 

in the XML package, including the 

marked version made by the utility, 


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43 18 CFR 35.1(a). 

44Order No. 614, FERC Stats. & Regs. ¶ 31,096 at 

31,503. 

45Midwest ISO Transmission Tariff, Appendix K, 

§ F. http://mktweb.midwestiso.org/publish/ 

Document/469a41_10a26fa6c1e_-6d790a48324a/ 

TOA%20(As%20Accepted%20on%2012–03– 

07%20EC07–89).pdf?action=download&_property= 

Attachment. 

constitutes the official version of the 

tariff filing. As stated above, no 

substantive differences should exist 

between the tariff provisions filed as 

part of the XML data and the tariff 

provisions filed as attachments. To the 

extent that such differences exist, and 

they are significant, they will need to be 

addressed on a case-by-case basis by the 

Commission. 

6. Joint, Shared, and Section 206 Filings 

60. All utilities, but principally the 

electric industry, may make joint and 

shared tariff filings. Joint filings refer to 

tariffs applicable to more than one 

company. Shared tariffs refer to a tariff 

that can be revised by one or more 

parties. Shared tariffs principally refer 

to ISO or RTO tariffs, sections of which 

can be revised by the ISO and RTO as 

well as by individual transmission 

owners. Section 206 tariff filings again 

relate principally to ISOs and RTOs, 

which may not have the ability to make 

tariff filings under section 205 of the 

FPA, but have the right under their 

operating agreements to make tariff 

filings under section 206 of the FPA. 

The following approaches should 

ensure that parties with filing rights can 

make appropriate filings without undue 

burden. 

a. Joint Tariff Filings 

61. Section 35.1(a) of the 

Commission’s regulations establishes 

two methods by which public utilities 

that are parties to the same rate 

schedule may file the rate schedule with 

the Commission: (1) Each public utility 

can file the rate schedule itself, or (2) 

‘‘the rate schedule may be filed by one 

such public utility and all other parties 

having an obligation to file may post 

and file a certificate of concurrence.’’ 43

Prior to Order No. 614, when filers 

made a single filing, Commission staff 

would copy the rate schedule or tariff 

for the number of joint filers, place the 

appropriate designations on the 

documents, and put them in the tariff 

books. In Order No. 614, the 

Commission stated in the preamble that 

‘‘on joint services, each utility offering 

a service must file its own tariff 

sheets.’’ 44 Currently, we therefore 

receive a single filing usually from a 

designated filer with identical tariff 

sheets for each joint filing utility, except 

that each utility’s tariff contains the 

appropriate sheet designation for that 

utility. 

62. In the Commission’s current state 

of software development, we are not in 

a position to permit a single designated 

filer to submit tariff provisions on behalf 

of multiple entities as part of a single 

filing. We, however, recognize the 

inefficiency and confusion for the filer, 

the staff, and the public in having 

multiple identical filings made on 

behalf of different companies. To deal 

with this issue, the following approach 

will minimize the burden on the filer 

and also provide ready access to the 

tariff. 

63. We will no longer require utilities 

to follow the Order No. 614 preamble 

instructions to file multiple copies of a 

tariff. Instead, the joint filers will be 

permitted to designate one filer to 

submit a single tariff filing for inclusion 

in its database that reflects the joint 

tariff, along with the requisite 

certificates of concurrence. The nondesignated joint filers would include in 

their tariff database a tariff section 

consisting of a single page or section 

that would provide the appropriate 

name of the tariff and the identity of the 

utility designated as the filer for the 

joint tariff. In this way, the staff or the 

public will be able to find quickly the 

appropriate tariff in the database, 

without the need for multiple filings by 

each of the filers. 

64. EEI maintains that parties with 

joint tariffs should have flexibility to 

make modifications to these tariffs, but 

it does not object to the procedure 

outlined above. We, therefore, will 

adopt this approach to joint tariffs. 

b. Shared Tariffs 

65. Shared tariffs refer principally to 

ISO and RTO tariffs, portions of which 

may be revised by FPA section 205 

filings by the ISO/RTO or other 

transmission owners. Depending on the 

tariff section involved, one party may 

have exclusive rights to modify the 

section or multiple parties may have 

rights to modify the section. The 

structure of all the ISO and RTO tariffs 

as well as their filings rights are 

different. 

66. In order to file revisions to shared 

tariffs today, parties with shared filing 

rights have to share information about 

the tariff, such as the current section 

numbering and sheet designations as 

well as the text of the provisions. Some 

ISOs and RTOs provide in their tariffs 

that the ISO/RTO is responsible for 

administering the tariff.45

67. The use of electronic filing will 

provide parties with shared tariffs with 

greater opportunities to develop 

electronic filing methods that fit their 

respective tariff structure, filing rights, 

and business processes. First, parties in 

organized markets can develop or obtain 

filing software to be shared among those 

with filing rights that imposes 

restrictions on filing rights as applicable 

under the individual ISO or RTO tariff. 

Second, ISOs and RTOs can agree to 

make all filings on behalf of the 

members in order to maintain 

administrative control over the tariff. 

Third, each of the respective parties 

with filing rights can continue to make 

individual filings as they do today by 

sharing certain relevant tariff and 

metadata among the parties with shared 

rights. 

68. With respect to the third option, 

individual filings by each company, we 

have developed a method for making 

such filings. The party initiating the 

filing (Company A) would need to have 

an eRegistered party (Filer) log-on to 

make the filing. The Filer would have to 

know Company A’s company 

identification number and password. In 

order to make such a filing, the ISO and 

RTO would have to share with 

Company A its company identification 

number (but not its password) and tariff 

identifier used in the XML schema for 

the ISO or RTO’s tariff along with other 

required metadata for making the filing. 

69. Currently, for some ISOs and 

RTOs, when a transmission owner 

makes a section 205 filing to revise an 

ISO or RTO tariff, the ISO or RTO is 

notified only through service. In order 

to provide greater security and more 

immediate notification to the ISO or 

RTO, we will provide an e-mail 

notification to the ISO or RTO when the 

XML filing passes verification checks. 

This notification will ensure that the 

ISO or RTO can detect immediately any 

potential unauthorized filing. Moreover, 

because the person making the filing 

will be eRegistered and will be using the 

company identification number of the 

filer (Company A), we will be able to 

easily identify who made the filing in 

case any questions are raised. 

70. New England PTOs support the 

Commission’s approach to shared 

document filings, but request that the 

Commission provide additional time for 

possible needed revisions to the OATT 

of ISO New England. As discussed later, 

the Commission will be providing 

sufficient time to develop software and 

implement the electronic filing 

requirements. Such time should be 

sufficient to make whatever tariff or 

other changes may be needed to 

accommodate shared document filings. 

If ISO New England can show that 


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46For example, the Web site would permit ISO 

New England to select those transmission owners 

with the authority to make filings to amend the ISO 

New England’s OATT. 

47Paper filings are delivered by courier or mail 

with no way for the Commission to verify that the 

filing is authorized by the purported filer. 

48First Energy raises a question about filings by 

outside counsel, and similarly suggests a system of 

having administrators provide passwords with 

respect to filings by outside counsel. As discussed 

above, outside counsel will be able to submit filings 

as long as they adhere to the standards, and the 

company provides them with the appropriate filing 

identifiers, passwords, and other information. Just 

as companies have to protect their internal use of 

passwords, they will need to protect against the use 

of passwords by outside counsel or others making 

filings on their behalf. Companies of course can 

design their own software to provide administrative 

password rights, but for the reasons discussed 

above, we do not find it necessary for the 

Commission to provide such administrative control. 

49See, e.g., PJM Interconnection, LLC, 115 FERC 

¶ 61,079 (2006). 

50No comments were filed on this approach. 

51Notice of Additional Proposals and Procedures, 

FERC Stats. & Regs. ¶ 35,551 at P 7. 

52 18 CFR 385.2010. 

53 18 CFR 390.3. 

54See 18 CFR 385.2010(f)(3). 

additional time is required, it may file 

for an extension of time. 

71. While generally supporting the 

Commission’s approach, ISO New 

England suggests that the Commission 

should provide additional security for 

shared tariff filers by developing and 

administering a database that would 

permit a tariff owner to control the 

parties authorized to file tariff changes 

to its tariff.46 We have closely examined 

the potential security risks to the eTariff 

system and find that at this point the 

benefits of ISO New England’s proposal 

for increased security do not justify the 

enhanced costs for the Commission to 

build and support an administrative 

Web site and database necessary to 

implement ISO New England’s 

proposal. 

72. The eTariff system will be more 

secure than the current paper filing 

system and the current eFiling system, 

and we have not experienced 

unauthorized filings to date through 

either our paper or eFiling system. In 

the current eFiling system, a filer need 

only be eRegistered.47 The eTariff 

system, however, will provide 

additional security because in addition 

to eRegistration, the filer must possess 

both a company registration number and 

a password. These forms of 

identification will be limited to 

regulated utilities. The RTO’s or ISO’s 

password will be unique to each 

company and need not be shared with 

another utility having shared filing 

rights, thereby providing enhanced 

security. Further, any filing made using 

the RTO’s or ISO’s company registration 

number will generate an e-mail to the 

RTO or ISO, so that it can monitor 

actively any potential unauthorized 

filings. 

73. After comparing the potential 

benefits of ISO New England’s approach 

against the costs of implementation, we 

have decided not to try to implement 

the authorized filer proposal. If we find 

after implementation that additional 

security is necessary, we will reconsider 

this option at that time.48

c. Section 206 Filings Related to ISOs/ 

RTOs 

74. ISOs and RTOs sometimes have 

tariff or operating agreement provisions 

that require a certain percentage of 

stakeholder support for making FPA 

section 205 filings. As a result, if the 

requisite stakeholder approval is not 

obtained, ISOs and RTOs have retained 

rights to make filings pursuant to 

section 206 of the FPA, and may make 

a single filing under both section 205 

and section 206.49 In addition, 

transmission owners that are part of the 

RTO also may file complaints under 

FPA section 206 contending that the 

ISO or RTO tariff is unjust and 

unreasonable. 

75. For ISO or RTO transmission 

owners filing a complaint against the 

ISO or RTO, the complaint must be filed 

pursuant to the standard complaint 

mechanism. While these transmission 

owners may have legal rights to make 

section 205 filings to change certain 

aspects of the ISO or RTO tariff, they do 

not have any different rights than any 

other party to file complaints under 

section 206. If the Commission agrees 

with the complainant, the ISO or RTO 

would then be directed to submit a 

compliance filing through the eTariff 

portal to make the required tariff 

changes. 

76. However, the RTO or ISO making 

a filing to revise its own tariff pursuant 

to section 206 should make such a filing 

through the eTariff portal with the 

appropriate tariff revisions using the 

NAESB standards. Because such a filing 

relates to the ISO’s or RTO’s own tariff, 

and the ISO or RTO has a reserved right 

to make such a section 206 filing, such 

a filing is more similar to a standard 

tariff filing by a utility as opposed to a 

complaint filing. In addition, since 

RTOs or ISOs may make a single filing 

in one proceeding under both sections 

205 and 206, it seems appropriate to 

have such a filing made using the 

standard eTariff mechanism.50

C. Other Business Practice Changes 

1. Electronic Service 

77. In the NOPR, the Commission 

proposed to permit electronic service for 

initial filings.51 We are revising our 

regulations to permit electronic service 

according to the same procedures and 

protocols used for other forms of service 

under the Commission’s regulations.52

Customers and state agencies wishing to 

receive service will be required to 

provide the company with an applicable 

e-mail address (since a service list will 

not exist at the time of an initial filing). 

Any customer believing it is unable to 

receive electronic service will need to 

request a waiver of electronic service as 

provided in the regulations.53

78. EEI asks for further clarification of 

how electronic service should be made, 

including questions about the provision 

of e-mail addresses, suggestions related 

to the use of generic service e-mail 

addresses and the ability to serve after 

a filing has been posted. In this 

rulemaking, we have expanded the 

scope of electronic service to include 

initial filings. We have expressly 

provided in the regulations that 

customers must provide an e-mail 

address for initial service to the utility 

unless they obtain a waiver of electronic 

service under Part 390 of our 

regulations. Other than establishing a 

procedure for obtaining customer e-mail 

address, all other aspects of electronic 

service for initial filings will be the 

same as those for service in a 

proceeding with a service list, including 

the e-mail addresses to be used for 

service, and the use of a link to the 

filing in eLibrary as the means of 

providing service.54

2. Attachment Documents 

79. Under the standards, all 

attachments to a filing, such as the 

transmittal letter, testimony, and costof-service statements, will be included 

as part of the XML package. The 

attachments must meet the formatting 

requirements for any other eFiled 

document, as set forth by the Secretary 

of the Commission. AOPL suggests 

deleting the requirement to file a 

proposed form of protective agreement 

in the existing (and proposed) § 348.2. 

