[Federal Register Volume 64, Number 221 (Wednesday, November 17, 1999)]
[Rules and Regulations]
[Pages 62580-62582]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-29979]
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DEPARTMENT OF ENERGY
Federal Energy Regulatory Commission
18 CFR Part 385
[Docket No. RM99-9-000; Order No. 610]
Designation of Corporate Officials or Other Persons To Receive
Service
Issued: November 10, 1999.
AGENCY: Federal Energy Regulatory Commission.
ACTION: Final rule.
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SUMMARY: The Federal Energy Regulatory Commission (Commission) is
adding a new paragraph (i) to Sec. 385.2010 (Rule 2010) of its
regulations to require that all entities regulated by the Commission
designate a corporate official or other person to receive service of
certain types of pleadings where a person to receive service has not
otherwise been designated under the Commission's regulations. Each
regulated entity would be required to file with the Commission: the
name of the corporate official or other person that is to receive
service; the title of the corporate official or person, if applicable;
the address of the official, including, where applicable, department,
room number, or mail routing code; the telephone number of the
corporate official or person; the facsimile number of the corporate
official or person, if applicable; and the electronic mail address of
the corporate official or person, if applicable. Each regulated entity
would have a continuing obligation to file updated information with the
Commission.
The Commission will maintain a list of designated officials in the
Office of the Secretary of the Commission and to make the list
available to the public in hard copy and through the Commission's web
site.
DATES: The regulations are effective December 17, 1999.
ADDRESSES: Federal Energy Regulatory Commission 888 First Street, NE,
Washington, DC 20426.
FOR FURTHER INFORMATION CONTACT: David Faerberg, Office of the General
Counsel, Federal Energy Regulatory Commission, 888 First Street, N.E,
Washington, DC 20426, (202) 208-1275.
SUPPLEMENTARY INFORMATION: In addition to publishing the full text of
this document in the Federal Register, the Commission also provides all
interested persons an opportunity to inspect or copy the contents of
this document during normal business hours in the Public Reference Room
at 888 First Street, NE, Room 2A, Washington, DC 20426.
The Commission Issuance Posting System (CIPS) provides access to
the texts of formal documents issued by the Commission from November
14, 1994, to the present. CIPS can be accessed via Internet through
FERC's Home Page (http://www.ferc.fed.us) using the CIPS Link or the
Energy Information Online icon. Documents will be available on CIPS in
ASCII and WordPerfect 8.0. User assistance is available at 202-208-2474
or by E-mail to cips.master@ferc.fed.us.
This document is also available through the Commission's Records
and Information Management System (RIMS), an electronic storage and
retrieval system of documents submitted to and issued by the Commission
after November 16, 1981. Documents from November 1995 to the present
can be viewed and printed. RIMS is available in the Public Reference
Room or remotely via Internet through FERC's Home Page using the RIMS
link or the Energy Information Online icon. User assistance is
available at 202-208-2222, or by E-mail to rimsmaster@ferc.fed.us.
Finally, the complete text on diskette in WordPerfect format may be
purchased from the Commission's copy contractor, RVJ International,
Inc. RVJ International, Inc. is located in the Public Reference Room at
888 First Street, NE, Washington, DC 20426.
Before Commissioners: James J. Hoecker, Chairman; Vicky A.
Bailey, William L. Massey, Linda Breathitt, and Curt Hebert, Jr.
The Federal Energy Regulatory Commission (Commission) is revising
its regulations to require that all entities regulated by the
Commission must designate a corporate official or other person to
receive service.
