Subject: Electronic Registration Issued August 5, 2002.
[Federal Register: August 12, 2002 (Volume 67, Number 155)]
[Rules and Regulations]
[Page 52406-52410]
>From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr12au02-10]
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DEPARTMENT OF ENERGY
Federal Energy Regulatory Commission
18 CFR Parts 375 and 390
[Docket No. RM02-10-000; Order No. 891]
Electronic Registration Issued August 5, 2002.
AGENCY: Federal Energy Regulatory Commission, DOE.
ACTION: Final rule.
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SUMMARY: The Federal Energy Regulatory Commission (Commission) is
amending its regulations to establish a system of electronic
registration (eRegistration) for persons and companies submitting
documents to, and receiving documents from, the Commission. This system
will enable the Commission to comply with paperwork elimination
mandates and, combined with other rulemakings to take place in the near
future, will result in cost savings to the Commission and the public
while enhancing the accessibility of information relating to Commission
programs and proceedings. The eRegistration system will become
mandatory on January 7, 2003, but will be operated on a voluntary basis
beginning in late August 2002.
EFFECTIVE DATE: The rule will become effective on January 7, 2003.
FOR FURTHER INFORMATION CONTACT: Christopher Cook (information
technology advisor), Office of the Chief Information Officer, Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426, (202) 208-1131.
Wilbur Miller (legal advisor), Office of General Counsel, Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426, (202) 208-0953.
SUPPLEMENTARY INFORMATION:
Before Commissioners: Pat Wood, III, Chairman; William L.
Massey, Linda Breathitt, and Nora Mead Brownell.
I. Introduction
1. The Federal Energy Regulatory Commission (Commission) is
amending its regulations to establish a system of electronic
registration for persons and companies wishing to submit documents to
or receive documents from the Commission (collectively customers).
II. Background
2. This order initiates a series of measures that will largely
eliminate the transmission of paper documents between the Commission
and its customers. Collectively, these measures will ensure the
Commission's compliance with the Government Paperwork Elimination
Act;\1\ result in cost savings, such as elimination of mailing costs
and courier services, to the Commission and its customers; facilitate
the Commission's management of information about the persons and
entities that do business with it; and make information submitted to
and issued by the Commission available more promptly and in more
accessible formats.
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\1\ 44 U.S.C. 3504 (2002).
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3. This measure follows several initiatives undertaken by the
Commission to begin the transition to an electronic environment. On May
26, 1999, the Commission revised its rules to permit parties to
Commission proceedings to serve documents upon one another
electronically. Electronic Service of Documents, 64 FR 31493, FERC
Stats. & Regs., Regulations Preambles para. 31,074 (June 11, 1999). On
September 14, 2000, the Commission revised its rules to permit
participants in Commission proceedings to begin, on a voluntary basis,
filing submissions via the Internet (eFiling). Electronic Filing of
Documents, 65 FR 57088, FERC Stats. & Regs., Regulations Preambles
para. 31,107 (Sept. 21, 2000). At first, the Commission applied this
initiative only to a limited range of document types, but has gradually
permitted other types of submissions to be made electronically. See
www.ferc.gov/documents/makeanelectronicfiling/doorbell.htm. In
addition, electronic submission and dissemination of structured data,
including FERC Forms 1, 2, 6, and 423, are possible through the
Commission's web page.
4. This order will resolve difficulties the Commission has
encountered in updating various lists that it maintains of customers to
whom it sends various types of information. These include, for example,
service lists of persons who are required to receive documents in
connection with Commission proceedings \2\ and mailing lists of persons
who receive informational copies of various documents. Many of the
entries on the various lists that the Commission maintains are obsolete
or duplicative, resulting, among other problems, in extensive waste in
mailing out unneeded or unwanted copies of documents. The eRegistration
system will allow the Commission to compile a comprehensive, more
accurate list of its customers.
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\2\ 18 CFR 385.2010(b)(2002).
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III. Discussion
A. General
5. Electronic registration will serve as the gateway to a number of
electronic services at the Commission that are designed to transmit
documents electronically between the Commission and its customers.
These services, some of which are already in use, will permit the
electronic submission of information to the Commission, including
tariffs, forms, and documents submitted in docketed proceedings.
Electronic registration also will apply to services that the Commission
will be instituting that will allow customers to sign up to receive
information about or be notified of events in docketed proceedings. The
registration system implemented pursuant to this rulemaking will enable
customers to submit necessary information once, rather than having to
register separately to use each system. A brief description of the
services to which electronic registration will pertain is included in
Section III. C.