AOPL does not explain its suggestion, 

and we do not find that the adoption of 

electronic filing requirements for tariffs 

necessitates removal of the requirement 

to file proposed forms of protective 

agreements. Under the NAESB 

standards, proposed forms of protective 

agreements must be filed as attachment 

documents. 

3. Withdrawal of Pending Tariff Filings 

and Amendments to Tariff Filings 

80. As discussed in the 2004 NOPR, 

the electric, gas, and oil industries have 


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55 18 CFR 341.13. 

56 18 CFR 35.17; 154.205. 

different procedures for withdrawing 

and amending a tariff filing. For 

example, the regulations governing oil 

pipelines permit withdrawal of 

proposed tariff filings before the tariff 

filing is effective,55 while the 

regulations for electric and gas 

companies do not address withdrawal of 

tariff filings prior to suspension.56

Because tariff withdrawal and 

amendment filings affect the status of 

tariff proposals, standardization of these 

procedures is needed in order to 

effectuate an electronic tariff system. We 

are therefore revising our regulations to 

permit a company to withdraw in its 

entirety a tariff filing, which has not 

become effective, and upon which no 

Commission or delegated order has been 

issued, by filing a withdrawal motion 

with the Commission. The withdrawal 

will become effective, and the filing 

deemed withdrawn, at the end of 15 

days, so long as no answer in opposition 

to the withdrawal motion is filed within 

that period and the Commission has not 

acted to deny the withdrawal motion. If 

such an answer in opposition is made, 

the withdrawal is not effective until a 

Commission or delegated order 

accepting the withdrawal is issued. In 

order to ensure that the tariff database 

remains accurate, such withdrawal 

filings will need to be made through the 

eTariff portal using the XML filing 

requirement so that the appropriate data 

elements can be revised. 

81. Electric utilities and interstate 

pipelines file amendments or 

modifications to tariff provisions to 

make substantive changes to their filings 

as well as to correct minor errors. 

Because such modifications can have 

substantive effect, we are revising 

§ 35.17 and § 154.205 to make clear that 

the filing of an amendment or 

modification to a tariff provision will 

toll the period for action on the prior 

filing and establish a new period for 

action. 

82. In the 2004 NOPR, we recognized 

that in the past, we have sought to 

process minor changes filed in NGA 

cases within the 30-day statutory 

period, and we will continue to try to 

do so for those amendments that are not 

significant or do not create a major 

substantive difference in the tariff 

proposal. INGAA filed a comment 

asking to include the following in the 

regulatory text: ‘‘For tariff filings 

containing minor changes in the tariff 

proposal, the Commission will seek to 

process minor changes filed in NGA 

cases, within the 30-day statutory notice 

period for the original filing.’’ While we 

intend to try to abide by our past 

practice, we find this language 

inappropriate for inclusion in our 

regulations, because it only reflects a 

goal or aim, and is not sufficiently 

precise to be included as a regulation. 

4. Motions 

83. Several types of motions may be 

made by regulated entities that do not 

include tariff sheets, but that affect the 

status of a tariff filing. For example, 

interstate natural gas pipelines may file 

motions to move suspended tariff sheets 

into effect, and other regulated 

companies may file motions to change 

the effective dates of tariff filings or to 

withdraw tariff filings. Because such 

filings affect the metadata associated 

with the tariff filing, such motions must 

be filed through the eTariff portal using 

the XML filing package. 

5. Rate Sheets for Tariff Filings by 

Intrastate and Hinshaw Pipelines 

84. Under the Commission’s current 

regulations in section 284, subparts C 

and G, an intrastate or Hinshaw pipeline 

must provide the Commission with an 

election of how it will determine its 

interstate service rates. An intrastate or 

Hinshaw pipeline also is required to file 

with the Commission, within 30 days of 

the commencement of service, a 

statement of operating conditions, 

which includes the rate election it has 

made, but which currently does not 

require a statement of the interstate rates 

to be charged. The interstate rates are 

included only as part of the overall 

filing. 

85. In implementing the proposal for 

electronic tariff filing, the statement of 

operating conditions will be placed in 

the tariff database. To facilitate easier 

access by the Commission and the 

public to the interstate service rates of 

intrastate and Hinshaw pipelines, we 

are revising § 284.123 of the regulations 

to require intrastate and Hinshaw 

pipelines to include a statement of their 

interstate service rates as part of the 

statement of operating conditions that 

will appear in the tariff database. 

Including a statement of interstate 

service rates in the statement of 

operating conditions will ensure that all 

relevant information related to interstate 

service will be accessible in the tariff 

database. 

D. Regulatory Text 

86. Many commenters submitted 

detailed proposals to revise regulatory 

text in a number of areas. We very much 

appreciate the interest that has been 

paid to trying to ensure that the 

regulatory text is as accurate as possible. 

We have carefully reviewed those 

suggestions, included the ones we find 

appropriate, and discussed above the 

substantive revisions we determined not 

to make. The suggestions we did not 

adopt were stylistic, linguistic, or 

syntactical revisions that, in some cases, 

did not conform to the requirements of 

the Federal Register, or that we did not 

find superior to the regulatory text we 

are adopting. We will not discuss each 

of these proposed revisions 

individually. 

E. Transition Procedures 

1. Testing of Software 

87. We recognize that after the Final 

Rule, companies and third-party 

vendors developing tariff filing software 

will need time for development as well 

as a mechanism for testing their 

software to make sure that their filings 

will be accepted by the Commission. We 

will therefore provide a testing site 

where companies can make test 

electronic filings to determine whether 

their XML packages can be received and 

can be parsed in order to determine if 

the XML package can be opened and 

broken into its constituent parts, and to 

verify whether the metadata supplied 

meets the requirements of the XML 

schema. 

88. Further, as the development 

process continues, we think it will be 

useful to continue the dialog among 

FERC staff and the industries involved 

to help the industries better understand 

the use of the code values as well as to 

discuss issues that may arise regarding 

methods of implementing the standards. 

Commission staff will therefore hold 

technical conferences as needed during 

this process. 

89. UNICON argues that the 

Commission’s testing site should be 

permanent in the event the standards 

are revised. It also argues that the testing 

site should fully simulate FERC’s live 

eTariff environment. It maintains that 

regulated companies could use this 

testing site to verify that the XML 

packages being submitted are valid and 

can be parsed by FERC’s software and 

validate that the filing contents within 

the XML packages will be processed 

appropriately. 

90. We are committed to providing as 

robust an electronic testing site as we 

are able, within resource and budgetary 

constraints. When, and if, the standards 

are revised we recognize that we may 

need to provide some additional testing, 

and depending on budgetary constraints 

we will try to maintain the electronic 

testing platform even after the 

implementation date as companies may 

need to experiment with different types 

of filings. Because much of the 


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57As in the current practice, utilities filing 

scanned documents can comply with the 

requirement to show only the effective tariff 

provisions by making handwritten edits or cutting 

and pasting provisions. 

58We recognize that OCR may not work well on 

some older documents. But even if the OCR version 

is not sufficiently legible to be filed as the tariff text, 

a filer could include the OCR version in the plain 

text field of the XML schema, so that it can be used 

for search purposes. 

processing of tariff filings received by 

the Commission will not be automatic, 

but dependant on the human interaction 

with software on our end, we cannot 

commit to providing companies with a 

complete review of all test filings, 

including how these will be displayed 

on our web viewer. Our staff is, and has 

been, committed to making this program 

a success. As discussed above, staff will 

conduct, perhaps with NAESB, 

conferences on implementation issues 

and staff will continue to provide as 

much information on particular eTariff 

filing issues as their time permits. 

91. EEI requests that the Commission 

post on its Web site all the required 

information necessary to implement the 

eTariff approach and place all 

information, including code values, into 

a single document. As discussed earlier, 

we will provide on our web site all the 

information needed to implement 

eTariff in as user friendly a means as 

possible. Because the industries during 

the NAESB process requested it, we 

have posted code values separately so 

that companies can download that 

information more efficiently. These 

technical issues can be discussed at the 

technical conferences, and we will 

continue to try to post information in 

the manner that will be most useful to 

industry. 

2. Baseline Tariff Filings 

92. Each regulated entity will be 

required to make a filing to establish its 

baseline tariffs. In the NOPR, we 

proposed to reduce the burden in 

making the baseline filing and limit 

such filings to tariffs of general 

applicability. As applied to filings by 

electric utilities, the baseline filing will 

include open access transmission tariffs 

(OATTs), power sales tariffs available to 

any customer, and market-based rate 

tariffs. Individually negotiated rate 

schedules and agreements will not have 

to be included as part of the baseline 

filing. Interstate natural gas pipelines 

will have to file their existing Volume 

No. 1 tariffs, but will not have to file 

special rate schedules included in 

Volume No. 2 tariffs, or any existing 

negotiated rate or non-conforming 

service agreements. Intrastate and 

Hinshaw pipelines will have to file their 

statement of operating conditions 

including their interstate service rates. 

Oil pipelines will need to file their tariff 

publications. Other pre-existing 

effective tariffs, rate schedules, and 

agreements do not need to be included 

in the baseline filing, although 

companies are free to include these 

agreements in their baseline filings, and 

we would encourage them to do so. 

93. After implementation, all new 

tariffs and rates schedules would have 

to be filed using the NAESB standards. 

Existing tariffs and rate schedules not 

included as part of the baseline filing 

are required to be filed electronically 

only when they are revised or amended. 

94. We recognize that some of the preexisting tariffs and rates schedules, such 

as older rate schedules and contracts, 

may not exist in electronic form. 

Companies having or electing to file 

such agreements do not need to retype 

the entire agreement. They may scan 

these agreements into PDF or another 

image format and file them in that 

fashion as an entire document.57

Although not required, companies are 

encouraged to run an optical character 

recognition program (OCR) to convert 

these scanned documents into a textual 

format so that the text of the tariff can 

be searched and copied.58

95. The baseline tariff filing is not a 

substantive tariff revision. The baseline 

filing, therefore, should reflect the 

existing accepted tariff provisions, with 

no proposed substantive changes or 

revisions. The baseline tariff filings will 

be subject to notice and comment solely 

to permit customers to ensure that the 

proposed baseline tariff is an accurate 

reflection of the effective tariff. No 

protests involving other issues, such as 

the merits of various sections of the 

tariff, will be considered. We also are 

providing a one-time delegation of 

authority to the Director of OEMR to 

rule on protests. 

96. If a regulated entity has a pending 

or suspended tariff change filing at the 

time of the filing of the baseline tariff, 

the regulated entity should not file these 

pending or suspended tariff sections as 

part of the baseline tariff filing. When 

the Commission acts on pending or 

suspended tariffs provisions, the 

companies will file the tariff provisions 

as a compliance filing through the 

eTariff portal for inclusion in the 

database. 

97. As discussed above, in filing joint 

tariffs, utilities have the option of 

designating one utility as the designated 

filer, as opposed to each utility filing the 

identical tariff. For companies adopting 

the designated filer option, the 

designated filer will file the baseline 

tariff; the non-designated utility will 

need to include in its baseline filing a 

tariff section that provides the 

appropriate name of the tariff and 

identifies the utility that is the 

designated filer for the joint tariff. 

98. EEI requests clarification whether 

a baseline filing or tariff filings by 

electric utilities would be limited to 

OATTs. First Energy requests that prior 

versions of the baseline tariffs will not 

need to be filed. As stated above, 

electric utilities need to include as part 

of their baseline tariff filings the 

following three types of documents: 

OATTs, power sales tariffs available to 

any customer, and market-based rate 

tariffs. Only the currently accepted 

versions of the baseline tariffs need to 

be filed; historic copies should not be 

filed. 

99. EEI, Duke, and the CAISO request 

that companies be allowed to include 

pending compliance filings (which have 

not yet been accepted) in their baseline 

filings. They maintain that the tariff text 

in compliance filings reflects 

Commission directives that the utilities 

are implementing and that if 

compliance filings are not included in 

the baseline filings, the baseline tariff as 

displayed by the Commission could be 

inaccurate. 