I. Background
On July 28, 1999, as a result of a suggestion made by the
Interstate Natural Gas Association of America (INGAA) on rehearing of
Order No. 602,1 the Commission issued a notice of proposed
rulemaking (NOPR) proposing to add a new paragraph (i) to Sec. 385.2010
(Rule 2010) to require that all entities regulated by the Commission
designate at least one, but not more than two, corporate officials or
other persons to receive service of certain types of pleadings where a
person to receive service has not otherwise been designated under the
Commission's regulations.2
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\1\ Complaint Procedures, Order No. 602, 64 FR 17087 (Apr. 8,
1999), III FERC Stats. & Regs. para. 31,071 (1999), order on reh'g
and clarification, Order No. 602-A, 64 FR 43600 (Aug. 11, 1999), III
FERC Stats. & Regs. para. 31,076 (1999), order on reh'g, Order No.
602-B, 88 FERC para. 61,294 (1999).
\2\ Designation of Corporate Officials or Other Persons to
Receive Service, 64 FR 42307 (Aug. 4, 1999), IV FERC Stats. & Regs.
para. 32,543 (July 28, 1999).
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The NOPR stated that the Commission would maintain a list of
designated officials in the Office of the Secretary of the Commission
and make the list available to the public in hard copy and through the
Commission's web site. However, the Commission invited comments on what
other ways the names of designated officials could be made available to
interested persons. The Commission asked whether regulated entities
should be required to post the names of designated corporate officials
on a company's EBB or web site. The Commission also asked whether a
company should be required to periodically mail the names of the
designated corporate officials to its customers or other persons
otherwise affected by its operations. The Commission was also
interested in receiving comments on what level of burden, if any, will
a distribution requirement place on a regulated entity.
[[Page 62581]]
In order to implement the new service requirements, the Commission
proposed to add a new paragraph (i) to Sec. 385.2010 (Rule
2010).3 In the NOPR, the Commission stated that placement of
the requirements in the Rules of Practice and Procedure should provide
sufficient notice of the obligations of both regulated entities and
parties who desire to serve pleadings on regulated entities for
purposes of initiating a proceeding before the Commission. However, the
Commission requested comments on whether it would be appropriate to
place the new requirements in that section of the regulations or
whether there may be other places in the regulations which would be
more appropriate.
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\3\ 18 CFR 385.2010.
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Comments on the NOPR were filed by CNG Transmission Corporation
(CNG), INGAA, Williston Basin Interstate Pipeline Company (Williston),
Chevron Pipe Line Company (Chevron), and Duke Energy Corporation
(Duke).
II. Discussion
All of the commenters support the NOPR and the proposed regulations
as drafted. The final rule adopts the regulations as proposed in the
NOPR subject to certain clarifications discussed below. Each regulated
entity is required to file with the Commission: (1) The name of the
corporate official or other person that is to receive service; (2) the
title of the corporate official or person, if applicable; (3) the
address of the official, including, where applicable, department, room
number, or mail routing code; (4) the telephone number of the corporate
official or person; (5) the facsimile number of the corporate official
or person, if applicable; and (6) the electronic mail address of the
corporate official or person, if applicable. Each regulated entity has
a continuing obligation to file updated information with the
Commission.
The Office of the Secretary of the Commission will maintain a list
of designated officials and make the list available to the public in
hard copy and through the Commission's web site. For ease of use, the
Commission proposed that the list be divided by industry. This list
will be separate and apart from the official service lists that the
Secretary maintains for each proceeding pursuant to Sec. 385.2010(c) of
the Commission's regulations (Rule 2010). Thus, in situations where an
official service list is maintained for an existing proceeding, a party
would be required to serve the person designated by the regulated
entity for that proceeding. Where there is no service list because, for
example, the proceeding is initiated by the Commission or another
entity, a party will be required to serve the person designated
pursuant to proposed Sec. 385.2010(i).
The commenters do not support duplication of service information
through other methods of distribution such as periodic mailings or
separate postings on company EBBs or web sites. The commenters submit
that information will be most effective if the official data are
maintained by the Commission on its web site and in hard copy. The
commenters assert that maintaining multiple sources of information
could create the possibility of inconsistent data leading to disputes
about proper service. The commenters argue that such confusion would
undermine the NOPR's purpose of the efficient service and receipt of
pleadings.
