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Federal Register / Vol. 72, No.

225 / Friday, November 23, 2007 / Rules and Regulations 65659

Six comment letters were received, processes.4 Although the Acceptable Issued in Washington, DC, on November
including letters from the National Practices became effective on March 16, 16, 2007, by the Commission.
Futures Association; the Futures 2007, the Commission established a David Stawick,
Industry Association; the CBOE Futures phase-in period for DCMs to implement Secretary of the Commission.
Exchange; the Chicago Board of Trade; the Acceptable Practices or to otherwise [FR Doc. E7–22878 Filed 11–21–07; 8:45 am]
the Chicago Mercantile Exchange and come into full compliance with Core BILLING CODE 6351–01–P
Kansas City Board of Trade writing Principle 15. The phase-in period
jointly; and Mr. Dennis Gartman. The extended well beyond the date of
comments received were studied effectiveness and consisted of the lesser DEPARTMENT OF ENERGY
carefully and are under advisement by of two years or two regularly scheduled
the Commission. However, the board elections. Federal Energy Regulatory
Commission has yet to take final action On March 26, 2007, the Commission Commission
on the proposed amendments. published proposed amendments to one
Until such time as the definition of element of the new Acceptable 18 CFR Parts 375 and 385
‘‘public director’’ is finalized, the Practices—the definition of ‘‘public
director.’’ To date, the Commission has [Docket No. RM07–16–000; Order No. 703]
operational provisions of the Acceptable
Practices, which are dependent on the yet to act upon the proposed
amendments. The Commission Filing Via the Internet
definition, cannot be properly applied
by DCMs or enforced by the recognizes that the operational Issued November 15, 2007.
provisions of Acceptable Practices AGENCY: Federal Energy Regulatory
Commission. Recognizing this fact, and
cannot be properly applied by DCMs Commission, DOE.
in order to carefully consider its next
until the definition of ‘‘public director’’ ACTION: Final rule.
steps, the Commission has determined
is resolved. Accordingly, the
to stay the Acceptable Practices for Core
Commission has determined, for the SUMMARY: The Commission is revising
Principle 15 adopted on January 31,
purpose of regulatory clarity, to stay the its regulations to provide that all
2007. Accordingly, the two-year
Acceptable Practices for Core Principle documents will be eligible for filing by
compliance period is also stayed.
15 and thereby lift any potential means of the Commission’s eFiling
Related Matters compliance costs associated with those system, with exceptions to be posted by
Acceptable Practices. the Secretary of the Commission on the
A. Cost-Benefit Analysis
B. Paperwork Reduction Act of 1995 Commissions Web site.
Section 15(a) of the Act requires the DATES: Effective Date: This rule will
Commission to consider the costs and The stay of the effective date of the become effective December 24, 2007.
benefits of its actions in advance of Acceptable Practices for Core Principle Changes made by this rule to the
issuing any new regulation or order.2 15 reduces the information collection Commission’s eFiling system will be
More specifically, Section 15(a) states burden to levels previously approved by implemented at a later date, to be
that the costs and benefits of a proposed the Office of Management and Budget announced by the Secretary of the
rule or order shall be evaluated with (OMB). The OMB control number for Commission.
regard to five broad areas of market and this collection is 3038–0052. The
Commission has submitted the required FOR FURTHER INFORMATION CONTACT:
public concern: (1) Protection of market Wilbur Miller, Office of General
participants and the public; (2) Paperwork Reduction Act Change
Worksheet (OMB–83C) to OMB to Counsel, 888 First Street, NE.,
efficiency, competitiveness, and Washington, DC 20426, (202) 502–8953.
financial integrity of futures markets; (3) reflect the change.
wilbur.miller@ferc.gov.
price discovery; (4) sound risk C. Regulatory Flexibility Act
SUPPLEMENTARY INFORMATION:
management practices; and (5) other The Regulatory Flexibility Act, 5
public interest considerations. In Before Commissioners: Joseph T. Kelliher,
U.S.C. 601 et seq., requires federal Chairman; Suedeen G. Kelly, Marc Spitzer,
conducting its analysis, the Commission agencies, in promulgating rules, to Philip D. Moeller, and Jon Wellinghoff.
may give greater weight to any one of consider the impact of those rules on
the five enumerated areas of market and small entities. The stay of the effective I. Background
public concern and determine, date for the Acceptable Practices for 1. On July 23, 2007, the Commission
notwithstanding potential costs, that the Core Principle 15 affects DCMs. The issued a Notice of Proposed Rulemaking
implementation of a particular rule or Commission has previously determined (NOPR) seeking comments on proposed
order is necessary or appropriate to that DCMs are not small entities for revisions to its regulations that will
protect the public’s interest or to purposes of the Regulatory Flexibility enable the implementation of the next
effectuate or accomplish any of the Act.5 Accordingly, the acting Chairman, version of its system for filing
provisions or purposes of the Act.3 on behalf of the Commission, hereby documents via the Internet, eFiling 7.0.
On February 14, 2007, the certifies pursuant to 5 U.S.C. 605(b) that Filing Via the Internet, 72 FR 42330
Commission published its first the stay of the Acceptable Practices will (July 23, 2007), FERC Stats. & Regs.
Acceptable Practices for Core Principle not have a significant economic impact ¶ 32,621 (2007). The NOPR proposed to
15. The four-part Acceptable Practices, on a substantial number of small allow the option of filing all documents
described above, were designed to entities. in Commission proceedings through the
facilitate the reduction of conflicts of Therefore, paragraph (b) of Core eFiling interface except for specified
interest in DCMs’ decision making Principle 15 in Appendix B to 17 CFR exceptions. The NOPR also sought
part 38 is stayed indefinitely. comments on the possibility of shifting
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27 U.S.C. 19(a). its deadline for filings through the