100. Because eTariff is a database 

system with no existing records, the 

baseline tariff needs to reflect the tariff 

as accepted by the Commission. Any 

subsequent tariff changes, including 

previously filed compliance filings, 

need to be filed separately so that the 

system can appropriately record the 

status of such filings. To reduce the 

burden on parties making baseline 

filings, we are limiting the baseline 

filing obligation only to the accepted 

tariff provisions. Pending tariff 

provisions in compliance filings will be 

added seriatim to the database as the 

Commission acts on a company’s 

compliance filings. This will reduce the 

number of baseline filings companies 

are required to make. 

101. However, we will permit 

companies wishing to place pending 

compliance filings into the database 

during the baseline filing process to do 

so. But we emphasize that baseline 

filings of compliance provisions are not 

required; this is only an option available 

to those companies wishing to avail 

themselves of it. The details of 

including compliance provisions as part 

of the baseline filing process can be 

discussed with staff during the technical 

conferences. 

3. Implementation Date for eTariff 

102. While we think the entire 

industry, both filers and customers 

alike, will benefit from quick 


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59EEI, Duke, Nevada Power (proposes two years); 

ISO New England and TransCanada (proposes at 

least one year); UNICON (proposes 18 months); 

FirstEnergy (proposes 18–24 months). 60The President’s Management Agenda (PMA) 

encourages the development of protocols that 

enable digital communication using XML protocols 

as the language of ebusiness. E-Government 

Strategy, at 8 (Executive Office of the President, 

April 2003) (minimization of burden on business by 

* * * using XML or other open standards to receive 

transmissions), http://www.whitehouse.gov/omb/ 

egov/2003egov_strat.pdf. 61The elements for such a system include a 

database program; an Internet browser; an XML 

form generator, a Base64 converter; and a ZIP file 

converter, many of which can be obtained for free 

or at low cost. See http://www.download.com/ 

Base64-De-Encoder/3000/2248_4/ 

10571789.html?tag=lst-1 (freeware Base 64 

converter); http://www.altova.com/products/ 

databasespy/database_tool.html (XML form 

generator); https://shopm.winzip.com/cgi-bin/ 

wzct1.cgi (ZIP file generator). We also included time 

and cost for hiring a computer programmer. 

62These burden estimates apply only to this Final 

Rule and do not reflect upon all of FERC–516, 

FERC–545, FERC–539 or FERC–550. 

implementation of eTariff, we recognize 

that we need to provide sufficient time 

for software development and testing to 

ensure that the filing of tariffs 

electronically has as few bugs as 

possible. In the NOPR, we generally 

proposed that compliance would begin 

within six months to one year after the 

Final Rule is issued. 

103. Many of the commenters thought 

that six months was too short and 

requested implementation periods of 

one year or longer.59 INGAA and AOPL 

urge the Commission not to set a firm 

implementation date, but rather focus 

on successful implementation. 

104. In order to provide companies 

with sufficient time to develop and test 

software, we will provide 18 months for 

implementation, until April 1, 2010, 

with a staggered implementation 

schedule for companies over the next 

six months. Staff and industry should 

work out the schedule for staggered 

implementation during the technical 

conferences. 

III. Information Collection Statement 

105. The Office of Management and 

Budget (OMB) regulations require that 

OMB approve certain reporting, 

recordkeeping, and public disclosure 

(information collections) imposed by an 

agency. Pursuant to OMB regulations, 

the Commission is providing notice of 

its information collections to OMB for 

review under section 3507(d) of the 

Paperwork Reduction Act of 1995. 

106. The Commission identifies the 

information provided under Part 35 as 

contained in FERC–516 ‘‘Electric Rate 

Schedules and Tariff Filings; Part 154 as 

contained in FERC–545 Gas Pipeline 

Rates: Rate Change (Non-Formal); Part 

284 as contained in FERC–549 Gas 

Pipeline Rates: NGPA Title III 

Transactions and Parts 341 and 344 as 

contained in FERC–550 ‘‘Oil Pipeline 

Rates: Tariff Filings.’’ The Commission 

solicited comments on the need for this 

information, whether the information 

will have practical utility, ways to 

enhance the quality, utility, and clarity 

of the information to be collected, and 

any suggested methods for minimizing 

respondents’ burden, including the use 

of information technology. The 

Commission received specific 

comments regarding its burden 

estimates. 

A. Comments on the NOPR’s Burden 

Estimates 

107. INGAA, EEI, TransCanada, and 

Southern California Edison contend that 

the burden estimates used by the 

Commission in the NOPR are 

understated. As part of the NAESB 

process, a consensus of all the 

industries chose the flexibility provided 

by using the NAESB standards, and the 

use of XML protocols for business 

communication, in place of using filing 

software furnished by the 

Commission.60 The industries 

recognized that adopting such standards 

would entail the building or purchasing 

of software compatible with the XML 

protocols. By adopting these standards, 

companies opted for the enhanced 

flexibility to obtain software, or modify 

existing tariff maintenance software, in 

order to better integrate tariff filings 

with their individual tariff maintenance 

and business needs. The use of the 

NAESB standards, as opposed to the 

Commission distributed software, also 

provides an open framework for thirdparty software developers to develop 

filing and tariff maintenance 

applications or processes, which, by 

managing tariffs for multiple parties, 

will enable development costs to be 

spread over a large number of users. The 

industry consensus was that the 

flexibility offered by the standards 

outweighed the added costs of 

developing or purchasing software to 

implement the standards. 

108. But this flexibility, and the 

likelihood that third-party providers 

will reduce the costs of constructing 

systems, makes computing burden 

estimates difficult, particularly given 

the difficulty in separating the costs of 

compliance from the other business 

functions provided by various software 

systems. INGAA contends that the costs 

for a tariff filing system should be in the 

range of $20,000 per tariff, but 

TransCanada argues the costs for its 

system suggest a $10,000 cost estimate. 

109. We developed the burden 

estimates in the NOPR based only on 

the necessary costs of developing a barebones filing system that would enable a 

company to make a filing in compliance 

with the standards.61 But we fully 

recognize that, while not strictly 

required by this Final Rule, companies 

making larger numbers of tariff filings 

will want to obtain a more robust 

software package that will provide 

various forms of tariff management and 

storage in addition to simply facilitating 

a tariff filing. Accordingly, we have 

determined to revise our burden 

estimates to include the greater cost of 

obtaining more robust software. 

110. EEI maintains that companies 

will have multiple tariffs that need to be 

filed as baseline tariffs. But in this Final 

Rule, at EEI’s request, we limited the 

baseline filing for electric companies to 

OATTs, power sales tariffs available to 

any customer, and market-based rate 

tariffs. 

111. EEI maintains we have 

underestimated the time for legal review 

of certain data fields. We have included 

in these revised estimates additional 

time for legal review of the baseline 

tariff filings. Since the baseline filings 

consist only of already accepted tariff 

sheets, such legal review should not be 

significant. For ongoing tariff filings, 

this rulemaking does not entail 

additional legal review, since attorneys 

generally already review the substantive 

tariff and attachment data contained in 

such filings, and the metadata fields are 

not substantive. 

112. EEI suggests that the estimates 

leave out one-time costs for evaluating 

software, and training on new systems. 

We recognize that we did overlook such 

costs, and we have added additional 

hours for evaluation and training of 

relevant personnel. 

B. Burden Estimates 

113. The following burden estimates 

reflect the cost to an individual 

company of obtaining software 

sufficient to meet the requirements of 

the regulation, as well as the cost of 

making the required baseline filing. 

Investment in electronic filing will 

reduce filing costs over time. Therefore, 

we include an estimate of the cost 

savings per year due to the savings in 

mail, messenger delivery, and copying. 

The public reporting and records 

retention burdens for the reporting 

requirements and the records retention 

requirement are as follows.62


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57528 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

63The costs for marketers assume that affiliated 

marketers will share a single installation. 

BASELINE TARIFF—HOURS

Data collection Number of 

respondents Hours per tariff Total hours Installation hours 

Total install 

hours Total hours 

FERC–516: 

Utilities .............................................. 152 9 1368 20 3040 4408 

Marketers .......................................... 984 5 4920 20 9840 14760 

RTOs/ISOs ............................................... 6 362 2172 28 168 2340 

FERC–545: 

Small Pipelines ................................. 106 7 742 20 2120 2862 

Large Pipelines ................................. 62 18 1116 20 1240 2356 

NGPA ................................................ 200 6 1200 20 4000 5200 

FERC–550 Oil .......................................... 200 9 1800 20 4000 5800 

Totals ................................................ ........................ ........................ 13318 ........................ 24408 37726 

Total Annual Hours for Collections: 

37,726. 

BASELINE TARIFF—COSTS

Data collection Number of 

respondents Cost per tariff Total filing cost 

Software 

purchase & 

installation 

Total cost 

purchase & 

installation 

FERC–516: 

Utilities .......................................................................... 152 $211 $32,072 $10,000 $1,520,000 

Marketers 63 .................................................................. 984 109 107,256 1,035 1,018,440 

RTOs/ISOs ........................................................................... 6 8,345 50,070 10,000 60,000 

FERC–545: 

Small Pipelines ............................................................. 106 171 18,126 2,070 219,420 

Large Pipelines ............................................................. 62 423 26,226 10,000 620,000 

NGPA ............................................................................ 200 132 26,400 2,070 414,000 

FERC–550 Oil ...................................................................... 200 206 41,200 10,000 2,000,000 

Totals ............................................................................ ........................ ........................ 301,350 ........................ 5,851,860 

Combined Total ............................................................ ........................ ........................ ........................ ........................ 6,153,210 

GOING FORWARD COST SAVINGS PER ANNUM

Total number of 

filings Cost per filing Total cost 

Oil ..................................................................................................................................... 689 $110 $75,790 

Electric ............................................................................................................................. 4,445 406 1,804,670 

Gas .................................................................................................................................. 2,548 406 1,034,488 

Total .......................................................................................................................... ............................ ............................ 2,914,948 

114. OMB’s regulations require it to 

approve certain information collection 

requirements imposed by an agency 

rule. The Commission is submitting 

notification of this Final Rule to OMB. 

Title: FERC–516, Electric Rate 

Schedules and Tariff Filings; FERC–545, 

Gas Pipeline Rates: Rate Change (Non 

Formal); FERC–549 Gas Pipeline Rates: 

NGPA Title III Transactions; and FERC– 

550 Oil Pipeline Rates: Tariff Filings. 

Action: Proposed Collections. 

OMB Control Nos. 1902–0096, 1902– 

0154, 1902–0086 and 1902–0089. 

Respondents: Business or other for 

profit; Federal Government. 

Frequency of responses: On occasion. 

115. Necessity of the Information: The 

Federal Energy Regulatory Commission 

is amending its regulations to require 

that all tariffs and tariff revisions and 

rate change applications for the public 

utility, natural gas pipeline, and oil 

pipeline industries be filed with the 

Commission in lieu of paper. 

Electronically filed paper tariffs and rate 

case filings should improve the 

efficiency of the administrative process 

for tariff and rate case filings, by 

providing time and resource savings for 

all stakeholders. Specifically, electronic 

filing reduces physical storage space 

needs and document processing time, 

provides for easier tracking of document 

filing activity; potentially reduces 

mailing and courier fees; allows 

concurrent access to the tariff filing by 

multiple parties as well as the ability to 

download and print tariff filings; and 

provides automatic e-mail notification 

to an applicant of receipt of the filing 

and whether or not it has been accepted. 

The Commission’s staff will be able to 

retrieve and analyze information 

contained in these filings more readily 

than under the current system; 

mandated electronic filing of these 

documents should facilitate the staff’s 

retrieval and review of a particular 

document. These capabilities will be 

extremely beneficial as many tariff 

filings involve statutory processing 

deadlines. 


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64Pub. L. 104–13, 109 Stat. 163, (Oct. 1, 1995). 

65Title XVII, Pub. L. 105–277, 112 Stat. 2681 

(Oct. 21, 1998). 

66Pub. L. 107–347, 116 Stat. 2899 (Dec. 17, 2002). 

67Regulations Implementing the National 

Environmental Policy Act, Order No. 486, 52 FR 

47,897 (Dec. 17, 1987), FERC Stats. & Regs., 

Regulations Preambles 1986–1990 ¶ 30,783 (1987). 

68 5 U.S.C. 601–612. 

69See 5 U.S.C. 601(3), citing Section 3 of the 

Small Business Act, 15 U.S.C. 623. Section 3 of the 

SBA defines a ‘‘small business concern’’ as a 

business which is independently owned and 

operated and which is not dominant in its field of 

operation. The Small Business Size Standards 

component of the North American Industry 

Classification System defines a small utility as a 

company including its affiliates that is primarily 

engaged in the generation, transmission, and/or 

distribution of electric energy for sale and whose 

total electric output for the preceding fiscal year did 

not exceed 4 million megawatt hours. A small 

natural gas company is defined as a company that 

transports natural gas and whose annual receipts 

(total income plus cost of good sold) did not exceed 

$6.5 million for the previous year. A small oil 

pipeline company is defined a company with 1,500 

or less employees for the year. 