The Commission agrees with the commenters that the service
information required by the rule should be officially maintained only
by the Commission in order to avoid confusion. Nevertheless, the
Commission encourages regulated entities to maintain service
information on their EBBs or web sites as a convenience to their
customers.
Chevron requests clarification with respect to protests to oil
pipeline tariff filings. Chevron states that the current Commission
regulations allow a pipeline to designate, in the transmittal letter
accompanying the tariff filing, the person to receive any protest to
the tariff. Chevron interprets the Commission's statement in the NOPR
that such a designation would continue to govern service of protests,
rather than any general designation as envisioned in the NOPR. The
Commission grants Chevron's request for clarification. As the
Commission stated in the NOPR, proposed Sec. 385.2010(i) was only
designed to cover situations where a person to receive service has not
otherwise been designated under the Commission's regulations. The
situation described by Chevron is covered by two regulations. Under
Sec. 385.203 of the Commission's regulations, the initial pleading or
rate filing of a person must contain, among other things, the name,
address and telephone number of at least one person on whom service is
to be made. In addition, Sec. 343.3(a) states that:
Any protest pursuant to section 15(7) of the Interstate Commerce
Act must be filed not later than 15 days after the filing of a
tariff publication. If the carrier submits a separate letter with
the filing, providing a telefax number and contact person, and
requesting all protests to be telefaxed to the carrier by a
protestant, any protest must be so telefaxed to the pipeline at the
time the protest is filed with the Commission.
Duke requests that the Commission clarify the proposed rule in two
respects. First, Duke requests that the Commission make clear in the
final rule that, for entities such as Duke that have numerous corporate
affiliates and divisions conducting activities subject to the
Commission's jurisdiction under the Federal Power Act, Natural Gas Act
and other statutory provisions, each such corporate affiliate and
division is to designate persons to receive service under the new
regulation. Second, Duke states that in some cases individual companies
conduct activities that are subject to Commission regulation under
different statutory schemes. For example, Duke Power, which is a
division of Duke Energy Corporation, engages in activities regulated by
the Commission under Part II of the Federal Power Act and also is a
hydroelectric licensee regulated by the Commission pursuant to Part I
of the Federal Power Act. Duke believes that it makes sense for such
companies to designate one person to receive service of documents
pertaining to Part II matters and a different person to receive service
of documents pertaining to Part I matters, and requests that the
Commission so clarify in its final rule. Duke submits that the
clarification requested will ensure that the company personnel
responsible for a particular jurisdictional activity will receive
service of the filed documents pertaining to that activity and thus
will further the goal of the Commission's NOPR.
The Commission clarifies that companies subject to this regulation
may provide the names of officials or persons to receive service for
each jurisdictional activity in which the regulated entity engages.
Thus, in Duke's case, for example, it can provide one contact person
for electric matters and another person for hydroelectric matters. This
should ensure that the appropriate personnel receive documents in a
timely manner.
III. Information Collection Statement
The Commission finds that the information required to be provided
by regulated entities is so minimal that it does not impose any
measurable additional burden on regulated entities. Therefore, no
public reporting burden estimates were made.
IV. Environmental Analysis
The Commission is required to prepare an Environmental Assessment
or an Environmental Impact Statement for any action that may have a
[[Page 62582]]
significant adverse impact on the human environment.4 The
Commission has categorically excluded certain actions from these
requirements as not having a significant effect on the human
environment.5 The actions proposed to be taken here fall
within categorical exclusions in the Commission's regulations for rules
that are clarifying, corrective, or procedural, for information
gathering, analysis, and dissemination, and for sales, exchange, and
transportation of natural gas that requires no construction of
facilities.6 Therefore, an environmental assessment is
unnecessary and has not been prepared for this final rule.
