[Federal Register Volume 63, Number 96 (Tuesday, May 19, 1998)]
[Proposed Rules]
[Pages 27529-27533]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-13294]
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DEPARTMENT OF ENERGY
18 CFR Part 385
Federal Energy Regulatory Commission.
[Docket No. PL98-1-000]
Public Access to Information and Electronic Filing; Request For
Comments and Notice of Intent to Hold technical Conference
May 13, 1998.
AGENCY: Federal Energy Regulatory Commission, DOE.
ACTION: Request for Comments for Notice of Intent to Hold Technical
Conference.
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SUMMARY: The Federal Energy Regulatory Commission (Commission) intends
to develop a comprehensive information management system that accepts
filings and disseminates information electronically. The Commission
seeks public comment to determine the best way to implement its
electronic filing initiative. After reviewing the comments, the
Commission intends to hold a technical conference to discuss its
implementation process.
DATES: Comments are due June 30, 1998.
ADDRESSES: Send comments to: Office of the Secretary, Federal Energy
Regulatory Commission, 888 First Street, N.E., Washington, D.C. 20426.
FOR FURTHER INFORMATION CONTACT:
Brooks Carter, Office of the Chief Information Officer, Federal Energy
Regulatory Commission, 888 First Street, NE, Washington, DC 20426,
(202) 501-8145.
Carolyn Van Der Jagt, Office of the General Counsel, Federal Energy
Regulatory Commission, 888 First Street, NE, Washington, D.C. 20426,
(202) 208-2246.
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. CIPS can be
accessed via Internet through FERC's Homepage (http://www.ferc.fed.us)
using the CIPS Link or the Energy Information Online icon. The full
text of this document will be available on CIPS in ASCII and
WordPerfect 6.1 format. CIPS is also available through the Commission's
electronic bulletin board service at no charge to the user and may be
accessed using a personal computer with a modem by dialing 202-208-
1397, if dialing locally, or 1-800-856-3920, if dialing long distance.
To access CIPS, set your communications software to 19200, 14400,
12000, 9600, 7200, 4800, 2400, or 1200 bps, full duplex, no parity, 8
data bits and 1 stop bit. User assistance is available at 202-208-2474
or by E-mail to [email protected]
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 Homepage using the RIMS
link or the Energy Information Online icon. User assistance is
available at 202-208-2222, or by E-mail to [email protected]
Finally, the complete text on diskette in WorkPerfect format may be
purchased from the Commission's copy contractor, La Dorn System
Corporation. La Dorn Systems Corporation is located in the Public
Reference Room at 888 First Street, NE., Washington, DC 20426.
I. Introduction
The growing availability and use of electronic media and the
increasing competitiveness of the natural gas, oil, and electric
industries are compelling the Federal Energy Regulatory Commission
(Commission) to manage its information resources more strategically.
Advances in information technology (IT) permit the filing and
dissemination of information at a faster rate and more cost-effectively
than the traditional paper distribution methods.
The Commission's ultimate goal is to improve its use of IT to
reduce regulatory burdens, cut processing times, simplify filing
processes, and generate better information for use by its staff,
regulated industries, and the public. The Commission views its efforts
to implement a system for electronic filing and dissemination of
information as a large and complex undertaking. It believes that
certain
[[Page 27530]]
aspects of electronic filings could be implemented relatively easily in
the near future, whereas, other aspects may take more time to develop.
The Commission requests comments to determine the best way to
proceed with developing a faster, more cost-efficient electronic system
for accepting, processing, and distributing the myriad of filings that
it currently receives on paper. The Commission requests input from the
industries it regulates and other interested parties, including
software developers and standards setting organizations. After
reviewing the comments, the Commission intends to hold a technical
conference to discuss its implementation process and to establish
various working groups to investigate the requirements necessary for
the Commission to achieve its goal of moving towards a more efficient,
cost-effective, paperless environment and the options available to meet
that goal. The Commission will issue a separate, later notice
announcing the date, time, and location for the technical conference.
II. Background
On November 7, 1997, the Chairman of the Commission hosted a round
table forum to discuss reform of the Commission's regulatory processes.