6. Electronic registration will apply only to specified
applications; it will not be required for all submissions to the
Commission. For example, it will not be required for correspondence
that does not relate to docketed proceedings from members of Congress
or the general public. It will not be required for a customer searching
for documents on the Federal Energy Regulatory Records and Information
System (FERRIS). It will not apply to requests under the Freedom of
Information Act.\3\ It also will not apply to certain correspondence in
docketed proceedings that the Office of the Secretary finds to qualify
for an exemption because the submissions are from members of the public
who likely are one-time submitters.
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\3\ 5 U.S.C. 552 (2001).
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7. The registration process will be brief and simple. Customers
will input a few lines of information, generally a name, address, phone
number and fax number. They will then input the information that the
system will use to identify them: An e-mail address a password and a
password hint. There will be a paper registration process for customers
submitting paper documents to the Commission as the result of a waiver
of electronic filing requirements for good cause shown. Customers will
be able to access and manipulate their own data, thus keeping it
current to ensure reliable service. Separate rulemakings will address
other FERC information systems.
B. The Registration Process
8. Customers wishing to transact business at the Commission through
any of the electronic services described in section III. C. will
register via the Internet at http://www.ferc.gov. It will be possible
for multiple persons or entities to be associated with one another.
Thus, for example, a company that is a participant in a proceeding at
the Commission may be represented by one or more persons or entities,
such as attorneys or law firms, so that Commission issuances will be
[[Page 52408]]
distributed to all the persons or entities representing that company.
9. When a customer seeks to conduct an electronic transaction
through the Commission's Web site, if that customer is not already
registered, the customer will be automatically transferred to the
eRegistration page. Alternately, the customer will be able to access
the eRegistration page directly to register or to update registration
information. The eRegistration page will contain data fields that must
be filled in with specified identifying data.
10. Generally speaking, an individual customer--as opposed to an
entity like a company or law firm--will receive a user ID, which will
be the customer's e-mail address. All electronic services will also
require a password selected by the user. For services requiring a
higher level of security and authentication, further security
requirements may be necessary as well. The exact nature of this
security will be described at a later time, when filing of sensitive
information becomes functional.
11. All customers also will receive a unique numeric identifier.
This identifier may be used in identifying the customer in connection
with electronic applications.
12. When an individual customer registers, that customer will, if
appropriate, designate the entity--again, such as a company or law
firm--with which that customer is associated. The first time that
eRegistration information is entered on behalf of an entity, that
entity will be assigned its own unique numeric identifier. Other
identifying information, such as a Dun & Bradstreet number, may also be
entered. If the entity has already been registered, the individual
customer may select it from an index. If the individual is not aware
that the entity has already been registered and tries to enter
information about the entity, the system will alert the individual to
the possibility that the entity is already registered and make an index
available from which he or she may choose.
13. When an individual registers an entity with eRegistration,
there will be an opportunity to list an additional contact for the
entity--most likely another employee or official of the entity. This
will ensure that the entity will receive necessary information should
the individual who initially registers for the entity become
unavailable. Customers will bear the responsibility of managing their
own eRegistration information, just as a participant in a Commission
proceeding is responsible for monitoring its affairs to ensure that the
persons claiming to represent it are in fact authorized to do so.
14. Upon successful eRegistration, the customer will receive an e-
mail containing the customer's user ID and numeric identifier, and any
other identifying information that has been entered.
15. The process of associating an individual customer with multiple
entities will not be a part of the eRegistration system, but instead
will take place in the individual electronic services. For example, an
attorney will be able to represent several different clients in
multiple proceedings, but the attorney need not ``register'' on behalf
of every client or in connection with every proceeding. Instead, the
attorney will register once as an individual, if appropriate also
designating a law firm as the entity with which the attorney is
associated. When the attorney submits a document for filing in a
particular proceeding, he or she will designate the appropriate client
as part of the eFiling process. The attorney will receive service
through the functions of the eService and eList services (described
below), which will be addressed in a later rulemaking. Customers using
eRegistration to represent other persons or entities are subject to
Rule 2005,\4\ and thus will be regarded as representing that they have
the authority to undertake such representation.
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\4\ 18 CFR 385.2005(2002).
