Designation of Corporate Officials or Other Persons to Receive Service

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 385

[Docket No. RM99-9-000]

Designation of Corporate Officials or Other Persons to Receive

Service

July 28, 1999.

AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Notice of Proposed Rulemaking.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) is

proposing to amend Rule 2010 of its

regulations on practice and procedure 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 intended effect is to

facilitate timely notification to responsible corporate officials.

The Commission also proposes to 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: Comments are due October 4, 1999.

ADDRESSES: Comments should be submitted to the Office of the Secretary,

Federal Energy Regulatory Commission, 888 First Street, NE.,

Washington, DC 20426. For further instructions on submittal of comments

see section VI. of SUPPLEMENTARY INFORMATION.

sion and to make

the list available to the public in hard copy and through the

Commission's web site.

DATES: Comments are due October 4, 1999.

ADDRESSES: Comments should be submitted to the Office of the Secretary,

Federal Energy Regulatory Commission, 888 First Street, NE.,

Washington, DC 20426. For further instructions on submittal of comments

see section VI. of SUPPLEMENTARY INFORMATION.

FOR FURTHER INFORMATION CONTACT: David Faerberg, Office of the General

Counsel, Federal Energy Regulatory Commission, 888 First Street, NE.,

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, N.E., Room 2A, Washington, D.C. 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 6.1. 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]

al 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 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, N.E., Washington, D.C. 20426.

The Federal Energy Regulatory Commission (Commission) is proposing

to revise its regulations to require that all entities regulated by the

Commission designate a corporate official or other person to receive

service.

I. Background

On March 31, 1999, the Commission issued a final rule (Order No.

602) revising its regulations governing complaints filed with the

Commission under the Federal Power Act, the Natural Gas Act, the

Natural Gas Policy Act, the Public Utility Regulatory Policies Act of

1978, the Interstate Commerce Act, and the Outer Continental Shelf

Lands Act.1 Order No. 602 was designed to encourage and

support consensual resolution of complaints, and to organize the

complaint procedures so that all complaints are handled in a timely and

fair manner.

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\1\ Complaint Procedures, Order No. 602, III FERC Stats. & Regs.

para.31,071 (1999), 64 FR 17087 (April 8, 1999).

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esolution of complaints, and to organize the

complaint procedures so that all complaints are handled in a timely and

fair manner.

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\1\ Complaint Procedures, Order No. 602, III FERC Stats. & Regs.

para.31,071 (1999), 64 FR 17087 (April 8, 1999).

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A number of requests for rehearing of Order No. 602 were filed.

Among the parties filing for rehearing was the Interstate Natural Gas

Association of America (INGAA). INGAA sought clarification of the

service requirements of the final rule contained in section 385.206(c)

of the Commission's regulations.2 That section currently

reads as follows:

\2\ 18 CFR 385.206(c).

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Any person filing a complaint must serve a copy of the complaint

on the respondent, affected regulatory agencies, and others the

complainant reasonably knows may be expected to be affected by the

complaint. Service must be simultaneous with filing at the

Commission for respondents and affected entities in the same

metropolitan area as the complainant. Simultaneous or overnight

service is acceptable for respondents and affected entities outside

the complainant's metropolitan area. Simultaneous service can be

accomplished through electronic mail, fax, express delivery, or

messenger.3

\3\ Certain aspects of the service requirements have been raised

on rehearing of Order No. 602 and are being modified in Order No.

602-A, which is being issued contemporaneously with this NOPR.

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usly, thus further the goals of Order No. 602. INGAA

states that, regardless of whether service must be issued

electronically--an issue that INGAA understands is reserved for

determination in Docket No. PL98-1-000 4--this requirement

will ensure expeditious receipt and handling of a complaint by each

regulated entity.

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\4\ Public Access to Information and Electronic Filing.

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II. Discussion

In the Commission's view, INGAA's suggestion has merit and should

not be limited to service of complaints. Under Sec. 385.203 of the

Commission's existing regulations (Rule 203), the initial pleading or

tariff 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.5 In most cases, a regulated entity

initiates a proceeding with a filing such as a rate change filing.

As part of the initial filing, it is required to designate a person to

receive service under Rule 203. That person will be placed on the

official service list of the proceeding. In addition, when a party

makes a filing in a docketed proceeding, it is required to designate a

person to receive service. That person's name is also placed on the

official service list of the proceeding. The requirements and

procedures currently followed under Rule 203 will not be changed.

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\5\ 18 CFR 385.203.

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is required to designate a

person to receive service. That person's name is also placed on the

official service list of the proceeding. The requirements and

procedures currently followed under Rule 203 will not be changed.

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\5\ 18 CFR 385.203.

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There are, however, certain situations in which the Commission or

another entity initiates a proceeding or some other action and a person

to receive service has not otherwise been designated by the regulated

entity under the Commission regulations. The filing of a complaint is

one such situation. Other examples are petitions for declaratory order,

show cause orders, data requests, investigatory letters, or where the

Commission sua sponte initiates action under section 206 of the Federal

Power Act or section 5 of the Natural Gas Act. In these situations, it

would be efficient for persons wishing to serve pleadings on regulated

entities, as well as the Commission, to be able to serve specific

corporate officials. Designating a corporate official to receive

service of complaints, declaratory orders, show cause orders, data

requests, and investigatory letters would also allow regulated entities

to receive pleadings as quickly as possible. This is especially

important where the regulated entity has a short time to respond, for

example when answering complaints or responding to Commission data

requests.