The November 7 symposium focused on public access to information and
standards for electronic filing. The round-table forum included
Commission staff and representatives of oil and natural gas pipelines,
electric utilities, hydropower interests, customer groups, and other
agencies with experience in electronic filing. The symposium featured a
presentation by officials of the National Energy Board of Canada, who
described their electronic filing program, and an on-line demonstration
of the Federal Communication Commission's (FCC) Internet World Wide Web
Site.\1\ Generally, the symposium participants enthusiastically
supported the Commission's endeavors to further proceed with electronic
filing.
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\1\ Commission staff also demonstrated the Commission's Internet
site, which came on-line on November 10, 1997.
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The Commission previously has developed regulations for electronic
filing of certain information as part of its ongoing effort to improve
its ability to process information and provide information to the
public. Gas pipelines file tariffs electronically and file various
portions of their rate cases in specified electronic format.\2\
Electric utilities proposing to merge file certain competitive analyses
data electronically.\3\ Electric utilities and licensees who file FERC
Form No. 1 file that form electronically.\4\ Other reports and forms
also are filed electronically.\5\ The Commission further has encouraged
those who comment on proposed rules to file copies of their comments in
electronic format on diskette and by Internet E-Mail.\6\
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\2\ 18 CFR 154.4; 18 CFR 385.2011(b); Revisions to Uniform
System of Accounts, Forms, Statements, and Reporting Requirements
for Natural Gas Companies, 60 FR 53019 (Oct. 11, 1995), FERC Stats.
and Regs. Regulation Preambles Jan. 1991 to June 1996 para.31.026 at
31,517 (Sep. 28, 1995).
\3\ Inquiry Concerning the Commission's Merger Policy under the
Federal Power Act: Policy Statement, 61 FR 68,595 (Dec. 30, 1996),
FERC Stats. & Regs. para.31,044 at 30,135, 30,138 (1996), order on
reconsideration, 79 FERC para.61,321 (1997).
\4\ 18 CFR 141.1(b)(2); 18 CFR 385.2011(a)(6).
\5\ 18 CFR 385.2011(a).
\6\ See Standards For Business Practices of Interstate Natural
Gas Pipelines, Notice of Proposed Rulemaking, 61 FR 58790 (Nov. 19,
1996), FERC Stats. & Regs. Proposed Regulations para.32,521 (Nov.
13, 1996).
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The Commission believes that electronic filing should be more
efficient and cost-effective for both the Commission and those filing
with the Commission. For the filer, electronic filing is faster than
paper filing and eliminates the need to arrange for messenger or other
services to hand deliver paper copies of the Commission. For the
Commission, electronic filing eliminates the need to process paper
filings, and electronic files are easier, and take less space to store
than paper files.
Perhaps even more important, electronic files provide enhanced
retrieval and document processing capability. Electronic files can be
posted on the Internet or other electronic mediums for viewing and
downloading. Search and other electronic cataloguing programs can be
used to find specific information. Finally, portions of electronic
files can be copied and pasted into other documents.
III. Request for Comments
The Commission requests comments that address the issues and
questions raised below.
A. Filing Format
Establishing the format(s) for electronically filed documents
creates numerous complex requirements, including finding a format(s)
that: (1) is easy for the filing party to create; (2) is easy for the
Commission to process electronically with minimal human interaction;
(3) can be quickly and accurately published on the Commission's home
page for viewing and downloading using most common browsers; (4)
complies with the record retention requirements of the National
Archives and Records Administration (NARA); and (5) is searchable and
from which text or other information can be exported into other
documents or applications. Commenters should consider these issues in
their comments.
The filings the Commission presently accepts, processes, and
distributes vary from routine text-only filings to complex
environmental and engineering data in natural gas certificate and
hydroelectronic filings that include tables, graphs, charts, maps,
blueprints, and photographs. Some of these documents are small and
could be filed electronically relatively easily. However, some filings
are quite large and may require different consideration. The Commission
believes that certain types of documents common to all industries, such
as tariff filings, could be filed in the same format. However, the
Commission does not believe that one particular format would be
suitable for all times of filings.
Possible electronic filing formats include, but are not limited to:
native proprietary and non-proprietary word processing spreadsheet, or
text formats; Standard Generalized Markup Language (SGML); Hypertext
Markup Language (HTML); Extensible Markup Language (XML); Portable
Document Format (PDF); and Rich Text Format (RTF).