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16. The Commission understands that some customers will lack the
means for submitting and receiving documents electronically and will
provide for waiver of the mandatory aspects of electronic submissions
and distribution. This rulemaking includes a delegation of authority to
the Secretary to grant waivers of the eRegistration requirement. It
will be possible for a customer to submit documents in hard copy by
applying for a waiver for good cause shown. Registration, however, will
still be required and will be accomplished by a paper process. Like
electronic customers, customers registering through the paper process
will receive a unique numeric identifier. This identifier must appear
on paper submissions; without it, submissions will be rejected. Waivers
of electronic registration will be valid for one year. It then will be
necessary for a customer to register electronically or apply for
another waiver. Customers registering by paper will be notified
approximately three months prior to the expiration of their
registration.
17. In addition to the waiver provision, the Commission is
exempting from the registration requirement certain situations where
registration would not be practical for, or beneficial to, the
customer. The Commission often receives letters and other
communications from individual citizens who are not familiar with, and
do not regularly participate in, Commission proceedings. When such
communications pertain to a particular proceeding, they are accepted
for filing in that proceeding, become part of the official record, and
are considered by the Commission in making the ultimate decision in the
case. Registration in such situations would be an unnecessary formality
because the customer often is unlikely to participate further in
Commission proceedings. In some such cases, however, the customer may
have the capability to register electronically and thus might not
qualify for a waiver. The rulemaking thus exempts such communications
from the registration requirements.\5\
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\5\ Customers found to be exempt from the eRegistration
requirements will not be able to receive electronic issuances and
notifications from the Commission or otherwise be included in
electronic distribution lists, nor will they be able to intervene as
they will not be able to employ eFiling. In other words, they will
not have access to the FERC online services, which necessarily
require individualized registration, including a specific e-mail
address.
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18. This rulemaking will become effective January 7, 2003.
Electronic registration thus will not be required prior to that time.
The eRegistration system will, however, become operational, and
available for use on a voluntary basis in late August 2002. Customers
should check the Commission's Web site at http://www.ferc.gov for
information about when eRegistration will become operational. This
period of voluntary use will give both the Commission and its customers
the opportunity to observe the system's functions. The Commission
strongly urges customers to register well in advance of the effective
date so as to familiarize themselves with the system. In addition, the
Commission invites informal comments and suggestions regarding the
system prior to the effective date. Comments or suggestions may be sent
to the Secretary, Federal Energy Regulatory Commission, 888 First
Street, NE., Washington, DC 20426, or to ERegComments@FERC.gov. The
Commission requests that informal comments and suggestions be submitted
by October 1, 2002, so as to give Commission staff time to implement
any needed changes before this rule takes effect.
[[Page 52409]]
C. Overview of Electronic Information Services
19. The following is a brief summary of the services for which
electronic registration will be required:
20. eFiling. The Commission has instituted electronic filing of
documents in its proceedings on a voluntary basis. Currently, many
categories of documents may be submitted via the Internet, although
some documents still may not.\6\ Some time prior to October 1, 2003,
however, the Commission will extend electronic filing to all documents
submitted in Commission proceedings and will require all participants
in those proceedings to submit documents electronically. There will be
a waiver for participants for whom electronic submissions are
impractical.
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\6\ See 18 CFR 385.2003(c)(2)(2002).
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21. eForms. The Commission will establish an integrated interface
for its customers to file structured data. The forms that will be filed
electronically include, but may not be limited to, Forms 1, 2, 6 and
423. Customers filing such forms will be required to register
electronically.
22. eReports. This system will provide an interface for customers
submitting structured data in connection with Order No. 2001, issued by
the Commission on April 25, 2002.\7\
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\7\ See Revised Public Utility Filing Requirements, FERC Stats.
& Regs. para. 31,127 (April 25, 2002).
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23. eTariffs. This system will provide an interface for customers
filing tariffs with the Commission.\8\
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\8\ Id.
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24. eDistribution. Electronic distribution refers to documents
being distributed by the Commission, or with the Commission's
assistance, as opposed to electronic filing, forms, reports and
tariffs, all of which refer to documents being submitted to the
Commission. There are several sub-categories of electronic
distribution:
eService: Electronic service means the electronic distribution by
the Commission of documents to participants in Commission proceedings,
as required by 18 CFR 385.2010(b) (2001). After October 1, 2003, only
electronic service will meet the Commission's legal service
requirements under regulatory revisions that the Commission will
implement prior to that time. The Commission will include a waiver
provision for participants who show that it is impractical for them to
receive service of documents electronically. With respect to legal
service requirements among participants in Commission proceedings, the
Commission's rules already allow participants to agree among themselves
to serve documents electronically rather than serving paper copies.\9\
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\9\ Id.