3 Fishermen’s 4 72 FR 6936 (February 14, 2007).
Dock Co-op., Inc. v. Brown, 75 F.3d eFiling system from close of business to
164 (4th Cir. 1996); Center for Auto Safety v. Peck, 5 See Policy Statement and Establishment of
751 F.2d 1336 (D.C. Cir. 1985) (agency has Definitions of ‘‘Small Entities’’ for Purposes of the
midnight, and of utilizing online forms
discretion to weigh factors in undertaking costs- Regulatory Flexibility Act, 47 FR 18618, 18619 to allow ‘‘documentless’’ interventions
benefits analyses). (Apr. 30, 1982). in all filings and quick comments in P

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65660 Federal Register / Vol. 72, No. 225 / Friday, November 23, 2007 / Rules and Regulations

(Hydropower Project), PF (Pre-Filing not require revisions to the Some documents are not susceptible to
NEPA activities for proposed gas Commission’s regulations. We are not at conversion at all. The PDF versions will
pipelines), and CP (Certificates for this time implementing the proposal to be provided on a ‘‘best efforts’’ basis, so
Interstate Natural Gas Pipelines) move the filing deadline to midnight. in some cases no PDF version may
proceedings. Finally, the NOPR asked 5. Prior to the release of eFiling 7.0, appear in eLibrary, or there may only be
for input on a number of technical the Secretary will issue instructions a placeholder file indicating that a PDF
issues that will be covered in the specifying formats and other technical version could not be generated.
instructions for eFiling that will be parameters, as well as instances in 8. Finally, the NOPR requested
issued by the Secretary of the which paper copies will be required. As comments on whether the Secretary
Commission. These issues also were the noted in the NOPR, the Commission has should require documents created
subject of a technical conference that already issued instructions specifying electronically by the filer using word
took place on August 22, 2007. acceptable file formats for filings processing software be filed in native
2. This Final Rule adopts the NOPR’s submitted on CD–ROM, DVD and other applications or print-to-PDF format
proposal to amend the Commission’s electronic media. These can be found at rather than an unsearchable, scanned
regulations 1 to provide that all http://www.ferc.gov/help/submission- format. The Secretary’s instructions will
documents filed with the Commission guide/electronic-media.asp. In addition, adopt this proposal. Scanned, non-
may be submitted through the eFiling in some cases Commission staff has searchable formats may be used only for
interface except for documents specified issued instructions applying to specific documents that cannot, as a practical
by the Secretary. This reverses the types of filings. Where there are no matter, be put into searchable formats.
existing presumption, as the current specifications for a particular type of
II. Discussion
regulations allow eFiling only of filing, users must follow the Secretary’s
documents specified by the Secretary. instructions. The Commission received A. Expansion of eFiling
The changes we are implementing in useful input on formatting issues both 9. As stated above, upon
this Final Rule mean that categories in the comments on the NOPR and in implementation of eFiling 7.0 the
such as oversized documents and most the technical conference. Users of Commission will accept the electronic
confidential documents will be accepted eFiling should bear in mind that filing of all documents through the
via eFiling. At this time, the principal changes will inevitably take place as eFiling interface except for tariff filings,
exceptions, as noted in the NOPR, will staff implements improvements and some forms 4 and documents submitted
be tariffs, tariff revisions and rate technology changes. Staff also receives under protective orders. The comments
change applications; some forms; 2 and feedback from users on an informal received by the Commission on the
documents that are subject to protective basis, which it uses to continue expansion of eFiling were uniformly
orders. As stated in the NOPR, for the improving the system. favorable. Some commenters urged us to
time being, the Secretary’s instructions 6. At this time, the eFiling system will continue to expand the range of
will specify that submitters file paper accept documents in their native submissions acceptable through eFiling.
copies of oversized and some other formats. This will include both text or In some cases, commenters 5 urged us to
documents 3 in addition to the word processing documents, and other accept tariff filings through the eFiling
electronic documents. more specialized documents such as gateway, either on a permanent basis or
3. This rulemaking will become spreadsheets and maps. It will also on a temporary basis pending the
effective 30 days after publication in the accept text documents in searchable institution of eTariff, which is the
Federal Register, but implementation of formats, including scanned documents subject of a separate proceeding.6
eFiling 7.0 will occur at a later date. The that have been saved in searchable form. 10. We intend, as far as practicable, to
Secretary will announce the As noted above, the Secretary has issued continue decreasing our reliance on
implementation of the upgrade in a list of acceptable formats for CD–ROM, paper documents and to continue to
advance and will also at that time post DVD and other electronic media, upgrade eFiling capabilities in
filing instructions, as discussed below. available at http://www.ferc.gov/help/ furtherance of the Commission’s
4. This Final Rule implements the submission-guide/electronic-media.asp. responsibilities under the Government
proposals, discussed in the NOPR, to This same list will serve as the list of Paperwork Elimination Act.7 At this
institute online forms that would permit acceptable formats for eFiling 7.0. time, however, the Commission will not
optional ‘‘documentless’’ intervention Submitters will be able to choose a accept tariff filings through the eFiling
in all proceedings and ‘‘quick suitable format from that list unless they system. The eTariff rulemaking will
comments’’ in P (Hydropower Project), are instructed otherwise in specific remain the forum for addressing the
PF (Pre-Filing NEPA activities for instances by regulation or by direction electronic submission of tariff filings
proposed gas pipelines), and CP from Commission staff. Audio and video with tariff material. However, eFiling
(Certificates for Interstate Natural Gas files will be accepted only in waveform may be used to file material in tariff
Pipelines) proceedings. It should be audio format (.wav) for audio content proceedings provided the filing does not
noted that the quick comment and and either audio-video interleave (.avi) contain tariff material. Examples
documentless intervention features will or quicktime (.mov) files for video include testimony filed as part of the
content, except where submitters are hearing, Schedules G–1 through G–6,8
1 Rule 2003(c) of the Commission’s Rules of specifically instructed otherwise. and updated statements such as
Practice and Procedure, 18 CFR 385.2003(c). 7. The NOPR requested comments on
2 The following will continue to be submitted
the possibility of discontinuing the 4 See Note 2 infra.
through eForms: FERC Form No.1, FERC Form No. practice of posting PDF versions of 5 Edison Electric Institute (EEI), pp. 4–6; Arizona
2, FERC Form No. 2–A, FERC Form No. 3–Q, FERC
Form No. 6, FERC Form No. 6–Q, Form 60, Form filings in eLibrary that are created by Public Service Company (APSC), p. 3; Nevada
714, and Electric Quarterly Reports. FERC Form 1– Commission staff. For the time being, Power Company & Sierra Pacific Power Company
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F is currently not included in eForms, so it may be we will continue this practice. As (Nevada/Sierra), p. 3.
6 Electronic Tariff Filings, Docket No. RM01–5–
efiled. Open Access Transmission Tariff (OATT) discussed in the NOPR, however, users
filings may also be efiled. 000, FERC Stats. and Regs. ¶ 35,551 (2005).
3 A list of examples of documents for which the should note that PDF conversions are 7 Pub. L. No. 105–277, § 1704, 112 Stat. 2681,