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\4\ Order No. 486, Regulations Implementing the National
Environmental Policy Act, 52 FR 47897 (Dec. 17, 1987), FERC Stats. &
Regs. Preambles 1986-1990 para. 30,783 (1987).
\5\ 18 CFR 380.4.
\6\ See 18 CFR 380.4(a)(2)(ii), 380.4(a)(5), 380.4(a)(27).
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V. Regulatory Flexibility Act Certification
The Regulatory Flexibility Act (RFA) requires agencies to prepare
certain statements, descriptions and analyses of proposed rules that
will have an impact on a substantial number of small
entities.7 The Commission is not required to make such
analyses if a rule would not have such an effect.8
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\7\ 5 U.S.C. 601-612.
\8\ 5 U.S.C. 605(b).
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In the Commission's view, this rule would not have a significant
economic impact on small entities. The companies that are regulated by
the Commission, who would have to designate a corporate official to
receive service, generally do not meet the RFA's definition of a small
entity.9 Further, it would be easier for any small entity to
serve a pleading on a regulate company if that company had a specific
official designated to receive service. Therefore, the Commission
certifies that this rule will not have a significant economic impact on
a substantial number of small entities.
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\9\ 5 U.S.C. 601(3).
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VI. Effective Date
The regulations are effective December 17, 1999. The Small Business
Regulatory Enforcement Fairness Act of 1996 requires agencies to report
to Congress certain final rules prior to their effective
dates.10 Since this final rule concerns agency practice and
procedure, a determination as to whether it is a major or non-major
rule is not necessary and Congressional notification is not required.
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\10\ 5 U.S.C. 801.
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List of Subjects in 18 CFR Part 385
Administrative practice and procedure, Electric power, Penalties,
Pipelines, Reporting and recordkeeping requirements.
By the Commission.
David P. Boergers,
Secretary.
In consideration of the foregoing, the Commission amends Part 385,
Chapter I, Title 18, Code of Federal Regulations, as follows.
PART 385--RULES OF PRACTICE AND PROCEDURE
1. The authority citation for Part 385 continues to read as
follows:
Authority: 5 U.S.C. 551-557; 15 U.S.C. 717-717z, 3301-3432; 16
U.S.C. 791a-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-7352; 49
U.S.C. 60502; 49 App. U.S.C. 1-85.
2. In Sec. 385.2010, new paragraph (i) is added to read as follows:
Sec. 385.2010 Service (Rule 2010)
* * * * *
(i) Designation of Corporate Officials to Receive Service. (1) Any
entity subject to regulation by the Commission must designate at least
one, but not more than two, corporate officials or other persons to
receive service of complaints, petitions for declaratory order, show
cause orders, data requests, investigatory letters or other documents
where a person to receive service has not otherwise been designated
under Commission regulations. Each entity must file with the Secretary
of the Commission:
(i) The name of the corporate official or person that is to receive
service;
(ii) The title of the corporate official or person, if applicable;
(iii) The address of the corporate official or person, including,
where applicable, department, room number, or mail routing code;
(iv) The telephone number of the corporate official or person;
(v) The facsimile number of the corporate official or person, if
applicable; and
(vi) The electronic mail address of the corporate official or
person, if applicable.
(2) Each regulated entity has a continuing obligation to file with
the Secretary of the Commission updated information concerning the
corporate official or person designated to receive service.
(3) A list of corporate officials and persons designated to receive
service pursuant to this paragraph will be maintained by the Secretary
of the Commission and will be made available to the public in hard copy
upon request and through the Commission's web site at http://
www.ferc.fed.us.
(4) Any person who wishes to serve a complaint or petition for
declaratory order on any entity regulated by the Commission must serve
the corporate official or person designated pursuant to this paragraph
(i).
(5) The Commission will serve show cause orders, data requests,
investigatory letters or other documents on the corporate official or
person designated under this paragraph (i).
[FR Doc. 99-29979 Filed 11-16-99; 8:45 am]
BILLING CODE 6717-01-P