116. The Final Rule will assist the 

Commission’ efforts to comply with the 

Paperwork Reduction Act,64 the 

Government Paperwork Elimination Act 

(GPEA) 65 and E-Government Act of 

2002 66 by developing the capability to 

file electronically with the Commission 

via the Internet with uniform formats 

using software that is readily available 

and easy to use. Expanding Electronic 

Government is one of the five key 

elements of the President’s Management 

Agenda (PMA). The PMA proposed 24 

‘‘E-Government’’ initiatives including 

Government to Business (G2B). The 

goals of the G2B portfolio are to reduce 

burdens on business, provide one-stop 

access to information and enable digital 

communication using the language of ebusiness (XML). G2B also directs 

agencies to take advantage of 

commercial electronic transaction 

protocols. 

117. The standards being adopted 

here were developed in conjunction 

with NAESB, an ANSI accredited 

standards developer, and employs XML 

protocols, as suggested in G2B. The 

deployment of more effective 

technology will help to streamline the 

many reporting requirements as well as 

facilitate a more efficient means for 

businesses to interact with the 

government. 

118. Interested persons may obtain 

information on the reporting 

requirements by contacting the 

following: Federal Energy Regulatory 

Commission, 888 First Street, NE., 

Washington, DC 20426, [Attention: 

Michael Miller, Office of the Executive 

Director, Phone: (202) 502–8415, fax: 

(202) 273–0873, e-mail: 

michael.miller@ferc.gov.] Please send 

comments concerning the collections of 

information and the associated burden 

estimate(s) to the contact listed above 

and to the Office of Information and 

Regulatory Affairs, Office of 

Management and Budget, 725 17th 

Street, NW., Washington, DC 20503 

[Attention: Desk Officer for the Federal 

Energy Regulatory Commission, phone 

(202) 395–7345, fax: (202) 395–7285. 

Due to security concerns, comments 

should be sent electronically to the 

following e-mail address: 

oira_submission@omb.eop.gov. Please 

reference the docket number of this 

rulemaking in your submission. 

IV. Environmental Analysis 

119. The Commission is required to 

prepare an Environmental Assessment 

or an Environmental Impact Statement 

for any action that may have a 

significant adverse effect on the human 

environment.67 The Commission 

concludes that neither an 

Environmental Assessment nor an 

Environmental Impact Statement is 

required for this Final Rule under 

Section 380.4(a) of the Commission’s 

regulations. Section 380.4(a)(15) 

provides for a categorical exemption for 

approval of actions taken under 

Sections 205 and 206 of the FPA 

relating to the filing of schedules 

containing all rates and charges for the 

transmission or sale subject to the 

Commission’s jurisdiction, plus the 

classification, practices, contracts and 

regulations that affect rates charges, 

classifications and services. Section 

380.4(a), (25) provides a categorical 

exemption for review of natural gas 

filings. Section 38.4(26) provides an 

exclusion for review of oil pipeline 

filings. In addition, section 380.4(a) 

provides an exemption for rules that are 

clarifying corrective, or procedural and 

that provide for information gathering, 

analysis, and dissemination. Because 

this Final Rule only involves these 

matters, no environmental consideration 

is necessary. 

V. Regulatory Flexibility Act 

120. The Regulatory Flexibility Act of 

1980 (RFA) 68 generally requires a 

description and analysis of whether the 

Final Rule will have a significant 

economic impact on a substantial 

number of small entities or a 

certification that the Final Rule will not 

have a significant economic impact on 

such entities. In the NOPR, we stated 

that the proposed rule would be 

applicable to all entities regulated by 

the Commission, a small number of 

which may be small entities. However, 

the Commission did not believe the rule 

would have a significant impact on 

these small businesses because the 

software necessary to create the XML 

software is commercially available from 

several Internet Web sites as shareware 

or subject to low-cost licensing options. 

From the Commission staff’s own 

experience, relatively inexpensive XML 

software can be obtained that can 

adequately provide the basic tariff filing. 

121. This Final Rule applies to public 

utilities that own, control or operate 

interstate transmission facilities, natural 

gas companies and oil pipeline 

companies, the majority of which are 

not small businesses.69 The Commission 

has identified that less than 2% of these 

entities qualify as small entities. 

Moreover, by eliminating the 

requirement to file numerous paper 

copies of tariffs and documents 

associated with rate filings, these 

regulations are designed to reduce the 

filing burden on all companies, 

including small businesses. 

Accordingly, the Commission finds that 

these regulations will not impose a 

significant economic impact on small 

businesses and no regulatory flexibility 

analysis is required pursuant to § 605(b) 

of the RFA. 

VI. Document Availability 

122. In addition to publishing the full 

text of this document in the Federal 

Register, the Commission provides all 

interested persons an opportunity to 

view and/or print the contents of this 

document via the Internet through 

FERC’s Home Page (http://www.ferc.gov) 

and in FERC’s Public Reference Room 

during normal business hours (8:30 a.m. 

to 5 p.m. Eastern time) at 888 First 

Street, NE., Room 2A, Washington, DC 

20426. 

123. From FERC’s Home Page on the 

Internet, this information is available on 

eLibrary. The full text of this document 

is available on eLibrary in PDF and 

Microsoft Word format for viewing, 

printing, and/or downloading. To access 

this document in eLibrary, type the 

docket number excluding the last three 

digits of this document in the docket 

number field. 

124. User assistance is available for 

eLibrary and the FERC’s Web site during 

normal business hours from FERC 

Online Support at 202–502–6652 (toll 

free at 1–866–208–3676) or e-mail at 

ferconlinesupport@ferc.gov, or the 

Public Reference Room at (202) 502– 

8371, TTY (202) 502–8659. E-mail the 

Public Reference Room at 

public.referenceroom@ferc.gov. 


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57530 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

VII. Effective Date and Congressional 

Notification 

125. These regulations are effective 

November 3, 2008. The Commission has 

determined, with the concurrence of the 

Administrator of the Office of 

Information and Regulatory Affairs of 

OMB, that this rule is not a ‘‘major rule’’ 

as defined in section 351 of the Small 

Business Regulatory Enforcement 

Fairness Act of 1996. 

List of Subjects 

18 CFR Part 35 

Electric power rates, Electric utilities, 

Reporting and recordkeeping 

requirements, Electricity, Incorporation 

by reference. 

18 CFR Part 131 

Electric power. 

18 CFR Part 154 

Natural gas, Pipelines, Reporting and 

recordkeeping requirements, Natural gas 

companies, Rate schedules and tariffs. 

18 CFR Part 157 

Administrative practice and 

procedure, Natural gas, Reporting and 

recordkeeping requirements. 

18 CFR Part 250 

Natural gas, Reporting and 

recordkeeping requirements. 

18 CFR Part 281 

Natural gas, Reporting and 

recordkeeping requirements. 

18 CFR Part 284 

Continental Shelf, Natural gas, 

Reporting and recordkeeping 

requirements, Incorporation by 

reference. 

18 CFR Part 300 

Administrative practice and 

procedure, Electric power rates, 

Reporting and recordkeeping 

requirements, Electricity. 

18 CFR Part 341 

Maritime carriers, Pipelines, 

Reporting and recordkeeping 

requirements. 

18 CFR Part 344 

Pipelines, Reporting and 

recordkeeping requirements. 

18 CFR Part 346 

Pipelines, Reporting and 

recordkeeping requirements. 

18 CFR Part 347 

Pipelines, Reporting and 

recordkeeping requirements. 

18 CFR Part 348 

Pipelines, Reporting and 

recordkeeping requirements. 

18 CFR Part 375 

Authority delegations (Government 

agencies), Seals and insignia, Sunshine 

Act, Electric power rates, Electric 

utilities, Reporting and recordkeeping 

requirements. 

18 CFR Part 385 

Administrative practice and 

procedure, Electric power, Penalties, 

Pipelines, Reporting and recordkeeping 

requirements. 

By the Commission. 

Kimberly D. Bose, 

Secretary. 

■ In consideration of the foregoing, the 

Commission amends Parts 35, 131, 154, 

157, 250, 281, 284, 300, 341, 344, 346, 

347, 348, 375 and 385, Chapter I, Title 

18, Code of Federal Regulations, as 

follows: 

PART 35—FILING OF RATE 

SCHEDULES AND TARIFFS 

■ 1. The authority citation for part 35 

continues to read as follows: 

Authority: 16 U.S.C 791a–825r, 2601–2645; 

31 U.S.C. 9701; 42 U.S.C. 7101–7352. 

■ 2. Section 35.1 is amended as follows: 

■ a. The section heading is revised; 

■ b. In paragraph (a), the first sentence 

is revised; 

■ c. In paragraph (a), the phrase ‘‘or 

tariff’’ is added after the phrase ‘‘rate 

schedule’’; 

■ d. In paragraphs (b) and (c), remove all 

references to ‘‘supplement’’; 

■ e. In paragraphs (b) and (c), the phrase 

‘‘or tariff’’ is removed and the phrase ‘‘, 

tariff, or service agreement’’ is added in 

its place; 

■ f. In paragraph (c), the phrase ‘‘Notices 

of Cancellation or Termination’’ is 

removed, and the phrase ‘‘cancellation 

or termination’’ is added in its place; 

■ g. In paragraph (d), the phrase ‘‘, 

tariffs or service agreements’’ is added 

after the phrase ‘‘rate schedules’’; 

■ h. In paragraph (g), the phrase 

‘‘service’’ is added before the phrase 

‘‘agreement’’. The revisions read as 

follows: 

§ 35.1 Application; obligation to file rate 

schedules, tariffs and certain service 

agreements. 

(a) Every public utility shall file with 

the Commission and post, in conformity 

with the requirements of this part, full 

and complete rate schedules and tariffs 

and those service agreements not 

meeting the requirements of § 35.1(g), 

clearly and specifically setting forth all 

rates and charges for any transmission 

or sale of electric energy subject to the 

jurisdiction of this Commission, the 

classifications, practices, rules and 

regulations affecting such rates, charges, 

classifications, services, rules, 

regulations or practices, as required by 

section 205(c) of the Federal Power Act 

(49 Stat. 851; 16 U.S.C. 824d(c)). * * * 

* * * * * 

■ 3. Section 35.2 is amended as follows: 

■ a. Paragraph (b) is revised; 

■ b. Paragraphs (c), (d), and (e) are 

redesignated as paragraphs (d), (e), and 

(f) respectively; 

■ c. In redesignated paragraphs (d) and 

(f), the phrase ‘‘rate schedule’’ is 

removed and the phrase ‘‘rate schedule, 

tariff or service agreement’’ is added in 

its place; 

■ d. Paragraph (c) is added; and 

■ e. Newly redesignated paragraph (e) is 

revised. 

The revisions read as follows: 

§ 35.2 Definitions. 

* * * * * 

(b) Rate schedule. The term rate 

schedule as used herein shall mean a 

statement of (1) electric service as 

defined in paragraph (a) of this section, 

(2) rates and charges for or in 

connection with that service, and (3) all 

classifications, practices, rules, or 

regulations which in any manner affect 

or relate to the aforementioned service, 

rates, and charges. This statement shall 

be in writing and may take the physical 

form of a contract, purchase or sale or 

other agreement, lease of facilities, or 

other writing. Any oral agreement or 

understanding forming a part of such 

statement shall be reduced to writing 

and made a part thereof. A rate schedule 

is designated with a Rate Schedule 

number. 

(c)(1) Tariff. The term tariff as used 

herein shall mean a statement of (1) 

electric service as defined in paragraph 

(a) of this section offered on a generally 

applicable basis, (2) rates and charges 

for or in connection with that service, 

and (3) all classifications, practices, 

rules, or regulations which in any 

manner affect or relate to the 

aforementioned service, rates, and 

charges. This statement shall be in 

writing. Any oral agreement or 

understanding forming a part of such 

statement shall be reduced to writing 

and made a part thereof. A tariff is 

designated with a Tariff Volume 

number. 

(2) Service agreement. The term 

service agreement as used herein shall 

mean an agreement that authorizes a 

customer to take electric service under 

the terms of a tariff. A service agreement 


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Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 57531 

shall be in writing. Any oral agreement 

or understanding forming a part of such 

statement shall be reduced to writing 

and made a part thereof. A service 

agreement is designated with a Service 

Agreement number. 