Commission will require paper copies is contained not always accurate or complete and 2681–750 (1998).
in the Appendix to the NOPR. should not be considered authoritative. 8 18 CFR 154.313(j)(2) (2007).

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Federal Register / Vol. 72, No. 225 / Friday, November 23, 2007 / Rules and Regulations 65661

required by section 154.311 of the user will not be permitted to proceed submitted electronically through eFiling
Commission’s regulations.9 Also, with the filing process. 7.0, for instance, oversized documents
Natural Gas Act Section 7 certificate 13. It will not be possible for a user, such as maps, diagrams and drawings.
filings with pro forma tariff sheets may through eFiling, to change the The NOPR explained that due to the
be filed under this version of eFiling designation of a file as public, size of standard monitors and other
7.0.10 privileged, or CEII after submission of hardware and software limitations, it
11. Some commenters 11 expressed the document. This will only be was impractical at this time for the
caution about the submission of possible before submission, in case the Commission to review certain
confidential documents, including a user changes her mind or finds a documents in electronic form. The
desire for more detail about that mistake. Any subsequent redesignation NOPR also raised the possibility of
function. There was some concern about request will have to be made by calling requiring paper copies for documents
the ability to alter a document’s security FERC Online Support or the eFiling over a certain length, such as 500 pages.
designation after it is filed.12 Some Help Line. Users should continue to Some commenters requested that
commenters also requested clarification follow the Commission’s regulations ‘‘oversized documents’’ or ‘‘large
on the procedures for filing protected governing submission of confidential documents’’ be defined as those
documents,13 including the procedures documents.15 If a user needs to submit documents larger than 8.5″ x 11″,17 8.5″
for documents submitted together with both a redacted and a privileged form of x 14″,18 or 8.5″ x 17″.19 Others asked for
requests for protective orders.14 a document, the latter should be further clarifications, such as whether
12. The anticipated procedure for the submitted as privileged and the former the paper requirement applies only to
submission of confidential documents is as public. the oversized portions of documents
as follows: When a user accesses the 14. In some instances, a document that also have standard dimensions.20
File Upload screen, the user will see may contain portions that are privileged Commenters were not in favor of
tabs for three submission categories: and other portions that constitute CEII. requiring paper copies of long
Public, CEII and Privileged. The files In such an instance, the CEII portions documents.21
uploaded to each of these tabs will would be filed as CEII and the 18. The Secretary’s instructions will
automatically receive an accession privileged portions would be filed require paper copies in a specified
number and be marked as Public, CEII separately and designated as privileged. number of documents larger than 11″ ×
or Privileged. The entire eFiling session If a portion of a document was both 17″. This is a standard dimension for
will be secured so the documents during privileged and CEII, it would be filed as ‘‘oversized’’ documents. If a document
transmission will be encrypted. The privileged because that is the higher contains both oversized and standard
following system checks will be security classification. dimensions, only the former need be
performed during the eFiling process: 15. Some parties request the ability to filed on paper. Paper copies of long
• The file size will be checked to file privileged or CEII material in paper- documents, i.e., documents longer than
ensure the size is not greater than 50MB. only format. The Commission notes that a specified number of pages, will not be
• The file format will be checked to required. Further specifics will be
this Final Rule only provides filers the
ensure it is a format that FERC can contained in the instructions to be
option to use eFiling to make filings
support. The acceptable file format list issued by the Secretary. Over time, as
with the Commission. Filers who do not
can be found at the following location: we upgrade our capabilities, we expect
wish to use eFiling need not do so. To
http://www.ferc.gov/help/submission- to be able to reduce the necessity of
the extent that these commenters are
guide/electronic-media.asp. filing paper copies.22
• Files will be checked for viruses. requesting that the Commission permit
filers to split their filings into an 19. In response to the comments about
• The file name will be checked to the timing of submission of paper
ensure it is less than 60 characters electronic component and a paper
copies, we wish to state clearly the roles
including the period, spaces, and file component, the Commission rejects this
played by the paper and electronic
extension (.doc, .xls, .pps, etc.). request. The Commission does not want
copies. The revisions made in this Final
If for any reason, the files that have to assume the responsibility of finding
Rule, in 18 CFR 385.2003(c)(1), will
been uploaded fail to pass any one of the paper and electronic components of
provide that ‘‘filing via the Internet is in
the checks above, a message will be a single filing and reassembling those
lieu of other methods of filing.’’ Thus,
displayed identifying the issue and the components for uploading into eLibrary
the electronic copy will be the ‘‘filed’’
or internal distribution and analysis.
copy. This will be the copy to which the
9 18 CFR 154.311 (2007). Dual format filings create significant
Commission looks for matters such as
10 Interstate Natural Gas Association of America potential for errors and delays.16 determining timeliness. Paper copies
(INGAA), Appendix A, pp. 2 and 3, requests 16. To clarify, materials subject to
clarification of which part of certificate and tariff will be required in some instances
protective orders should not be eFiled
filings would be filed utilizing eFiling 7.0, and because they are currently necessary for
which part would be filed under the eTariff because the Secretary’s office does not
FERC staff to carry out its functions. The
procedures. The eTariff requirements are not put protected material into eLibrary, as
Secretary’s instructions will specify the
complete, thus it is premature to speculate as to opposed to material filed pursuant to
what the electronic filing process for filings with Section 388.112 of the Commission’s 17 Williston Basin, p. 7.
tariffs will be. At this time, however, tariff filings
cannot be split between electronic and paper regulations. The same restriction applies 18 PacificGas & Electric Company (PG&E), p. 4.
filings. No part of a tariff filing will be accepted to confidential materials filed with a 19 INGAA, p. 5.
through eFiling 7.0. request for a protective order. 20 MISO, p. 3. PG&E, p. 3, asked for clarification
11 EEI, pp. 6–7; Enbridge Energy Partners, L.P.
of the timeframe and dimensions, while INGAA,
and Enbridge, Inc. (Enbridge), pp. 3–5; Midwest B. Paper Copies pp. 4–5, asked that the paper copies be due after
Independent Transmission System Operator, Inc. an accession number is assigned. SoCal, pp. 3–4,
(MISO), pp. 2–3; Southern California Edison 17. The NOPR proposed to continue urged that eFiling not be required where paper
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Company (SoCal), pp. 2–3; Williston Basin to require paper copies of filings copies are submitted. This will necessarily be the
Interstate Pipeline Company (Williston Basin), p. 6. case, because the Commission is not at this time
12 American Rivers, pp. 1–2. 15 18 making eFiling mandatory.
CFR 388.112.
13 INGAA, p. 3; MISO, pp. 2–3; Williston Basin, 16 The 21 INGAA, pp. 5–6; SoCal, p. 3; Nevada/Sierra, p.
Commission notes that filers can make
pp. 6–7. separate, free-standing, paper-only and electronic 5; PG&E, pp. 4–5; Williston Basin, pp. 7–8.
14 EEI, pp. 6–7. only filings in the same proceeding. 22 See comments of Nevada/Sierra, p. 4.