Each format option has its own particular advantages and
limitations. For example, using numerous native proprietary and non-
proprietary formats is the least expensive option for filers. However,
the Commission would have to support all the different software
products and versions. Further, anyone downloading the filed documents
would also need the same capabilities unless the Commission converts
the documents into one usable format.\7\ Converting files raises
several additional concerns. Different formats do not always accurately
convert into the new format. Some conversions do not preserve the
original fonts; certain text enhancements such as bolding and
underlining may be eliminated; or the conversion drops footnote numbers
or converts them to text. This also creates the problem of verifying
the accuracy of the converted document.
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\7\ For example, the FCC accepts tariff documents in 44
different formats and converts the documents to PDF files.
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HTML works well for major natural gas certificate filings because
it is relatively easy to incorporate graphs, charts, and other types of
information into HTML documents. However, each word processing or
spreadsheet application converts to HTML according
[[Page 27531]]
to its own specifications and will not always handle sophisticated
formatting options. Additionally, hand coding of HTML may be required
to improve the presentation of the document.
SGML and XML may be difficult to use and would require users to
purchase additional software. Further, the Commission would have to
develop the Document Type Definitions for any filings based on those
standards. PDF preserves the integrity of the original document, so
that the PDF document looks like the document as if it were printed by
the original word processing format. It also converts tables and other
graphics. However, it has limited search capabilities and filers would
have to purchase Adobe Systems Incorporated's software in order to
create documents in PDF format.
This is just a partial list of some of the problems and limitations
that the Commission perceives as issues in determining the appropriate
format(s) for its electronic filing initiative. Below is a list of
questions on which the Commission would like comments to assist it in
evaluating different formats it could use for electronic filings. This
list is not meant to be all inclusive. Commenters are invited to
present any additional information that may be relevant to the
Commission's investigation. When responding to the questions, the
commenter should note if its response is affected by the type of filing
it makes and/or by certain industry-specific requirements.\8\
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\8\ The Appendix to this order contains a compendium of the
questions contained in the body of the order.
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Specifically, the Commission seeks comments on the following: (1)
What format(s) should the Commission consider for its different types
of filings (please specify)? (2) What are the pros and cons of each
format and what should the Commission and/or filer do to remedy the
cons? (3) Are there certain filings for which the Commission can
implement electronic filing relatively easily in the near future
(please specify)? (4) What types of filings will require more time and
effort to implement electronic filing (please specify): (5) How do you
think the Commission should proceed in selecting which format(s) to use
for which filings?
B. Citations
Another problem with electronic filing is maintaining comparability
in citation format between electronic and printed versions of a
document. The user of an electronic document must be able to locate the
appropriate portion of the document cited by someone who used the paper
copy.
As discussed above, PDF format is designed to maintain the
structure and page formatting of the original document. Another
alternative that eliminates the problems of matching page numbers band
improves citation accuracy is for the filer to number the paragraphs in
the filing. Numbering paragraphs will permit accurate citation because
the numbering is not susceptible to changes resulting from margin or
printer settings. (6) What citation format should the Commission
establish for electronic filings and issued documents?
C. Signatures
The Commission's regulations require that all filings with the
Commission must be signed.\9\ The existence of such a requirement,
created when documents were filed on paper, raises a number of
questions when documents are filed electronically. (7) Is the signature
requirement important enough to be retained? (8) If the Commission does
not require signatures, how would the filing party verify that the
contents of the filing are true? (9) If only certain filings need to be
signed, should the Commission establish electronic signature
requirements for those specific filings (please specify)?
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\9\ 18 CFR 385.2005 (1997).
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D. Privileged Material
While much of the information filed with the Commission is subject
to public disclosure, the Commission's regulations exempt certain
information. For example, site-specific historic preservation
information in archaeological survey reports is considered non-public
information. (10) How should privilege documents be handled? (11) How
should documents be filed that are only partially privileged?
E. Methods of Electronic Filing
The Commission currently receives its filings on 3\1/2\-inch
diskettes formatted for MS-DOS based computers. However, the Commission
has found that diskette-type filings: (1) require time-consuming
processing; (2) are cumbersome to store; and (3) are susceptible to
viruses. In one instance, in Docket No. CP98-97-000 the Commission
received, as a demonstration project, a certificate application from
Great Lakes Gas Transmission Limited Partnership which was formatted in
HTML on a CD-ROM. With some modifications, the Commission posted the
application on its Internet site.