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eList: The Commission will maintain a list of participants in each
Commission proceeding that participants will use to serve documents
upon one another as required by 18 CFR 385.2010(a) (2002). Electronic
Registration will become a pre-requisite for addition to the Service
List (eList) by the Secretary, sometime prior to October 1, 2003,
although provision will be made for participants for whom sending and
receiving electronic documents is impractical.
eNotification: The Commission currently distributes issuances in
Commission proceedings to various interested persons who are not
participants. Such recipients include state and federal elected
officials, state commissions, and other state and federal resource
agencies. The Commission will take steps to ensure that these persons
continue to receive such information.
eSubscription: The Commission will establish a service that allows
interested persons to subscribe to categories of documents published by
FERC and receive e-mail stating when documents pertaining to
subscribed-for categories are published. The first implementation of
this service will permit customers to subscribe to individual FERC
proceedings, i.e., dockets; access (FERRIS) online; and automatically
receive documents published therein. Participation in this service is
voluntary. A customer choosing to participate in eSubscription,
however, will have to access the service through eRegistration. That
customer will be required to supply eRegistration with an e-mail
address and password, and may provide other registration information on
a voluntary basis.
IV. Information Collection Statement
25. The Office of Management and Budget's (OMB's) regulations
require that OMB approve certain information collection requirements
imposed by agency rule.\10\ OMB regulations provide an exemption where
a person is required to provide only facts that are necessary for
identification.\11\ This rulemaking requires only such information and
thus OMB approval is not required.
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\10\ 5 CFR Part 1320 (2002).
\11\ 5 CFR 1320.3(h)(1).
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V. Environmental Analysis
26. 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.\12\ This
Final Rule will not have such an effect. Part 380 of the Commission's
regulations lists a number of situations in which an Environmental
Analysis or Environmental Impact Statement will not be done. Included
are exemptions for procedural, ministerial or internal administrative
actions, and for information gathering, analysis and dissemination.\13\
This rulemaking is exempt under those provisions.
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\12\ 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).
\13\ 18 CFR 380.4(a)(1) and (5) (2002).
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VI. Regulatory Flexibility Act Certification
27. The Regulatory Flexibility Act of 1980 (RFA)\14\ generally
requires a description and analysis of final rules that will have
significant economic impact on a substantial number of small entities.
The Commission finds that this rule will not have such an impact on
small entities. The Commission anticipates that its customers will
achieve savings from the elimination of paper documents. The large
majority of the Commission's customers already employ the technology
that will be necessary for compliance with this rulemaking. For
customers for whom the use of such technology is impractical,
registration by paper will be possible.
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\14\ 5 U.S.C. 601-612 (2002).
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VII. Document Availability
28. In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
Internet through FERC's Home Page (http://www.ferc.gov) and in FERC's
Public Reference Room during normal business hours (8:30 a.m. to 5 p.m.
Eastern time) at 888 First Street, NE., Room 2A, Washington, DC 20426.
29. From FERC's Home Page on the Internet, this information is
available in FERRIS. The full text of this document is available on
FERRIS in PDF and WordPerfect format for viewing, printing, and/or
downloading. To access this document in FERRIS, type the docket number
excluding the last three digits of this document in the docket number
field.
30. User assistance is available for FERRIS and the FERC's Web site
during normal business hours from our Help
[[Page 52410]]
line at (202) 208-2222 or the Public Reference Room at (202) 208-1371
Press 0, TTY (202) 208-1659. E-Mail the Public Reference Room at
public.referenceroom@ferc.gov.
VIII. Effective Date and Congressional Notification
31. This Final Rule will take effect on January 7, 2003. Pursuant
to 5 U.S.C. 804(3)(C) (2002), agencies are not required to notify
Congress of any Final Rule that concerns matters of ``agency
organization, procedure, or practice that does not substantially affect
the rights or obligations of non-agency parties.'' This rulemaking
falls within that provision. Furthermore, 5 U.S.C. 804(3)(A) exempts
rules that provide for registration and permit new or improved
applications of technology from the Congressional review requirements.
Provisions governing Congressional review of agency rulemaking,\15\
therefore do not apply.