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65662 Federal Register / Vol. 72, No. 225 / Friday, November 23, 2007 / Rules and Regulations

time by which the paper copies must be a ‘‘best efforts’’ basis. This practice and allocation and rate design formulas
submitted. assures that users who may lack specific in electronic formats. The Commission
proprietary software will be able to found that formulas facilitate an
C. File Formats
access documents most of the time. As understanding of the applicant’s
20. The NOPR raised the possibility of noted above, however, some documents positions and reduce the requirement
discontinuing our practice of creating cannot be converted to PDF successfully for subsequent data requests. The
PDF versions of documents in and thus some conversions will not be Commission went on to note that the
eLibrary.23 In conjunction with this entirely accurate or complete. The requirement was not to submit the
possibility, the NOPR requested FERC-created PDFs should not be whole rate case in spreadsheet format.33
comments on several alternative considered authoritative. Persons The same will be true here. The
requirements for file formats of submitting documents through eFiling Commission is simply providing a
documents submitted through eFiling. will have the option of filing in any different means by which data
The three alternatives noted were: format listed as acceptable by the requirements may be submitted, not
Requiring that all word processing Secretary. changing the requirements themselves.
filings be made in open file formats, 23. The Secretary’s instructions will A filer still may request confidential
such as text, html, rtf, or possibly PDF; require PDF files that are submitted to treatment. In such cases, the data sets
permitting filings in open file formats as be produced in a manner that retains the and spreadsheets should be submitted
well as in certain Microsoft Office ability to search the document (‘‘print- in both privileged, unredacted form and
formats; and requiring that documents to-PDF’’), except in cases where it is in public, redacted form, pursuant to 18
created with proprietary software be impracticable for the filer to do CFR 388.112.34 Depending on the
filed in the proprietary software along otherwise. This is often the case with application and the information being
with an open source format. The NOPR exhibits, for example. The search feature redacted, a redaction might be
also discussed the possibility of provides the Commission and the public accomplished by filing a print to PDF or
prohibiting the practice of filing non- access to tools that permit faster a scanned, searchable document, by
searchable, scanned versions of searches, increased accuracy, and converting a spreadsheet to values-only
documents created in native formats. enhanced analytical and processing form, or by some other means. It would
21. Generally speaking, commenters capabilities that modern software be up to the filer to choose an
opposed any requirement that technology provides.30 appropriate means of protecting its
documents be filed in more than one 24. Submission of text documents will information in requesting confidential
format.24 Some commenters favored be permissible in native or in searchable treatment under the Commission’s
retention of FERC-created PDFs 25 or format. We will not require submission regulations.
otherwise expressed a preference for of text documents in both native and 27. We do not agree with the concerns
some sort of open file format to open formats. In most cases, submission that documents may be altered. There is
maximize accessibility of documents to of text documents in their native no reason to believe that users will be
the public.26 Preferences between native formats is the simplest option. Not all able to compromise the Commission’s
and converted formats varied. Some users possess the same degree of system and alter files in eLibrary.
commenters favored prohibiting the technical knowledge. Requiring Furthermore, if a user downloads a
practice of scanning documents and conversion of documents to open document from eLibrary and alters it for
filing them in non-searchable formats.27 formats might serve as a barrier to the the user’s own purposes, the
Some noted that data-oriented use of the eFiling system for some users, authoritative document will remain in
documents such as spreadsheets lose a possibility that runs counter to the eLibrary to refute the alteration. We also
much of their utility if not filed in their underlying purpose of the system. do not believe that the desire to include
native formats.28 Others expressed a 25. Submission of spreadsheets in a scanned signature is sufficient to
preference for filing scanned, non- native format will be required. Some outweigh the greater usefulness of
searchable documents, in PDF format, in commenters expressed concern that searchable documents. As stated in the
some cases out of concern that the spreadsheets in native format may NOPR, the Commission’s regulations
documents could be manipulated.29 contain formulas and other data that are provide for electronic signatures, so an
22. Based on the comments received, confidential.31 One commenter argues image of a signature is not necessary for
we will continue to create PDF versions further that formula and data may purposes of verification. For submitters
of submitted documents in eLibrary on contain proprietary information, and who still see a need for an image of a
that a native format requirement may handwritten signature, we note that it is
23 Some commenters referred to FERC-created contravene the Interstate Commerce Act possible to insert an image into a Word
Text documents as well as PDF documents. Users prohibition against disclosing document. Moreover, filers that
should note that FERC creates Text versions only individual shipper information. That previously scanned documents into PDF
of Commission issuances. It does not create such commenter believes the requirement to
versions of documents submitted through eFiling.
format can produce a print-to-PDF
24 American Gas Association (AGA), p. 1 (word provide formulas may lead to less searchable document and attach a single
processing documents); EEI, pp. 7–8; FirstEnergy publicly available data.32 scanned signature page.
Companies (FirstEnergy), pp. 6–7; Nevada/Sierra, 26. The Commission addressed these
pp. 6–7; SoCal, p. 4; Williston Basin, pp. 8–9; issues before. In Order No. 582, the D. Quick Comment and Documentless
INGAA, p. 8; Enbridge, pp. 7–8.
Commission required pipelines filing Intervention
25 AGA, pp. 5–6; EEI, pp. 7–9; Bonneville Power