There are several methods the Commission can use to accommodate
electronic filings. For very simple filings, such as motions to
intervene, the Commission can use an HTML form that intervenors can
complete interactively. Information from the intervention could be
loaded into a service list database, which in turm could be updated on
the Commission's web site. In other cases, the Commission could use an
HTML form for basic filer information to which the filer would have the
ability to attach files and upload them to the Commission via the
Internet. (12) which method(s) should the Commission use for electronic
filing: (i) the HTML forms approaches discussed below; (ii) computer-
to-computer using a leased line/private network; (iii) uploading to the
Commission's electronic bulletin board; or (iv) some other method
(please specify)? (13) Should the Commission consider different methods
for different types of filings (please specify)? (14) How should the
Commission handle large filings?
F. The Hearing Process
Electronic filing of documents will affect the Commission's hearing
process in a number of ways. Although motions, pleadings, and testimony
are filed with the Commission in the same manner as other filings,
discovery requests and responses between and among participants
generally are not required to be filed. Discovery often involves unique
accommodations. For instance, a participant may be invited to review
voluminous files of documents related to a particular matter. It may be
that only a tiny subset of those documents is eventually introduced at
hearing or relied on by witnesses in the proceeding. Exhibits
introduced at hearings are also not filed by the participants, but are
instead submitted to the court reporter for introduction into the
record. Participants at Commission hearings currently rely on paper
copies of filed documents, and on paper copies of discovery request,
discovery responses, and trial exhibits. (15) How should the discovery
process be modified, if at all, to accommodate electronic filing? (16)
How should trial exhibits be introduced into the record to accommodate
electronic filing? (17) How should trials be conducted if pleadings,
testimony, and exhibits have been filed and served electronically?
G. Oaths, Attestations, and Notarization
Certain filings require verification under oath, attestations, or
notarization. For example, under Parts 34 of the
[[Page 27532]]
Commission's regulations and the Federal Power Act, an application for
authority to issue securities requires that the application be signed
by an authorized representative and be verified under oath. (18) To the
extent such verification is only required by the Commission's
regulations and not be statute, are these requirement important enough
to be retained? (19) How should the Commission accommodate filings
which require verification under oath, attestations, and notarization?
H. Security, Integrity, and Authentication
The security, integrity, and authentication of electronic filings
is a significant concern. (20) Should the Commission consider any
special authentication or security measures, such as encryption,
digital signatures, logon ID's, and passwords? (21) Are special
measures only needed for certain documents (please specify)? (22) What
steps should the Commission take to detect security breaches in
filings? (23) How should the security breaches be handled?
I. Automatic Acknowledgment
The Commission intends to implement an automatic acknowledgment
mechanism. (24) How should the Commission provide automatic
acknowledgment? (25) Should the receipt be sent to the web browser or
by E-Mail? (26) How should the Commission notify the filer of the
docket number of an electronic filing in a new proceeding? (27) Would
posting the docket number on the Commission's Internet site be
sufficient?
J. Service
The Commission's regulations currently do not prevent parties from
agreeing to electronic service.\10\ The Commission intends to clarify
its rules to better facilitate electronic service. Additionally, the
Commission presently provides paper copies of its issuances to all
parties in a proceeding. It intends to provide electronic service for
its issuances in the future. (28) Should the Commission encourage
electronic service between parties over the Internet? (29) Should the
Commission facilitate electronic service by posting documents on its
Internet site or should the party making the filing make it available
on its own Internet site? (30) Is it adequate for the Commission to
serve notice to the parties in a proceeding that it has issued an order
or should it disseminate the order directly to the parties
electronically?
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\10\ See 18 CFR 385.2010(f)(2).
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IV. Public Comment Procedures
The Commission invites interested persons to submit comments, data
views, and other information concerning the matters set out above.
To facilitate the Commission's review of the comments, commenters
are requested to provide an executive summary of their position on the
issues raised. Commenters are requested to identify the specific
question posed that their discussion addresses and to use appropriate
headings. Additionally, commenters should double space their comments.
The original and 14 copies of such comments must be received by the
Commission before 5:00 p.m., June 30, 1998. Comments should be
submitted to the Office of the Secretary, Federal Energy Regulatory
Commission, 888 First Street, NE., Washington DC 20426 and should refer
to Docket No. PL98-1-000.
Additionally, comments should be submitted electronically.