* * * * * 

(e) Posting (1) The term posting as 

used in this part shall mean: 

(i) Keeping a copy of every rate 

schedule, service agreement, or tariff of 

a public utility as currently on file, or 

as tendered for filing, with the 

Commission open and available during 

regular business hours for public 

inspection in a convenient form and 

place at the public utility’s principal 

and district or division offices in the 

territory served, and/or accessible in 

electronic format, and 

(ii) Serving each purchaser under a 

rate schedule, service agreement, or 

tariff either electronically or by mail in 

accordance with the service regulations 

in Part 385 of this chapter with a copy 

of the rate schedule, service agreement, 

or tariff. Posting shall include, in the 

event of the filing of increased rates or 

charges, serving either electronically or 

by mail in accordance with the service 

regulations in Part 385 of this chapter 

each purchaser under a rate schedule, 

service agreement or tariff proposed to 

be changed and to each State 

Commission within whose jurisdiction 

such purchaser or purchasers distribute 

and sell electric energy at retail, a copy 

of the rate schedule, service agreement 

or tariff showing such increased rates or 

charges, comparative billing data as 

required under this part, and, if 

requested by a purchaser or State 

Commission, a copy of the supporting 

data required to be submitted to this 

Commission under this part. Upon 

direction of the Secretary, the public 

utility shall serve copies of rate 

schedules, service agreements, or tariffs, 

and supplementary data, upon 

designated parties other than those 

specified herein. 

(2) Unless it seeks a waiver of 

electronic service, each customer, State 

Commission, or other party entitled to 

service under this paragraph (e) must 

notify the public utility of the e-mail 

address to which service should be 

directed. A customer, State 

Commission, or other party may seek a 

waiver of electronic service by filing a 

waiver request under Part 390 of this 

chapter providing good cause for its 

inability to accept electronic service. 

* * * * * 

■ 4. Section 35.3 is amended as follows: 

■ a. Paragraph (a) is revised; 

■ b. In paragraph (b), first sentence, the 

phrase ‘‘, tariffs or service agreements’’ 

is added after the phrase ‘‘Rate 

schedules’’; 

■ c. In paragraph (b), second sentence, 

the phrase ‘‘or service agreement’’ is 

added after the phrase ‘‘rate schedule’’. 

The revision reads as follows: 

§ 35.3 Notice requirements. 

(a)(1) Rate schedules or tariffs. All 

rate schedules or tariffs or any part 

thereof shall be tendered for filing with 

the Commission and posted not less 

than sixty days nor more than one 

hundred-twenty days prior to the date 

on which the electric service is to 

commence and become effective under 

an initial rate schedule or tariff or the 

date on which the filing party proposes 

to make any change in electric service 

and/or rate, charge, classification, 

practice, rule, regulation, or contract 

effective as a change in rate schedule or 

tariff, except as provided in paragraph 

(b) of this section, or unless a different 

period of time is permitted by the 

Commission. Nothing herein shall be 

construed as in any way precluding a 

public utility from entering into 

agreements which, under this section, 

may not be filed at the time of execution 

thereof by reason of the aforementioned 

sixty to one hundred-twenty day prior 

filing requirements. The proposed 

effective date of any rate schedule or 

tariff filing having a filing date in 

accordance with § 35.2(d) may be 

deferred by the public utility making a 

filing requesting deferral prior to the 

rate schedule or tariff’s acceptance by 

the Commission. 

(2) Service agreements. Service 

agreements that are required to be filed 

and posted authorizing a customer to 

take electric service under the terms of 

a tariff, or any part thereof, shall be 

tendered for filing with the Commission 

and posted not more than 30 days after 

electric service has commenced or such 

other date as may be specified by the 

Commission. 

* * * * * 

§ 35.4 [Amended] 

■ 5. In § 35.4, the phrase ‘‘, tariff or 

service agreement’’ is added following 

the phrase ‘‘rate schedule’’. 

§ 35.6 [Amended] 

■ 6. In § 35.6, the phrase ‘‘, tariff or 

service agreement’’ is added following 

the phrase ‘‘rate schedule’’. 

■ 7. Section 35.7 is revised to read as 

follows: 

§ 35.7 Electronic filing requirements. 

(a) General rule. All filings made in 

proceedings initiated under this part 

must be made electronically, including 

tariffs, rate schedules and service 

agreements, or parts thereof, and 

material that relates to or bears upon 

such documents, such as cancellations, 

amendments, withdrawals, termination, 

or adoption of tariffs. 

(b) Requirement for signature. All 

filings must be signed in compliance 

with the following: 

(1) The signature on a filing 

constitutes a certification that: the 

contents are true and correct to the best 

knowledge and belief of the signer; and 

that the signer possesses full power and 

authority to sign the filing. 

(2) A filing must be signed by one of 

the following: 

(i) The person on behalf of whom the 

filing is made; 

(ii) An officer, agent, or employee of 

the company, governmental authority, 

agency, or instrumentality on behalf of 

which the filing is made; or, 

(iii) A representative qualified to 

practice before the Commission under 

§ 385.2101 of this chapter who 

possesses authority to sign. 

(3) All signatures on the filing or any 

document included in the filing must 

comply, where applicable, with the 

requirements in Part 385 of this chapter 

with respect to sworn declarations or 

statements and electronic signatures. 

(c) Format requirements for electronic 

filing. The requirements and formats for 

electronic filing are listed in 

instructions for electronic filing and for 

each form. These formats are available 

on the Internet at http://www.ferc.gov 

and can be obtained at the Federal 

Energy Regulatory Commission, Public 

Reference Room, 888 First Street, NE., 

Washington, DC 20426. 

■ 8. In § 35.8, the section heading is 

revised as set forth below, paragraph (b) 

is removed, the designation ‘‘(a)’’ is 

removed from paragraph (a), and the 

paragraph (a) heading, ‘‘Protests or 

interventions’’ is removed. 

§ 35.8 Protests and interventions by 

interested parties. 

* * * * * 

■ 9. Section 35.9 is revised to read as 

follows: 

§ 35.9 Requirements for filing rate 

schedules, tariffs or service agreements. 

(a) Rate schedules, tariffs, and service 

agreements may be filed either by 

dividing the rate schedule, tariff, or 

service agreements into individual 

sheets or sections, or as an entire 

document except as provided in 

paragraphs (b) and (c) of this section. 

(b) Open Access Transmission Tariffs 

(OATT) filed by utilities that are not 

Independent System Operators or 

Regional Transmission Organizations 

must be filed either as individual sheets 


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or sections. If filed as sections, the 

sections must be no larger than the 1.0 

level, although each schedule or 

attachment may be a single section. 

Individual service agreements that are 

entered into pursuant to the OATT may 

be filed as entire documents. 

(c) OATT and other open access 

documents filed by Independent System 

Operators or Regional Transmission 

Organizations must be filed either as 

individual sheets or sections. If filed as 

sections, the sections must be no larger 

than the 1.1 level, including schedules 

or attachments. Individual service 

agreements that are part entered into 

pursuant to the OATT may be filed as 

entire documents. 

■ 10. Section 35.10 is amended as 

follows: 

■ a. The section heading is revised; 

■ b. In paragraph (a), the phrase ‘‘, tariff 

or service agreement’’ is added after the 

phrase ‘‘rate schedule’’ anywhere it 

appears in the paragraph; and 

■ c. Paragraphs (b) and (c) are revised. 

The revisions read as follows: 

§ 35.10 Form and style of rate schedules, 

tariffs and service agreements. 

* * * * * 

(b) At the time a public utility files 

with the Commission and posts under 

this part to supersede or change the 

provisions of a rate schedule, tariff, or 

service agreement previously filed with 

the Commission under this part, in 

addition to the other requirements of 

this part, it must list in the transmittal 

letter the sheets or sections revised, and 

file a marked version of the rate 

schedule, tariff or service agreement 

sheets or sections showing additions 

and deletions. New language must be 

marked by either highlighting, 

background shading, bold text, or 

underlined text. Deleted language must 

be marked by strike-through. 

(c) In any filing to supersede or 

change the provisions of a rate schedule, 

tariff, or service agreement previously 

filed with the Commission under this 

part, only those revisions appropriately 

designated and marked under paragraph 

(b) of this section constitute the filing. 

Revisions to unmarked portions of the 

rate schedule, tariff or service agreement 

are not considered part of the filing nor 

will any acceptance of the filing by the 

Commission constitute acceptance of 

such unmarked changes. 

§ 35.10a [Amended] 

■ 11. In § 35.10a(b), the phrase ‘‘in the 

same format’’ is removed and the phrase 

‘‘filed electronically as’’ is added in its 

place, and the phrase ‘‘§ 35.10(b)’’ is 

removed, and the phrase ‘‘§ 35.7’’ is 

added in its place. 

§ 35.11 [Amended] 

■ 12. In § 35.11, the phrase ‘‘, tariff or 

service agreement’’ is added after the 

phrase ‘‘rate schedule’’. 

■ 13. Section 35.12 is amended as 

follows: 

■ a. The section heading is revised to 

read as set forth below; 

■ b. In paragraphs (a), (b)(2)(i), (b)(4), 

and (b)(5)(ii), the phrase ‘‘schedule’’ is 

removed, and the phrase ‘‘rate schedule 

or tariff’’ is added in its place; and 

■ c. In paragraph (b)(2)(ii), the phrase 

‘‘or she’’ is added after the phrase ‘‘he’’. 

§ 35.12 Filing of initial rate schedules and 

tariffs. 

* * * * * 

■ 14. Section 35.13 is amended as 

follows: 

■ a. The section heading and paragraph 

(a) introductory text are revised; 

■ b. In paragraph (a)(1), the phrase ‘‘, 

tariff, or service agreement’’ is added 

following the phrase ‘‘rate schedule’’. 

■ c. In paragraph (a)(2)(iii), the phrase ‘‘, 

tariff, or service agreement’’ is added 

after the phrase ‘‘rate schedule’’, and the 

phrase ‘‘schedule or tariff’’ is removed 

in the first sentence. 

■ d. In paragraphs (a)(2)(iv), (a)(2)(iv)(A) 

and (a)(2)(iv)(B), the phrase ‘‘schedule’’ 

is removed after the word ‘‘rate’’ in all 

places where it appears. 

■ e. In paragraph (b)(1), the phrase 

‘‘schedule ‘‘ is removed. 

■ f. In paragraph (b)(2), the phrase 

‘‘schedule’’ is removed. 

■ g. In paragraph (b)(3), the phrase 

‘‘schedule’’ is removed, and the phrase 

‘‘mailed or e-mailed’’ is removed, and 

the phrase ‘‘posted’’ is added in its 

place. 

■ h. In paragraphs (b)(4), (b)(5), (b)(6), 

the phrase ‘‘schedule’’ is removed. 

■ i. Paragraph (b)(8) is removed. 

■ j. The heading to paragraph (c) 

introductory text is amended by 

removing the word ‘‘schedule’’. 

■ k. In paragraph (c)(1), introductory 

text, remove the reference to ‘‘or 

supplemented’’. 

■ l. In paragraph (c)(1) introductory text, 

the phrase ‘‘, tariff, or service 

agreement’’ is added after the first 

phrase ‘‘rate schedule,’’ and the second 

phrase ‘‘schedule or tariff’’ is removed 

after the phrase ‘‘rate’’. 

■ m. In paragraphs (c)(1)(i), (c)(1)(ii)(A), 

(c)(1)(ii)(B), (c)(2), (c)(3), the phrase 

‘‘schedule’’ is removed following the 

word ‘‘rate’’. 

■ n. In paragraphs (d)(1)(ii) introductory 

text, (d)(3)(i), (d)(3)(ii)(A), and 

(d)(3)(ii)(B), the phrase ‘‘schedule’’ is 

removed following the word ‘‘rate’’. 

■ o. In paragraph (d)(5), the phrase ‘‘cut 

or folded to letter size,’’ is removed and 

the phrase ‘‘provided in electronic 

format, shall be legible,’’ is added in its 

place. 

■ p. In paragraph (e)(1)(i), the phrase 

‘‘schedule’’ is removed after the phrase 

‘‘rate’’. 

■ q. In paragraph (f), the phrase 

‘‘schedule’’ is removed after the phrase 

‘‘rate’’ anywhere it appears in the 

paragraph. 

The revisions read as follows: 

§ 35.13 Filing of changes in rate 

schedules, tariffs or service agreements. 

* * * * * 

(a) General rule. Every public utility 

shall file the information required by 

this section, as applicable, at the time it 

files with the Commission under § 35.1 

all or part of a rate schedule, tariff or 

service agreement to supersede or 

otherwise change the provisions of a 

rate schedule, tariff or service agreement 

filed with the Commission under § 35.1. 