Administration (Bonneville), p. 2; PG&E, pp. 5–6; rate cases pursuant to Part 154 of the 28. The NOPR’s proposal to
American Rivers, pp. 2–3; U.S. Department of the Commission’s regulations to file data implement online forms that would
Interior (Interior), p. 1; INGAA, p. 7; Nevada/Sierra, allow users to intervene in Commission
p. 6. 30 The Commission notes that PG&E’s PDF proceedings without filing separate
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26 American Rivers, pp. 3–4.


posting is an excellent example of such a document:
27 AGA, p. 5; American Rivers, p. 4; Nevada/ http://elibrary.ferc.gov/idmws/ 33 Filing and Reporting Requirements for
Sierra, p. 7; MISO, p. 4; SoCal, p. 4; EEI, p. 8. doc_info.asp?document_id=13543136. Interstate Natural, Gas Company Rate Schedules
28 American Rivers, pp. 3–4. 31 MISO, p. 4; PJM Interconnection, p. 3; and Tariffs, Order No. 582, FERC Stats. and Regs.,
29 PJM Interconnection, L.L.C. (PJM), p. 2; MISO, Enbridge, p. 8. ¶ 31,025, p. 31,435 (1995).
p. 4; Interior, p. 1. 32 32 Enbridge, p. 8. 34 See Order No. 582 at pp. 31,412–413, 31,435.

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documents and to submit comments Eastern Standard Time of that day. received informally during outreach
easily in P (Hydropower Project), PF While some commenters favored the efforts that give users an introduction to
(Pre-Filing NEPA activities for proposed change,40 a larger number either favored various aspects of FERC Online.45 The
gas pipelines), and CP (Certificates for it only under specified conditions or delegated authority the Commission is
Interstate Natural Gas Pipelines) opposed it altogether.41 The objections giving the Secretary to make changes to
proceedings drew support from some included the personal hardship of late- the various requirements to make an
commenters 35 and opposition from a hour filing, unfairness to paper filers, electronic filing through the notice
smaller number. Some commenters and the possibility that some filers process will permit these instructions to
objected to these features as would use the opportunity to file be updated in a timely manner in
unneeded.36 Some commenters improper reply comments in response to response to user needs and changes in
expressed concern that there should be comments filed earlier in the day. Some FERC’s technological capabilities.46
some provision for prompt service of commenters suggested that if we moved 34. INGAA proposes that the
interventions and comments submitted the deadline, we should ensure that pipeline’s Index of Customers report,
through the proposed online forms.37 comments would not be visible to the already an electronic-only filing, be
One commenter requested that users public in eLibrary until the next day. made through eFiling 7.0.47 The
submitting quick comments be required Others were concerned that the eFiling Commission agrees.
to provide mailing addresses and other system could be unavailable to a user 35. INGAA and PG&E 48 request that
information.38 Another suggested that facing a deadline after it was too late to the Commission hold additional
the quick comment feature be extended make a paper filing. We also received technical conferences to review both the
to include electric matters and suggestions that move the deadline to an proposed instructions applicable to
rulemakings.39 intermediate hour,42 such as 8 p.m. electronic documents in general and
29. Both features are sufficiently Eastern Time, as an accommodation to existing electronic document
useful to justify their implementation. users in Western time zones. instructions, and software techniques
Documentless intervention, which will 31. Based on the concerns raised in that may assist filers in creating
be available for all proceedings, will the comments, we will not at this time documents that satisfy the filers’
provide a simple method of intervening. alter the filing deadline. It will remain objectives. Further conferences should
The filer and text for all documentless at close of business, i.e., 5 p.m. Eastern not be necessary. The Secretary engages
interventions will be placed on eLibrary Time. in outreach with the public to review
to permit challenges to intervention. We new or existing electronic document or
believe that the quick comment feature F. Miscellaneous Comments
submission instructions. This outreach
will make it easier for individuals who 32. On August 22, 2007, the
often generates feedback that
are not intimately familiar with Commission hosted a technical
Commission staff takes into account in
Commission procedures to submit conference that discussed the proposed
managing the system.
comments. This added convenience changes to electronic filing and
36. Some commenters made
should primarily impact proceedings in electronic file and document format
suggestions for improvements in the
which landowners may wish to instructions that are associated with this
Commission’s online systems. These
comment, which is the reason we will proceeding. The conference was
included requests that we take steps to
restrict this feature to the proceedings conducted in two sessions. Session 1
ensure that each entity in the
listed in the preceding paragraph. We presented an overview of the electronic
eRegistration system has only one
will consider expanding the availability filing submission instructions that will
registration 49 and that we institute an
of the feature in the future. We will not apply universally. Session 2 was
automated service feature for service
require quick comment submitters to divided into sections that discussed
among participants.50 The problem of
include mailing addresses, a potential information that is specific to each
multiple registrations, specifically with
invasion of privacy that is not industry.
33. We received some comments on entities being registered more than once
warranted. With respect to service of under slightly different names, is an
interventions and comments, these various technical aspects of documents
submitted through eFiling, many of issue that we hope to address in the
features will not involve changes to the future. Similarly, an automated service
Commission’s regulations. Any which were discussed during the
technical conference.43 These comments feature would add value for users and
regulations governing service will we hope to be able to institute such a
continue to apply. Furthermore, the use will be taken into account by
feature as we upgrade the system.
of eSubscription should suffice to Commission staff 44 in developing and
ensure that interested persons receive revising the filing instructions that the III. Information Collection Statement
prompt notice of these submissions. Secretary will issue. The instructions for 37. Office of Management and Budget
eFiling are an ongoing process, as staff (OMB) regulations require OMB to
E. Midnight Filing often receives feedback on the system approve certain information collection
30. Comments were mixed on from users, including comments requirements imposed by agency rule.51
whether to regard documents submitted
This Final Rule does not contain any
through eFiling as having been filed on 40 APSC, p. 3; Bonneville, p. 2; Spectra, p. 4.
41 AGA, pp. 6–8; INGAA, pp. 11–12; FirstEnergy,
a specific day as long as the document 45 One commenter, Enbridge, pp. 10–11,
pp. 2–3; Mill, Balis & O’Neil, P.C., pp. 1–4; Phillip
is received on or before midnight Marston, p. 1; PJM Interconnection, p. 3–4; PJM expressed concern about file naming conventions.
Transmission Owners, pp. 2–6; Nevada/Sierra, p. 8; Users should be aware that naming conventions
35 AGA, p. 4; American Rivers, pp. 4–5; Enbridge,
MISO, p. 5; Williston Basin, pp. 9–12; Enbridge, pp. will change with eFiling 7.0, a change that will be
p. 11; PG&E, pp. 7–8; Spectra Energy Transmission, 11–13; EEI, pp. 16–17. spelled out in the Secretary’s instructions.
46 Williston, p. 5.
LLC (Spectra) (quick comment only), p. 3; INGAA, 42 PJM Transmission Owners, p. 6; SoCal, pp. 5–
ebenthall on PROD1PC69 with RULES