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\15\ 5 U.S.C. 801-808 (2002).
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32. The Commission is issuing this as a final rule without a period
for public comment. Under 5 U.S.C. 553(b) (2002), notice and comment
procedures are unnecessary where a rulemaking concerns only agency
procedure and practice, or where the agency finds that notice and
comment is unnecessary. This rule concerns only matters of agency
procedure and will not significantly affect regulated entities or the
general public. In addition, the Commission is inviting informal
comments about electronic registration during the voluntary period that
will run from late August 2002, to January 7, 2003. Therefore, the
Commission finds notice and comment procedures to be unnecessary.
List of Subjects
18 CFR Part 375
Authority delegations (Government agencies), Seals and insignia,
Sunshine Act.
18 CFR Part 390
Administrative practice and procedure, Electronic filing, Reporting
and recordkeeping requirements.
By the Commission.
Linwood A. Watson, Jr.,
Deputy Secretary.
In consideration of the foregoing, the Commission amends part 375
and adds part 390, Chapter I, Title 18, of the Code of Federal
Regulations as follows:
PART 375--THE COMMISSION
1. In part 375, the authority citation continues to read as
follows:
Authority: 5 U.S.C. 551-557; 15 U.S.C. 717-717w, 3301-3432; 16
U.S.C. 791-825r, 2601-2645; 42 U.S.C. 7101-7352.
2. In Sec. 375.302, paragraph (x) is added to read as follows:
Sec. 375.302 Delegations to the Secretary.
* * * * *
(x) Issue instructions for electronic registration pursuant to,
grant applications for waivers of the requirements of, and make
determinations regarding exemptions from 18 CFR part 390.
3. Part 390 is added to read as follows:
PART 390--ELECTRONIC REGISTRATION
Sec.
390.1 Electronic registration.
390.2 Activities requiring registration.
390.3 Waiver applications.
390.4 Exemptions.
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 (1988).
Sec. 390.1 Electronic registration.
Any person who wishes to engage in any of the activities listed in
Sec. 390.2 must register electronically through the Commission's web
site, in compliance with instructions located on the Web site, at
http://www.ferc.gov.
Sec. 390.2 Activities requiring registration.
(a) Electronic registration is a requirement for the following
activities:
(1) Submission of all documents in proceedings governed by 18 CFR
part 385;
(2) Submission of Forms 1, 2, 6 and 423 pursuant to 18 CFR 141.1,
141.61, 260.1, and 357.2.
(3) Submission of reports in compliance with Order No. 2001.
(4) Filing of tariffs pursuant to 18 CFR 385.205.
(5) Receipt of service pursuant to 18 CFR 385.2010(a) or (b).
(b) Any person who wishes to subscribe to the Commission's
automated document delivery system may register electronically but is
not required to do so.
Sec. 390.3 Waiver applications.
(a) A person may satisfy the requirement of Sec. 390.1 by
submitting a paper registration form to be prescribed by the Secretary,
together with a written statement showing good cause why the person is
unable to register electronically. The form and statement must be
mailed to the Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426, or hand delivered to Room 1A
at the same address.
(b) Persons who register using the paper form prescribed under
paragraph (a) of this section will receive a unique numeric identifier
that must appear on all paper submissions to the Commission. A
submission that does not include the identifier will be rejected.
Notification of such rejection will be sent to the submitter at the
address indicated on the paper submission. A request for a waiver may
be submitted simultaneously with a document submitted for filing. If
the waiver is granted, the Secretary will add the assigned numeric
identifier to the submitted document(s), but will not do so for
subsequent submissions.
(c) A waiver under paragraph (a) of this section will be valid for
one year from the date of issuance by the Secretary. The Secretary will
send notice of the pending expiration to the registered person's
address of record approximately three months prior to the expiration of
the waiver. After the waiver expires, a person wishing to engage in any
of the activities listed in Sec. 390.2 must comply with Sec. 390.1, or
must apply for another waiver under paragraph (a) of this section.
Sec. 390.4 Exemptions.
In instances in which the Commission receives communications from
persons who are not registered under this part that relate to docketed
proceedings and in which it appears that registration under this part
offers no value to the person submitting the communication, the
Commission may accept the communication for filing without requiring
the person to comply with Sec. 390.1 or Sec. 390.3.
[FR Doc. 02-20283 Filed 8-9-02; 8:45 am]
BILLING CODE 6717-01-P