Therefore, the Commission is 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

uests.

Therefore, the Commission is 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. Each regulated entity

would be 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

would have a continuing obligation to file updated information with the

Commission.

The Commission also proposes to 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. For ease of use, the list will 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 would be required to serve

the person designated pursuant to proposed section 385.2010(i)

ions 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 would be required to serve

the person designated pursuant to proposed section 385.2010(i).

In addition, the Commission invites comments on what other ways the

names of designated officials could be made available to interested

persons. For example, should regulated entities be required to post the

names of designated corporate officials on a company's EBB or web site?

The Commission recognizes that certain entities regulated by the

Commission may not have EBBs, web sites, or other electronic methods to

make names of designated officials available to the public. Therefore,

the Commission requests comments on what other methods of distribution,

if any, are appropriate. For example, should a company 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 realizes that if regulated entities are required to

distribute the names of their designated corporate officials, the

methods of distribution will likely have to be tailored to the

particular industry. The Commission is also interested in receiving

comments on what level of burden, if any, will a distribution

requirement place on a regulated entity.

As discussed above, in order to implement the new service

requirements, the Commission proposes to add a new section (i) to

Sec. 385.2010 (Rule 2010).6 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

implement the new service

requirements, the Commission proposes to add a new section (i) to

Sec. 385.2010 (Rule 2010).6 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 requests

comments on whether it is 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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\6\ 18 CFR 385.2010.

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II. 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 are being 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

significant adverse effect on the human environment.7 The

Commission has categorically excluded certain actions from these

requirements as not having a significant effect on the human

environment.8 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.9 Therefore, an environmental assessment is

unnecessary and has not been prepared in this notice of proposed

rulemaking.

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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.9 Therefore, an environmental assessment is

unnecessary and has not been prepared in this notice of proposed

rulemaking.

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\7\ 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).

\8\ 18 CFR 380.4.

\9\ 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 a significant economic impact on a substantial number of

small entities.10 The Commission is not required to make

such analyses if a proposed rule would not have such an

effect.11

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\10\ 5 U.S.C. 601-612 (1994).

\11\ 5 U.S.C. 605(b) (1994).

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In the Commission's view, this proposed 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.12 Further,

it would be easier for any small entity to serve a pleading on a

regulated 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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a small entity.12 Further,

it would be easier for any small entity to serve a pleading on a

regulated 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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\12\ 5 U.S.C. 601(3)(1994).

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VI. Comment Procedures

The Commission invites interested persons to submit written

comments on the matters and issues proposed in this notice to be

adopted, including any related matters or alternative proposals that

commenters may wish to discuss.

The original and 14 copies of such comments must be received by the

Commission before 5:00 p.m. October 4, 1999. Comments should be

submitted to the Office of the Secretary, Federal Energy Regulatory

Commission, 888 First Street, N.E., Washington D.C. 20426 and should

refer to Docket No. RM99-9-000.

In addition to filing paper copies, the Commission encourages the

filing of comments either on computer diskette or via Internet E-Mail.

Comments may be filed in the following formats: WordPerfect 8.0 or

below, MS Word Office 97 or lower version, or ASCII format.

For diskette filing, include the following information on the

diskette label: Docket No. RM99-9-000; the name of the filing entity;

the software and version used to create the file; and the name and

telephone number of a contact person.

For Internet E-Mail submittal, comments should be submitted to

``[email protected]'' in the following format. On the subject

line, specify Docket No. RM99-9-000. In the body of the E-Mail message,

include the name of the filing entity; the software and version used to

create the file, and the name and telephone number of the contact

person. Attach the comment to the E-Mail in one of the formats

specified above

submittal, comments should be submitted to

``[email protected]'' in the following format. On the subject

line, specify Docket No. RM99-9-000. In the body of the E-Mail message,

include the name of the filing entity; the software and version used to

create the file, and the name and telephone number of the contact

person. Attach the comment to the E-Mail in one of the formats

specified above. The Commission will send an automatic acknowledgment

to the sender's E-Mail address upon receipt. Questions on electronic

filing should be directed to Brooks Carter at 202-501-8145, E-Mail

address [email protected].

Commenters should take note that, until the Commission amends its

rules and regulations, the paper copy of the filing remains the

official copy of the document submitted. Therefore, any discrepancies

between the paper filing and the electronic filing or the diskette will

be resolved by reference to the paper filing.

All written 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, N.E., Washington D.C. 20426, during

regular business hours. Additionally, comments may be viewed, printed,

or downloaded remotely via the Internet through FERC's Homepage using

the RIMS or CIPS links. RIMS contains all comments but only those

comments submitted in electronic format are available on CIPS. User

assistance is available at 202-208-2222, or by E-Mail to

[email protected].

List of Subjects in 18 CFR Part 385

Administrative practice and procedure, Electric power, Penalties,

Pipelines, Reporting and recordkeeping requirements.

By direction of the Commission.

David P. Boergers,

Secretary.

In consideration of the foregoing, the Commission proposes to amend

Part 385, Chapter I, Title 18, Code of Federal Regulations, as set

forth below.

PART 385--RULES OF PRACTICE AND PROCEDURE

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

follows:

wer, Penalties,

Pipelines, Reporting and recordkeeping requirements.

By direction of the Commission.

David P. Boergers,

Secretary.

In consideration of the foregoing, the Commission proposes to amend

Part 385, Chapter I, Title 18, Code of Federal Regulations, as set

forth below.

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;

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 (i) 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. 99-19882 Filed 8-3-99; 8:45 am]

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