pp. 9–10. 6.
47 INGAA, App. A, p. 5.
36 FirstEnergy (quick comment only), pp. 3–5; 43 PG&E, pp. 6–7; PJM, p. 3; EEI, pp. 11–14. 48 INGAA, pp. 2–3, App. A, pp. 4–8; PG&E, pp.

Nevada/Sierra, pp. 7–8; EEI, pp. 14–16. 44 The Appendix contains the comments on the 6–7.
37 EEI, p. 15; Enbridge, p. 11; SoCal, p. 5. 49 Enbridge, pp. 6–7.
draft document manual that was discussed at the
38 INGAA, p. 10. 50 EEI, pp. 10–11.
technical conference, as well as the Commission’s
39 PG&E, p. 7. responses. 51 5 CFR 1320.12.

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65664 Federal Register / Vol. 72, No. 225 / Friday, November 23, 2007 / Rules and Regulations

information collection requirements and 42. User assistance is available for required, and procedural guidelines for
compliance with the OMB regulations is eLibrary and the Commission’s Web site submissions via the Internet, on
thus not required. during normal business hours from electronic media or via other electronic
FERC Online Support at 202–502–6652 means.
IV. Environmental Analysis
(toll free at 1–866–208–3676) or e-mail
38. The Commission is required to at ferconlinesupport@ferc.gov, or the PART 385—RULES OF PRACTICE AND
prepare an Environmental Assessment Public Reference Room at (202) 502– PROCEDURE
or an Environmental Impact Statement 8371, TTY (202) 502–8659. E-mail the
for any action that may have a Public Reference Room at ■ 3. The authority citation for part 385
significant adverse effect on the human public.referenceroom@ferc.gov. continues to read as follows:
environment.52 Issuance of this Final Authority: 5 U.S.C. 551–557; 15 U.S.C.
Rule does not represent a major federal VII. Effective Date and Congressional
717–717z, 3301–3432; 16 U.S.C. 791a–825v,
action having a significant adverse effect Notification 2601–2645; 28 U.S.C. 2461; 31 U.S.C. 3701,
on the quality of the human 43. These revisions are effective 9701; 42 U.S.C. 7101–7352, 16441, 16451–
environment under the Commission’s December 24, 2007. Changes made by 16463; 49 U.S.C. 60502; 49 App. U.S.C. 1–85
regulations implementing the National this Final Rule to the Commission’s (1988).
Environmental Policy Act. Part 380 of eFiling system will be implemented at
the Commission’s regulations lists ■ 4. Section 385.2001 is amended by
a later date to be announced by the
exemptions to the requirement to draft revising paragraph (a)(1)(iii) to read as
Secretary.
an Environmental Analysis or 44. The provisions of 5 U.S.C. 801 follows:
Environmental Impact Statement. regarding Congressional review of Final § 385.2001 Filings (Rule 2001).
Included is an exemption for Rules do not apply to this Final Rule
procedural, ministerial or internal because the rule concerns agency (a) Filings with the Commission.
administrative actions.53 This procedure and practice and will not (1) * * *
rulemaking is exempt under that substantially affect the rights of non- (iii) By filing via the Internet pursuant
provision. agency parties. to Rule 2003 through the links provided
V. Regulatory Flexibility Act at http://www.ferc.gov.
List of Subjects
39. The Regulatory Flexibility Act of * * * * *
18 CFR Part 375
1980 (RFA) 54 generally requires a ■ 5. Section 385.2003 is amended by
description and analysis of final rules Authority delegations (Government revising paragraphs (c)(1) and (c)(2) to
that will have significant economic agencies), Seals and insignia, Sunshine read as follows:
impact on a substantial number of small Act.
entities. This Final Rule concerns § 385.2003 Specifications (Rule 2003).
18 CFR Part 385
procedural matters and is expected to * * * * *
increase the ease and convenience of Administrative practice and (c) Filing via the Internet. (1) All
filing. The Commission certifies that it procedure, Electric utilities, Penalties, documents filed under this Chapter may
will not have a significant economic Pipelines, Reporting and recordkeeping be filed via the Internet except those
impact upon participants in requirements. listed by the Secretary. Except as
Commission proceedings. An analysis By direction of the Commission. otherwise specifically provided in this
under the RFA is not required. Kimberly D. Bose, Chapter, filing via the Internet is in lieu
VI. Document Availability Secretary. of other methods of filing. Internet
■ In consideration of the foregoing, the filings must be made in accordance with
40. In addition to publishing the full instructions issued by the Secretary and
text of this document in the Federal Commission amends Parts 375 and 385,
Chapter I, Title 18, Code of Federal made available online at http://
Register, the Commission provides all www.ferc.gov. Provisions of this chapter
interested persons an opportunity to Regulations, as follows.
or directions from the Commission
view and/or print the contents of this containing requirements as to the
PART 375—THE COMMISSION
document via the Internet through the content and format of specific types of
Commission’s Home Page (http:// ■ 1. The authority citation for part 375 filings remain applicable.
www.ferc.gov) and in the Commission’s continues to read as follows: (2) The Secretary will make available
Public Reference Room during normal Authority: 5 U.S.C. 551–557; 15 U.S.C.
business hours (8:30 a.m. to 5 p.m. on the Commission’s Web site a list of
717–717w, 3301–3432; 16 U.S.C. 791–825r, document types that may not be filed
Eastern time) at 888 First Street, NE., 2601–2645; 42 U.S.C. 7101–7352, 16451–
Room 2A, Washington, DC 20426. via the Internet, as well as instructions
16463.
41. From the Commission’s Home pertaining to allowable electronic file
Page on the Internet, this information is and document formats, the filing of
■ 2. Section 375.302 is amended by
available on eLibrary. The full text of complex documents, whether paper
revising paragraph (z) to read as follows:
this document is available on eLibrary copies are required, and procedural
in PDF and Microsoft Word format for § 375.302 Delegations to the Secretary. guidelines.
viewing, printing, and/or downloading. * * * * * * * * * *
To access this document in eLibrary, (z) Issue instructions pertaining to Note: The following Appendix will not
type the docket number excluding the allowable electronic file and document appear in the Code of Federal Regulations.
last three digits of this document in the formats, the filing of complex
ebenthall on PROD1PC69 with RULES