Any petition filed under § 385.207 of 

this chapter for waiver of any provision 

of this section shall specifically identify 

the requirement that the applicant 

wishes the Commission to waive. 

* * * * * 

§ 35.14 [Amended] 

■ 15. Section 35.14 is amended as 

follows: 

■ a. In paragraph (a), introductory text, 

the phrase ‘‘(fuel clause)’’ is added after 

phrase ‘‘Fuel adjustment clause’’, and 

the phrase ‘‘, tariffs or service 

agreements’’ is added after the phrase 

‘‘rate schedules’’ anywhere it appears in 

the paragraph’s introductory text. 

■ b. In paragraph (a)(7), the phrase 

‘‘schedule’’ is removed in the second to 

last sentence. 

■ 16. In § 35.15, paragraph (a) is revised, 

to read as follows: 

§ 35.15 Notices of cancellation or 

termination. 

(a) General rule. When a rate 

schedule, tariff or service agreement or 

part thereof required to be on file with 

the Commission is proposed to be 

cancelled or is to terminate by its own 

terms and no new rate schedule, tariff 

or service agreement or part thereof is to 

be filed in its place, a filing must be 

made to cancel such rate schedule, tariff 

or service agreement or part thereof at 

least sixty days but not more than one 

hundred-twenty days prior to the date 

such cancellation or termination is 

proposed to take effect. A copy of such 

notice to the Commission shall be duly 

posted. With such notice, each filing 

party shall submit a statement giving the 

reasons for the proposed cancellation or 

termination, and a list of the affected 

purchasers to whom the notice has been 

provided. For good cause shown, the 


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Commission may by order provide that 

the notice of cancellation or termination 

shall be effective as of a date prior to the 

date of filing or prior to the date the 

filing would become effective in 

accordance with these rules. 

* * * * * 

§ 35.16 [Amended] 

■ 17. In § 35.16, the phrase ‘‘on the form 

indicated in § 131.51 of this chapter’’ is 

removed and the phrase ‘‘with a tariff 

consistent with the electronic filing 

requirements in § 35.7 of this part’’ is 

added in its place. 

■ 18. Section 35.17 is amended as 

follows: 

■ a. The section heading is revised; 

■ b. Paragraphs (a), (b), and (c) are 

redesignated as paragraphs (c), (d), and 

(e), respectively; 

■ c. New paragraphs (a) and (b) are 

added; and 

■ d. In redesignated paragraphs (c), (d), 

and (e), the phrase ‘‘tariff’’ is removed 

and the phrase ‘‘, tariffs or service 

agreements’’ is added in its place. 

The revisions and additions read as 

follows: 

§ 35.17 Withdrawals and amendments of 

rate schedules, tariff or service agreement 

filings. 

(a) Withdrawals of rate schedule, tariff 

or service agreement filings prior to 

Commission action. (1) A public utility 

may withdraw in its entirety a rate 

schedule, tariff or service agreement 

filing that has not become effective and 

upon which no Commission or 

delegated order has been issued by 

filing a withdrawal motion with the 

Commission. Upon the filing of such 

motion, the proposed rate schedule, 

tariff or service agreement sections will 

not become effective under section 

205(d) of the Federal Power Act in the 

absence of Commission action making 

the rate schedule, tariff or service 

agreement filing effective. 

(2) The withdrawal motion will 

become effective, and the rate schedule, 

tariff or service agreement filing will be 

deemed withdrawn, at the end of 15 

days from the date of filing of the 

withdrawal motion, if no answer in 

opposition to the withdrawal motion is 

filed within that period and if no order 

disallowing the withdrawal is issued 

within that period. If an answer in 

opposition is filed within the 15 day 

period, the withdrawal is not effective 

until an order accepting the withdrawal 

is issued. 

(b) Amendments or modifications to 

rate schedule, tariff or service agreement 

sections prior to Commission action on 

the filing. A public utility may file to 

amend or modify, and may file a 

settlement that would amend or modify, 

a rate schedule, tariff or service 

agreement section contained in a rate 

schedule, tariff or service agreement 

filing that has not become effective and 

upon which no Commission or 

delegated order has yet been issued. 

Such filing will toll the notice period in 

section 205(d) of the Federal Power Act 

for the original filing, and establish a 

new date on which the entire filing will 

become effective, in the absence of 

Commission action, no earlier than 61 

days from the date of the filing of the 

amendment or modification. 

* * * * * 

§ 35.18 [Amended] 

■ 19. In § 35.18, paragraph (a), first 

sentence, the phrase ‘‘, tariff or service 

agreement’’ is added after the phrase 

‘‘rate schedule’’. 

§ 35.21 [Amended] 

■ 20. In § 35.21, footnote 5, the words 

‘‘footnote 1 to’’ are removed. 

§ 35.22 [Amended] 

■ 21. In § 35.22, in the section heading, 

paragraph (a), paragraph (f) heading, 

and paragraph (f)(1), the phrase ‘‘, tariffs 

or service agreements’’ is added after the 

phrase ‘‘rate schedules’’. 

■ 22. In § 35.23, paragraph (b)(1)(ii) is 

revised to read as follows: 

§ 35.23 General provisions. 

(b) * * * 

(1) * * * 

(ii) Submit the revisions in 

accordance with § 35.7; and 

* * * * * 

§§ 35.1, 35.4, 35.5, 35.6, 35.11, 35.12, 35.13, 

and 35.17 [Amended] 

■ 23. In addition to the amendments set 

forth above, in 18 CFR Part 35, the 

following nomenclature changes are 

made to the sections indicated: 

■ a. In §§ 35.1(b) and (c), 35.4, 35.6, 

35.11, 35.12(a), 35.13(a), 35.13(a)(1), 

35.13(a)(2)(iii), 35.13(b)(1), 35.13(c)(1), 

35.17(c), 35.17(d), and 35.17(e), all 

references to ‘‘rate schedule’’ are 

removed and ‘‘rate schedule or tariff’’ is 

added in their place. 

■ b. In the headings of §§ 35.17(c), 

35.17(d), and 35.17(e), all references to 

‘‘rate schedules’’ are removed and ‘‘rate 

schedules or tariffs’’ is added in their 

place. 

PART 131—FORMS 

■ 24. The authority citation for part 131 

continues to read as follows: 

Authority: 16 U.S.C. 791a–825r, 2601– 

2645; 31 U.S.C. 9701; 42 U.S.C. 7101–7352. 

§ 131.51 [Removed] 

■ 25. Section 131.51 is removed and 

reserved. 

§ 131.52 [Amended] 

■ 26. In § 131.52, the words ‘‘(An 

original and one conformed copy to be 

submitted)’’ are removed. 

§ 131.53 [Removed] 

■ 27, Section 131.53 is removed and 

reserved. 

PART 154—RATE SCHEDULES AND 

TARIFFS 

■ 28. 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. 

■ 29. In § 154.2, paragraph (b) is 

amended by removing the words ‘‘either 

in book form or’’, and paragraph (d) is 

revised to read as follows: 

§ 154.2 Definitions. 

* * * * * 

(d) Post means: to make a copy of a 

natural gas company’s tariff and 

contracts available during regular 

business hours for public inspection in 

a convenient form and place at the 

natural gas company’s offices where 

business is conducted with affected 

customers; and, to serve each affected 

customer and interested state 

Commission in accordance with 

§ 154.208 of this Part. 

* * * * * 

■ 30. Section 154.4 is revised to read as 

follows: 

§ 154.4 Electronic filing of tariffs and 

related materials. 

(a) General rule. All filings made in 

proceedings initiated under this part 

must be made electronically, including 

tariffs, rate schedules, service 

agreements, and contracts, or parts 

thereof, and material that relates to or 

bears upon such documents, such as 

cancellations, amendments, 

withdrawals, termination, or adoption 

of tariffs, and motions relating to 

suspension. 

(b) Requirement for signature. All 

filings must be signed in compliance 

with the following: 

(1) The signature on a filing 

constitutes a certification that the 

contents are true 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; 


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57534 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

(ii) An officer, agent, or employee of 

the company, governmental authority, 

agency, or instrumentality on behalf of 

which the filing is made; or, 

(iii) A representative qualified to 

practice before the Commission under 

§ 385.2101 of this chapter who 

possesses authority to sign. 

(3) All signatures on the filing or any 

document included in the filing must 

comply, where applicable, with the 

requirements in § 385.2005 of this 

chapter with respect to sworn 

declarations or statements and 

electronic signatures. 

(c) Format requirements for electronic 

filing. The requirements and formats for 

electronic filing are listed in 

instructions for electronic filing and for 

each form. These formats are available 

on the Internet at http://www.ferc.gov 

and can be obtained at the Federal 

Energy Regulatory Commission, Public 

Reference Room, 888 First Street, NE., 

Washington, DC 20426. 

§ 154.5 [Amended] 

■ 31. In § 154.5, the words 

‘‘375.307(b)(2)’’ are removed and the 

words ‘‘Part 375’’ are added in their 

place. 

■ 32. In § 154.7, paragraph (b) is revised 

to read as follows: 

§ 154.7 General requirements for the 

submission of a tariff filing or executed 

service agreement. 

* * * * * 

(b) A certification of service to all 

customers and state commissions 

pursuant to § 154.2(d). 

§ 154.101 [Removed] 

■ 33. Section 154.101 is removed and 

reserved. 

■ 34. Section 154.102 is revised to read 

as follows: 

§ 154.102 Requirements for filing rate 

schedules and tariffs. 

(a) All rates schedules, tariffs, and 

service agreements may be filed either 

by dividing the rate schedule, tariff, or 

agreement into individual tariff sheets, 

or tariff sections, or as an entire 

document except as provided in 

paragraph (b) of this section. 

(b) Open access transportation tariffs 

must be filed either as individual sheets 

or sections. If filed as sections, each 

section must include only material of 

related subject matter and must be of 

reasonable length and must include at a 

minimum a section for each item listed 

in the table of contents under § 154.103 

of this section and each topic listed 

under General Terms and Conditions of 

Service. 

(c) Individual negotiated rate 

agreements, non-conforming service 

agreements, or other agreements that are 

included in the tariff may be filed as 

entire documents. 

(d) The first section or sheet of the 

tariff must include: 

(1) The FERC Gas Tariff Volume 

Number and Name of the Natural Gas 

Company, for example 

FERC Gas Tariff Volume No. [ ] of 

[Name of Natural Gas Company] 

(2) The name, title, address, telephone 

number, e-mail address and facsimile 

number of a person to whom 

communications concerning the tariff 

should be sent. 

■ 35. Section 154.104 is revised to read 

as follows: 

§ 154.104 Table of contents. 

The table of contents must contain a 

list of the rate schedules, sections of the 

general terms and conditions, and other 

sections in the order in which they 

appear, showing the sheet number of the 

first page of each section or the section 

number. The list of rate schedules must 

consist of: The alphanumeric 

designation of each rate schedule, a very 

brief description of the service, and the 

sheet number of the first page of each 

rate schedule or the section number. 

§ 154.106 [Amended] 

■ 36. In § 154.106, paragraph (b) is 

removed and reserved. 

■ 37. In § 154.112, the fourth through 

sixth sentences of paragraph (a) and the 

second sentence of paragraph (b) are 

revised to read as follows: 

§ 154.112 Exception to form and 

composition of tariff. 

(a) * * *. Modifications must be 

made by inserting revised sheets, 

sections or the entire document as 

appropriate. Special rate schedules must 

be included in a separate volume of the 

tariff. Each such separate volume must 

contain a table of contents which is 

incorporated as a sheet or section in the 

open access transmission tariff. 

(b) * * * Such non-conforming 

agreements must be referenced in the 

open access transmission tariff. 

§ 154.107 [Amended] 

■ 38. Section 154.107 is amended as 

follows: 

■ a. In paragraphs (d) and (e) all 

references to ‘‘sheet’’ are removed and 

‘‘sheet or section’’ is added in their 

place. 

■ b. In paragraph (e) the reference to ‘‘or 

Gas Research Institute’’ is removed. 

■ 39. Section 154.201 (a) is revised to 

read as follows: 

§ 154.201 Filing requirements. 

* * * * * 

(a) A list in the transmittal letter of 

the tariff sheets or sections being revised 

and a marked version of the sheets or 

sections to be changed or superseded 

showing additions and deletions. New 

numbers and text must be marked by 

either highlight, background shading, 

bold, or underline. Deleted text and 

numbers must be indicated by strikethrough. Only those revisions 

appropriately designated and marked 

constitute the filing. Revisions to 

unmarked portions of the rate schedule 

or tariff are not considered part of the 

filing nor will any acceptance of the 

filing by the Commission constitute 

acceptance of such unmarked changes. 