Commenters are encouraged to file comments using Internet E-Mail.
Comments should be submitted through the Internet by E-Mail to
comment.rm@ferc.fed.us in the following format: on the subject line,
specify Docket No. PL98-1-000; in the body of the E-Mail message,
specify the name of the filing entity and the name, telephone number,
and E-Mail address of a contact person; and attach the comment in
WordPerfect 6.1 or lower format or in ASCII format as an attachment to
the E-Mail message. The Commission will send a reply to the E-Mail to
acknowledge receipt. Questions or comments on electronic filing using
Internet E-Mail should be directed to Brooks Carter at 202 501-8145, E-
Mail address brooks.carter@ferc.fed.us.
Commenters also can submit comments on computer diskette in
WordPerfect 6.1 or lower format or in ASCII format, with the name of
the filer and Docket No. PL98-1-000 on the outside of the diskette.
All comments will be placed in the Commission's public files and
will be available for inspection in the Commission's Public Reference
room at 888 First Street, NE., Washington, DC 20426, during regular
business hours. Additionally, comments can be viewed and printed
remotely via the Internet through FERC's Homepage using the RIMS link
or the Energy Information Online icon. User assistance is available at
202-208-2222, or by E-mail to [email protected]
By direction of the Commission.
Linwood A Watson, Jr.,
Acting Secretary.
Appendix--Index of Questions
For the ease of those submitting comments, the following is a
compendium of the questions contained in body of this order:
Filing formats
(1) What format(s) should the Commission consider for its
different types of filings (please specify)?
(2) What are the pros and cons of each format and what should
the Commission and/or filer do to remedy the cons?
(3) Are there certain filings for which the Commission can
implement electronic filing relatively easily in the near future
(please specify)?
(4) What types of filings will require more time and effort to
implement electronic filing (please specify)?
(5) How do you think the Commission should proceed in selecting
which format(s) to use for which filings?
Citations
(6) What citation format should the Commission establish for
electronic filings and issued documents?
Signatures
(7) Is the signature requirement important enough to be
retained?
(8) If the Commission does not require signatures, how would the
filing party verify that the contents of the filing are true?
(9) If only certain filings need to be signed, should the
Commission establish electronic signature requirements for those
specific filings (please specify)?
Privileged Material
(10) How should privileged documents be handled?
(11 How should documents be filed that are only partially
privileged?
Methods of Electronic Filing
(12) Which method(s) should the Commission use for electronic
filing: (i) the approaches discussed above; (ii) computer-to-
computer using a leased line/private network; (iii) uploading to the
Commission's electronic bulletin board; or (iv) some other method
(please specify)?
(13) Should the Commission consider different methods for
different types of filings (please specify)?
(14) How should the Commission handle large filings?
The Hearing Process
(15) How should the discovery process be modified, if at all, to
accommodate electronic filing?
(16) How should trial exhibits be introduced into the record to
accommodate electronic filing?
(17) How should trials be conducted if pleadings, testimony, and
exhibits have been filed and served electronically?
Oaths, Attestations, and Notarization
(18) To the extent such verification is only required by the
Commission's regulations
[[Page 27533]]
and not be statute, are these requirements important enough to be
retained?
(19) How should the Commission accommodate filings which require
verification under oath, attestations, and notarization?
Security, Integrity, and Authentication
(20) Should the Commission consider any special authentication
or security measures, such as encryption, digital signatures, logon
ID's and passwords?
(21) Are special measures only needed for certain documents
(please specify)?
(22) What steps should the Commission take to detect security
breaches in filings?
(23) How should the security breaches be handled?
Automatic Acknowledgment
(24) How should the Commission provide automatic acknowledgment?
(25) Should the receipt be sent to the web browser or by E-Mail?
(26) How should the Commission notify the filer of the docket
number of an electronic filing in a new proceeding?
(27) Would posting the docket number on the Commission's
Internet site be sufficient?
Service
(28) Should the Commission encourage electronic service between
parties over the Internet?
(29) Should the Commission facilitate electronic service by
posting documents on its Internet site or should the party making
the filing make it available on its own Internet site?
(3) Is it adequate for the Commission to serve notice to the
parties in a proceeding that it has issued an order, or should it
disseminate the order directly to the parties electronically?
[FR Doc. 98-13294 Filed 5-18-98; 8:45 am]
BILLING CODE 6717-01-M