docket number field. documents, whether paper copies are Appendix

52 Order No. 486, Regulations Implementing the (Dec. 17, 1987), FERC Stats. & Regs. Preambles 53 18 CFR 380.4(1) and (5).
National Environmental Policy Act, 52 FR 47897 1986–1990 ¶ 30,783 (1987). 54 5 U.S.C. 601–612.

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Federal Register / Vol. 72, No. 225 / Friday, November 23, 2007 / Rules and Regulations 65665

COMMENTS ON DOCUMENT MANUAL


No. Commenter Manual ¶ Comment Response

1 .......... EEI, p. 12 INGAA, 4.B and 4.E.c ... Consistent with Staff’s comments at the The Commission agrees with regard to the
App. A, p. 5. technical conference, the instructions general instructions. However, to the ex-
should be read as not requiring, but only tent that there are regulations that require
encouraging, the use of automatic table table of contents in a document, then
of contents and booking marking func- these software features should be used.
tions, and that not using these features
will not result in rejection of the filing.
2 .......... EEI, p. 12 .................. 4.C .................... EEI requests clarification that spreadsheets The Commission clarifies that the instruc-
do not need to be submitted in native file tion is written broadly. EEI’s proposal
format if no formulas are included. could be implemented in a manner that
could inhibit the ability to view and ana-
lyze the data. The Commission will permit
such submissions, but will monitor the
manner in which filers use this flexibility.
3 .......... EEI, p. 12 .................. 4.D .................... This instruction should be corrected to in- EEI is correct.
clude both spreadsheets and text files in
the list of exceptions, as they are covered
by other instructions.
4 .......... INGAA, App. A, p. 6 4.E .................... Clarify that it is acceptable to use the ‘‘In- The Adobe ‘‘Document/Insert’’ function is
sert’’ feature of PDF applications during acceptable.
the creation of an electronic file.
5 .......... EEI, p. 13 .................. 5 ....................... There is no need to include a transmittal The Commission clarifies that the term
letter and, indeed, it should be discour- ‘‘Transmittal Letter’’ as used in the in-
aged, when a single document filing is structions is solely for the purpose of the
made. Further, the Commission should eFiling software to identify the requisite
encourage the use of a single electronic lead public document for filings consisting
document file and require the use of the of several documents. It does not have
label ‘‘Transmittal Letter’’ only when mul- the same definition as used in several
tiple and separate electronic documents sections of the Commission regulations.
are filed. The contents of the ‘‘Transmittal Letter’’
electronic file can go beyond the content
requirements of a transmittal letter as
provided for in the regulations.
6 .......... Enbridge, pp. 10–11 5–10 ................. The Commission should clarify the effect The example provided by Enbridge is re-
that the file naming conventions will have lated to the Index of Customers. Con-
on existing file naming conventions. sistent with finding that the Index of Cus-
tomers may be eFiled, the Secretary will
modify the acceptable electronic file list.
7 .......... EEI, p. 13 .................. 6 ....................... The word ‘‘tariff’’ should be removed from It will be corrected.
the instruction.
8 .......... Enbridge, p. 10; 6 ....................... The proposed 60 character limit needs to The Secretary will update other eFiling doc-
INGAA, App. A, p. be reflected in other eFiling documents, umentation to reflect this and other
6. and the Commission should clarify wheth- changes.
er characters other than alpha-numeric
are permitted in file names.
9 .......... EEI, p. 13 .................. 6 and 8 ............. The DOS file name character limit should No change is necessary.
be followed only by persons using DOS.
Otherwise, more user-friendly names
should be used.
10 ........ EEI, p. 13 .................. 11 and 14 ......... The instructions should be modified to re- There are hundreds of different types of
flect the format requirements of documents filed with the Commission.
§ 385.2003. If the intent is to relax these The instructions are meant to be flexible
regulations, then the regulations should and not prescriptive for all possible docu-
be rewritten. If there are any documents ments. The Commission will monitor how
to which § 385.2003 does not apply, the filers’ documents appear and their utility.
instructions should note them. If changes to either the instructions or
regulations are necessary, either the Sec-
retary or the Commission will propose the
necessary modifications.
11 ........ EEI, p. 14 .................. 12 ..................... Instruction should note that it does not The Commission clarifies that the required
apply to text filings, nor testimony or ex- information should be shown at least
hibits where the ALJ typically dictates once at the beginning of every document.
header format. Readers should not have to rely on the
Commission’s eLibrary to determine the
source of the document. ALJs may im-
ebenthall on PROD1PC69 with RULES

pose additional requirements.