* * * * * 

■ 40. Section 154.205 is amended as 

follows: 

■ a. Paragraphs (a), (b), and (c) are 

redesignated as paragraphs (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 that has not 

become effective and upon which no 

Commission or delegated order has been 

issued by filing a withdrawal motion 

with the Commission. Upon the filing of 

such motion, the proposed tariff sheets, 

sections or service agreements will not 

become effective under section 4(d) of 

the Natural Gas Act in the absence of 

Commission action making the rate 

schedule or tariff filing effective. 

(2) The withdrawal motion will 

become effective, and the rate schedule 

or tariff filing will be deemed 

withdrawn, at the end of 15 days from 

the date of filing of the withdrawal 

motion, if no answer in opposition to 

the withdrawal motion is filed within 

that period and if no order disallowing 

the withdrawal is issued within that 

period. If an answer in opposition is 

filed within the 15 day period, the 

withdrawal is not effective until an 

order accepting the withdrawal is 

issued. 

(b) Amendments or modifications to 

tariff sheets, sections or service 

agreements prior to Commission action 

on a tariff filing. A natural gas company 

may file to amend or modify a tariff or 

service agreement contained in a tariff 

filing upon which 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 


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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. 

* * * * * 

■ 41. In § 154.208, the section heading 

is revised, paragraph (d) is revised, and 

paragraphs (e) and (f) are added to read 

as follows: 

§ 154.208 Service of tariff filings on 

customers and other parties. 

* * * * * 

(d) A customer or other party may 

designate a recipient of service. The 

filing company must serve the 

designated recipient, in accordance with 

this section, instead of the customer or 

other party. For the purposes of this 

section, service upon the designated 

recipient will be deemed service upon 

the customer or other party. 

(e) The company may choose to effect 

service either electronically or by paper. 

Such service must be made in 

accordance with the requirements of 

Part 385 of this chapter. 

(f) Unless it seeks a waiver of 

electronic service, each customer or 

party entitled to service of initial tariff 

filings under this section must notify 

the company of the e-mail address to 

which service should be directed. A 

customer or party may seek a waiver of 

electronic service by filing a waiver 

request under Part 390 of this chapter, 

providing good cause for its inability to 

accept electronic service. 

§ 154.209 [Removed] 

■ 42. Section 154.209 is removed and 

reserved. 

§ 154.402 [Amended] 

■ 43. In § 154.402, paragraph (b)(1), the 

word ‘‘schedules’’ is removed and the 

words ‘‘rate schedules’’ are added in its 

place. 

§ 154.602 [Amended] 

■ 44. Section 154.602 is amended by 

removing the phrase ‘‘on the form 

indicated in § 250.2 or § 250.3 of this 

chapter, whichever is applicable’’ and 

adding in its place the phrase ‘‘tariff 

filing in the electronic format required 

by § 154.4’’. 

■ 45. Section 154.603 is revised as 

follows: 

§ 154.603 Adoption of the tariff by a 

successor. 

Whenever the tariff or contracts of a 

natural gas company on file with the 

Commission is to be adopted by another 

company or person as a result of an 

acquisition, or merger, authorized by a 

certificate of public convenience and 

necessity, or for any other reason, the 

succeeding company must file with the 

Commission, and post within 30 days 

after such succession, a tariff filing in 

the electronic format required by § 154.4 

bearing the name of the successor 

company. 

§§ 154.7, 154.111, 154.202, 154.206, 154.208, 

154.402, and 154.403 [Amended] 

■ 46. 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 removed and 

‘‘sheets or sections’’ is added in their 

place. 

■ b. In §§ 154.402(b) introductory text, 

154.402(b)(3), 154.403(b), all references 

to ‘‘sheet’’ are removed and ‘‘sheet or 

section’’ is added in their place. 

PART 157—APPLICATIONS FOR 

CERTIFICATES OF PUBLIC 

CONVENIENCE AND NECESSITY AND 

FOR ORDERS PERMITTING AND 

APPROVING ABANDONMENT UNDER 

SECTION 7 OF THE NATURAL GAS 

ACT 

■ 47. The authority citation for part 157 

continues to read as follows: 

Authority: 15 U.S.C. 717–717w. 

■ 48. 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 

■ 49. The authority citation for part 250 

continues to read as follows: 

Authority: 15 U.S.C. 717–717w, 3301– 

3432; 42 U.S.C. 7101–7352. 

§§ 250.2, 250.3, and 250.4 [Removed] 

■ 50. 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 

■ 51. 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. 

■ 52. 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] 

■ 53. In addition to the amendments set 

forth above, in 18 CFR Part 281, the 

following nomenclature changes are 

made to the sections as amended: 

■ a. In §§ 281.204(a), 281.212(a), 

281.212(b), 281.212(c), 281.213(b), 

281.213(d), 281.213(e), all references to 

‘‘sheets’’ are removed and ‘‘sheets or 

sections’’ is added in their place. 

■ b. In § 281.212, the section heading is 

amended to remove the reference to 

‘‘sheets.’’ 

PART 284—CERTAIN SALES AND 

TRANSPORTATION OF NATURAL GAS 

UNDER THE NATURAL GAS POLICY 

ACT OF 1978 AND RELATED 

AUTHORITIES 

■ 54. The authority citation for part 284 

continues to read as follows: 

Authority: 15 U.S.C. 717–717w, 3301– 

3432; 42 U.S.C. 7101–7352; 43 U.S.C. 1331– 

1356. 

■ 55. In § 284.123, paragraph (e) is 

revised and paragraph (f) is added to 

read as follows: 

§ 284.123 Rates and charges. 

* * * * * 

(e) Filing requirements. Within 30 

days of commencement of new service, 

any intrastate pipeline that engages in 

transportation arrangements under this 

subpart must file with the Commission 

a statement that includes the pipeline’s 

interstate rates, the rate election made 

pursuant to paragraph (b) of this section, 

and a description of how the pipeline 

will engage in these transportation 

arrangements, including operating 

conditions, such as quality standards 

and financial viability of the shipper. If 

the pipeline changes its operations, 

rates, or rate election under this subpart, 

it must amend the statement and file 

such amendments not later than 30 days 

after commencement of the change in 

operations or the change in rate 

election. 

(f) Electronic filing of statements, and 

related materials—(1) General rule. All 


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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. 

(2) Requirements for signature. All 

filings must be signed in compliance 

with the following: 

(i) The signature on a filing 

constitutes a certification that the 

contents are true to the best knowledge 

and belief of the signer, and that the 

signer possesses full power and 

authority to sign the filing. 

(ii) A filing must be signed by one of 

the following: 

(A) The person on behalf of whom the 

filing is made; 

(B) An officer, agent, or employee of 

the company, governmental authority, 

agency, or instrumentality on behalf of 

which the filing is made; or, 

(C) A representative qualified to 

practice before the Commission under 

§ 385.2101 of this chapter who 

possesses authority to sign. 

(iii) All signatures on the filing or any 

document included in the filing must 

comply, where applicable, with the 

requirements in § 385.2005 of this 

chapter with respect to sworn 

declarations or statements and 

electronic signatures. 

(3) Format requirements for electronic 

filing. The requirements and formats for 

electronic filing are listed in 

instructions for electronic filing and for 

each form. These formats are available 

on the Internet at http://www.ferc.gov 

and can be obtained at the Federal 

Energy Regulatory Commission, Public 

Reference Room, 888 First Street, NE., 

Washington, DC 20426. 

■ 56. In § 284.224, paragraph (e)(5) is 

revised to read as follows: 

§ 284.224 Certain transportation and sales 

by local distribution companies. 

* * * * * 

(e) * * * 

(5) Filing Requirements. Filings under 

this section must comply with the 

requirements of § 284.123 (f) of this part. 

The tariff filing requirements of Part 154 

of this chapter shall not apply to 

transactions authorized by the blanket 

certificate. 

* * * * * 

PART 300—CONFIRMATION AND 

APPROVAL OF THE RATES OF 

FEDERAL POWER MARKETING 

ADMINISTRATIONS 

■ 57. 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. 

■ 58. In § 300.10, paragraph (a)(4) is 

added to read as follows: 

§ 300.10 Application for confirmation and 

approval. 

(a) * * * 

(4) Electronic filing. All material must 

be filed electronically in accordance 

with the requirements of § 35.7 of this 

chapter. 

* * * * * 

PART 341—OIL PIPELINE TARIFFS: 

OIL PIPELINE COMPANIES SUBJECT 

TO SECTION 6 OF THE INTERSTATE 

COMMERCE ACT 

■ 59. The authority citation for part 341 

continues to read as follows: 

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

1–27. 

■ 60. In § 341.0, paragraph (a)(11) is 

revised and paragraph (a)(13) is added 

to read as follows: 

§ 341.0 Definitions; application. 

(a) * * * 

(11) Tariff publication means all parts 

of a filed tariff, including revised pages, 

supplements and sections. 

* * * * * 

(13) Section means an individual 

portion of a tariff that is tracked and 

accorded appropriate legal status 

(proposed, suspended, effective). A 

section is the smallest portion of a tariff 

that can be submitted as part of a tariff 

filing. 

* * * * * 

■ 61. Section 341.1 is revised to read as 

follows: 

§ 341.1 Electronic filing of tariffs and 

related materials. 

(a) General rule. Filings of tariff 

publications and related materials must 

be made electronically. 

(b) Requirement for signature. All 

filings must be signed in compliance 

with the following: 

(1) The signature on a filing 

constitutes a certification that the 

contents are true to the best knowledge 

and belief of the signer, and that the 

signer possesses full power and 

authority to sign the filing. 

(2) A filing must be signed by one of 

the following: 

(i) The person on behalf of whom the 

filing is made; 

(ii) An officer, agent, or employee of 

the company, governmental authority, 

agency, or instrumentality on behalf of 

which the filing is made; or, 

(iii) A representative qualified to 

practice before the Commission under 

§ 385.2101 of this chapter who 

possesses authority to sign. 

(3) All signatures on the filing or any 

document included in the filing must 

comply, where applicable, with the 

requirements in § 385.2005 of this 

chapter with respect to sworn 

declarations or statements and 

electronic signatures. 

(c) Format requirements for electronic 

filing. The requirements and formats for 

electronic filing are listed in 

instructions for electronic filing and for 

each form. These formats are available 

on the Internet at http://www.ferc.gov 

and can be obtained at the Federal 

Energy Regulatory Commission, Public 

Reference Room, 888 First Street, NE., 

Washington, DC 20426. 

■ 62. Section 341.2 is amended as 

follows: 

■ a. Paragraph (c)(3) is removed. 

■ b. In paragraph (c)(1), the reference to 

‘‘ or supplement numbers’’ is removed 

and ‘‘supplemental numbers, or tariff 

sections’’ is added in its place. 

■ c. Paragraphs (a) and (c)(2) are revised 

to read as follows: 

§ 341.2 Filing requirements. 

(a) Service of filings. (1) Carriers must 

serve tariff publications and 

justifications to each shipper and 

subscriber. The company may choose to 

effect service either electronically or by 

paper. Such service shall be made in 

accordance with the requirements of 

Part 385 of this chapter. 

(2) Unless it seeks a waiver of 

electronic service, each customer or 

party entitled to service under this 

paragraph (a) must notify the company 

of the e-mail address to which service 

should be directed. A customer or party 

may seek a waiver of electronic service 

by filing a waiver request under Part 390 

of this chapter providing good cause for 

its inability to accept electronic service. 

* * * * * 

(c) * * * 

(2) Certification. Letters of transmittal 

must certify that the filing has been sent 

to each subscriber of the tariff 

publication pursuant to paragraph (a) of 

this section. For service made on paper, 

the letters of transmittal must certify 

that the filing has been sent to each 

customer or party by first class mail or 

other agreed-upon means. If there are no 

subscribers, letters of transmittal must 

so certify. 

* * * * * 

■ 63. In § 341.3, paragraphs (a), 

(b)(6)(ii), and (b)(10)(i) are revised, and 

paragraph (b)(10)(vi) is added to read as 

follows: 

§ 341.3 Form of tariff. 

(a) Tariffs may be filed either by 

dividing the tariff into individual looseVerDate Aug<31>2005 17:58 Oct 02, 2008 Jkt 217001 PO 00000 Frm 00052 Fmt 4700 Sfmt 4700 E:\FR\FM\03OCR1.SGM 03OCR1

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Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 57537 

leaf tariff sheets or tariff sections, or as 

an entire document. 

(b) * * * 

(6) * * * 

(ii) Each rule must be given a separate 

item number, (e.g., Item No. 1), and the 

title of each rule must be distinctive. 

* * * * * 

(10) * * * 

(i) All tariff publications must identify 

where changes have been made in 

existing rates or charges, rules, 

regulations or practices, or 

classifications. One of the following 

letter designations or uniform symbols 

may be used to indicate the change, and 

insertions, other than to tables and rates, 

must be indicated by either highlight, 

background shading, bold, or underline, 

with deleted text indicated by strikethrough: 

Description Option 1 Option 2 

Increase ................... > [I] 

Decrease ................. < [D] 

Change in wording 

only.

∧ [W] 

Cancel ..................... / [C] 

Reissued Item ......... ∼ [R] 

Unchanged Rate ..... = [U] 

New ......................... + [N] 

* * * * * 

(vi) Only revisions to tariff provisions 

identified in the filing constitute the 

tariff filing. Revisions to unidentified 

portions of the rate schedule or tariff are 

not considered part of the filing nor will 

any acceptance of the filing by the 

Commission constitute acceptance of 

such unmarked changes. 

* * * * * 

§ 341.4 [Amended] 

■ 64. In § 341.4, paragraph (c) is 

removed and reserved. 

■ 65. In § 341.13, paragraph (a) and 

paragraph (b) introductory text are 

revised to read as follows: 

§ 341.13 Withdrawal of proposed tariff 

publications. 

(a) Proposed tariff publications. A 

proposed tariff publication which is not 

yet effective may be withdrawn at any 

time by filing a notice with the 

Commission with a certification that all 

subscribers have been notified by copy 

of such withdrawal. 

(b) Tariff publications that are subject 

to investigation. A tariff publication that 

has been permitted to become effective 

subject to investigation may be 

withdrawn at any time by filing a notice 

with the Commission, which includes a 

transmittal letter, a certification that all 

subscribers have been notified of the 

withdrawal, and the previous tariff 

provisions that are to be reinstated upon 

withdrawal of the tariff publication 

under investigation. Such withdrawal 

shall be effective immediately upon the 

submission of the notice, unless a 

specific effective date is set forth in the 

notice, and must have the following 

effects: 

* * * * * 

PART 344—FILING QUOTATIONS FOR 

U.S. GOVERNMENT SHIPMENTS AT 

REDUCED RATES 

■ 66. The authority citation for part 344 

continues to read as follows: 

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

1–27. 

■ 67. Amend § 344.2 as follows: 

■ a. Remove and reserve paragraph (b). 

■ b. Revise paragraphs (a) and (c) to read 

as follows: 

§ 344.2 Manner of submitting quotations. 

(a) The quotation or tender must be 

submitted to the Commission 

concurrently with the submittal of the 

quotation or tender to the Federal 

department or agency for whose account 

the quotation or tender is offered or the 

proposed services are to be rendered. 

(b) [Reserved] 

(c) Filing procedure. (1) The quotation 

must be filed with a letter of transmittal 

that prominently indicates that the 

filing is in accordance with section 22 

of the Interstate Commerce Act. 

(2) All filings pursuant to this part 

must be filed electronically consistent 

with §§ 341.1 and 341.2 of this chapter. 

* * * * * 

PART 346—OIL PIPELINE COST-OFSERVICE FILING REQUIREMENTS 

■ 68. 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. 

■ 69. In § 346.1, the introductory text is 

revised to read as follows: 

§ 346.1 Content of filing for cost-of-service 

rates. 

A carrier that seeks to establish rates 

pursuant to § 342.2(a) of this chapter, or 

a carrier that seeks to change rates 

pursuant to § 342.4(a) of this chapter, or 

a carrier described in § 342.0(b) of this 

chapter that seeks to establish or change 

rates by filing cost, revenue, and 

throughput data supporting such rates, 

other than pursuant to a Commissionapproved settlement, must file, 

consistent with the requirements of 

§§ 341.1 and 341.2 of this chapter: 

* * * * * 

PART 347—OIL PIPELINE 

DEPRECIATION STUDIES 

■ 70. 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. 

■ 71. In § 347.1, remove the second 

sentence of paragraph (a), remove the 

last two sentences of paragraph (c), and 

revise paragraph (b) to read as follows: 

§ 347.1 Material to support request for 

newly established or changed property 

account depreciation studies. 

* * * * * 

(b) All filings under this Part must be 

made electronically pursuant to the 

requirements of §§ 341.1 and 341.2 of 

this chapter. 

* * * * * 

PART 348—OIL PIPELINE 

APPLICATIONS FOR MARKET POWER 

DETERMINATIONS 

■ 72. 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. 

■ 73. In § 348.2, paragraphs (a) and (c) 

are revised to read as follows: 

§ 348.2 Procedures. 

(a) All filings under this Part must be 

made electronically pursuant to the 

requirements of §§ 341.1 and 341.2 of 

this chapter. A carrier must submit with 

its application any request for privileged 

treatment of documents and information 

under § 388.112 of this chapter and a 

proposed form of protective agreement. 

* * * * * 

(c) A letter of transmittal must 

describe the market-based rate filing, 

including an identification of each rate 

that would be market-based, and the 

pertinent tariffs, state if a waiver is 

being requested and specify the statute, 

section, subsection, regulation, policy or 

order requested to be waived. Letters of 

transmittal must be certified pursuant to 

§ 341.1(b) of this chapter. 

* * * * * 

PART 375—THE COMMISSION 

■ 74. 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. 

■ 75. Amend § 375.307 as follows: 

■ a. Paragraph (b)(1)(i) is amended by 

removing the word ‘‘and’’ from the end 

of the paragraph. 

■ b. Paragraph (b)(1)(ii) is amended by 

removing the period at the end of the 


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57538 Federal Register / Vol. 73, No. 193 / Friday, October 3, 2008 / Rules and Regulations 

paragraph and adding ‘‘; and’’ in its 

place. 

■ c. Paragraph (b)(1)(iii) is added to read 

as follows: 

§ 375.307 Delegations to the Director of 

the Office of Energy Market Regulation. 

* * * * * 

(b) * * * 

(1) * * * 

(iii) Filings for administrative 

revisions to electronic filed tariffs. 

* * * * * 

PART 385—RULES OF PRACTICE AND 

PROCEDURE 

■ 76. The authority citation for part 385 

continues to read as follows: 

Authority: 5 U.S.C. 551–557; 15 U.S.C. 

717–717z, 3301–3432; 16 U.S.C. 791a–825v, 

2601–2645; 28 U.S.C. 2461; 31 U.S.C. 3701, 

9701; 42 U.S.C. 7101–7352, 16441,16451– 

16463; 49 U.S.C. 60502; 49 App. U.S.C. 1–85 

(1988). 

§ 385.203 [Amended] 

■ 77. In § 385.203, paragraph (a)(4), the 

reference to ‘‘sheets’’ is removed and 

‘‘sheets or sections’’ is added in its 

place. 

■ 78. In § 385.215, paragraph (a)(2) is 

amended by adding a new 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 under this chapter. 

* * * 

* * * * * 

■ 79. In § 385.216, the heading and 

paragraph (a) are revised to read as 

follows: 

§ 385.216 Withdrawal of pleadings and 

tariff or rate filings (Rule 216). 

(a) Filing. Any participant, or any 

person who has filed a timely motion to 

intervene which has not been denied, 

may seek to withdraw a pleading by 

filing a notice of withdrawal. The 

procedures provided in this section do 

not apply to withdrawals of tariff or rate 

filings, which may be withdrawn only 

as provided in the regulations under 

this chapter. 

* * * * * 

§ 385.217 [Amended] 

■ 80. In § 385.217, paragraph (d)(1)(iii), 

the reference to ‘‘sheets’’ is removed and 

‘‘sheets or sections’’ is added in its 

place. 

§ 385.2011 [Amended] 

■ 81. In § 385.2011, paragraph (b)(1) is 

removed and reserved, and paragraphs 

(b)(4) and (b)(5) are removed. 

Note: The following appendix will not 

appear in the Code of Federal Regulations. 

Appendix 

Commenters and Abbreviations 

American Gas Association (AGA) 

Arizona Public Service Company (APS) 

Association of Oil Pipe Lines (AOPL) 

Bonneville Power Administration 

(Bonneville) 

California Independent System Operator 

Corporation (CAISO) 

Duke Energy Corporation (Duke Energy) 

Edison Electric Institute (EEI) 

Entergy Services, Inc. (Entergy) 

FirstEnergy Service Company (FirstEnergy) 

Interstate Natural Gas Association of America 

(INGAA) 

ISO New England, Inc. (ISO New England) 

Midwest Independent Transmission System 

Operator, Inc. (Midwest ISO) 

Nevada Power Company and Sierra Pacific 

Power Company (Nevada Power) 

New England Participating Transmission 

Owners Administrative Committee (New 

England PTOs) 

Public Service Electric and Gas Company and 

PSEG Energy Resources & Trade LLC 

(PSEG) 

Southern California Edison Company 

(Southern California Edison) 

TransCanada Corporation (TransCanada) 

UNICON, Inc. (UNICON) 

[FR Doc. E8–22500 Filed 10–2–08; 8:45 am] 

BILLING CODE 6717–01–P 

DEPARTMENT OF THE INTERIOR 

Office of Surface Mining Reclamation 

and Enforcement 

30 CFR Part 950 

[SATS No. WY–036–FOR; Docket ID OSM– 

2008–0008] 

Wyoming Abandoned Mine Land 

Reclamation Plan 

AGENCY: Office of Surface Mining 

Reclamation and Enforcement, Interior. 

ACTION: Final rule; approval of 

amendment. 

SUMMARY: We are approving an 

amendment to the Wyoming abandoned 

mine land reclamation (AMLR) plan 

(hereinafter referred to as the ‘‘Wyoming 

plan’’) under the Surface Mining 

Control and Reclamation Act of 1977 

(SMCRA or the Act). Wyoming intended 

to revise its plan by submitting a 

revision to W.S. 35–11–1210 to correct 

an inadvertent error in the statute that 

was enacted during the 2007 Legislative 

Session. Specifically, the amendment 

clarifies that W.S. § 35–11–1210 only 

applies to SMCRA section 411(h)(1) 

funds. 

DATES: Effective Date: October 3, 2008. 

FOR FURTHER INFORMATION CONTACT: 

Jeffrey Fleischman, Casper Field Office 

Director. Telephone: (307) 261–6550. 

Internet address: 

jfleischman@osmre.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background on the Wyoming Plan 

II. Submission of the Proposed Amendment 

III. Office of Surface Mining Reclamation and 

Enforcement’s (OSM’s) Findings 

IV. Summary and Disposition of Comments 

V. OSM’s Decision 

VI. Procedural Determinations 

I. Background on the Wyoming Plan 

The Abandoned Mine Land 

Reclamation Program was established 

by Title IV of the Act (30 U.S.C. 1201 

et seq.) in response to concerns over 

extensive environmental damage caused 

by past coal mining activities. The 

program is funded by a reclamation fee 

collected on each ton of coal that is 

produced. The money collected is used 

to finance the reclamation of abandoned 

coal mines and for other authorized 

activities. Section 405 of the Act allows 

States and Indian tribes to assume 

exclusive responsibility for reclamation 

activity within the State or on Indian 

lands if they develop and submit to the 

Secretary of the Interior for approval, a 

program (often referred to as a plan) for 

the reclamation of abandoned coal 

mines. 

On February 14, 1983, the Secretary of 

the Interior approved Wyoming’s AMLR 

Plan. You can find general background 

information on the Wyoming Plan, 

including the Secretary’s findings and 

the disposition of comments, in the 

February 14, 1983, Federal Register (48 

FR 6536). OSM announced in the May 

25, 1984, Federal Register (49 FR 

22139), the Director’s decision accepting 

certification by Wyoming that it had 

addressed all known coal-related 

impacts in the State that were eligible 

for funding under the Wyoming Plan. 

Wyoming could then proceed in 

reclaiming low priority non-coal 

projects. The Director accepted 

Wyoming’s proposal that it would seek 

immediate funding for reclamation of 

any additional coal-related problems 

that occur during the life of the 

Wyoming Plan. You can find later 

actions concerning Wyoming’s Plan and 

plan amendments at 30 CFR 950.35. 

II. Submission of the Proposed 

Amendment 

By letter dated March 21, 2008, 

Wyoming submitted a proposed 


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