12 ........ EEI, p. 14 .................. 12 ..................... The use of ‘‘et al.’’ should be permitted with The Commission so clarifies.
the company name.

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65666 Federal Register / Vol. 72, No. 225 / Friday, November 23, 2007 / Rules and Regulations

COMMENTS ON DOCUMENT MANUAL—Continued


No. Commenter Manual ¶ Comment Response

13 ........ Enbridge, p. 10 ......... 12 ..................... With regard to the location of data in the See item 11 above.
headers and footers, clarify that if there is
no specific instruction for the data’s loca-
tion, it may be placed in any location in
the header.
14 ........ Enbridge, p. 10; 13 ..................... Clarify the meaning of ‘‘hard-keyed’’ head- Most native format data files and some
INGAA, App. A, pp. ers or footers in tab-delimited or native spreadsheet files should not have hard-
7–8. format data files, and whether this re- keyed headers or footers, as they disrupt
quirement is applicable to headers and the analysis and manipulation of the con-
footers created by text programs such as tents. The instruction is not relevant for
Word. text files, where the word processor nor-
mally manages headers and footers sep-
arate from the text content.
15 ........ EEI, p. 14 PJM, p. 3 17 ..................... EEI notes that the last sentence is in error EEI is correct, the last sentence should be
and should be deleted; whereas PJM is struck. This moots PJM’s concern.
concerned about the implications this in-
struction may have with regard to access
to its internal data.
16 ........ EEI, p. 14 INGAA, 28.d .................. Clarify the use and appearance of The Commission clarifies that parties may
App. A, p. 5–6. hyperlinks in an electronic document, and not use hyperlinks as a means to include
whether their use will result in a rejection items as part of the record they intend to
of the filing. rely upon. Hyperlinks may be used as
part of citations, and word processor con-
versions into hyperlinks were not the
focus of this instruction.
17 ........ INGAA, App. A, p. 3 passim .............. INGAA notes that the Commission’s Part While beyond the scope of this proceeding,
154 electronic document instructions date INGAA should contact the Secretary with
from 1977[sic]. INGAA requests that a list of suggested changes and proce-
those instructions be updated to reflect dures.
some of the flexibility offered by the new
general instructions for electronic docu-
ments.

[FR Doc. E7–22799 Filed 11–21–07; 8:45 am] Medicine (HFV–126), Food and Drug a.m. and 4 p.m., Monday through
BILLING CODE 6717–01–P Administration, 7500 Standish Pl., Friday.
Rockville, MD 20855, 301–827–0223, e- The agency has determined under 21
mail: daniel.benz@fda.hhs.gov. CFR 25.33(a)(2) that this action is of a
DEPARTMENT OF HEALTH AND SUPPLEMENTARY INFORMATION: Elanco type that does not individually or
HUMAN SERVICES Animal Health, A Division of Eli Lilly cumulatively have a significant effect on
& Co., Lilly Corporate Center, the human environment. Therefore,
Food and Drug Administration Indianapolis, IN 46285, filed a neither an environmental assessment
supplement to NADA 141 225 that nor environmental impact statement is
21 CFR Part 558 provides for use of OPTAFLEXX required.
(ractopamine hydrochloride) and This rule does not meet the definition
New Animal Drugs For Use in Animal
RUMENSIN (monensin USP) Type A of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because
Feeds; Ractopamine
medicated articles to make dry and it is a rule of ‘‘particular applicability.’’
AGENCY: Food and Drug Administration, liquid two-way combination medicated Therefore, it is not subject to the
HHS. feeds for cattle fed in confinement for congressional review requirements in 5
ACTION: Final rule. slaughter. The supplemental NADA U.S.C. 801–808.
provides for an increased level of
SUMMARY: The Food and Drug monensin in combination Type B and List of Subjects in 21 CFR Part 558
Administration (FDA) is amending the Type C medicated feeds. The
animal drug regulations to reflect Animal drugs, Animal feeds.
supplemental NADA is approved as of
approval of a supplemental new animal October 30, 2007, and the regulations in ■ Therefore, under the Federal Food,
drug application (NADA) filed by 21 CFR 558.500 are amended to reflect Drug, and Cosmetic Act and under the
Elanco Animal Health. The the approval. authority delegated to the Commissioner
supplemental NADA provides for an In accordance with the freedom of of Food and Drugs and redelegated to
increased level of monensin in two-way information provisions of 21 CFR part the Center for Veterinary Medicine, 21
combination Type B and Type C 20 and 21 CFR 514.11(e)(2)(ii), a CFR part 558 is amended as follows:
medicated feeds containing ractopamine summary of safety and effectiveness
hydrochloride and monensin for cattle data and information submitted to PART 558—NEW ANIMAL DRUGS FOR
ebenthall on PROD1PC69 with RULES

fed in confinement for slaughter. support approval of this application USE IN ANIMAL FEEDS
DATES: This rule is effective November may be seen in the Division of Dockets
23, 2007. Management (HFA–305), Food and Drug ■ 1. The authority citation for 21 CFR
FOR FURTHER INFORMATION CONTACT: Administration, 5630 Fishers Lane, rm. part 558 continues to read as follows:
Daniel A. Benz, Center for Veterinary 1061, Rockville, MD 20852, between 9 Authority: 21 U.S.C. 360b, 371.

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